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THE INFLUENCE OF MULTILINGUAL EDUCATION ON THE INDIVIDUAL’S DEVELOPMENT IN THE MULTIETHNIC ENVIRONMENT OF UKRAINE
Tetiana Kotyk
Ukrainian
Spoken
4,494
14,850
ВПЛИВ БАГАТОМОВНОГО НАВЧАННЯ НА РОЗВИТОК ОСОБИСТОСТІ В ПОЛІЕТНІЧНОМУ СЕРЕДОВИЩІ УКРАЇНИ Розкрито основні поняття багатомовного навчання й визначено його потенціал впливу на особистісний розвиток майбутнього фахівця. Висвітлено різні типи двомовності: від гармонійної двомовності радянської епохи, що призвела до монолінгвізму, до двомовності довершеної (еквібілінгвізму), що проходить такі стадії, як нормативно однобічна й нормативно двобічна, пасивна й активна, цільова й побутова (спонтанна); буває індивідуальною, груповою, масовою, суцільною, автономною, або чистою, повною, координативною двомовністю, носії якої чітко диференціюють системи мов, якими спілкуються. Такий вид двомовності ще називають фіналізованою, цілеорієнтованою, функціональною. Розкрито різні ступені та характеристики субординативного білінгвізму: повного, неповного, часткового, початкового, нульового. На основі аналізу соціо- та психолінгвістичної літератури з’ясовано особливості особистісної характеристики багатомовної людини, що в науці називається металінгвістичною свідомістю. Зроблено висновок, що білінгви випереджують монолінгвів у когнітивному розвитку, мислення багатомовної особистості більш динамічне, вивчення декількох мов підносить на вищий ступінь володіння рідною мовою, сприяє узагальненню мовних явищ, більш свідомому застосуванню слова як знаряддя мислення. Така особистісна свідомість наповнена загальнолюдськими універсальними поняттями, уявленнями про особливості сприйняття світу іншими народами, розумінням їхніх моральних кодексів, а також загальноприйнятих суджень здорового глузду, що й виховує таке необхідне для сучасних глобалізаційних процесів у суспільстві толерантне ставлення до інших народів, їх світосприйняття. Ключові слова: типи двомовності, ступені розвитку білінгвізму, металінгвістична свідомість, мультилінгвальний стан особистості. tetiana.m.kotyk@pu.if.ua доктор педагогічних наук, професор Прикарпатський національний університет імені Василя Стефаника вул. Т. Шевченка, 57, м. Івано-Франківськ tetiana.m.kotyk@pu.if.ua доктор педагогічних наук, професор Прикарпатський національний університет імені Василя Стефаника вул. Т. Шевченка, 57, м. Івано-Франківськ ОБГОВОРЮЄМО ПРОБЛЕМУ ОБГОВОРЮЄМО ПРОБЛЕМУ 13. Meißner F.-J., Senger U. Vom induktiven zum kontrastiven Lehr- und Lernparadigma [From the inductive to the contrastive teaching and learning paradigm]. Bausteine für einen neokommunikativen Französischunterricht: Lernerzentrierung, Ganzheitlichkeit, Handlungsorientierung, Interkulturalität, Mehrsprachigkeitsdidaktik, Tübingen, Narr, 2001, pp. 21–50. 14. Neuner G. Mehrsprachigkeitskonzept und Tertiärsprachendidaktik [Multilingualism and tertiary language didactics]. Mehrsprachigkeitskonzept. Tertiärsprachenlernen. Deutsch nach Englisch, Strasbourg, Council of Europe Publishing, 2003, pp. 13–34. p g pp 15. Reinfried M. Transfer beim Erwerb einer weiteren romanischen Fremdsprache [Transfer by acquiring another Romance foreign language]. Mehrsprachigkeitsdidaktik. Konzepte, Analysen, Lehrerfahrungen mit romanischen Fremdsprachen, Tübingen, Narr, 1998, pp. 23–44. 15. Reinfried M. Transfer beim Erwerb einer weiteren romanischen Fremdsprache [Transfer by acquiring another Romance foreign language]. Mehrsprachigkeitsdidaktik. Konzepte, Analysen, Lehrerfahrungen mit romanischen Fremdsprachen, Tübingen, Narr, 1998, pp. 23–44. 16. Weller F.-R. Über Möglichkeiten und Grenzen praktizierter Mehrsprachigkeit im Unterricht und außerhalb [About possibilities and limits of practiced multilingualism in the classroom and outside]. Mehrsprachigkeitsdidaktik. Konzepte, Analysen, Lehrerfahrungen mit romanischen Fremdsprachen, Tübingen, Narr, 1998, pp. 69–80. 16. Weller F.-R. Über Möglichkeiten und Grenzen praktizierter Mehrsprachigkeit im Unterricht und außerhalb [About possibilities and limits of practiced multilingualism in the classroom and outside]. Mehrsprachigkeitsdidaktik. Konzepte, Analysen, Lehrerfahrungen mit romanischen Fremdsprachen, Tübingen, Narr, 1998, pp. 69–80. Стаття надійшла в редакцію 15.09.2017 р Стаття надійшла в редакцію 15.09.2017 р УДК 37.047:81’ 246.2 DOI 10:25128/2415-3605.17.4.28 УДК 37.047:81’ 246.2 DOI 10:25128/2415-3605.17.4.28 Наукові записки. Cерія: педагогіка. – 2017. – № 4 доктор педагогических наук, професор Прикарпатский национальный університет имени Василия Стефаника ул. Т. Шевченко, 57, г. Ивано-Франковск 13. Meißner F.-J., Senger U. Vom induktiven zum kontrastiven Lehr- und Lernparadigma [From the inductive to the contrastive teaching and learning paradigm]. Bausteine für einen neokommunikativen Französischunterricht: Lernerzentrierung, Ganzheitlichkeit, Handlungsorientierung, Interkulturalität, Mehrsprachigkeitsdidaktik, Tübingen, Narr, 2001, pp. 21–50. ТАТЬЯНА КОТИК доктор педагогических наук, професор Прикарпатский национальный університет имени Василия Стефаника ул. Т. Шевченко, 57, г. Ивано-Франковск 213 Наукові записки. Cерія: педагогіка. – 2017. – № 4 ОБГОВОРЮЄМО ПРОБЛЕМУ TETIANA KOTYK Doctor of Pedagogical Sciences, Professor Vasyl Stefanyk National Precarpathian National University 57 Т. Shevchenkо Str., Ivano-Frankivsk Doctor of Pedagogical Sciences, Professor Vasyl Stefanyk National Precarpathian National University 57 Т. Shevchenkо Str., Ivano-Frankivsk Doctor of Pedagogical Sciences, Professor Vasyl Stefanyk National Precarpathian National University 57 Т. Shevchenkо Str., Ivano-Frankivsk ВЛИЯНИЕ МНОГОЯЗЫЧНОГО ОБУЧЕНИЯ НА РАЗВИТИЕ ЛИЧНОСТИ В ПОЛИЭТНИЧЕСКОЙ СРЕДЕ УКРАИНЫ Раскрыто основные понятия многоязычного обучения и определен его потенциал влияния на личностное развитие будущего специалиста. Освещены различные типы двуязычия от гармоничного двуязычия советской эпохи, что привело к монолингвизму, до двуязычия совершенного (еквибилингвизму), проходящего такие стадии, как нормативно одностороннее и нормативно двухстороннее, пассивное и активное, целевое и бытовое (спонтанное); бывает индивидуальным, групповым, массовым, сплошным, автономным, или чистым, полным, координативным двуязычием, носители которого четко дифференцируют системы языков, на которых общаются. Такой вид двуязычия называют финализованным, целеориентированным, функциональным. Раскрыто различные ступени и характеристики субординативного билингвизма: полного, неполного, частичного, начального, нулевого. На основе анализа социо- и психолингвистической литературы выяснены особенности личностной характеристики многоязычного человека, что в науке получило название металингвистическое сознание. Сделан вывод, что билингвы опережают монолингвов в когнитивном развитии; мышление многоязычной личности более динамичное; изучение нескольких языков поднимает на более высокую ступень владения родным языком, способствует обобщению языковых явлений, более сознательному применению слова как орудия мышления. Такое личностное сознание наполнено общечеловеческими универсальными понятиями, представлениями об особенностях восприятия мира другими народами, пониманием их моральных кодексов, а также общепринятых суждений здравого смысла, что и воспитывает столь необходимое для современных глобализационных процессов в обществе толерантное отношение к другим народам, их мировосприятию. Ключевые слова: типы двуязычия, ступени развития билингвизма, металингвистическое сознание, мультилингвальное состояние личности. THE INFLUENCE OF MULTILINGUAL EDUCATION ON THE INDIVIDUAL’S DEVELOPMENT IN THE MULTIETHNIC ENVIRONMENT OF UKRAINE У дошкільних закладах і школах діти, навчаючись рідною мовою, паралельно опановують державну та іноземні мови, а за межами навчальних закладів і сім’ї - ще й мову середовища. У ВНЗ студенти, зважаючи на євроінтеграційні процеси, вивчають по дві-три іноземні мови. Відтак особливої актуальності набуває теоретичне обґрунтування особливостей впливу багатомовного навчання на особистість. Проблему особистісного становлення в багатомовному штучному та природному середовищі досліджували В. Бєлянін (особливості природного (побутового) та штучного (навчального) білінгвізму); І. Горєлов (спільні механізми мовленнєвої діяльності у контексті будь-якої мови; автономні сфери мислення у білінгвів); Ю. Дешерієв (білінгвістична взаємодія двох мовних систем у межах єдиного колективу носіїв білінгвізму); Л. Засєкіна, С. Засєкін (психолінгвістичні основи оволодіння мовою); О. Залевська, О. Леонтьєв (класифікація понять, що відображають специфіку процесу оволодіння другою мовою); Н. Хомський (розвиток мовних здібностей людини) та ін. Мета статті – розкрити основні поняття багатомовного навчання й визначити його потенціал впливу на розвиток особистості. Передусім з’ясуємо, на якому ступені знання мови людину можна вважати двомовною, білінгвом. Серед вчених немає єдності поглядів у відповіді на це питання. Найчастіше послуговуються визначенням американського лінгвіста У. Вайнрайха. Двомовністю він називав практику поперемінного використання двох мов, а тих, хто нею користується, визначав як двомовних осіб [1]. Соціолінгвіст Д. Дешерієв вважав, що двомовність – це вільне володіння рідною й другою мовами [3]. Але кожна мова - це феномен, в якому генетично записані історія й культура народу. Знати другу мову в такому ж обсязі, як свою рідну, означає так само знати всю літературу, народну творчість, історію, побут і звичаї іншого народу. Зважаючи на це, окремі вчені стверджують про неможливість повного оволодіння другою мовою (В. Абаєв, М. Алексеєв, І. Епштейн та ін.). Французький лінгвіст А. Мейє вважав, що не можна досягнути однакового рівня знання двох мов, а український учений Ю. Жлуктенко зазначав, що в переважної більшості ситуацій дві мови, якими володіє білінгв, перебувають у неоднаковому становищі [5]. рівня знання двох мов, а український учений Ю. Жлуктенко зазначав, що в переважної більшості ситуацій дві мови, якими володіє білінгв, перебувають у неоднаковому становищі [5]. Окремі сучасні опоненти двомовності взагалі вважають це поняття надуманим, неіснуючим і посилаються на те, що двомовність породжує так званий «суржик», від якого більше шкоди, ніж користі . Окремі сучасні опоненти двомовності взагалі вважають це поняття надуманим, неіснуючим і посилаються на те, що двомовність породжує так званий «суржик», від якого більше шкоди, ніж користі . THE INFLUENCE OF MULTILINGUAL EDUCATION ON THE INDIVIDUAL’S DEVELOPMENT IN THE MULTIETHNIC ENVIRONMENT OF UKRAINE The basic concepts of multilingual education have been revealed and the potential of the influence of multilingual education on personal development of the future specialist has been determined. Different types of bilingualism have been shown: from the harmonic bilingualism of the Soviet era, which has led to monolingualism, to the perfect bilingualism (equibilingualism) passing through such stages as a normative one- way bilingualism and normative two-way bilingualism, passive and active, target and everyday (spontaneous) bilingualism. The perfect bilingualism manifests itself as individual, group, massive, continuous, autonomous, or pure, complete, coordinate bilingualism when person clearly differentiates linguistic systems. This type of bilingualism is also called finalized, purpose-oriented, and functional. Different degrees and characteristics of subordinate bilingualism have been revealed. The subordinate bilingualism is characterized as complete, incomplete, partial, initial, and zero one. On the basis of the analysis of socio- and psycholinguistic publications, the features of a multilingual personality, also called metalinguistic consciousness, have been provided. The conclusion has been made that bilinguals exceed monolinguals in their cognitive development, the mentality of a multilingual person is more dynamic, the process of learning several languages leads to a higher degree of the level of proficiency in native language, contributing to the generalization of language phenomena and more conscious use of the word as a means of thinking. This personal consciousness is filled with universal notions, ideas about special features of perception of the world by other peoples, the comprehension of their moral codes as well as generally accepted judgments of common sense, which cultivates a tolerant attitude towards other peoples and their perception of the world which is extremely necessary for modern globalization processes in the society. Keywords: types of bilingualism, degrees of the development of bilingualism, metalinguistic consciousness, multilingual state of personality. Мовлення кожної людини індивідуальне й неповторне, як і мова кожного народу. Людина може володіти декількома мовами, але найдосконаліше знає, безперечно, рідну. Стверджують, що рідна мова генетично передається від матері і що комплекс рідномовних 214 Наукові записки. Серія: педагогіка. – 2017. – № 4 ОБГОВОРЮЄМО ПРОБЛЕМУ вібрацій через молитви допомагає людині отримувати наснагу до життя. Мова є важливим чинником національної ідентифікації особистості. вібрацій через молитви допомагає людині отримувати наснагу до життя. Мова є важливим чинником національної ідентифікації особистості. У незалежній поліетнічній та різномовній Україні національна система освіти будується на засадах багатомовного навчання й виховання дітей, починаючи з дошкільного віку. Наукові записки. Cерія: педагогіка. – 2017. – № 4 THE INFLUENCE OF MULTILINGUAL EDUCATION ON THE INDIVIDUAL’S DEVELOPMENT IN THE MULTIETHNIC ENVIRONMENT OF UKRAINE Якщо це суспільне явище викликає таку полеміку, отже, воно об’єктивно існує і з ним неможливо не рахуватися; крім того, його слід всіляко розвивати, - вважав Р. Сабаткоєв. Упродовж багатьох років лінгводидактика працювала над розвитком і поширенням у світі гармонійної національно-російської двомовності – «політичного рівноправ’я мов, яке передбачає рівні умови оволодіння ними і вільне використання кожної з них» [7, с. 12]. Натомість, основна увага була зосереджена на оволодінні російською мовою як засобом міжнаціонального спілкування. За таких умов двомовність фактично перетворилася на російську одномовність, що спричинило чимало негативних явищ: забуття рідної мови, занепад національної культури і, як наслідок, поширення монолінгвізму. Латвійські мовознавці, вивчаючи мовну ситуацію Латвії наприкінці 80-х років, з’ясували, що 80 % латишів володіють російською мовою, водночас латвійською мовою володіє лише чверть нелатвійського населення, що мешкає в країні. Відтак, національно-російська двомовність була асиметричною двомовністю, деструктивним за своєю суттю явищем. Проти поняття «гармонійна двомовність», що означало стійке, урівноважене функціонування російської й рідної мов, вільне володіння обома мовами, виступали О. Біляєв, Ю. Караулов, уважаючи, що рідною залишається тільки материнська мова. М. Д’ячков називав національно-російську двомовність однобічною, яка заважає розвивати рідну мову. На противагу цьому поняттю висував інше – «оптимальна ефективна двомовність», під яким розумів такий тип двомовності, що забезпечує ефективну й соціально збалансовану 215 ОБГОВОРЮЄМО ПРОБЛЕМУ комунікацію між етносами однієї території. Ефективна двостороння двомовність пов’язувалася з вимогами практичної функціональності. Це означало, що обсяг оволодіння другою мовою безпосередньо залежить від мети спілкування: побутова комунікація, спілкування на роботі, прослуховування радіопередач, робота зі спецлітературою тощо [4]. А. Супрун був упевнений, що в Україні двомовність (українсько-російська) має масовий характер, а двомовними можна вважати тих, хто може створювати і розуміти тексти двома мовами [8]. Зважаючи на зазначене, дослідники почали говорити про різні типи двомовності: двомовність довершену (еквібілінгвізм), нормативно однобічну й нормативно двобічну, пасивну й активну, цільову й побутову (спонтанну), індивідуальну, групову, масову, суцільну тощо. Л. Щерба, С. Ервін, А. Супрун, Л. Ярисін та інші вчені виокремлюють автономну, або чисту, повну, координативну двомовність, носії якої чітко диференціюють системи мов, котрими спілкуються, та змішану або субординативну двомовність, коли у свідомості не дуже чітко співвідносяться і протиставляються дві мови. Залежно від рівня знання мови визначають різні ступені субординативного білінгвізму: повний, неповний, частковий, початковий, нульовий. Експериментальні дані (М. Аствацатрян) дозволили зробити висновок про динамічний, рухомий характер субординативного білінгвізму. У зв’язку з цим можна говорити про потенційну можливість кожного, хто навчається другої мови, пройти всі ступені субординативного білінгвізму аж до вільного володіння мовою – координативного білінгвізму. THE INFLUENCE OF MULTILINGUAL EDUCATION ON THE INDIVIDUAL’S DEVELOPMENT IN THE MULTIETHNIC ENVIRONMENT OF UKRAINE Кожний наступний ступінь може бути не тільки кінцевим, а й проміжним у процесі оволодіння мовою, що залежить від індивідуальних особливостей та потреб людини, методики навчання, соціальних факторів тощо. В останні роки серед практиків та науковців ведуться розмови про необхідність фіналізованої, цілеорієнтованої двомовності, котру ще можна назвати функціональною. Вже йдеться не про повне оволодіння другою мовою, а про знання та навички, необхідні для певної мети спілкування, що, як вважають, сприятиме мовній толерантності. Таке різноманіття поглядів на явище свідчить про його багатоаспектність. Щоб уточнити, які саме сутнісні ознаки розглядають під час характеристики білінгвізму, А. Табуре-Келлер запропонувала диференціювати білінгвізм природний і штучний. Природний білінгвізм характеризується вільним володінням мовами, частим їх застосуванням, а штучний – це вміння спілкуватися засобами декількох мов, особливий психічний стан особистості, що вирізняє її від монолінгва (А. Табуре-Келлер, 2000). Є. Верещагін визначав двомовність як «психічний механізм (знання, уміння, навички), що дає змогу людині відтворювати та породжувати мовленнєві витвори, які послідовно належать до двох мовних систем» [2, с. 134]. А. Щепілова назвала такий психічний стан металінгвістичною свідомістю, що є результатом опанування декількома мовними системами. За критерій сформованості багатомовного стану особистості науковець визнала практичне застосування мови в ситуаціях реальної комунікації [9]. Такий психічний стан особистості називають ще мультилінгвізмом. Вирізняють декілька стадій у послідовному розвитку мультилінгвізму: а) потенційний неконтактний мультилінгвізм, коли отримані результати навчання виключають можливість використання мови для усного спілкування, але за певних умов можуть бути удосконалені; він може трансформуватися в наступну стадію; б) реальний неконтактний мультилінгвізм: епізодичне використання декількох лінгвістичних кодів для вирішення завдань практичного спілкування; в) реальний контактний білінгвізм: регулярне використання мов у практиці спілкування. У процесі навчання багатомовний стан особистості формується поступово і передбачає послідовну зміну стадій багатомовності, натомість повернутися до стану монолінгвізму вже неможливо [10]. Основною характеристикою мультилінгвального стану особистості є наявність металінгвістичної свідомості, складовими якої є мотивація до спілкування різними мовами, мовні здібності, воля, почуття, увага до особливостей мовних систем, мовна пам’ять (вербальна, асоціативна), мислення тощо. ( р ) Металінгвістична свідомість природних і штучних білінгвів розвивається неоднаково. За дослідженням А. Мартіна (Нью-Йорк, 1978), на початку опанування рідної мови провідну роль відіграє права півкуля кори головного мозку, з віком, із засвоєнням мови, провідною стає ліва півкуля, хоча права ще деякий час зберігає здатність приймати й обробляти мовну інформацію. 216 Наукові записки. Серія: педагогіка. – 2017. – № 4 ОБГОВОРЮЄМО ПРОБЛЕМУ Раннє вивчення кількох мов сприяє встановленню взаємодії між двома півкулями кори головного мозку. THE INFLUENCE OF MULTILINGUAL EDUCATION ON THE INDIVIDUAL’S DEVELOPMENT IN THE MULTIETHNIC ENVIRONMENT OF UKRAINE Мовні навички не закріплюються лише за однією півкулею, тому в старшому віці, завдячуючи такій мозковій організації, білінгви вирізняються своїм вербальним розвитком, здатністю до нестандартного вирішення комунікативних та пізнавальних проблем. У білінгвальних і багатомовних людей більш розвинені абстрактне мислення, слухові асоціації, здатність до символізації, імітації звуків, що пояснюється існуванням сформованої металінгвістичної свідомості. На думку, А. Щепілової, у білінгвів штучного мовного середовища може сформуватися металінгвальна свідомість, хоча й буде відрізнятися від подібної в природних білінгвів. Уже за два роки багатомовного навчання стають помітними зміни у вербальній поведінці, мисленні, особистісному розвитку: швидше здійснюються граматичні операції, спрацьовує мовна здогадка, відчуття мови, посилюється увага до фактів мови [10]. Білінгви випереджують монолінгвів у когнітивному розвитку. Це пояснюється тим, що процеси породження мовлення і мислення тісно переплітаються. Мислення багатомовної особистості більш динамічне, оскільки натреноване через виконання різнопланових мовленнєвих та пізнавальних дій, а мислення монолінгва фіксує базові пізнавальні структури, на яких ґрунтується мовленнєва та пізнавальна звичка, що з часом може створювати опір для набуття нових навичок мовлення та мислення. Вивчення декількох мов підносить на вищий ступінь володіння рідною мовою, сприяє узагальненню мовних явищ, більш свідомому застосуванню слова як знаряддя мислення. Мова – рідна чи іноземна – є не просто предметом вивчення, а інтегративною системою, яка у навчанні й вихованні визначає світогляд, є засобом пізнання світу та інструментом творення, гармонізації особистості. Різні мовні системи по-різному відображають колективну свідомість народів, відтак понятійна система білінгва збагачується новими формами вираження й новими семантичними категоріями, тобто створюється нове мислення, що якісно відрізняється від мислення монолінгва. Завдячуючи цьому, вивчення кожної нової мови здійснюється швидше, ніж попередніх. На думку соціолінгвіста Ю. Апресяна, носії різних мов можуть бачити світ по-різному: через призму своїх мов, також, мовна картина світу є «наївною», оскільки в багатьох аспектах відрізняється від наукової (Апресян Ю. Д., 1995). Відтак картину світу наповнюють як загальнолюдські, універсальні поняття, що зафіксовані в усіх мовах, так і специфічно національні, притаманні етнічній «наївній» картині світу, а також індивідуальні суб’єктивні уявлення про співвідношення між ними. Крім того, за дослідженнями В. Карасик (Карасик В. І., 2004), невід’ємною складовою картини світу є ціннісний компонент, що складається із сукупності оціночних суджень, моральних кодексів, загальноприйнятих суджень здорового глузду. Таким чином, у свідомості особистості картина світу складається за допомогою комплексу мовних засобів, що відбивають особливості сприйняття світу певним народом, тобто це є «сукупність уявлень народу про дійсність, зафіксованих в одиницях мови на певному етапі розвитку народу» (Цивьян Т. В., 1990). Роль мови надзвичайно велика в житті кожної людини. Наукові записки. Cерія: педагогіка. – 2017. – № 4 THE INFLUENCE OF MULTILINGUAL EDUCATION ON THE INDIVIDUAL’S DEVELOPMENT IN THE MULTIETHNIC ENVIRONMENT OF UKRAINE За допомогою мови людина пізнає світ й реалізує себе в ньому. Загальну картину світу людина опановує через мовну картину світу: «…усю структуру мови можна зіставити із структурою світу, … картина світу як сукупність знань людини про світ, підмінюється картиною світу, що існує в мові, тобто мовною картиною світу» (Колшанський Г. В., 1990). Для мовної картини світу характерною є динаміка: вона змінюється з часом, розвивається одночасно з пізнанням самого світу, а мовна картина світу конкретної особистості розвивається відповідно до набуття нею фізичного та культурного досвіду. Відтак можна говорити про специфіку світосприйняття конкретною особистістю, притаманні їй способи категоризації дійсності та специфіку мови, якій властиві індивідуальні граматичні, лексичні, стильові стереотипи. р Мовна картина світу особистості розвивається й ускладнюється через пізнання оточуючої дійсності, явища і предмети якої представлено в свідомості людини у вигляді образів та понять. Думка проходить шлях від образу, що формується на основі чуттєвої діяльності, до поняття, а потім до слова. Оволодіваючи декількома мовами, людина створює у свідомості глобальний 217 Наукові записки. Cерія: педагогіка. – 2017. – № 4 ОБГОВОРЮЄМО ПРОБЛЕМУ образ дійсності і провідну роль при цьому відіграє засвоєння семантики слова. Значення слова в інтерпретації індивіда не повністю збігається з його реальним значенням, оскільки для мислення характерним є оперування конкретними, реально існуючими образами, образами- ситуаціями, пов’язаними з використанням конкретного слова. образ дійсності і провідну роль при цьому відіграє засвоєння семантики слова. Значення слова в інтерпретації індивіда не повністю збігається з його реальним значенням, оскільки для мислення характерним є оперування конкретними, реально існуючими образами, образами- ситуаціями, пов’язаними з використанням конкретного слова. Відтак, у процесі навчання мови необхідно спиратися на картину світу, що є характерною для свідомості носіїв цієї мови та порівнювати її з уявленнями про світ самої особистості, що сприятиме гармонізації її буття, допоможе успішніше орієнтуватися в соціумі. Необхідно узгоджувати зміст навчання дітей і молоді певної вікової групи, статусу, національності із специфічною для них системою уявлень про світ, що відповідають особистісному досвіду особистості. Мовна картина світу твориться за допомогою номінативних (лексеми, фразеологізми), граматичних, функціональних, образних (переносні значення, внутрішня форма мовних одиниць, національно-специфічна образність) мовних одиниць, а також фоносемантикою мови, її дискурсивними засобами (текстобудова, аргументація, побудова монологічних текстів, діалогу і т. ін.) (Маслова В. А., 2004). Зважаючи на зазначене, під час навчання мови необхідно пропонувати такі види діяльності, що формували б цілісне уявлення про мову як універсальну систему світосприйняття, виховання любові до рідних та близьких, природи й культури, Землі. THE INFLUENCE OF MULTILINGUAL EDUCATION ON THE INDIVIDUAL’S DEVELOPMENT IN THE MULTIETHNIC ENVIRONMENT OF UKRAINE Найкращим дидактичним матеріалом для цього слугуватимуть, на нашу думку, всі види й жанри фольклору, оскільки саме він репрезентує мовне багатство народу. р ф ру р р у р у Мовні явища повинні розглядатися не формально, а в нерозривній єдності з їх функцією, органічному зв’язку з живою й динамічною картиною світу. Ефективне вивчення мови має ґрунтуватися на природному пізнавальному інтересі учня, оскільки мова - це вікно у світ почуттів, уявлень, мрій, інтелектуальної енергії, краси. Таким чином, двомовність є складним суспільним явищем, що розвивається, змінюється. Динаміка руху двомовності регресує або прогресує залежно від багатьох факторів, головні серед них: соціолінгвістичні, лінгводидактичні, психологічні. За наявності відповідної особистісної потреби знання другої мови постійно вдосконалюються, завдячуючи чому формується металінгвістична свідомість як особливий, якісно вищий стан мовної свідомості індивіда. Така особистісна свідомість наповнена загальнолюдськими універсальними поняттями, уявленнями про особливості сприйняття світу іншими народами, розумінням їхніх моральних кодексів, а також загальноприйнятих суджень здорового глузду, що й виховує таке необхідне для сучасних глобалізаційних процесів у суспільстві толерантне ставлення до інших народів, їх світосприйняття. ЛІТЕРАТУРА 1. Вайнрайх Ур. Одноязычие и многоязычие // Языковые контакты. Новое в зарубежной лингвистике. Вып. 6. / Ур. Вайнрайх. - М., 1972. - С. 35-36. 1. Вайнрайх Ур. Одноязычие и многоязычие // Языковые контакты. Новое в зарубежной лингвистике. Вып. 6. / Ур. Вайнрайх. - М., 1972. - С. 35-36. р р 2. Верещагин Е. М. Психологическая и методическая характеристика двуязычия (билингвизма) / Е. М. Верещагин. - М.: Изд-во Моск. гос. ун-та, 1969. – 160 с. 2. Верещагин Е. М. Психологическая и методическая характеристика двуязычия (билингвизма) / Е. М. Верещагин. - М.: Изд-во Моск. гос. ун-та, 1969. – 160 с. 3. Дешериев Ю. Д. Перспективи развития двуязычия в национальных школах / Ю. Д. Дешериев, И. Ф. Протченко // Педагогика. – 1996. - № 8. – С. 18-21. 3. Дешериев Ю. Д. Перспективи развития двуязычия в национальных школах / Ю. Д. Дешериев, И. Ф. Протченко // Педагогика. – 1996. - № 8. – С. 18-21. р 4. Дячков М. В. Об эффективном двуязычии и соотношении русского и национального языков / М. В. Дячков // Русский язык. – 1991. - № 3. – С. 3-7. 4. Дячков М. В. Об эффективном двуязычии и соотношении русского и национального языков / М. В. Дячков // Русский язык. – 1991. - № 3. – С. 3-7. луктенко Ю. А. Лингвистические аспекты двуязычия/ Ю. А. Жлуктенко. - К.: Вища школа, 1974. 176 с. 6. Закирьянов К. З. Двуязычие. Изучение родного и русского языков во взаимодействии / К. З. Закирьянов // Русский язык в национальной школе. – 1990. - № 8. – С. 12-15. 6. Закирьянов К. З. Двуязычие. Изучение родного и русского языков во взаимодействии / К. З. Закирьянов // Русский язык в национальной школе. – 1990. - № 8. – С. 12-15. р у 7. Сабаткоев Р. Б. Проблемы обогащения синтаксического строя русской речи учащихся национальных школ: автореф. дис. … д-ра пед. наук. – М., 1979. – 36 с. р у 7. Сабаткоев Р. Б. Проблемы обогащения синтаксического строя русской речи учащихся национальных школ: автореф. дис. … д-ра пед. наук. – М., 1979. – 36 с. р ф р у 8. Супрун А. Е. Некоторые проблемы обучения русскому языку в условиях близкородственного двуязычия / А. Е. Супрун // Советская педагогика. – 1976. - № 8. – С. 24-29. р ф р у 8. Супрун А. Е. Некоторые проблемы обучения русскому языку в условиях близкородственного двуязычия / А. Е. Супрун // Советская педагогика. – 1976. - № 8. REFERENCES 1. Vaynraykh Ur. Odnoyazychie i mnogoyazychie[Monolingualism and multilingualism] // Yazykovye kontakty. Novoe v zarubezhnoy lingvistike. Moscow, Vol. 6., 1972, pp.35-36. 1. Vaynraykh Ur. Odnoyazychie i mnogoyazychie[Monolingualism and multilingualism] // Yazykovye kontakty. Novoe v zarubezhnoy lingvistike. Moscow, Vol. 6., 1972, pp.35-36. 2. Vereshchagin E. M. Psikhologicheskaya i metodicheskaya kharakteristika dvuyazychiya (bilingvizma) [Psychological and methodical characteristics of bilingualism]. Moscow, Moskow University Publ., 1969, 160 p. 3. Desheriev Yu. D., Protchenko I. F. Perspektivi razvitiya dvuyazychiya v natsionalnykh shkolakh [The prospects for the development of bilingualism in national schools] // Pedagogika. 1996, Vol. 8. pp.18-21. 4. Dyachkov M. V. Ob effektivnom dvuyazychii i sootnoshenii russkogo i natsionalnogo yazykov [The issue of the effective bilingualism and the relationship of Russian and national languages] //Russkiy yazyk, 1991, Vol. 3., pp. 3-7. , , pp 5. Zhluktenko Yu. A. Lingvisticheskie aspekty dvuyazychiya[Linguistic aspects of bilingualism]. Kyiv, Vishcha shkola, 1974, 176 p. 6. Zakiryanov K. Z. Dvuyazychie. Izuchenie rodnogo i russkogo yazykov vo vzaimodeystvii [Bilingualism. Studying of the native and Russian languages in interaction.] //Russkiy yazyk v natsionalnoy shkole, 1990, Vol. 8, pp. 12-15. 7. Sabatkoev R. B. Problemy obogashcheniya sintaksicheskogo stroya russkoy rechi uchashchikhsya natsionalnykh shkol [Problems of enriching the syntactic structure of the Russian speech of the students of national schools ]: Avtoref. dys. … d-ra ped. nauk. Moscow, 1979, 36 p. ] y p p 8. Suprun A. E. Nekotorye problemy obucheniya russkomu yazyku v usloviyakh blizkorodstvennogo dvuyazychiya [Some problems of teaching the Russian language in a closely related bilingualism] // Sovetskaya pedagogika. – 1976, Vol. 8, pp. 24-29. y 8. Suprun A. E. Nekotorye problemy obucheniya russkomu yazyku v usloviyakh blizkorodstvennogo dvuyazychiya [Some problems of teaching the Russian language in a closely related bilingualism] // Sovetskaya pedagogika. – 1976, Vol. 8, pp. 24-29. 9. Shchepilova A. V. Kommunikativno-kognitivniy podkhod k obucheniyu frantsuzskomu yazyku kak vtoromu inostrannomu: teoreticheskie osnovy [The communicative and cognitive approach to teaching French as a second foreign language: theoretical foundations]. Moscow, Vlados Publ., 2003, pp. 21-142. 10. Shchepilova A. V. Teoriya i metodika obucheniya frantsuzskomu yazyku kak vtoromu inostrannomu [Theory and methodology of teaching French as a second foreign language]. Moscow, Vlados Publ., 2005, 245 p. Стаття надійшла в редакцію 15.09.2017 р. Стаття надійшла в редакцію 15.09.2017 р. Стаття надійшла в редакцію 15.09.2017 р. УДК 373.3.014.68:373.3.016:81’243 DOI 10:25128/2415-3605.17.4.29 Наукові записки. Cерія: педагогіка. – 2017. – № 4 МАР’ЯНА КЕКОШ р Дрогобицький державний педагогічний університет імені Івана Франка вул. Івана Франка, 24, м. Дрогобич ЛІТЕРАТУРА – С. 24-29. 9. Щепилова А. В. Коммуникативно-когнитивний подход к обучению французскому языку как второму иностранному: теоретические основы / А. В. Щепилова. - М.: Владос, 2003. – 486 с. 9. Щепилова А. В. Коммуникативно-когнитивний подход к обучению французскому языку как второму иностранному: теоретические основы / А. В. Щепилова. - М.: Владос, 2003. – 486 с. 10. Щепилова А. В. Теория и методика обучения французскому языку как второму иностранному / А.В. Щепилова. – М.: Владос, 2005. – 245 с. 218 Наукові записки. Серія: педагогіка. – 2017. – № 4 ОБГОВОРЮЄМО ПРОБЛЕМУ КОМУНІКАТИВНА ВЗАЄМОДІЯ «ВЧИТЕЛЬ – БАТЬКИ – УЧНІ» У ПРОЦЕСІ ВИВЧЕННЯ ІНОЗЕМНОЇ МОВИ В ПОЧАТКОВІЙ ШКОЛІ Досліджено роль комунікативної взаємодії «вчитель – батьки – учні» в процесі вивчення іноземної мови в початковій школі. Визначено завдання такої взаємодії та способи її реалізації у навчально- виховному процесі. Досліджено основні форми співпраці та налагодження двостороннього зв’язку між школою та сім’єю та його реалізація на практиці. Запропоновано різні методи комунікативної взаємодії між усіма учасниками навчального процесу на початковому етапі. Охарактеризовано модель шкільного, сімейного та громадського партнерства в галузі освіти, яка забезпечує успішне навчання школярів. Розглянуто головні функції, які виконують батьки у сфері раннього іншомовного навчання. Визначено важливу роль батьків у формуванні позитивної мотивації до вивчення іноземних мов у молодших школярів. Запропоновано ефективні канали та шляхи комунікації, які передбачають використання інформаційних технологій. Проаналізовано основні напрямки співпраці родини та школи: інформаційний, просвітницький, організаційний. Відзначено базові принципи побудови ефективного педагогічного спілкування у процесі вивчення іноземних мов у початковій школі. Висвітлено позитивний вплив взаємозв’язків вчителя та батьків на засвоєння іноземної мови учнями молодшого шкільного віку. 219 Наукові записки. Cерія: педагогіка. – 2017. – № 4
2,346
1999GRE10120_6
French-Science-Pile
Open Science
Various open science
1,999
Test fonctionnel statistique de logiciels spécifiés en Lustre : application à la validation de services téléphoniques
None
French
Spoken
7,706
12,847
Il faut agir sur le parametre adresse quand Dial est emis. La seule contrainte d'environnement concernant adresse dans ce cas est ExactementUn" (cf. contrainte d'environnement 9.3. Modelisation et validation d un modele du service de base 121 I = Idle AuPlusUn(3,EExt[0..2]) pre I EE xt[0] (On) (1,0 ) EE xt[1] (Off) (0.9,0.1) EExt[2] ( Dia l) (0.9,0) 11 00 00 11 00 11 00 11 00 11 11 00 00 11 11 00 0.9 (0,0) (0.1,0) (0,0) 110.1 11 00 00 111 000 00 11 00 11 00 11 00 11 11 00 111 000 00 11 11 00 00 11 D = Dialing E = Exception pre D pre E (0.9,0.1) (0.9,0) (0.2,0.7) 0.2 0.7 Fig. (0,0) (0,0) (0.1,0.9) (0.1,0) (0.1,0) (0,0) 11 00 000 111 00 11 00 11 00 11 00 11 000 111 00 00 11 00 11 00 11 000 1110.1 11 00 11 11 00 11 00 (0.1,0) (0.1,0) 0.1 (0,0) (0.9,0) (0.9,0) (0,0) 11 00 000 111 00 11 00 11 00 11 00 11 00 11 000 111 00 11 00 00 11 00 11 00 11 000 111 000.9 11 11 00 11 11 00 00 11 9.7 { Determination de la valeur des probabilites conditionnelles pour Li 1b). En appliquant l'algorithme donne section 6.2 a cette contrainte, on obtient une liste de probabilites pour chaque poste i. La gure 9.8 permet d'etablir cette liste de facon generique : L0i = [hEExti [3], c1, truei, hEExti [4], c3/(c2+c3), truei, hEExti [5], c5/(c4+c5), truei ] 4 Lorsque l'on propose le pro l operationnel suivant, pour modi er la distribution des adresses : PO(i = 1) PO(i = 2) PO(i = 3) PO(i = 4) adressei = 1 adressei = 2 adressei = 3 adressei = 4 EExti [3] EExti [4] EExti[5] EExti [6] 0.01 0.33 0.33 0.33 0.33 0.01 0.33 0.33 0.33 0.33 0.01 0.33 0.33 0.33 0.33 0.01 on obtient pour chaque poste, les listes de probabilites conditionnelles suivantes : L01 = [ hEExt1 [3], 0.01, truei, hEExt1 [4], 33/99=1/3, truei, hEExt1 [5], 33/66=0.5, truei ] L02 = [ hEExt2 [3], 0.33, truei, hEExt2 [4], 1/67, truei, hEExt2 [5], 33/66=0.5, truei ] 4. avec, pour le poste i, c la probabilite de composer le numero du poste 1, c3 la probabilite de composer le numero du poste 2, c5 la probabilite de composer le numero du poste 3 et c4 la probablite de composer le numero du poste 4, comme indique gure 9.7. 122 Chapitre 9. Validation incrementale de services telephoniques (c0,c1) EExti[3] (ad=1) EExti[4] (ad=2) E Ex ti[5] ( ad= 3) EExti[6] (ad=4) c1+c3+c4+c5=1 c0=c2+c3 c2=c4+c5 Fig. (c2,c3) (c4,c5) (0,c4) (c5,0) (c1,0) (c3,0) (c3,0) (c1,0) (0,0) (c1,0) (0,0) (0,0) (0,0) (0,0) 000c4 111 000 000 000 000 000 000 000 000 111 111 00 11 00 11 111 111 111 00 11 c5 c3 111 c1 111 000 111 000 000 000 00111 000 000 00 000 000 000 00 111 111 111 11 111 111 11 111 111 111 11 9.8 { Determination de la valeur des probabilites conditionnelles pour L0i Sequence! S1 S2 S3 # Nombre d'occurrences de On O Dial erreurs cas ou un poste est dans l'etat D (tous postes confondus) cas ou un poste est dans l'etat T (tous postes confondus) ou un poste est dans l'etat E (tous postes confondus) 3 717 3 717 2 555 186 3 628 3 759 3 759 2 575 211 3 579 3 786 3 786 2 593 207 3 677 742 708 652 889 936 900 Tab. 9.2 { Synthese des donnees produites par la methode guidee par les pro ls operationnels pour le POTS L03 = [ hEExt3 [3], 0.33, truei, hEExt3 [4], 33/67, truei, hEExt3 [5], 1/34, truei ] L04 = [ hEExt4 [3], 0.33, truei, hEExt4 [4], 33/67, truei, hEExt4 [5], 33/34, truei ] La table 9.2 a ete obtenue par comptage des actions des utilisateurs et de l'etat des postes logiques pour les trois sequences generees. Les erreurs observees correspondent la encore a des pertes de messages consecutives a la la saturation du reseau. Le nombre d'erreurs est plus faible que precedemment car le nombre d'actions e ectuees par les utilisateurs a aussi decru. Conclusion L'utilisation des probabilites conditionnelles a permis la generation de donnees de test, pour une meilleure analyse du service de base. En e et, par ce biais, nous avons pu diminuer le nombre d'erreurs dues a des pertes de messages (186 erreurs a analyser au lieu de 1007, pour la sequence S1). L'analyse des erreurs restantes a ete ainsi facilitee. L'elaboration des probabilites conditionnelles avait pour but de diminuer la frequence 9.4. Modelisation et validation d un modele du service CFNR 123 d'apparition de certains comportements que l'on peut considerer comme etant de m^eme nature (appartenant a une m^eme classe d'equivalence en quelques sortes). C'est le cas des sequences d'actions decrocher-raccrocher, ou les attentes dans les etats Dialing ou Exception. De ce point de vue, les donnees generees satisfont pleinement les objectifs xes. Ainsi, pour la sequence S1, on peut constater que { le nombre de cas ou les postes sont dans l'etat Dialing a diminue de 9 622 a 3 628; { le nombre de cas ou les postes sont dans l'etat Exception a diminue de 2 388 a 889; { le nombre d'actions decrocher et raccrocher a diminue de 8 574 a 3 717, et parallelement, le nombre de cas ou les postes sont dans l'etat Talking a augmente de 486 a 742, ce qui suggere que le nombre de communications ayant abouti a augmente. Par ailleurs, les mesures de performances e ectuees indiquent que sur une station Sparc Ultra-1 avec 128 Mo de RAM, la generation de 10 000 pas de test a l'aide de la premiere methode prend 5 minutes environ dont 4 secondes CPU pour la construction du generateur. A l'aide de la methode guidee par les probabilites conditionnelles (avec 16 triplets), la generation de 10 000 pas de test prend 12 minutes dont 5 secondes CPU pour la construction du generateur. Notons que le temps supplementaire passe dans la generation des nouvelles sequences a largement ete compense par le gain de temps dans l'analyse des erreurs restantes. 9.4 Modelisation et validation d'un modele du service CFNR 9.4.1 Description informelle du service Le service de transfert d'appel sur non reponse (Call Forwarding No Reply (CFNR)) est de ni par la norme ETSI [35]. Ce service permet a un abonne de faire transferer ses appels vers un usager de son choix. Un appel doit ^etre transfere lorsqu'il arrive au poste de l'abonne si celui-ci n'a pas repondu a cet appel apres un delai xe. Le laps de temps o ert a l'abonne pour sa reponse est xe par l'operateur. Dans la suite, on le note ce laps de temps. A n d'eviter l'etablissement d'une boucle de transfert, la norme xe un nombre maximum de transferts pour un m^eme appel. Cette limite est a la discretion des operateurs mais ne doit pas depasser 5 transferts (quelsque soient les services de transfert invoques). Le principe du service est decrit par le schema 9.9. Lorsqu'il est fourni a l'utilisateur, le service est inactif. L'abonne peut activer le service en composant un numero de code, suivi du numero d'un usage (CFNRon(adresse)), ou adresse est le numero de l'usager qui recevra les appels de l'abonne. Avant l'activation du service, le numero adresse peut ^etre veri e. Si ce numero est juge invalide, l'activation est refusee (CFNR ActivKO); elle est acceptee sinon (CFNR ActivOK). Par exemple, lorsqu'un abonne indique son propre numero pour adresse, l'activation est jugee incorrecte. Lorsque le service est actif, un abonne peut modi er le destinataire de son transfert en utilisant la m^eme commande (CFNRon(adresse)). L'usager peut aussi desactiver le service (CFNRo ). La desactivation peut ^etre acceptee ou non (CFNR DesacOK, CFNR DesacKO). 124 Chapitre 9. Validation incrementale de services telephoniques Le resultat des procedures d'activation et de desactivation doit ^etre noti e a l'abonne. On dit que le service de transfert d'appel sur non reponse est invoque (Invocation) lorsqu'un appel aboutit chez cet abonne et que le delai de reponse est expire. Un service est transfere lorsque l'invocation est acceptee (InvocationOK), c'est-a-dire lorsque le service est actif et que le nombre limite de transfert n'est pas atteint. En sus de la description de l'utilisation normale du service, la speci cation ETSI decrit aussi le comportement du service en cas de tentatives d'utilisation anormale" ou frauduleuse. Par exemple, les usagers non abonnes peuvent utiliser les codes d'activation et de desactivation des services (CFNRon, CFNRo ). Dans ces cas, le service doit rester inactif. On ne detaillera pas plus le document [35]. CFNRoff NRon CFNR DesacOK CFNR DesacKO CFNR ActivOK CFNR ActivKO CFNR inactif CFNR ActivKO CFNRon CFNR DesacOK CFNR ActivOK CFNR actif CFNRoff CFNR DesacKO InvocationKO Invocation InvocationKO InvocationOK Invocation Fig. 9.9 { Principe de fonctionnement du service CFNR 9.4.2 Le modele du service Description des messages { Un utilisateur peut e ectuer cinq actions : les trois actions de base, activer le service CFNR (CFNRon) et le desactiver (CFNRo ). { Un poste logique peut e ectuer onze operations de contr^ole sur un telephone physique : { les sept operations proposees par le service de base, { noti cation que l'activation du service est reussie (CFNR ActivOK), { noti cation que l'activation du service a echoue (CFNR ActivKO), { noti cation que la desactivation du service est reussie (CFNR DesacOK), { noti cation que la desactivation a echoue (CFNR DesacKO). { Il y a huit types de messages echanges : { les cinq de nis par le service de base, { la demande de transfert d'appel (CallForward), 9.4. Modelisation et validation d un modele du service CFNR 125 0 1 2 3 4 Entrée externe (EExt) 7 type du message paramètre du message 0 8 Fig. CFNR DesacOK CFNR Desac KO 6 CFNR ActivKO 5 CFNR ActivOK B C D RbTone RTone BTone A Mute OA DTone WTone On Off Dial CFNRoff CFNRon { noti cation de la reussite du transfert d'appel (CallForwardSucc), { not i cation de l' echec du transfert d' appel ( Call Forward Fail). La gure 9.10 detaille le codage des entrees et des sorties externes. 1 2 3 4 5 6 7 8 9 10 Sortie externe (SExt) 9.10 { Codage des messages pour le service CFNR Description de l'automate du service Cet automate est une extension de l'automate du service de base en l'enrichissant par de nouvelles transitions (dans la gure 9.11, les transitions representant le service de base sont gurees en pointille). Idle?dDial?CFNRoff /!CFNR DesacKO!BTone?On?callForward /!CallForwardSucc!RTone?Off?CFNRoff /!CFNR DesacOK!BTone Dialing?CFNRon(a) /!CFNR ActivOK!BTone?Dial?On?On Exception!callForward!Mute?dOn?CFNRon(a) /!CFNR ActivK0!BTone Ringing?On?Off Waiting?On?cFail?cSucc?CallForwardFail!BTone Talking!callForward Alerting?dOff?dOn?CallForwardSucc Légende : ?Entrée externe ?Entrée interne ! Sortie interne! Sortie externe Fig. état transition du service CFNR transition du service de base 9.11 { Automate du service CFNR 126 Chapitre 9. Validation incrementale de services telephoniques L'introduction de CFNR cree deux nouvelles actions CFNRon et CFNRo a prendre en compte. Ces actions ne sont autorisees que dans l'etat Dialing. Chacune de ces actions donne lieu a deux types de reactions de la part du systeme : une noti cation d'acceptation ou d'echec. Aussi, dans l'etat Dialing, il y a deux transistions par action. Lorsque le service est invoque (l'abonne est dans l'etat Ringing) et que le transfert est autorise, l'appel est transfere. Cela se traduit par l'emission du message interne!CallForward. Le poste de l'abonne revient a l'etat Idle. Le message CallForward est envoye a deux usagers : le destinataire du transfert et l'appelant. Ce message est utilise par l'appelant pour mettre a jour sa variable Party (qui denote le numero de son correspondant). Ainsi, l'appelant peut envoyer les messages pour son correspondant directement au destinataire du transfer t d'appel. Lorsque le destinataire du transfert recoit un message CallForward, deux situations se presentent : soit il est dans l'etat Idle soit il ne l'est pas. Dans le premier cas, il emet le message CallForwardSucc a l'appelant; dans le second, il emet le message CallForwardFail (non gure sur le schema 9.11) et l'appelant passe de l'etat Alerting a l'etat Exception. A n de ne pas surcharger ce schema, nous n'avons pas represente la production du message CallForwardFail, qui est produit dans tous les etats autres que Idle lorsque le message CallForward est recu. De plus, nous n'avons pas fait gurer les trois variables suivantes : l'etat d'abonnement du service CFNR, l'etat du service (actif ou non) et le numero du correspondant chez qui aboutit le transfert d'appel. Pour la realisation, nous avons limite le nombre de transferts d'appel possible a trois : il doit donc ^etre impossible d'observer quatre transferts consecutifs pour un m^eme appel. Le nombre de transferts qu'a subi un appel est indique dans le message CallForward. 9.4.3 Validation du service La validation du service CFNR a ete e ectuee de la m^eme maniere que pour le service de base. Comme precedemment, pour faciliter l'etape de validation, nous avons rendu possible la consultation de la valeur de quatre variables internes a partir de l'environnement : l'etat d'un poste logique, le numero de son eventuel correspondant, l'etat d'abonnement au service CFNR (abCFNRi : le poste i est abonne), et le numero de l'utilisateur destinataire du transfert (CFNRparty[0]: le service est inactif; i6= 0, CFNRparty[i]: le service est actif et le destinataire du transfert est le poste i). Comme pour le service de base, pour chaque methode nous avons produit trois sequences encha^nees de 10 000 pas de test. Nous avons utilise le m^eme germe que precedemment. Oracle Les proprietes du systeme sont une extension des proprietes du POTS; on retient : { proprietes d'oracle 1, 2 et 4 du POTS 1. la variable Party est bien formee : elle indique un unique correspondant au plus; ExactementUn(5,Party[0..4]) 9.4. Modelisation et validation d un modele du service CFNR 127 2. les etats d'un poste logique sont exclusifs; ExactementUn(7,Etat[0..6]) 4. les sorties externes produites sont coherentes avec l'etat du poste logique; (Mute => Idle, DialTone => Dialing...): SExti [0] => Etati[0], SExi t[2] => Etati[1],... { modi cation de la propriete d'oracle 3 du POTS : 3. un poste logique produit au plus une sortie externe a chaque instant; AuPlusUn(11,SExt[0..10]) { ajout de proprietes speci ques a CFNR : 5. la variable CFNRparty est bien formee : elle indique un unique destinataire ou pas de destinataire; AuPlusUn(5,CFNRparty[0..4]) and LIN OR(5,CFNRparty[0..4]) 6. un non-abonne au service ne peut pas obtenir l'activation du service; not abCFNR => not CFNR ActivOK 7. les noti cations et la variable CFNRparty sont coherentes; (SExt[7..10] = CFNR ActivOK, CFNR ActivKO, CFNR DesacOK, CFNR DesacOK) abCFNR and SExt[7] => not CFNRparty[0] abCFNR and SExt[8] => (pre CFNRparty = CFNRparty) abCFNR and SExt[9] => CFNRparty[0] abCFNR and SExt[10] => (pre CFNRparty = CFNRparty) 8. les sorties externes produites par CFNR sont coherentes avec l'etat du poste logique; (CFNR ActivOK or... or CFNR DesacOK => Exception : LIN OR(4,SExti [7..10]) => Etati [6] Contraintes d' environnement 1. Contraintes d'environnement stipulant que les entrees sont bien formees : { proprietes d'environnement 1a, 1b et 1c de l'environnement du POTS : (a) chaque evenement a au plus un type; AuPlusUn(5,EExt[0..4]) (b) le message Dial a un parametre (une adresse); EExt[2] => ExactementUn(4,EExt[5..8]) (c) les messages On, O et CFNRo n'ont pas de parametres (EExt[0] or EExt[1] or EExt[3]) => not LIN OR(4,EExt[3..7]) { ajout de contraintes speci ques pour CFNR (d) le messageCFNRo 'a pas de parametres EExt[3] => not LIN OR(4,EExt[3..7]) 128 Chapitre 9. Validation incrementale de services telephoniques Sequence ! # Nombre d'occurrences de On O Dial CFNRon CFNRo transferts triple transferts erreurs cas ou CFNR actif[i] (tous postes confondus) cas ou les postes sont dans l'etat R (tous postes confondus) S1 2996 2997 1016 1294 255 70 0 384 22778 S2 3009 3010 1058 1267 249 50 0 243 22532 S3 2958 2958 1036 1298 245 57 0 314 22496 864 853 813 Tab. 9.3 { Synthese des donnees produites par la methode de generation aleatoire equiprobable pour CFNR (e) le message CFNRon peut ou non avoir un parametre; EExt[4] => AuPlusUn(4,EExt[3..7]) 2. Contraintes d'environnement decrivant les comportements valides des utilisateurs : { proprietes d'environnement 2a, 2b et 2c de l'environnement du POTS (a) on ne peut jamais e ectuer deux fois de suite une action decrocher (resp. raccrocher) sans e ectuer une action raccrocher (resp. decrocher); always from to(EExt[0], pre EExt[1], EExt[1]), always from to(EExt[1], pre EExt[0], EExt[0]) (b) un usager ne peut raccrocher qu'apres avoir decroche une fois; EExt[0] => after(EExt[1]) (c) un usager ne peut composer un numero que lorsqu'il entend le DialingTone; EExt[2] => pre SExt[2]. { ajout de contraintes speci ques pour CFNR (d) un usager ne peut composer un code CFNR que lorsqu'il entend le DialingTone; (EExt[3] or EExt[4]) => pre SExt[2]. 9.4. Modelisation et validation d un modele du service CFNR 129 Generation aleatoire equiprobable Nous avons utilise un modele comportant trois abonnes au service de transfert d'appels. La table 9.3 a ete obtenue par comptage des actions des utilisateurs et de l'etat des postes logiques pour les trois sequences generees. Les erreurs observees ont ete analysees. Elles sont toutes dues a des pertes de messages consecutives a la saturation du reseau. Le nombre d'erreur pour CFNR est plus faible que pour le service de base car le nombre d'actions des utilisateurs ne produisant pas de messages (dont CFNRon et CFNRo ) est plus important pour le service CFNR. A partir des resultats de la table 9.3, on peut remarquer que le service CFNR est souvent actif, mais le nombre de transferts d'appel observes est faible. De plus, le nombre de triples transferts pour un appel est nul: les donnees ne permettent donc pas de s'assurer qu'un 4eme transfert n'est pas possible. On peut donc conclure que les donnees generees ne sont pas pertinentes (cf. page 40) pour tester le service de transfert d'appel sur non reponse. Generation basee sur les pro ls operationnels Pour que le service soit invoque plus souvent, nous avons speci e des probabilites conditionnelles. Cela consiste en trois points : { pour permettre l'invocation du service, un appelant doit rester susamment longtemps dans l'etat Ringing; { de m^eme, pour permettre l'invocation du service, un abonne dont le service est actif ne doit pas decrocher souvent son telephone, en particulier lorsqu'il est appele; { en n, pour augmenter la probabilite d'un triple transfert d'appel (alors qu'il n'y a que 4 utilisateurs dont 3 abonnes), on peut favoriser l'etablissement de boucles de transferts d'appel. Soit A, B, C les trois abonnes au service. On peut creer une boucle par exemple si A transfere ses appels vers B, et si B les transfere vers C et C les transfere vers A. A partir des remarques ci-dessus, on propose les pro ls operationnels suivants : Pro l operationnel pour le poste non abonne au service CFNR not abCFNR Idle O 0.1 rien 0.9 Exception On 0.9 rien 0.1 Dialing On 0.1 Dial 0.7 rien 0.2 130 Chapitre 9. Validation incrementale de services telephoniques Pro l operationnel pour les postes abonnes au service CFNR dans le cas ou le service n'est pas actif abCFNR and CFNRparty[0] Dialing Idle O 0.6 rien 0.4 Exception On 0.9 rien 0.1 On 0.1 Dial 0.2 CFNRo 0.05 CFNRon 0.6 rien 0.05 Pro l operationnel pour les postes abonnes au service CFNR dans le cas ou le service est actif abCFNR and not CFNRparty[0] Idle O 0.1 rien 0.9 Exception On 0.9 rien 0.1 Ringing O 0.01 rien 0.99 Ces pro ls operationnels ont ete transformes en un ensemble de probabilites conditionnelles. La table 9.4 dresse un comptage des actions pour les sequences de tests obtenues. Sur une station Sparc Ultra-1 avec 128 Mo de RAM, la generation de 10 000 pas de test a l'aide de la methode guidee par les probabilites conditionnelles (avec 42 triplets) prend environ 17 minutes dont 6 secondes CPU pour la production du generateur. Sans probabilite conditionnelles, il faut environ 6 minutes pour produire 10 000 pas de test, dont moins de 6 secondes CPU pour la production du generateur. Conclusion L'introduction de probabilites conditionnelles dans ce contexte avait pour but de favoriser l'apparition de transferts d'appels consecutifs a l'invocation du service CFNR. Sur ce point, les donnees obtenues realisent l'objectif attendu. En e et, on obtient 591 transferts d'appels (pour S1) au lieu de 70 pour la methode de generation equiprobable. Par ailleurs, on peut observer 41 triples transferts contre zero pour la premiere methode. L'augmentation du nombre de transferts est liee au nombre de cas ou les postes sont dans l'etat Ringing (3 095 au lieu de 864). L'obtention de ces resultats compense largement le temps supplementaire demande pour la generation des sequences en utilisant les probabilites conditionnelles. En revanche, on peut constater que le nombre d'erreurs observees a particulierement augmente. L'analyse de ces erreurs a montre qu'elles etaient dues aux pertes de messages consecutives a la saturation du reseau, favorisee par l'augmentation du nombre de transferts d'appels. Les tests e ectuees n'ont revele aucune erreur due a la non satisfaction des proprietes ajoutees pour CFNR. 9.4. Modelisation et validation d un modele du service CFNR Sequence! # Nombre d'occurrences de On O Dial CFNRon CFNRo transferts triple transferts erreurs cas ou CFNR actif[i] (tous postes confondus) cas ou un poste est dans l'etat R (tous postes confondus) 131 S1 2862 2864 1471 915 156 591 41 1138 28780 S2 2866 2868 1474 912 161 636 54 1447 28487 S3 2831 2830 1474 868 176 598 43 1257 28505 3095 3542 3291 Tab. 9.4 { Synthese des donnees produites par la methode de generation statistique pour CFNR pas EExt (param) Party1 i 542 543 544 545 546 547 548 4 :: Etat1 :: 4 Dial 4 (1) 0 0 0 1 I I D W NRon 3 (1) 4 0 0 1 R I E W ON 3 4001 RI I A 4001 RI I A ON 4 0000 I I I I OFF 4 0400 I RI D OFF 3 0000 I RDD observation d'un transfert tr1 CNFRparty1 2110 2110 2110 2110 2110 2110 2110 :: 4 verdict OK OK OK OK OK OK OK Au pas 542, l'usager 4 compose le numero de l'abonne 1 (colonne 2). L'etat du service de ce dernier est indique colonne 6 : le service est actif et les appels seront transferes vers l'usager 2. Au pas 546, le service de 1 est invoque et l'appel est transfere (colonne 5) vers le poste 2. Au m^eme instant, l'usager 4 raccroche. Au pas 547, le poste 2 recoit l'appel transfere (son poste passe dans l'etat Ringing). Au pas 548, on peut constater un fait etrange: le numero du correspondant du poste 2 est e ace mais le poste logique est toujours dans l'etat Ringing. Ce scenario illustre un probleme de codage de CFNR. Une noti cation de n de connexion (dOn 4) est parvenue au poste 2 au pas 548. Cette noti cation a ete prise en compte pour le calcul du numero du correspondant mais pas pour le calcul de l'etat du poste logique. Tab . 9.5 { Commentaires sur un extrait de la sequence S1 132 Chapitre 9. Validation incrementale de services telephoniques 9.5 Bilan de cette etude de cas Dans ce chapitre, nous avons etudie le probleme de la validation d'un service supplementaire. Nous avons adopte une demarche incrementale de validation de speci cations de services. Tout d'abord, les modeles des services sont ajoutes au fur et a mesure a celui du service de base (POTS). L'ajout de services implique des modi cations d'interfaces, et par consequent des modi cations et des extensions de la de nition de l'environnement et de l'oracle. La demarche de validation proposee consiste a utiliser la methode de generation de base de Lutess, puis les methodes guidees. Lorsqu'un nouveau service est insere, les pro ls operationnels precedemment utilises sont modi es pour prendre en compte les phases d'activation, de desactivation et d'invocation du service. Les pro ls operationnels ont ici demontre tout leur inter^et en permettant de focaliser l'analyse de chaque nouveau service sur les situations les plus interessantes. Pour le service de base, l'utilisation des pro ls a permis de diminuer les situations de saturation de reseaux et a favorise une analyse precise des erreurs restantes. Pour le service CFNR, l'observation de triples transferts d'appels a ainsi ete possible; ce qui ne l'avait pas ete avec la methode de generation aleatoire. Independemment des qualites respectives des methodes de generation, cette etude de cas a con rme que l'utilisateur devait ^etre attentif lors de la construction des oracles. En e et, les services ont ete valides par rapport a un ensemble de proprietes extraites d'une speci cation informelle et etablies a la main". A premiere vue, l'analyse des traces nous permet d'^etre satisfaits du modele du service CFNR. En e et, aucune erreur n'est due a la non satisfaction des proprietes de CFNR, et le service est souvent invoque (cf. le nombre de transferts reussis). On pourrait donc estimer le service valide. Pourtant, certaines proprietes n'ont pas ete etablies. Par exemple, aucune propriete n'impose une coherence entre le calcul du numero du correspondant et l'etat du poste logique. Une telle propriete pourrait ^etre exprime par la formule : tout poste dans un etat autre que Idle et Exception doit avoir un numero de correspondant". not (Poste[0] or Poste[6]) = LIN OR(4,Party[1..4]) La table 9.5 illustre un probleme, decouvert apres une analyse manuelle, qui peut ^etre revele a l'aide de cette propriete. En n, apres un examen a posteriori du travail e ectue pour cette etude, nous pensons que ce modele choisi est utilisable, mais qu'il ne presente pas de bonnes qualites pour un developpement incremental et separe des services supplementaires. En e et, notre adaptation Lustre du modele propose par Braithwaite et Atlee dans [15] nous a pose un probleme majeur : il faut modi er les nuds existants lorsque de nouvelles sorties sont ajoutees. Ainsi, pour chaque sortie externe ajoutee (CFNR ActiveOK,..., CFNR DesactiKO), il a fallu exhiber une equation dans le nud codant le POTS. Cette constatation a pousse a choisir un autre mode de composition des services pour l'etude de cas suivante (voir chapitre 10). 133 Chapitre 10 Detection d'interactions entre services telephoniques (sur une etude de cas fournie dans le cadre de conference FIW'98) 10.1 Introduction En marge de la conference Feature Interaction Workshop 1998 [61], un concours a ete organise, avec le support de Bell Labs, pour evaluer la capacite de di erents outils et methodes a detecter des interactions de services telephoniques [45]. Ce concours portait sur l'analyse de douze services telephoniques. Le concours s'est deroule en deux phases : une premiere periode de cinq mois (de fevrier a juillet 1998) devait permettre d'analyser dix services et d'adapter eventuellement les methodes au probleme. Une deuxieme phase plus courte (15 jours, en juillet 1998) devait permettre d'evaluer plus precisement les performances des outils, par l'analyse de deux nouveaux services ajoutes a l'ensemble existant. L'objectif consistait a trouver le plus grand nombre d'interactions possibles, au niveau des speci cations, en etudiant tour a tour chaque paire de services possible. Une paire pouvait ^etre constituee de deux instances d'un m^eme service, ou d'instances de deux services distincts. Au total, 78 con gurations etaient a considerer. Les resultats a fournir a la n de chaque phase devaient prendre la forme d'un ensemble de scenarios faisant appara^tre chaque interaction. L'ensemble des services avait ete prealablement analyse manuellement par le comite organisateur pour determiner l'ensemble des interactions par rapport auquel les resultats de chaque participant devaient ^etre evalues. Cette evalution prenait en compte le nombre d'interactions non existantes (non reconnues par le jury). Dans ce chapitre, nous presentons le travail realise pour ce concours, en decrivant successivement les instructions du concours, la demarche de conception pour l'obtention d'un modele executable, et l'utilisation de Lut s pour la validation de ce modele et la detection des interactions [28, 30]. 134 Chapitre 10. Detection d interactions entre services telephoniques OS SCP Switch C A Switch : commutateur ‘‘physique’’ SCP : partie ‘‘intelligente’’ du réseau Fig. B OS : système de facturation 10.1 { Architecture du systeme 10.2 L'enonce du concours Architecture du systeme L'architecture du systeme de communication consiste en 4 elements : l'ensemble des telephones physiques des utilisateurs, un commutateur, un module gerant la partie intelligente du systeme appele point de contr^ole de service (SCP : Service Control Point) et un module de gestion de la facturation des communications (OS : Operating System). Les liens de communication entre ces di erents elements sont representes par la gure 10.1. Les messages transitant entre ces elements sont precisement de nis dans l'enonce du concours. Hypotheses simpli catrices Six hypotheses simpli catrices ont ete introduites : 1. Il n'existe pas d'autres messages que ceux de nis par les instructions. 2. Les actions (messages) produites par un utilisateur sont traitees instantanement par le commutateur. 3. Une action On-hook (raccrocher) est immediatement suivie d'un message Disconnect. Il n'y a pas de temps de latence pour prendre en compte la n de la connexion. 4. Le reseau n'est jamais surcharge. 5. On ne tient pas compte des phases d'abonnement et de desabonnement, ni des phases d'activation et de desactivation d'un service. Les usagers sont ou non abonnes a un service et cela est de ni statiquement. 6. Les telephones sont equipes d'un bouton permettant d'executer l'action ash. Formalisme de Speci cation Chaque service etait decrit de maniere informelle par quelques phrases en anglais, et plus formellement sous forme de diagrammes de Chisel [3], un langage specialement developpe pour la creation de speci cations de services de telecommunication. 10.2. L enonce du concours 135 Un diagramme de Chisel est un graphe oriente, dont les nuds sont des evenements apparaissant aux interfaces. Un diagramme de nit l'ensemble des sequences pour un appel. Chaque chemin (de la racine a une feuille) represente une sequence possible d'evenements. Les sequences d'evenements impliquant plusieurs appels peuvent ^etre interfoliees et de nissent alors l'activite du systeme global. La gure 10.2 illustre la de nition formelle du service de base (POTS : Plain Old Telephone Service). Chaque nud du diagramme contient un ou plusieurs evenements et/ou a ectations de variables. Par ailleurs, chaque nud est identi e par un entier. Les nuds sont connectes entre eux par des arcs orientes. Lorsque plusieurs evenements apparaissent dans un nud, ils sont separes par le symbole jjj. Un nud contenant plusieurs evenements est equivalent au diagramme representant toutes les sequences de ces evenements (AjjjB signi e fAB; BAg). Liste des services proposes Phase I { Call Forwarding Busy Line (CFBL) : transfert d'appel sur signal occupe. Ce service permet a l'abonne de faire transferer ses appels a un autre numero lorsqu'il est occupe. { Calling Number Delivery (CND) : presentation du numero. Le souscripteur voit s'acher sur son ecran l'identite de l'appelant. { IN Freephone Billing (FB) : c'est un service intelligent" (IN), qui permet a l'abonne de payer les appels entrants (Numero Vert, pour France Telecom) Le souscripteur est facture en integralite pour tous les appels lui etant destines. { IN Freephone Routing (FR) : c'est un service intelligent" (IN), qui permet a l'abonne de faire transferer ses appels a un autre numero, en fonction de l'heure ou du numero de l' ant. { IN Teen Line (TL) : c'est un service intelligent" (IN), qui permet a l'abonne de bloquer les appels sortants en fonction de l'heure. Pendant les heures ltrees" ou interdites", il faut composer un code secret pour se servir du telephone. { Terminating Call Screening (TCS) : ce service permet a l'abonne de bloquer les appels entrants emis par les utilisateurs gurant sur une liste noire. La liste est de nie par l'abonne. Ce service est un service de ltrage d'appel entrant. { Three Way Calling (TWC) : c'est un service de conference a trois. Ce service permet a son souscripteur de connecter un troisieme usager a une communication deja existante. { IN Call Forwarding (CF) : c'est un service intelligent" (IN), qui permet a l'abonne de faire transferer ses appels a un autre numero de facon inconditionnelle. { Call Waiting (CW) : signal d'appel. Le souscripteur de ce service est averti lors de l'arrivee d'un appel alors qu'il est deja en communication. Il peut alors passer d'un correspondant a l'autre en utilisant un mecanisme de mise en attente. 136 Chapitre 10. Detection d interactions entre services telephoniques La composition de messages par l’opérateur ||| est équivalente à toutes les séquences constituées des permutations de ces messages. 1 Off-hook A 2 DialTone A 3 Dial A B Idle B 17 On-hook A Busy B 4 Start AudibleRinging A B ||| Start Ringing B A / Busy B <true 15 LineBusyTone A 16 On-hook A 5 Off-hook B 13 On-hook A 14 Stop AudibleRinging A B ||| Stop Ringing B A / Busy B <false 6 Stop Audible Ringing A B ||| Stop Ringing B A ||| LogBegin A B A Time 7 On-hook A 8 Disconnect B A ||| LogEnd A B Time 9 On-hook B / Busy B <False 10 On-hook B / Busy B <False 11 Disconnect A B ||| LogEnd A B Time 12 On-hook A De nition de variables associees au service Busy A: true between an O -hook A event and the next On-hook A event; between a Start Ringing A B event and the next Stop Ringing A B event, if no O -hook A intervenes; or between a Start Ringing A B event and the next On-hook A. Ringing A B: true between a Start Ringing A B event immediately following a Dial B A event and the next Stop Ringing A B event. AudibleRinging A B: true between a Start AudibleRinging A B event immediately following a Dial A B event and the next Stop AudibleRinging A B event. All of the Plain Old Telephone Service (POTS) event sequences start and end with Busy A = False (Idle A = True). Fig. 10.2 { Exemple de description formelle : le service de base 10.3. Conception d un modele executable 137 { Charge Call ( CC ) : ce service permet a l 'abonne de faire factur er ses appels a un autre abonne. Ce service est similaire a la carte Pastel" de France Telecom. Phase II { Cellular (Cell) : il s'agit d'un service de facturation pour les telephones mobiles. Le possesseur d'un telephone mobile est facture pour le temps passe en communication, qu'il soit a l'origine ou non de l'appel. { Return Call (RC) : ce service permet a son souscripteur de rappeler automatiquement le dernier appelant dont l'appel n'a pas abouti. Pour la plupart, ces services sont des simpli cations de services reels o erts par les operateurs de telecommunication. Parmi les services proposes, on peut constater 3 formes de transfert d'appel (CFBL, FR, CF), 3 types de refacturation (FB, CC, Cell), et 2 categories de ltrage (TL, TCS). La moitie des services proposes sont des services dits intelligents" (FB, FR, TL, CF, CC, RC), qui utilisent les fonctionnalites du module SCP. Chaque service a ete developpe de maniere totalement independante des autres. Cette maniere volontairement nave" de proceder a introduit de nombreuses possibilites d'interactions. 10.3 Conception d'un modele executable La phase de conception du modele executable a comporte trois etapes distinctes. Dans un premier temps, nous avons produit un modele general de systeme. Puis nous elabore les modeles des services. En n, nous avons imagine une methode de composition des services. Dans cette section, nous decrivons successivement ces trois phases. 10.3.1 Modele general du systeme sous test Determination du systeme sous test Pour pouvoir appliquer Lutess, il faut determiner les elements composant le programme sous test et ceux constituant son environnement ( gure 10.3(a)) : { il est immediat que le commutateur doit ^etre considere comme le cur du systeme reactif et que les telephones doivent faire partie de l'environnement, { le systeme de facturation (OS) a ete inclus dans l'environnement. En e et, il n'a aucune in uence sur le fonctionnement du systeme, mais se borne a en recevoir des informations. Le concevoir hors du systeme permet de rendre visibles ces informations, { le contr^oleur de services (SCP) est place dans le systeme sous test, car ses echanges avec le commutateur relevent de la mise en oeuvre des communications. 138 Chapitre 10. Detection d interactions entre services telephoniques Modèle exécutable OS SCP... Switch PL PL C A PL SCP... switch Modèle exécutable Environnement B (a) Fig. (b) 10.3 { Systeme sous test Architecture du modele executable L'architecture du modele developpe est basee essentiellement sur le commutateur. Comme pour l'etude de cas precedente, nous avons structure le commutateur en postes logiques ( g. 10.3(b)). Ainsi, notre modele de systeme telephonique est facilement extensible (par rapport au nombre d'utilisateurs) et independant des services etudies. Par contre, nous avons opte pour une gestion centralisee" du commutateur. Chaque poste logique conna^t l'etat des autres postes logiques a l'instant precedent, et recoit tous les messages. Ainsi, les postes peuvent evoluer en parallele sans communiquer, ce qui permet de produire les sorties instantanement, i.e. dans le cycle correspondant aux entrees. Illustrons ce principe. Soient trois utilisateurs A; B; C. Etudions le cas du service de base ou A compose le numero de B. Le message dial(A,B) est recu par les 3 postes logiques. Le poste logique de C constate que ce message ne le concerne pas, et ne modi e donc pas son etat. Le poste logique de A se reconna^t comme etant l'appelant. Connaissant l'etat du poste B a l'etat precedent (inactif ou occupe), il calcule le nouvel etat du poste logique et produit le message adequat (Start AudibleRinging(A; B) ou LineBusyTone(A)). Parallelement, B recoit le message et s'identi e comme etant l'appele. Selon son etat (inactif ou occupe), il e ectue les actions adequates (changement d'etat et production du message Start Ringing(B; A) ou ne rien faire). Le SCP et le commutateur echangent parfois des messages. Pour faire en sorte que cet echange soit instantane, nous avons code le SCP sous la forme d'une fonction. Ainsi, lorsqu'un service fait appel au SCP, un poste logique calcule la reponse du SCP a l'aide de la fonction SCP associee au service. Cette facon de simuler presente l'avantage de ne pas prendre de temps. Ainsi, quel que soit le service, l'echange de messages entre un poste physique et le commutateur est fait dans le m^eme cycle, qu'il y ait ou non appel au SCP. Cette facon de simuler presente malheureusement l'inconvenient suivant : si le SCP est une ressource critique qui ne peut gerer plusieurs appels simultanement (ce n'est pas precise dans l'enonce du concours), nous pourrions alors manquer" des interactions. Cette modelisation a semble acceptable. D'une part, la modelisation respecte les hypo- 10.3. Conception d un modele executable 139 theses simpli catrices proposees par l'enonce du concours . D'autre part, nous avons avons estime que si notre conception du SCP masquait une interaction, celle-ci se manifesterait probablement d'une autre facon pendant l'appel. Dans le commutateur, les postes logiques sont identiques. Ils comprennent le service de base et les services supplementaires (au plus deux). Ces services sont concus comme des fonctions autonomes et composees au sein du poste logique. Dans les paragraphes suivants, nous decrivons successivement l'obtention d'une fonction codant" un service, et le mode de composition des services au sein du poste logique. Codage de l'information Nous avons utilise le m^eme principe de codage de l'information que pour l'etude de cas precedente (cf. x9.2.3). Pour chaque type d'evenements de l'enonce, on associe un tableau. Chaque tableau est structure en sous-parties. Le nombre de sous-parties est egal au nombre maximum de parametres qu'un message peut contenir. La taille des sous-parties depend de la quantite d'information a coder. Pour chaque sous-partie, on prevoit un tableau booleen et on utilise un codage un parmi n': il y a au plus un booleen par sous-partie vraie a chaque instant. L'absence d'information est codee par un message (dit no message") qui est traduit par un tableau dont tous les elements sont faux. Contrairement au modele propose au chapitre 9, les messages impliquant les postes logiques contiennent un champ permettant d'identi er l'emetteur et le destinataire du message. Dans le cas precedent, ceci etait inutile puisque chaque poste logique communiquait directement avec son poste physique (cf. g. 9.1, page 112) alors que ce n'est plus le cas ici (cf. g. 10.3, page 138). 10.3.2 Modele d'un service Les diagrammes de Chisel sont directement utilises pour modeliser les services sous forme d'automates d'entrees/sorties, dont les entrees sont les actions possibles des usagers. Cette traduction se fait en trois etapes de maniere systematique : 1. On identi e le nombre d'usagers impliques dans le fonctionnement du service. Ce nombre permet de de nir le nombre de r^oles que peut avoir un poste pour un service donne, et donc le nombre de modes de fonctionnement" du service. Le service de base permet d'identi er ainsi un r^ole appelant et un r^ole appele. Pour un service de transfert d'appel, il existe un troisieme r^ole : la cible du transfert. 2. Le diagramme de Chisel du service est ensuite projete sur chacun de ces r^oles, de maniere a determiner quels evenements concernent quels r^oles. On obtient ainsi un automate par mode de fonctionnement. La gure 10.4 decrit les deux r^oles du service de base. 3. Tous ces automates sont regroupes dans un m^eme module qui constitue la modelisation du service. Chacun de ces automates evolue de maniere independante. Il est possible 140 Chap itre 10. Detection d interactions entre services telephoniques Dial y x Start R. x y Idle x On-hook x Idle x On-hook y Stop R. x y Off-hook x DialTone x On-hook x On-hook x Dialing x On-hook x Dial x y and Idle(y) Start AR. x y On-hook x LogEnd x y Time Dial x y and Busy y LineBusyTone A Alerting x Ringing x Exception x Exception x On-hook x Off-hook x Stop R. x y Off-hook y LogBegin x y Time Talking x On-hook y Disconnect x y LogEnd x y Time Rôle appelant On-hook y Disconnect x y Talking x R ôle appelé Fig. 10.4 { Automate du service de base En gras est representee la condition que doit satisfaire l'entree pour que la transition soit choisie ; en italique apparaissent les sorties associees a chaque transition. pour un m^eme usager d'occuper des r^oles di erents pour plusieurs instances d'un m^eme service. En revanche, et c'est la une des limitations de notre modelisation, il n'est pas possible pour un usager d'avoir plusieurs r^oles identiques pour un m^eme service. Par exemple, un usager transferant un appel ne peut pas transferer d'autres appels tant que celui en cours n'est pas termine. Il aurait egalement ete possible de ne pas recombiner les automates associes aux divers r^oles d'un m^eme service, et de les considerer chacun comme la speci cation d'un service di erent. Nous avons fait ce choix uniquement pour rendre plus clair le mode de composition des services. La gure 10.4 decrit le service de base. Les etats de cet automate correspondent a ceux du service de base utilise precedemment ( gure 9.5). Seul l'etat Waiting n'est plus present. Cet etat correspondait a la phase d'etablissement de la communication, qui est desormais instantanee. 10.3.3 Composition de services L'enonce du concours ne decrit pas precisement l'operation de composition des services. Nous avons donc choisi une composition qui nous a paru raisonnable". Nous avons abandonne l'operation de composition precedente s'inspirant de [15] car elle ne permet pas vraiment de developper les services independamment des autres. Description Informelle 10.3. Conception d un modele executable 141 Intuitivement, le principe de l'operation de composition est le suivant. Soit le service de base et un ou deux services supplementaires. Ces services sont codes par des automates. L'etat du poste logique est une variable globale du poste logique et chaque automate y a acces. A chaque cycle, chaque automate recoit les entrees du poste logique et propose un nouvel etat et un ensemble de sorties, en fonction de l'etat courant du poste logique. L'operateur de composition choisit et envoie l'une des reponses proposees, et modi e l'etat du poste logique en consequence. Nous avons utilise deux operations de composition 1 et 2. La premiere operation introduit une priorite entre les services supplementaires. La seconde operation n'en impose pas. Pour chacune des deux operations, le service de base est moins prioritaire que les services ajoutes; i.e. lorsqu'un service ajoute propose une reponse, elle sera choisie quelle que soit la proposition du service de base. Pour distinguer les cas ou les services sont actifs des cas ou ils ne le sont pas, chaque fonction codant un service supplementaire f possede une sortie booleenne af. Cette sortie est vraie lorsque le service propose une sortie. Cette variable a ete introduite pour distinguer les cas ou (1) le service est inactif (et donc propose no message") des cas ou (2) le service est actif et propose comme reponse no message". F2 entrées pre état F1 opération de composition sorties état POTS Fig. 10.5 { Principe de l'operation de composition Formalisation Le service de base et les services ajoutes sont representes par des fonctions partielles. Soit pots la fonction realisant le service de base. Le pro l de pots est : pots : VSG VE! VSP VS ou: { E est l'ensemble des messages entrants (produits par l'environnement) 1, { S est l'ensemble des messages sortants (emis vers l'environnement), { SG est l'ensemble des variables globales SG = SP1 SP2 ::: SPm ou m est le nombre de poste logiques et SPi est l'ensemble des variables globales du poste logique i. SG est l'etat global du Switch. Cette de nition appelle trois commentaires : { Le comportement du service de base (pots) est le m^eme pour tous les utilisateurs. 1. On rappelle que si X represente un ensemble de variables, V represente l'ensemble des instanciations possibles de ces variables. X 142 Chapitre 10. Detection d interactions entre services telephoniques { Pour un poste logique donne, SP est l'ensemble des variables communes au service de base et aux services ajoutes. { Cette fonction prend en compte l'aspect centralise du modele executable.
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W3170099297.txt_15
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[§ 6] Sechsten, so baldt die möst beschreibung ier entschafft erraicht, die schranckhen allenthalben geöffnet und abgelegt und die register von c d e f–f g h i j k über der Zeile ergänzt über der Zeile ergänzt in A′ gestrichen in A′ gestrichen verbessert aus: anssistenz Klammern ergänzt Lesung unsicher, da durch A′ gestrichen; A′ : glimpf A′ : representirt verbessert aus: cämmder 301 Edition dennen zehentschreibern allenthalben übergeben worden, so sollen solche beschreibungs register durch den herrn oberkheller und ine daß oberhalb denen eltisten oder obristen und das underhalb dem anderten schreiber zuegestelt und alles ernsts ein gebunden werden, damit sie solche, wie gebreuchig, fürderlich in ein neues zehent buech ein tragen, nach vollentung des selben, er grundtschreiber selbst vleissig collationiern und volgundts jeden, insonderheit der järlichen pactation l nach, auf most oder maisch in zehent, perckhrecht, grundt dienst und zinß sein abraittung vleissig stellen, damit iechtes ubersehen und weder dem gottshauß zu khurz, noch m dem zehetner zu nahent gerait werde. Wie dan noch völliger abraittung derselben zehentbiecher (welches lengist inner 2 monathen gar woll beschehen khann) grundtschreiber, ehe und zuvor man inß lesen verraist, solche selbst revidiern n und uberraitten solt. Entzwischen solt remanenzer dahin gehalten, damit alle alte außstandt, so remanenzen haben, nit allain vleissig zusamben otragen und biß end jedwedern jahrs abgeraittet, sondern auch alle außzig vor dem lesen auß geschriben und solche ausstandt volgundts nach müglichkhait eingebracht pmögen werdena, auch solte q uber alle verlassene weingarten ain ordenlichs zinßbuech gehalten werden. r [§ 7] Sibenten, so offt unter der burgerschafft und umbligenten dörffern wein oder möst verkhauffen und außgeleitgebt, solle durch denn s remanenzer beÿ dem aufgeber, visierer oder richter jedesmahls vleissige nach forschung gehalten und unverlengt ain verzaichnuß der jenigen verkhauffer begern, welche nun dem gottshauß in zehent und pergkhrecht schuldig, solten die burger oder t dem raths dienner alhie und die nachbarn in allen umbligunten dörffern durch deß gottshauß und andere richter auf deß gottshauß ober cammer gefodert und gestelt werden. Item solle auch zu Weidling, Höflein, Khrizendorff, Sivering, Salmanstorff, Töbling, Haillingstatt und Khaltenberg khain nachtbar leitgeben, er habe dann zuvor von dem herrn oberkheller uoder grundtschreiberu erlaubnuß, wie dan die selben nach vollenten außleitgeben sovil müglich zu bezahlung irer ausstendigen zehent und pergkhrecht gehalten werden sollen. l m n o p–p q r s t u–u 302 korrigiert so in A′ ; gestrichenes Wort in A nicht mehr lesbar A′ : revidieren ge gestrichen A′ : und in A′ gestrichen folgt ein Positionszeichen, der einzufügende Text fehlt aber so in A′ ; gestrichenes Wort in A nicht mehr lesbar A′ : durch in A′ gestrichen 5. Die Oberkammer [§ 8] Achten, alle ausgeferttigte und veränderte gewörn, ingleichen die eröfnete und ratificirte testamenta und sibschafftweissungen, welche alzeit beÿwesent deß herrn prelaten selbst oder aines herrn oberkhellers fürgenomben, solten alß dan fürderlich durch den dritten oder v anderen saubern corecten schreiber in die lanng gwör und testament büecher ein geschriben, volgundts durch ime grundtschreiber vleissig collationiert und alß dan der jenigen namben, so gwör empfangen, selbst mit aigner handtschrifft in die pergkh-, dienstversäz- und kurz gwör-büecher ein zaichnet, auch auf die darzue gehörigen instrumenta und certificationes, der tag und jahr der ausfertigung geschriben und zu dennen monat puschen gebunden werden. [§ 9] Neünten, järlich vor lesens zeit solten auß dem gefelbuech allen den jenigen in den dienst- und zinßbiechern die jahr fürgeschriben werden, so weit sie solche bezahlt. [§ 10] Zehenten, so ist auch aines grundtschreibers ambt, daß er, wo nit monatlich, doch alle zwaÿ monat, mit des gottshauß wein khellner und pergkhmaister, so woll alhie zu Closterneuburg, alß allen umbligenten dörffern in dem weingart gebürg alle rieten (auch leibgedings- und verlaßweingarten, wie sie gepauth), so dem gottshauß mit zehent oder pergkhrecht und grunndt diennst unnderworffen seindt, bereitte und abgehe w, derselben wein garten inhaber, wie sie nacheinander gelegen und wie auch die selben in pau sein, ordenlich beschreib und da thails in aböttung khomben, sich mit dem weinkheller und perckhmaister underreden, wie und durch was mitl solche wider auf zu bringen sein mecht. Alß dann soll er selbige beschreibung gegen den grundtbiechern halten und sehen, waß jedweder umb sein in habenten grunt für ein recht hat. Ist es sach, daß ain oder ander inhaber umb sein grundt durch genuegsambe und nottwendige instrumenta sein recht nit genuegsamb probiern, so solt solcher grundt nach gelegenhait der sachen zu dem gottshauß ein gezogen, durch die ordentlichen geschwornen fürer geschäzt und volgunts dem gottshauß und den jennigen zum besten, so vormalß sein recht darumben gehabt und etwo in zehent und pergkhrecht ain namhaffte summa verbleiben mecht, ainen gwissen zahler und vleissigen pauman x verkhaufft und das gelt auf die ober camer zu des herrn oberkhellers handen erlegt werden (doch ehe unnd zuvor solches zu werckh y gestelt), v w x y folgt in A′ : ainen so in A′ ; gestrichenes Wort in A nicht mehr lesbar folgt in A′ : so mit vorwissen herrn oberkh(ellers) folgt gericht gestrichen 303 Edition solt grundtschreiber allezeit dem herrn prelaten oder dessen nachgesezten gründtlichen bericht geben, damit nit irung entstehen meg. [§ 11] Ainlifften solle umb khain grundtstueckh ainiche gwör außgeferttigt werden, es seÿ dann das zuvor alle ausstendige zehent und pergkhrecht des vorigen in habers (doch so weit allain sich der wehrt des selben grundtstueckhs erstreckhen) bezahlt, wie auch die nottwendigen instrumenta von verträgen, testamenten, khauffbrüeffen, aufsantungen und waß in gleichen fhälen vonnöten, ohne abgang beÿ dem grunndtbuech originaliter oder vidimierter fürgelegt. [§ 12] Zwelfften solle grundtschreiber sich in seinen handlungen nit verdachtig oder partheisch machen, auch khainer partheÿ, weder alhie noch anderwerths, umb bestallung handlen, dardurch dan des gottshauß sachen vernegligiert und dessen gerechtigkhait vergeben werden mecht, sondern in allen seinen verrichtungen weder freundt- noch feundtschafft ansehen und sein aidts pflicht dits orths woll in acht nemben, wie er dann auch ohne daß des herrn prelaten und dessen nach geortneten vorwissen und erlaubnuß ainiche handlung fürnehmben und in z der wahrenz seines gefallenß seinen aignen geschefften mehr wissen aa und entgegen des gottshauß negotia bb erligen zu lassen. [§ 13] Dreÿzehenten, alle mallefiz- und straff-sachen, auch grein- und injuri-handel, so beÿ der obern cammer fürkhomben mechten, hat er, grundtschreiber nit cc, sondern herr prelath selbst oder dessen nachgesezter oberkheller neben dem hof maister daselbst auf der obern- ddoder rändtcammerdd abzuhandlen und die straffen berierter hofmaister zuverraitten. [§ 14] Viertzehenten, von aufrichtung der vertrag und kauffbrieff solle grundtschreiber die armen underhonen nit allein mit der tax, sondern auch anderwerts mit hehern ee und unrechtmassig auflagen wider alts herrkhomben nit beschwern, auch ainigen vertrag oder khauffbrief (welche auch alle durch ain oberkheller an statt des herrn prelaten ff) gg ausser der ober cammer niemant z –z aa bb cc dd–dd ee ff gg 304 A′ : der wochen A′ : nachraißen so in A′ ; gestrichenes Wort in A nicht mehr lesbar über der Zeile ergänzt in A′ gestrichen: oder rändt A′ : begern folgt in A′ : von grundtobrigkhait wegen müessen verfertigt werden Klammer fehlt 5. Die Oberkammer hinaußgeben, von welchen ime dann die dreÿ und dennen besolden canzleÿ schreibern für ir bibal in die pixen allzeit der vierte thail tax gebiern thuet. [§ 15] Funffzehenten, ebenmässig von eröffnung, ratificirung und einschreibung aines testaments gebiert ihme grundtschreiber 12 kr und dennen schreibern 6 kr, die begerten abschrifften aber sollen nach dem blat taxiert werden, davon ime halber thail und denen schreibern auch der halbe thail tax zu gehörn. [§ 16] Sechzehenden, item von jedwederer gwör den grundtstueckhen und persohnen nach zu rechnen, gebiert dem herrn prelaten jedes mahls 18 kr, so in das gefelbuech ein geschriben und zuverraitten ist und 4 kr ime grundtschreiber für sein thail. Ebenmessig ist in verkhauffung der behausten und überhaussten grundtstueckhen dem herrn prelaten allezeit von ainem gulden oder pfundt 1 kr zuverraitten und dem grundtschreiber gebiert von beden partheÿen jeden 4 kreizer zu sein theill. Gleichermassen ist es auch mit ausferttigung der versäzbrief zuhalten. [§ 17] Sibenzehenten, von ain geferttigten gwör auszug gebiert sich 12 kr tax, davon dem grundtschreiber halber thaill und denen schreibern auch der ander halbe thail gehörig. So offt aber jemant daß grundtbuech auf schlagen und ainer gwör, testament, sibschafft und der gleichen nach suechen last, gebiert denen schreibern alzeit 3 khr. Ebenmässig gebiert auch denen schreibern von jeder bewilligung zetl wegen schäzung, raitung und stainung die tax 4 kr. Von solcher abgesezten taxen hat der remanenzer khain thaill. Wann sich aber crida abhandlungen zuetragen, hat er von anschlag und publicierung derselben nach gelegen hait der sachen sein gebier und tax davon. Item sollen auch durch ine remanenzer alle gerhabschafft, khürchen raittung, testament, inventaria und der gleichen (doch ohne versaumbnus seines dienst und wann es mit verwilligung des herrn prelaten oder herrn oberkhellers) beschicht, beÿ denen unterthonnen hh gestelt, beschriben und auf gericht werden. Davon ime ebenmessig die tax (doch ohne sonderbare beschwär der unterthonnen beschicht ii) zuegehörn. [§ 18] Achzehenten soll er jj auch jährlich nach dem neuen jahr dem herrn prelaten oder kk herrn oberkheller wegen aufnembung der khürchen raittungen ll, hh ii jj kk ll in A′ ergänzt: (doch allain in den dorffschafften dits seits der Thonau und zu Enzerstorff entholb der Thonau zu verstehen) in A′ gestrichen: A′ : gruntschreiber korrigiert folgt in A′ : anmanen 305 Edition auf das volgents denen zechleüten tag und stundt zu solcher fürnembung benent, die empfang und außgaben solten gegeneinander vleissig gehalten, die mengl darüber gemacht und den jenigen, so es zuverandworten, zu irer erleuterung hinauß geben, damit denen gottsheusern iechtes vergeben und entzogen werden mögen. [§ 19] Neunzehenten, item so soll grundtschreiber ebenmessig und jährlichen vor Laurenzÿ wegen aufnemb- und bestellung der hieter in die weingorten am Nußperg, Grinzing, Sivering, Salmanstorff, Töbling, Ottakhrin und Meÿrling, auch in khain vergessen hait stellen, dem herrn prelaten oder herrn oberkheller anzumohnen, damit solche hietter in des prelaten behaussung zu Wien mmoder obercammer alhiermm auf ain gwissen tag und stundt neben iren pürgen und pergmaistern beschiden mügen nn werden. Da nun der herr prelath, herr oberkheller oder ain anderer geistlicher beÿ solcher aufnembung selbst nit sein khundten, solt sich derowegen grundtschreiber in den vorigen alten hietter register mit mehrem ersehen, wie und waß gestalt sich berierte hieter zuerhalten und oo für ein jurament für zuhalten ist, auf das nun dem gottshauß, dessen alt herkhomben, freÿheiten und perckhthätungen, auch forthon ruebigelich erhalten werden megen, alß hat grundtschreiber beÿ solcher aufnembung sonderlichen dahin zu gedenkhen, das er ainichen verbirgten und angenombenen hietter, dessen pürgen oder pergmaister auf der herrn von Wien begern, auf ir rathhauß zustellen pp solle, sondern inen den hietern solches jeder zeit beÿ hoher straff verbietten und undersagen wöll. [§ 20] qq Zwainzigisten, dieweil aber nicht all zuefallent sachen, so ainem grundtschreiber deß gottshauß notturfft nach zuhandlen gebiern, in schrifft gestelt werden khann, so soll er demnach, nach gelegenheit der sachen, die notturfft selbst mehrers bedenckhen und handlen, wie er sich dann derentwegen gegen dem herrn zu reversiern hat. Dagegen sollen ine neben vorgesezten canzleÿ taxen 60 fl besoldung, auch in brott, wein und andern für ime, sein weib, diern und pueben folgen, wie es mit denen vorigen grundtschreibern gehalten worden. Der herr prelath behelt ime auch bevor, dise instruction zu mindern, zu mehrern und nach gestalt der sachen zuverandern, wie es die gelegenheit jederzeit geben wiert. Wo es sich aber begäb, das sich genuesambe ursachen zuetruegen und daß der herr prelath ime Michaeln mm–mm nn oo pp qq 306 in A′ ergänzt A′ : khünen folgt in A′ : innen zu in A′ gestrichen am linken Rand: 20 5. Die Oberkammer Zehetner zu solchen dienst nit lenger gebrauchen, sondern verke[r]n rr woltt oder er lenger zu diennen nit willenß wär, so sssoll ainer dem andernss ain quattember vor außgang deß jahrß tt aufsagen. Zu uhrkhundt ist dise instruction mit obgemelts herrn prelaten kleinern prelatur insigl und gewöndlichen underschribenen handtschrifft verferttigt und mehr berierten Michael Zehentner angehentigt worden. [E] Actum Closterneuburg den 20. 8bris 1616 53. Instruktion für den Grundschreiber Michael Zehetner von Propst Andreas Klosterneuburg, 1618 Januar 6 A StAKl, K 448, Nr. 7. Aufbau: R – P – 20 §§ – E. Überlieferungsform: unterschriebene und gesiegelte Ausfertigung. PÜ: B StAKl, K 207, Nr. 5: Konzept 1617. Dieses Konzept wurde später ergänzt (beigelegter Zettel, siehe § 17) und als Konzept für die Instruktion des Grundschreibers Philipp Wegschaider (1620 Februar 25) (Nr. 54 A) wiederverwendet: B′ StAKl, K 207, Nr. 5: Konzept = Nr. 54 C. C StAKl, Hs. 31/2, fol. 8r –17r: Abschrift 1618 Januar 6. D StAKl, K 448, Nr. 7: Abschrift. E StAKl, K 207, Nr. 5: Abschrift. [R] a Instruction, waßmassen sich ain grundtschreiber beÿ dem wüerdigen unnser lieben frauen gottshauss zue Closterneüburg in allen seinen hanndlungen unnd verrichtungen zuverhaltten haben soll. 1618 b. [P] Instruction, waßmassen der hochwierdig, in Gott geistlich, auch edle herr, herr Andreas, brobst unnser lieben frauen gotshauss zue Closterneüburg unnd ainer ersamen landtschafft in Osterreich unnder der Enns verordneter, den Michael Zechendner zue dero grundtschreibern bestelt unnd wie er sich in allen seinen verrichtungen unnd handlungen zuverhaltten haben soll. rr ss–ss tt a b A′ : verkern A′ : werden im ir g(naden) folgt in A′ : oder er Zehetner desselben gleichen B: Instruction des grundtschreibers alhie; fehlt in C fehlt in D und E 307 Edition [§ 1] Erstlichen ist er dem herren prelaten mit allen treuen aÿdtlich unnderworffen unnd waß ime von demselben anbevolchen unnd demandiert, soll er getreu, fleißig unnd fiedersamb seinem besten vermögen unnd verstandt nach verrichten. Waß er zue aufnemmung des gotshauß fromen unnd verhiettung nachtail unnd schadens fürträglich zue sein befindt, ime neben herrn oberkheller entdeckhen, auch wann herr praelat c zuegegen, deß tags zum wenigisten ainmall, sonnsten aber in der wochen unnd wann d waß wichtigs fürfallen wierdt, sich alzeit selbst persohnlich anmelden lassen, auf daß allen unnd jeden sachen fürzukhomen mit ime müge gehandlet werden. [§ 2] Anderten soll ein grundtschreiber vor allen dingen nit allein die grundtbüecher zuhandlen wissen, sondern auch aller deß gotshauß auf der obern cammer verhandenen grundtbüecher in guetter bekhanndtnuß unnd wißenschafft haben, auß denselben beÿ seinem aÿd, mit wellichem er dem gotshauß unnderworffen ist, weder andern grundtherren, noch ÿemandts anndern unnd khainem menntschen nichts vertrauen, noch sÿ dieselben sehen noch leßen lassen, damit in hanndlungen alsdan nit etwa dem gotshauß ichtes vergeben werd. [§ 3] Dritten sollen durch ainen grundtschreiber alle verträg-, khauff-, sipschafftunnd testaments-hanndlungen, wie auch gewöhrferttigung, einnemung der waisengeltter, zallung, zehendt unnd perckhrecht allezeit auf der obern cammer beÿwesen des herrn e prelaten selbst oder dessen nachgesezten geistlichen herrn oberkhellner (auf wellichen er dann anstatt deß herren praelaten sein respect zuehaben schuldig unnd ohn dessen abwesenhait ainiche hanndtlung fürnemben solt) unnd kheines weegs in seinem haus ein- unnd fürgenomben, auch solliches alles in gehaimb unnd verschwigen gehaltten werden. In gleichem soll er auch ainiches grundt- oder zechentbuech (es beschehe dann mit verwilligung des herren praelaten oder oberkhellers) in sein hauß tragen lassen, alle acta seiner hanndtlungen sollen täglich prothocolliert, f ain sonnderbares prothocoll unnd registratur darüber gehaltten werden, wie auch nit weniger alle erlegte waisengeltter, völligkhaiten oder herrn gföll unnd waß umb ausstendige zehenndt unnd perckhrecht bezalt wierdt (so ein oberkhellner allezeit einzuenemben unnd monatlich dem herren praelathen zuverreitten hat), soll er nach erlegung alßbaldt in daß gefellbuech einschreiben, die jenigen erleger darumben c d e f 308 folgt in B: im closter fehlt in D und E fehlt in B folgt in B: unnd 5. Die Oberkammer richtig quitieren unnd so wol in den zehentbüechern als remmanenzen fürzueschreiben in khain vergessenhait stellen, damit weder dem gottshauß noch ÿemandt annderen zue khuerz beschehen mag. Ebenmessig solt auch mit dennen hinaußgebennden waisengelttern (welliches allezeit durch ain oberkheller, so dergleichen geltter in seiner verwahrung hat, beschehen soll) ain solliche ordnung gehaltten, das daß gottshauß mit landtsbreüchigen verzüchts quittungen versichert unnd auch wann solliche geltter erlegt umb gueter nachrichtung willen in gden waisenbüecherg aintweder durch herrn oberkheller selbs oder in grundschreiber h beÿgeschriben werden. Item, so auch abwesent des herren prelaten unnd oberkhellers schwäre handtlungs sachen fürfüellen, soll grunntschreiber neben herren dechant oder ain andern geistlichen, auch in allweeg herrn hofmaister alß obristen officier (auf wellichen er ohne daß seinen respect zuhaben schuldig) darumben zue rath nemmen, damit er ime seinem verstandt unnd wissenschafft i nach guete assistenz laisten unnd dem gotshauß ichtes praejudicierlichs entstehen unnd vergeben werd. [§ 4] Viertten soll er täglich vormittag, sobaldt die groß glockhen geleit, unnd umb ain uhr nachmittag von dem herrn oberkheller die schlissel zue der obercammer durch den remmanenzer oder obersten schreiber abfordern lassen, neben beriertem remanenzer unnd anndern j schreibern auf die ober cammer gehn unnd hat vormittag an fleischtägen biß auf 10 uhr, an fasstägen aber k auf 11 uhr unnd nach dem essen bis auf vier uhr deß gotshauß geschäfft zuhandlen. lWaß er nun unnder sollicher zeit mit dennen erscheinenden partheÿen (doch allezeit beÿwessent aines herrn oberkhellers) zuehanndlen,l solt alles mit glimpf unnd beschaidenhait beschechen. [§ 5] Finfften sein ime remmanenzer unnd schreiber allain zueschreibung deß gotshauß geschäfften (sonnst aber in allweeg herrn oberkheller, alß der diß orths des herrn praelaten persohn represendiert) unnderworffen, wellichen er aber auf der cammer in ainer sollichen zucht und ordnung zuehaltten m schuldig, damit khainer ohn des herrn oberkhellers unnd sein erlaubnus uber obernente stundten sich von seiner verrichtung absentiere, da innen dann auf sollichen fahl wein unnd brott abgeschafft werden solt. g–g h i j k l–l m B: dem waißenbuech folgt in B: selbst B: wissenhait folgt in B: canzleÿ B: biß; folgt in E: biß fehlt in D und E B und C: zuerhalten 309 Edition [§ 6] Sechsten, so baldt die möstbeschreibung ier endtschafft erraicht, die schranckhen allenthalben eröffnet n unnd abgelegt unnd die register von dennen zechendtschreibern allenthalben übergeben worden, so sollen solliche beschreibungs register durch denn herrn oberkheller und ime das dem o eltisten oder obristen unnd das unnderhalb dem annderten schreiber zuegestelt und alles ernsts eingebunden werden, damit sÿ solliche, wie gebreichig, fürderlich in ein neu zehentbuech eintragen, nach vollendung desselben er grundtschreiber selbst vleißig collationiern unnd volgendts jeden, innsonderhait der järlichen pactation nach, auf most oder maisch in zehend, perckhrecht, grundtdiennst unnd zinß sein abraittung vleißig stellen, damit ichtes übersechen und weder dem gotshauß zue khuerz, noch dem zehendner zue nachendt geraith werde. Wie dann nach völliger abraittung derselben zechetbüecher (welliches lengist inner zwaÿ monaten gar woll beschechen khan p) grundtschreiber, ehe unnd zuvor man ins lösen verraist, solliche selbst revidieren unnd überraitten solt. Enntzwischen solt remmanenzer dahin gehaltten, damit alle alte ausstendt, so remanenzen haben, nit allein vleißig zuesamen tragen und bis enndt jedweders jahrs abgeraittet, sonnder auch alle außzüg vor dem lösen außgeschriben unnd solche ausständt vollgendts nach möglichkhait eingebracht unnd auch uber alle verlassene weingärtten ain ordentlichs zinßbuech gehaltten werden. Grundtschreiber soll sich auch zue lösenszeiten ohne vorwissen herrn obernkhellers oder wellicher unnder den geistlichen von ir g(naden) deputiert wierdt, ainiger wein- oder mosstbeschreibung nit unnderfachen. [§ 7] Sibenden, so offt unnder der burgerschafft und umbligennden dörffern wein oder möst verkhauffen unnd außgeleitgebt, solle durch den remmanenzer beÿ dem aufgeber, visierer oder richter jedesmahls vleißige nachforschung gehaltten unnd unverlengt ain verzaichnus der jenigen verkhauffer begehrn, welliche nun dem gotshauß in zechenndt unnd perckhrecht schuldig, solten die burger durch den raths diener alhie unnd die nachbaren in allen umbligenden dörffern durch deß gottshauß unnd anndere richter auf des gotshauß ober cammer gefordert q unnd gestelt werden. Item soll r auch zue Weidling, Höflein, Khrizendorf, Sievering, Salmanstorff, Töbling, Heillingstatt unnd Khalmberg khein nachbar leitgeben, er habe dann zuvor von dem herrn oberkheller oder grundtschreiber erlaubnuß, wie dann dieselben nach n o p q r 310 B: geöffnet B: oberhalb dennen D und E: mag so in B und C; A, D und E: gefodert gestrichen: -ich 5. Die Oberkammer vollentem außleitgeben s sovil müglich zue bezahlung ierer ausstendigen zechendt unnd perckhrecht geholten werden sollen. [§ 8] Achten alle außgeferttigte unnd veränderte gewörn, in gleichem die eröfnete unnd ratificierte testamenta unnd sibschafftweißungen, welliche allezeit beiwessent des herren praelaten selbst oder aines herren t oberkhellers fürgenomben, solten als dan füerderlich durch den dritten oder ainen anndern saubern corecten u schreiber in die lanng gwöhr unnd testamentbüecher eingeschriben, volgenndts durch ime grundtschreiber vleißig collationiert unnd alsdan der jenigen namen, so gwöhr empfangen, selbst mit aigner hanndtschrifft in die perckh-, diennst-, versaz- unnd khurz gwöhr-büecher einzaichnet, auch auf die darzue gehörig instrumenta unnd certificationes, der tag unnd jahr der ausferttigung geschriben unnd zu den monat puschen gebunden werden. [§ 9] Neünten, järlich vor lesens zeit solten auß dem geföll buech allen den jenigen in den dienst- unnd zinßbüechern die jahr fürgeschriben werden, so weit sie v solche bezolt. [§ 10] Zechenden, so ist auch eines grundtschreibers ambt, daß er, wo nit monatlich, doch alle zwaÿ monat, mit des gotshauß weinkheller unnd perckhmaister, so woll alhie zu Closterneüburg, als allen umbligenden dörffern in dem weingartgebierg alle rieden w(auch leibgedings unnd verlaß weingartten, wie sÿ gepaut)w, so dem gotshauß mit zechendt oder perckhrecht unnd grundtdienst unnderworffen seindt, bereite x unnd abgehe y, derselben weingartten innhaber, wie sie nach einannder gelegen unnd wie auch dieselben in pau sein, ordentlich beschreib unnd da thails in abödung khomben, sich mit dem weinkheller unnd perckhmaister unnderreden, wie unnd durch waß mitl solliche widerumben aufzuebringen sein mechten. Alsdan soll er selbige beschreibung gegen den grundtbüechern halten unnd sechen, waß jetwederer umb sein inhabennden grunndt für ein recht hatt. Ist es sach, das ain oder der ander inhaber z durch genuegsambe unnd notwendige instrumenta sein recht nit genuegsamb probieren, so solt sollicher grundt nach gelegenhait der sachen zu dem gotshauß eingezogen, durch die ordentliche geschworne s t u v w–w x y z B: leütaußgeben fehlt in D und E so in B, D und E; A und C: coreten so in B; A, C, D und E: sich fehlt in B so in B; A, C, D und E: berierte so in B; A, C, D und E: abgeher folgt in B: umb sein grundt 311 Edition vierer aa geschäzt unnd volgendts dem gotshauß unnd den jenigen zum besten, so vormals sein recht darumben gehabt unnd etwo in zechendt unnd perckhrecht ein nambhaffte summa verbleiben mecht, ainen gwißen zahler unnd vleißigen pauman, so bb mit vorwissen cc herren oberkheller verkhaufft unnd daß gelt auf die ober cammer zu des herren oberkhellers hannden erlegt werden (doch dd unnd zuvor solches zue werckh gestelt), solt grundtschreiber allezeit dem herren praelaten oder dessen nachgesezten gründtlichen bericht geben, damit nit ierrung endtstehen mög. [§ 11] Ainlfften solle umb khain grundtstueckh ainiche gwöhr außgeferttget werden, es seÿ dan das zuvor alle ausstenndige zehendt und perckhrecht des vorigen inhabers (doch so weit allein sich der wehrt desselben grundtstueckh erstreckhen) bezalt, wie auch die notwendigen instrumenta von ee verträgen, testamenten, khaufbrieven, aufsanndungen unnd waß in gleichen fählen vonnötten, ohne abganng beÿ dem grundtbuech originaliter oder vidimierter fürlegt. [§ 12] Zwelfften solle grundtschreiber sich in seinen handlungen nit verdächtig oder partheÿisch machen, auch khainer partheÿ, weder hie ff noch anderwerts umb bestallung hanndlen, dardurch dan des gottshauß sachen vernegligiert unnd dessen gerechtigkhait vergeben werden mecht, sonndern in allen seinen verrichtungen, weder freundt- noch feindtschafft ansechen unnd sein aÿdts pflicht diß orths wol in acht nemben, wie er dann auch ohne das deß herren praelaten unnd dessen nachgeordneten vorwissen unnd erlaubnus ainiche handlung fürnemben unnd in der wochen seines gefallens seinen aignen geschäfften nachraisen und enndtgegen deß gotshauß negotia erligen zuelassen. [§ 13] Dreÿzechenden, alle malefiz- unnd straff-sachen, auch grein- unnd injuri-händel, so beÿ der obern cammer fürkhomen mechten, hat er, grundtschreiber, nit, sonndern herr praelat selbs oder dessen nachgesezter oberkheller neben dem hofmaister daselbst auf der obercammer abzuhanndlen unnd die straffen berierter hofmaister zuverraitten. aa bb cc dd ee ff 312 B und C: fürer fehlt in B in B′ links ergänzt: und einwilligung folgt in B: ehe C: unnd B: alhie 5. Die Oberkammer [§ 14] Vierzechenden, von aufrichtung der verträg unnd khaufbrief gg solle grundtschreiber die armen unnderthonnen nit allein mit der tax, sonndern auch annderwerts mit begehrn und unrechtmeßigen auflagen wider alts herkhomben nit beschwären, auch ainigen vertrag oder khaufbrief (welliche auch alle durch ain oberkheller anstatt des herren praelaten von grunndtobrigkhait wegen müessen verferttiget hh werden) ausser der ober cammer ii niemandt hinauß geben, von wellichem ime dan die dreÿ unnd dennen besoldten cannzleÿschreibern für ier bibal in die püxen alzeit der vierte thaill tax gebiern thuet. [§ 15] Finffzechenden, ebenmässig von eröffnung, ratificierung unnd einschreibung aines testaments gebiert ime grundtschreiber 12 khr jj unnd dennen schreibern 6 kr kk, die begerten abschrifften aber sollen nach dem blat taxiert werden, davon ime halber thaill unnd den schreibern auch der halbe thaill tax zuegehören. [§ 16] Sechzechenden, item von jetwederer gwöhr denn grundtstuekhen unnd persohnen nachzuraitten ll, gebiert dem herren praelaten jedesmahls 18 kr mm, so in das gefelbuech eingeschriben unnd zuverraitten ist unnd 4 khr ime grundschreiber für sein thail. Ebenmeßig ist in verkhauffung der behaussten unnd unbehausten grundtstuekhen dem herren praelaten allezeit von ainem nnpfundt oder guldennn ain khreizer zuverraitten unnd dem grundtschreiber gebiert von beeden partheÿen jeden vier khreizer zu sein thail. Gleichermassen ist es auch mit außferttigung der versäzbrief zuhaltten. [§ 17] Sibenzechenden, von ainem geferttigten gwöhr auszug oo gebiert sich 12 kr tax, davon dem grunndtschreiber halber thaill unnd dennen schreibern auch gg hh ii jj kk ll mm nn–nn oo folgt in E: item geburttsbrieff, sippschafften und waß sonst under deß herrn praelathen und herrn oberkhellers fertigung möchte aufgericht werden verbessert aus: verferttgiet B: camerer E: fl E: fl B: nachzurechnen E: fl B: gulden oder pfundt folgt in B′ auf einem beigelegten Zettel: (welche gwöhr außzüg auf alle und ÿede grundtstuckh lauttendt, mit h(err)n oberkellers ambtinsigl und handtschrifft, dann auch deß grundtschreibers underschrifft sollen becrefftiget werden, inmassen solches von unerdenckhlichen jahrn breüchlich erhalten worden, auch zue mehrern sicherhait des gottßhauß nach alzeit nottwendig ist) 313 Edition der halbe thail gehörig. So offt aber jemandt daß grundtbuech ppaufschlagen undpp ainer gwöhr, testament, sipschafft unnd dergleichen nachsuechen last, gebiert dennen schreibern allezeit dreÿ khreüzer. Ebenmessig gebiert auch dennen schreibern von jeder bewilligung zettel wegen schäzung, rainung qq und stainung die tax 4 kr. Von sollicher obgesezten taxen hat der remmanenzer khain thaill. Wan sich aber crida abhanndlungen zuetragen, hatt er von anschlag unnd publicierung derselben nach gelegenhait der sachen sein rr gebier unnd tax davon. Item sollen auch durch inne remmanenzer alle gerhabschafft, khierchen raittung, testament, inventaria unnd dergleichen (doch ohne versaumbnus seines diensts unnd wann es mit verwilligung ss des herren praelatens oder herren tt oberkhellers beschiecht) beÿ dennen unnderthonen (doch allain in dennen dorfschafften disserseits der Thonnau unnd zue Enzersdorff ienthalb der Thonnau zuverstehn) gestelt, beschriben und aufgericht werden. Davon ime ebenmeßig die tax uu (doch ohne sonnderbare beschwer der unnderthonnen) zuegehören. [§ 18] Achtzechenden soll grundtschreiber auch järlich nach dem neuen jahr denn herren praelaten oder herren oberkheller wegen aufnembung der khirchraittungen ermahnen vv, auf das volgendts den zöchleütten tag unnd stundt zue sollicher fürnembung benent, die empfäng unnd außgaben soltten gegen ainander vleißig gehaltten, die mengel darÿber gemacht unnd den jenigen, so es zuverandtwortten, zue ihrer erleütterung hinaußgeben, damit dennen gottshaußheüsern ÿchtes entzogen werden möge. [§ 19] Neünzechenden, item so soll grundtschreiber ebenmessig unnd järlichen vor Laurentÿ wegen aufnemmung unnd bestellung der hüetter in die weingarten am Nußberg, Grinzing, Sivering, Salmanstorff, Töbling, Ottakhrin unnd Meirling auch in khein vergessenhait stellen, den herren praelaten oder herrn oberkheller anzuemahnen, damit solliche hüetter in des ww praelaten behaussung zue Wienn oder ober cammer alhie auf ain gewißen tag unnd stundt neben ieren bürgen unnd perckhmaistern beschaiden khönnen werden. Da nun der herr praelat, herr oberkheller oder ain annderer geistlicher beÿ sollicher aufnembung selbst nit sein khundten, solt sich derowegen pp–pp qq rr ss tt uu vv ww 314 C: aufschlagung B: raittung folgt in B: thail, B: bewilligung fehlt in B folgt in E: (ausser der gebühr von inventarÿs, von welchen ime remanenzer 1d von gulten und 1 d denen schreibern für bibal gebührn soll) B: anmahnen folgt in B, D und E: herrn 5. Die Oberkammer grundtschreiber in den vorigen alten hüetter registern mit mehrerm ersechen, wie unnd waß gestalt sich berierte hüetter zuverhaltten unnd innen für ein jurament fürzuehaltten ist, auf das nun dem gotshauß, dessen alt herkhommen, freÿhaiten unnd perckhtädungen, auch forthan ruebigelich erhaltten werden mögen, als hatt grundtschreiber beÿ sollicher aufnemung sonnderlich dahin zuegedenckhen, das er ainigen verbürgten xx unnd angenommenen hüetter, dessen pürgen oder perckhmaister auf der herren von Wienn begehren, auf ier rathauß stellen solle, sonndern innen den hüetern solliches jederzeit beÿ hocher straff verbietten unnd unndersagen wöll. [§ 20] Zwainzigisten, dieweill aber nit all zuefallende sachen, so ainem grundtschreiber des gotshauß notturfft nach zuehandlen gebüern, in schrifft gestelt werden khan, so soll er demnach, nach gelegenhait der sachen, die notturfft selbst mehrers bedenckhen unnd handlen, wie er sich dann derentwegen gegen dem herrn praelaten zuverreversieren yy hat. Dagegen sollen ime, neben vorgesezten canzleÿ taxen 60 fl besoldung, auch in brott, wein unnd anderm für in unnd zz sein weib, auch aaa diern unnd pueben volgen, wie es mit dennen vorigen grundschreibern gehaltten worden. Der herr praelat behelt ime auch bevor, dise instruction zumindern, zuemehren unnd nach gestalt der sachen zuveränndern, wie es die gelegenhait jederzeit geben wierdt. Wo es sich aber begäb, das sich genuegsambe ursachen zutruegen unnd das der herr praelat ine bbbMichael Zechendnerbbb zu sollichem diennst nit lennger gebrauchen, sondern verkherren woltte oder er lenger zudienen nit willens währ, so werden im ier g(naden) ain quattember vor außganng des jahrs oder er Zechendner ccc desselben gleichen aufsagen. Zu urkhundt ist dise instruction mit obgemelts herrn praelaten khlainnern praelatur insigel unnd gewendtlichen underschribenen hanndtschrifft verferttigt unnd merberiertem dddMichael Zechendnerddd angehendiget worden. [E] Actum Closterneüburg den eeesechsten monatstag Januarÿ im sechzechenhundert unnd achtzechennden jahreee. fffAndreas brobst zue Closterneuburg m.p.fff [L.S] xx yy zz aaa bbb–bbb ccc ddd–ddd eee–eee fff–fff folgt gestrichen: hüetter B: zu reversiern; C: zuverversiern fehlt in B fehlt in B fehlt in D und E fehlt in D und E fehlt in D und E B: a(nno) 1617; fehlt in D und E fehlt in B, C, D und E 315 Edition 54. Instruktionen für die Grundschreiber Philipp Wegschaider von Propst Andreas Klosterneuburg, 1620 Februar 25 A StAKl, K 207, Nr. 5. Aufbau: R 1 – R 2 – P – 20 §§ – E. Überlieferungsform: gesiegelte Ausfertigung. PÜ: B StAKl, K 448, Nr 7: Unterschriebenes Reinkonzept 1620 Februar 25. C StAKl, K 207, Nr. 5: Konzept = Nr. 53 B′ . Das Konzept der Instruktion für den Grundschreiber Michael Zehetner (1618 Januar 6) (Nr. 53 B) wurde ergänzt (beigelegter Zettel) und für diesen Text als Konzept wiederverwendet. C hier unberücksichtigt, ediert als Nr. 53 B′. [R 1] a Instruction eines h(e)r(rn) grundschreiber. [R 2] b Instruction des fürst(lichen) St. Leopoldi stiffts zu Closterneuburg grundtschreibers etc. [P] Instruction, wasmassen der hochwürdig in Gott geistlich, auch edle herr, herr c Andreas, brobst unßer lieben frauen gottshauß zu Closterneuburg unnd ainer ersamben landtschafft in Össterreich unter der Ennß verordneter, den Philipen Wegschaider zu dero stifft grundtschreiber bestelt unnd wie er sich in allen seinen verrichtungen unnd handlungen zuverhalten habe etc. [§ 1] Erstlichen ist dem herrn prelathen er grundtschreiber mit allen treuen aidlich unterworffen unnd waß ihme von denselben anbevolhen und demandiert, soll er getreu, vleissig seinen bessten vermügen unnd verstandt nach verrichten. Waß er zu aufnehmung deß gottshauß fromen unnd verhiettung nachtails unnd schadens fürtröglich zu sein befindt, im neben herrn oberkheller endeckhen, auch wan herr prelath in closter zugegen, in der wochen und wan waß wichtiges fürfallen würdt, sich alzeit selbst persohnlich anmelden lassen, auf daß allen und jeden sachen fürzukhumben mit ihm möge gehandlet werden. [§ 2] Andern soll ain grundtschreiber vor allen dingen nit allain die grundtbüecher zu handlen wissen, sondern auch aller deß gottshauß auf der ober a b c 316 fehlt in B fehlt in B fehlt in B 5. Die Oberkammer cammer verhandtenen grundtbüechern in guetter bekhandtnuß unnd wissenschafft haben, auß denselben bei seinen aid, mit welchem er dem gottshauß unterworffen ist, weder andern grundtherrn noch jemandts andern unnd khainen menschen nichts vertrauen, noch sie dieselben sehen noch lessen lassen, damit dem gotshauß ichtes vergeben werde. [§ 3] Dritten sollen durch ainen grundtschreiber alle verträg-, khauf-, sibschafftunnd testamentshandlungen, wie auch gewehr fertigung, einnembung deß waissengelts, zallung, zehet unnd perckhrecht allezeit auf der ober cammer, beiwesent deß herrn prelathens selbst oder deß nachgesezten geistlichen herrn oberkhellers (auf welchen er dan anstatt deß herrn prelathenß seinen respect zuhaben schuldig unnd ohne dessen abwesenhait ainnige handlung fürnemben solt) khaines wegs aber in seinem zimmer ein- unnd fürgenohmen, auch solches alles in gehaimb unnd verschwigen gehalten werden. Ingleichen soll er auch ainiges grundt- oder zehent buech prothocol (es beschehe dan mit verwilligung deß herrn prelathen oder oberkhellers) in sein hauß tragen oder durch ander tragen lassen, alle acta seiner handlungen sollen täglich prothocoliert unnd ain sonderbares prothocol unnd registratur darüber gehalten werden, wie auch nit weniger alle erlegte waisen geldter, völligkhaiten oder herrn geföll unnd waß umb ausstendigen zehendt unnd perckhrecht bezalt wüerdt (so ein oberkheller alzeit einzunehmen unnd monatlich dem herrn prelathen zuverraitten hat), soll er, nach erlegung alßbaldt in das geföll buech einschreiben, die jenigen erleger darumben richtig quittieren unnd so woll in den zehendt büechern alß remanenzen fürzuschreiben in khain vergessenhait stöllen, damit weder dem gottshauß noch jemandts anderen zu khurz beschehen möge. Ebenmässig solt auch mit denen hinaußgebenten waißen geldt (welches alzeit durch ain oberkheller, so dergleichen geldt in seiner verwahrung hat, beschehen), ain solche ordnung gehalten, daß das gottshauß mit landtsbreichigen verzicht quittungen versichert unnd auch wann solches geldt erlegt umb guetter nachrichtung willen in den waisenbuech aindwetter durch herrn oberkheller oder ihne grundtschreiber selbst bei geschriben werden. Item, so auch abwesen deß herrn prelathen unnd oberkhellers schwäre handlungs sachen fürfüellen, soll grundtschreiber neben herrn dechandt oder ain andern geistlichen, auch beisein herrn hofmaister alß obristen officier (auf welchem er sein respect zuhaben schuldig) darumben zu rath nemben, damit ihme guette assistenz gelaistet unnd deß gottshauß schaden verhüettet werde. [§ 4] Vierten soll er täglich vor mittag, alß baldt die groß gloggen gleit, unnd umb ain uhr nach mittag von dem herrn oberkheller die schlißl zu der ober cammer durch den remanenzer oder obristen schreiber abfordern lassen, neben berürten remanenzer unnd andern canzlei schreibern auf die ober cammer sich verfüegen und hat vormittag an fleischtägen biß auf 10 uhr, an 317 Edition fastägen biß auf aindleff d uhr deß gotshauß geschöfft zuhandlen, wie auch nach dem essen biß umb 4 uhr unnd waß er nun unter solchen zeit mit denen erscheineten partheÿen (doch alezeit beiwesent aines herrn oberkhellers) zuhandlen, soll alles mit glimpf und beschaittenhait beschehen. [§ 5] Fünfften seindt ihme remanenzer unnd schreiber allain zu schreiben deß gotshauß geschäfften (sonst aber in albeg herrn oberkheller, alß der diß orts des herrn prelathens persohn repraesendiert) unterworffen, welche er aber auf der cammer in ainer solchen zucht unnd ordnung zuerhaltten schuldig, damit khainer ohne deß herrn oberkhellers unnd seine erlaubnuß uber obernente stunden sich von seiner verrichtung absentiere. [§ 6] Sechsten, so baldt die möst beschreibung ihre endtschafft erraicht, die schranckhen allenthalben geöffnet unnd abgelegt unnd die register evon den zehendtschreibern allenthalben ubergeben worden, so sollen solche beschreibungs registere durch den herren oberkheller unnd ihne das oberhalb den eltesten oder obristen und das unterhalb dem annderen schreiber zuegestölt, wie breichig, fürderlich in ein neues zehent buech eintragen, nach vollendung desselben er grundtschreiber selbst vleissig collacioniern und volgundts jeden, insonderhait der jorlichen pactation nach, auf most oder maisch in zehendt, perckhrecht, grundtiennst unnd zinß sein abraittung vleissig stöllen, damit ichtes übersehen und weder dem gotshauß zu khurz, noch dem zehentner zu nachent gerait werde. Wie dan nach völliger abraittung dieselben zehentbüecher (welche lengist ihnner zwaÿ monath gar woll beschehen khan) grundtschreiber, ehe unnd zuvor man ins lessen verraist, solche selbst revidiern unnd uberraitten solle. Entzwischen soll remanenzer dahin gehalten, damit alle alte ausstandt, so remanenzen haben, nit allain vleissig zusamben tragen und biß endt jedtweders jahrs abgeraittet, sondern auch alle außzüg vor dem lesen außgeschriben und solche außstandt volgunts nach mügligkhait eingebracht ein ordentliches zinßbuech gehaltten werden. Grundtschreiber soll sich auch zu lessenszeitten ohne vorwissen herrn obernkhellers oder welcher unter den geistlichen von ir g(naden) deputiert würdt, ainiger wein- oder mostbeschreibung nit unnderfahen, vil weniger geschankhnuß von geldt, most oder wein annemben. [§ 7] Sibenden, so offt unter der burgerschafft und umbligunten dörffern wein oder möst verkhauffen unnd außgeleigebt, solle durch den remanenzer bei dem aufgeber, visierer oder richter vleissig nachforschung gehalten und unverlengt ain verzaichnus der jenigen verkhauffer begehrn, welche nun d e–e 318 B: 11 fehlt in B 5. Die Oberkammer dem gotshauß in zehendt und perckhrecht schuldig, sollen die burger durch den raths dienner alhie und die nachparn in allen umbligenten dörffern auch deß gottshauß ober cammer gefordert unnd gestelt werden. Item solle auch zu Weidling, Höflein, Khrizendorff, Sÿfering, Salmanstorf, Töbling, Heilling Statt unnd Khaltenberg khein nachpar leitgeben, er habe dan zuvor von dem herrn oberkheller erlaubnuß, wie dan dieselben nach vollenden wein außgeben so vil müglich zubezallen ihrer ausstendigen zehent und perckhrecht gehalten werden sollen. [§ 8] Achten alle außgefertigte unnd veränderte gewöhrn, in gleichem die eröfneten unnd ratificierten testamenta unnd sybschafft weisungen, welche alzeit beiweßent deß herrn prelathens selbst oder aines herrn oberkhellers fürgenohmen solten werden, alß dan fürderlich durch den dritten oder ainen saubern corecten schreiber in die lang gwöhr und testament büecher eingeschriben, volgunts durch ihme grundtschreiber vleissig collationiert und alß dan der jenigen nahmen, so gwöhr empfangen, selbst mit aigner handtschrifft in die perckhdiennst-, versäz- unnd khurz gwöhr-büecher einzaichnet, auch auf die darzue gehörigen instrumenta unnd certificationes, den tag und das jahr der ausferttigung geschriben und zu dem monath puschen gebunden werden. [§ 9] Neunden, järlich vor lesens zeit, solten auß dem geföll buech allen unnd jenigen in den dienst- unnd zinßbüechern die jahr fürgeschriben werden, so weit sie solche bezalt. [§ 10] Zehenden, so ist auch aines grundtschreibers ambt, daß er, wo nit monatlich, doch alle zwaÿ monath, mit deß gotshauß weinkheller unnd perckhmaister, so woll auch zu Closterneuburg, alß allen umbligenden dörffern in dem weingart gebürg alle rietten, so dem gotshauß mit zehendt und perckhrecht unnd grundtdienst unterworffen seindt, bereide und abgehe, derselben weingarden inhaber, wie sie nach einander gelegen und wie auch dieselben in pau sein, ordentlich beschreibe unnd da thailß in aböttung khumben, sich mit dem weinkheller unnd perckhmaister underreden, wie und durch waß mitl solche wider aufzubringen sein möchten. Als dan solle er selbige beschreibung gegen den grundtbüchern holten unnd sehen, waß jedweder umb sein inhabenden grunndt für ain recht habe. Ist es sach, daß ain oder der ander inhaber umb sein grundt durch nit genuegsambe unnd notwendige instrumenta sein recht nit genugsamb probiern f, so solt solcher grundt nach gelegenhait der sachen zu dem gotshauß eingezogen, durch die ordentliche geschwornen firer geschäzt unnd volgunts dem gotshauß unnd f so in B; in A die letzten Buchstaben abgeschnitten 319 Edition den jenigen zum besten, so vormalß sein recht darumben gehabt unnd etwo in zehent und perckhrecht ein nambhaffte summa verbleiben möcht, ainen gewissen zaller unnd vleissigen pauman, mit vorwissen herrn oberkhellers verkhaufft und das geldt auf die ober cammer zu deß unnd einwilligung herrn oberkhellers handten erlegt werden. Da auch grundtschreiber solche öde oder erbaute gründt, erbschafften, schuldtbrieff und wie es namen haben mag, an sich lösen wolte, ehe und zuvor solches zu werckh gestölt, solle grundtschreiber allezeit den herrn prelathen solches andeutten, auch gründlichen bericht geben, damit nit irung entsehen möchte. [§ 11] Aindlefften solle umb khain grundtstuckh ainiche gwöhr außgefertigt werden, es sei dan daß zuvor alle ausstandt, zehendt unnd perckhrecht deß vorigen inhabers (dan so weit allain sich der werth derselben grundtstukhen erstreckhen) bezalt, wie auch die notwendige instrumenta von verträg, testamenten, khaufbrieffen, aufsandungen unnd waß in gleichen fahlen vonnötten, ohne abgang bei dem grundtbuch originaliter oder vidimierter fürgelegt. [§ 12] Zwelfften solle grundtschreiber sich in seinen handlungen nit verdachtig oder partheÿisch machen, auch khainer partheÿ, weder alhie oder anderwerts handlen, dardurch dan deß gotshauß sachen verabsaumbt unnd dessen gerechtigkhait vergeben werden möchte, sondern in allen seinen verrichtungen, weder freindt- noch feindschofft ansehen und sein aidts pflicht dits orts wol in acht nehmen, wie er dan auch ohne das deß herrn prelathen unnd dessen nach geordnetten vorwissen und erlaubnuß ainiche handlung fürnemben und in der wochen seines gefallens seinen aignen geschöfften nach Wienn oder anderwerts raisen und entgegen deß gotshauß negotia erligen lassen. [§ 13] Dreyzehenden, alle malefiz- und strafsachen, auch grein- unnd injuri-handl, so beÿ der ober cammer fürkhumben möchten, hat er, grundtschreiber nit, sondern herr prelath selbst oder dessen nachgesezter oberkheller neben dem hofmaister daselbst auf der ober cammer abzuhandlen und die straffen berürter hofmaister zuverraitten. [§ 14] Vierzehenden, von aufrichtung und verträg, khaufbrief soll grundtschreiber die armen unterthonen nit allein mit der tax, sondern auch anderwerts mit begehrn und unrechtmessig auflogen wider alts herkhumben nit beschweren, auch ainigen vertrog oder khaufbrief, welche auch alle durch ain ober kheller anstatt deß herrn prelathen von grundt obrigkhait wegen müessen verfertigt werden, ausser der ober cammer niemandts hinauß geben, von welchen ime dan die dreÿ und dennen besolten canzleÿschreibern für ir bibal in die pixen alzeit der viertte thail tax gebürn thuett. 320 5. Die Oberkammer [§ 15] Funfzehenden, eben mässig von eröfnung, ratificierung und einschreibung eines testaments gebürt ihme grundtschreiber 12 kr unnd denen schreibern der 3. thail davon, die begehrten abschrifften aber sollen nach dem pladt taxiert werden, davon denen schreibern der dritte thail tax zuegehörn. [§ 16] Sechzehenden von jedwederer gwöhr, grundtstuckhen unnd persohnen nachzurechnen, gebürt dem herrn prelaten jedes malß 18 kr, so in das geföllbuech eingeschriben und zuverraitten ist unnd 4 ihme grundschreiber für sein thail. Eben mässig ist in verkhauffung der behaussten unnd uberhausten grundtstuekhen dem herrn prelathen alzeit von ainen gulden oder pfundt ain khreizer zuverraitten und dem grundtschreiber gebürt von beeden portheÿen yeden 4 kr zu sein thail. Gleicher massen ist es auch mit außferttigung der versäz brief zuhalden. [§ 17] Sibenzehenden, von ainen geförtigten gwöhr außzug (welche gwöhr außzüg auf alle und yede grundtstuckh lauttent, mit herrn oberkhellers ambt insigl und handtschrifft, dan auch deß grundtschreibers unterschrifft sollen becrefftiget werden, in massen solches von unerdenckhlichen jahrn breichlich erhalten worden, auch zu mehrer sicherhait deß gotshauß nach alzeit notwendig ist) gebürt sich 12 kr tax, davon den schreibern der dritte thail gehörig. So offt aber jemandt das grundtbuech aufschlagen und ainer gwöhr, testament, sibschafft unnd der gleichen nachsuechen lest, gebürt den schreibern allezeit 3 kr. Ebenmässig gebürt auch den schreibern von jeder bewilligung zetel wegen schäzung, rainung g und stainung tax 4 kr. Von solchen obgesezten taxen hat der remanenzer khain thail. Wan sich aber crida handlungen zuetragen, hat er von anschlag unnd publicierung derselben nach gelegenhait der sachen sein thail gebür und tax davon.
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hal-03509136-gosud.txt_1
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Starting a new treebank? Go SUD! Theoretical and practical benefits of the Surface-Syntactic distributional approach. SyntaxFest Depling 2021 - 6th International Conference on Dependency Linguistics, Mar 2022, Sofia, Bulgaria. pp.35-46. &#x27E8;hal-03509136&#x27E9;
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Starting a new treebank? Go SUD! Theoretical and practical benefits of the Surface-Syntactic distributional approach Kim Gerdes, Bruno Guillaume, Sylvain Kahane, Guy Perrier HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. 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. Starting a new treebank? Go SUD! Theoretical and practical benefits of the Surface-Syntactic distributional approach Kim Gerdes Lisn, CNRS, Université Paris-Saclay gerdes@lisn.fr Bruno Guillaume Université de Lorraine, CNRS, Inria, LORIA, Nancy, France bruno.guillaume@inria.fr Sylvain Kahane Modyco Université Paris Nanterre & CNRS sylvain@kahane.fr Guy Perrier Université de Lorraine, CNRS, Inria, LORIA, Nancy, France guy.perrier@loria.fr Abstract The paper brings to the fore some advantages to first develop a new treebank in Surface-Syntactic Universal Dependencies (SUD) annotation scheme, even if the goal is to obtain a UD treebank. Theoretical benefits of SUD are presented, as well as UD-compatible SUD innovations. The twoway UD, SUD conversion is explained, as well as the possibility to customize the conversion for a given language. The paper concludes by a practical guide for the development of a SUD treebank. 1 Introduction SUD, Surface-Syntactic Universal Dependencies, is a syntactic annotation scheme, which is a convertible variant of Universal Dependencies (UD). UD is a very successful treebank development project that is now an indispensable standard of data-based syntax (de Marneffe et al., 2021). To benefit from UD’s wealth of expertise, tools, and cross-language comparability, any annotation scheme must eventually be convertible into UD. Nevertheless, the UD annotation scheme was initially developed in the context of NLP applications, rather than pure linguistic considerations and some initial choices are problematic.1 SUD is based on a different theoretical framework that has many advantages for treebank development as we will show in this paper. SUD has already been presented in two papers by (Gerdes et al., 2018; Gerdes et al., 2019). While SUD’s theoretical foundations remain unchanged, this paper proposes one change of SUD’s philosophy. At first, SUD was thought of as a pure variant of UD with a complete equivalence between SUD and UD. Initially, SUD was more interested in the UD ) SUD conversion because for some studies, especially on word order typology, a more surfacic annotation was required.2 This paper reports on a growing interest in SUD ) UD conversions and the development of treebanks in SUD in order to obtain both SUD and UD variants of the treebank. The UD ) SUD conversion grammar is still maintained and has even been improved with the possibility to more easily customize the conversion for a given language. Recent views on SUD abandons the idea of having an equivalence between the two annotation schemes, and this 1 UD is initially based on Stanford dependencies, which was itself the conversion into a dependency tree of the outputs of a phrase-structure-based parser. In consequence, UD dependency relations combine both functional and categorical information, for instance with the nsubj vs csubj distinction between nominal and clausal subjects, the obj vs ccomp distinction between nominal and clausal objects, or the amod vs nmod vs advmod distinction between adjectival, nominal, and adverbial modifiers, as well as the obl vs nmod distinction between adpositional phrases depending on a verb or a noun. Moreover, UD is very semantically-oriented, favoring relations between content words, leaning towards a sort of interlingua representation. The part of speech tags, stemming from Google’s universal POS (Petrov et al., 2012) and the Interset interlingua tagset (Zeman, 2008), were added independently, resulting in some redundancy. 2 Let us recal l that in UD function words depend on content words . As a consequence, adpositions are dependents of the noun with which they form a phrase. This is in complete contradiction with typological studies that show that the adpositionnoun relation tends to have similar properties than the verb-object relation. In particular, VO languages have prepositions while OV languages have postpositions (Dryer, 1992). postulate that SUD is a richer annotation scheme than UD. In other words, no information is lost in UD ) SUD and a double conversion UD ) SUD ) UD should give the initial treebank, eventually with additional features.3 But a SUD ) UD conversion generally causes a loss of information and SUD treebanks obtained from a UD conversion are underspecified for some features considered as relevant for the SUD annotation scheme, such as the internal structure of nuclei or of MWEs. As a simple example consider the verbal chain in the sentence I would have left. SUD annotates the hierarchical relation between the three verbs (would! have! left), UD sees a flat structure in these three verbs with the lexical verb (left) at its head. Therefore, the hierarchical relation between would and have is not encoded in UD, and requires language specific heuristics to obtain the correct SUD structure. Theoretical benefits of SUD are presented in Section 2 and completed in Section 3 by UD-compatible SUD innovations. Due to the fact the SUD is richer than UD, we encourage developers of treebank to start with a SUD annotation, which allows them to obtain a high-quality UD treebank, while keeping information that is flattened out in UD. Moreover if a treebank already exists in a third format, it can be easier to convert it into SUD and only then into UD rather than to aim UD directly because of the unconventional lexicalword-centric approach of UD. We may further assume that SUD’s additional richness does not slow down the overall annotation process as it also removes some redundancies of UD. The UD ) SUD and SUD ) UD conversions are presented in Sections 4 and 5, as well as the possibility to customize the conversions for a given language. Section 6 sketches a practical guide for the development of a SUD treebank. 2 Theoretical benefit of SUD We discuss four benefits of SUD compared to UD: a definition of dependency based on distributional criteria, an encoding of the internal structure of nuclei, a definition of syntactic relations based on commutation positional paradigms, and a more symmetrical analysis of coordination. These properties are core elements that cannot be integrated in UD, which is based on different fundamentals. Other benefits of the current SUD annotation that could be adopted in UD are presented in Section 3. 2.1 Definition of dependency based on distributional criteria UD favors relations between content words, while function words are treated as dependents of content words. While it may seem at first view that it is easy to establish the difference between function and lexical words for a new language, it turns out to be a hard task to delimit the content word - function word opposition that is compatible with a coherent non-catastrophic annotation.4 Moreover, supposing that the opposition is semantic or language independent can lead to erasing typologically important structural differences, for example when languages differ precisely in the structure of function words. Relegating all function words as done by UD makes us loose some syntactic information as we will see in the next section. SUD favors a definition of the dependency structure based on a more traditional definition of head: The head of a unit U is the element A that controls the distribution of U. By distribution, we mean what Mel’čuk’s (1988) calls the passive valency, that is, the set of possible syntactic governors for U, or, similarly, the set of syntactic positions that U can occupy. Even if the notion of governor is based on the notion of distribution, we avoid the circularity, because in most cases the question of the head is not controversial, especially for the governor of a sentence. As soon as we can determine units and a head for each unit, we have a dependency structure (Gerdes and Kahane, 2013): B depends on A as soon as A is the head of the unit that A and B form together. This definition of the head is based on formal criteria that we want to recall here because they have often been misstated. Let us consider a unit U = AB. The simplest case is when A or B can stand alone. 3 The lossless conversion might require language-specific rules, see Section 4. We use catastrophe here in a strictly mathematical sense of Thom’s catastrophe theory (Saunders, 1980), i.e. a brutal structural change in a continuum. In the case of annotation, this boils down to very similar constructions ending up with very different syntactic structures, see (Gerdes and Kahane, 2016) for details. In this case the distribution of A or B can be considered and compared with the whole unit U.5 It gives us two criteria. Positive distributional criterion with deletion. If U = AB, A can stand alone (i.e., B can be deleted), and U and A have the same distribution, then A is a head of U. Negative distributional criterion with deletion. If U = AB, B can stand alone, and U and B do not have the same distribution, then A is a head of U. The second criteria can be applied to examples such as U = John ran or U’ = with John, where B = John. Clearly B does not have the same distribution as the clause U or the phrase U’ and then the verb is the head of U and the adposition the head of U’. In the same way, a combination auxiliary-verb such as U = is expected has the auxiliary as head, because the past participle has a different distribution: It can be the dependent of a noun (that’s the guy expected at noon), while is expected can be the dependent of a verb (he knows he is expected).6 It is not needed to delete an element to decide which element is the head, a commutation with another element is sufficient: Distributional criterion without deletion. If U = AB, A can commute with an A’, and U and U’ = A’B does not have the same distribution, then A is a head of U.7 In other words, if B depends on A, then B must not modify the distribution of A and a commutation on B does not change the distribution of the unit it forms with A. For instance, U = with John and U’ = by John have different distributions. In other words, the commutation of with and by change the distribution, which implies that the preposition is the head. The same criteria can be used with the determiner-noun combination: Some nouns such as day (she stayed two days) or time (I will do that (the) next time) have a very special distribution, being able to work as an adverbial phrase, whatever the determiner is. This is a good argument to take the noun as the head, even if there are also arguments to take the determiner as the head. 2.2 Internal structure of nuclei In a recent paper on UD, de Marneffe et al. (2021) justify treating function words as dependents as follows: “Sometimes linguistic head functions are divided between a structural center (an auxiliary or function word) and a semantic center (a lexical or content word), such as for periphrastic verb tenses like has arrived. This is what Tesnière (2015 [1959], ch. 23) refers to as a dissociated nucleus. In such cases, UD chooses the lexical or content word as the head, and makes function words dependents of the head in the dependency tree structure, while recognizing that they do form a nucleus together with the content word.” Nevertheless in case of the presence of multiple function words, Tesnière considers that there is an embedding of nuclei, while UD only considers a flat structure with all function words depending on the same content word and the internal structure of the nucleus is completely lost. For instance, in the sentence of Fig. 1, in Mesoamerica is clearly a nucleus that is put in a comparison with in the Americas and then embedded in than in Mesoamerica.8 The UD analysis does not have a phrase in Mesoamerica. In the UD ) SUD conversion, we use heuristics that are described in Section 4, depending on the order of the function words and their function. In particular, the closer a function word is to the content word, the earlier they combine. The SUD structure of the same sentence is given in Fig. 1 (lower part). 5 When comparing the distribution of two units, we mainly use our intuition. For tricky cases, we also observe the actual distribution in our corpora, but nothing is completely currently formalized. 6 is expected can also be the dependent of a noun, but only if it combine with a relativizer (the guy that is expected at noon) and, in this case, it is the relativizer that is head of the relative clause, because the relativizer change the distribution of is expected. 7 When saying that A’ can commute with A, we are only considering the commutation in the context of B. In other words, this means that A’B is a valid combination and that A and A’ exclude each other in this context (i.e. AA’B is not valid). 8 Note that the analysis of comparative complements is erroneous in English UD treebanks: than in Mesoamerica should depend on more and not on obvious, because more than in Mesoamerica is a valid sub-unit of the sentence and not *obvious than in Mesoamerica. 37 advmod nmod cop case det Nowhere ADV in the ADP ADV was PROPN in the ADP more PRON case case obvious ADV ADJ than ADP in Mesoamerica ADP PROPN comp:pred comp:obj subj Americas DET this AUX mod comp:obj det mod Nowhere Americas DET obl nsubj advmod was PROPN AUX mod this more PRON comp:obj obvious ADV ADJ than ADP comp:obj in Mesoamerica ADP PROPN Figure 1: UD and SUD analysis of Sent ence Nowhere in the Americas was this more obvious than in Meso america. ( GUM textbook history-19) But this heuristic does not work in some cases. For instance, Wolof has a multitude of auxiliaries that are used to focus the subject, a complement, or the verb itself, which will occupy the first place in the clause (Robert, 1991; Bondéelle and Kahane, 2021). The auxiliary na, used to focus a verb, can also focus an auxiliary, as in Fig. 2 where the past imperfective auxiliary doon is focalized by na, which is the head of the nucleus doon na VERB. Here, na is the closest function word to the content word, but it combines last. subj comp:aux det Firnde NOUN sign comp:aux loolu DET this doon AUX IMP.PAST na feeñi AUX VFOC.S3SG VERB appear Figure 2: SUD analysis of the Wolof sentence Firnde loolu doon na feeñi ‘This sign was to be revealed.’ Another problematic case is when there are function words on both sides of the content word. This can be illustrated by the auxiliaries in German, as in sentence (1). (1) Jeder siebte Beschäftigte wird dann seine Kündigung erhalten haben Each seventh employee will then his notice received have ‘One in seven employees will have received their notice by then.’ nsubj aux det advmod amod Jeder DET siebte det Beschäftigte ADJ NOUN wird dann AUX ADV seine Kündigung PRON NOUN det DET siebte ADJ aux erhalten VERB haben AUX comp:aux mod Jeder obj subj Beschäftigte NOUN mod wird AUX det dann ADV seine PRON comp:obj Kündigung NOUN comp:aux erhalten VERB haben AUX Figure 3: UD and SUD analysis of Sentence (1) German is a V2 language, where the finite verbal form always occupies the second position of a declarative sentence, whether it is a content verb or an auxiliary. In (1), the verb has two auxiliaries, wird ‘will’ on the left and haben ‘have’ on the right. The auxiliary on the left, which is in the second position 38 in the sentence and has a finite form, is the root of the syntactic structure, which cannot be guessed from the flat UD structure alone. 2.3 Definition of syntactic relation based on positional paradigms In SUD, two dependents that belong to the same positional paradigm have the same syntactic relations, in accordance with Mel’čuk’s (1988) or Van den Eynde & Mertens’ (2003) definitions, while UD takes also into account the POS of the governor and/or the dependent (see Note 1 about the definition of relations in UD). One advantage of the SUD definition is the possibility to compare the valency of two occurrences of the same lemma and to extract a syntactic lexicon more easily. As UD, SUD uses the notation rel:subrel for a sub-relation of a given relation. Syntactic relations are part of a hierarchy and comp:obj or comp:obl must be understood as sub-relations of a more generic comp relation. Modifiers (mod) and complements (comp) are distinguished, but a super-relation udep (underspecified dependency) can be used if we do not want to make this distinction. We use it for noun dependents and it is used in non-native SUD treebanks for the conversion of the UD obl relation, which gives the udep relation in SUD.9 Figures 4, 5, and 6 give UD and SUD annotations of verb dependents which are respectively modifier, argument and underspecified. Annotations in Figures 4 and 5 are SUD-native and contain a distinction between complements and modifiers, which is kept in the conversion with the UD relations obl:arg, iobj, and obl:mod. Conversely, the sentence in Figure 6 comes from UD E NGLISH -GUM, where the distinction between complements and modifiers is not present for preposition phrases and the conversion to SUD gives us a udep relation. punct punct obl:mod mod iobj Allez VERB case -y en PRON comp:obl confiance ADP NOUN! Allez PUNCT comp:obj -y VERB en PRON confiance ADP! NOUN PUNCT Figure 4: UD and SUD analysis of Allez-y en confiance! ‘Go there with confidence!’ obl:arg case De ADP punct expl:pv qui PRON se PRON comp:obl nsubj moque -t-on VERB punct comp:obj PRON? De PUNCT ADP comp@expl qui PRON se PRON subj moque VERB -t-on PRON? PUNCT Figure 5: UD and SUD analysis of De qui se moque-t-on? ‘Who are we kidding?’ punct punct obl udep case Look VERB at ADP that PRON Look . VERB PUNCT comp:obj at ADP that PRON. PUN CT Figure 6: UD and SUD analysis of Look at that. Additional features on relations are clearly separated from the relation itself, especially when it is semantic information. We use for this the delimiter @. For instance, the semantic value of an auxiliary (tense, passive, causative) can be indicated on the comp:aux relation: comp:aux@tense, comp:aux@pass, comp:aux@caus. Subjects all have the function subj, but expletive or passive subjects can be marked by an additional feature: subj@expl, subj@pass.10 In spoken corpora, the feature @scrap has been used for incomplete units. This feature is particularly useful for error mining: 9 UD uses the obl relation for all adpositional phrases depending on a verb, but for clauses depending on a verb, a distinction is made between complements (ccomp or xcomp) and modifiers (advcl for adverbial clauses). 10 Contrary to UD, SUD does not have an expl relation for expletives. We consider that it in it is impossible to do that, is above all a normal subject and is analysed as subj@expl. 39 for instance, a relation between a verb and a determiner (in an incomplete sentence such as I see the... ) should not be allowed without a @scrap. 2.4 A more symmetrical analysis of coordination In UD, the dependent shared by all the conjuncts are attached to the head of the coordination, the leftmost conjunct. nmod case conj det amod Good ADJ cc food NOUN amod and coffee CCONJ with NOUN ADP a nice DET atmosphere ADJ NOUN comp:obj conj mod Good ADJ Shared=Yes det cc food NOUN and CCONJ mod coffee NOUN mod with ADP Shared=Yes a DET nice ADJ atmosphere NOUN Figure 7: UD and SUD annotation of Good food and coffee with a nice atmosphere In the example of Fig. 7, from the UD E NGLISH -EWT corpus, there are two modifiers of the coordination food and coffee: a left modifier Good and a right modifier with a nice atmosphere. Since the right modifier is after the second conjunct, the UD annotation has only one interpretation: It cannot be the modifier of the first conjunct alone but only of the coordination as a whole. However, for the left modifier, the UD annotation does not indicate whether it is a modifier of food only or of food and coffee. This is an unfortunate asymmetry. In SUD, as in UD, the head of the coordination is the head of the leftmost conjunct, but for the dependents, the annotation is perfectly symmetrical. They are attached to the nearest conjunct: the left to the leftmost conjunct and the right to the rightmost conjunct. In order to indicate which dependents are shared, we introduce the feature Shared with values Yes and No. Conversions of UD treebanks, only give a partial instantiation of the Shared feature. In the native SUD F RENCH -GSD, Shared=Yes features have been systematically introduced. Note also the considerably shorter overall dependency lengths of the SUD annotation scheme, which is not only cognitively more plausible but also facilitates manual annotation and correction. 3 UD-compatible SUD innovations This section presents features of the SUD annotation scheme that could, and we believe should, be integrated into the UD annotation guidelines. For now, the SUD ) UD conversion will encode these SUD features as optional additional information in the MISC column. 3.1 Internal structure of Multi-Word Expressions Multi-Word expressions (MWE) cover a wide heterogeneous field of constructions such as use of foreign words that have no internal structure in the host language (Burkina Faso, Hong Kong, ad hoc), or completely regular structures in named entities (the Embassy of Ecuador in London, the United States). Interesting from a syntactic point of view is another set of phenomena: constructions that have a regular internal structure but that intervene as a whole at an unexpected point in the sentence. For example, in order (to VERB) is analyzed as an MWE in English treebanks, as shown in Fig. 8 (upper part) from UD E NGLISH -GUM, with a fixed relation between in and order. Even if in order is semantically frozen it is nevertheless a syntactically regular preposition-noun combination. In native SUD, the sentence is analyzed with the standard comp:obj relation between in and order (the noun is the object of the adposition) and the idiomaticity is encoded by additional features Idiom=Yes on the head and InIdiom=Yes on the other elements. mark obl:tmod aux We PRON subj We PRON must act AUX comp:aux must AUX today VERB NOUN fixed in SCONJ mod mod act VERB mark order NOUN to PART comp:obj comp:obj today NOUN in ADP ExtPos=ADV Idiom=Yes order NOUN InIdiom=Yes obj preserve comp:obj to PART tomorrow VERB NOUN comp:obj preserve VERB tomorrow NOUN Figure 8: UD and SUD annotation of Multi-Word Expressions Moreover, we consider that in order as a whole works as an adverb, which is encoded in SUD by the feature ExtPos=ADV (for external POS).11 Of course, this SUD analysis translates into a different UD analysis, because adverbs are analyzed as content words.12 Arguably, the UD analysis would have been different if the internal structure of the MWE had been taken into account. 3.2 Textform and wordform It was identified in UD that, in several places, syntactic units do not exactly correspond to orthographic units given in the raw text.13 For instance, in French the orthographic unit au is a contraction of two syntactic units: the preposition à and the determiner le (such amalgams are called Multi-Word Tokens or MWT). With a focus on syntax, it is natural to consider syntactic units as the basic units of annotation; this is what is done both in UD and in SUD. However, it is necessary to keep all the information and to also encode the orthographic unit when it differs from the units of the structure. The UD guidelines14 introduce the CoNLL-U format with a dedicated mechanism with a new type of line describing a range of tokens (2-3 in the example below) to store the contracted form. The main drawback of this solution is that the syntactic dependency structure, being based on the syntactic units, does not refer to the orthographic units which are then not easily accessible for tools working on the syntactic structure. Having access to these orthographic units is useful for parsing. There are other cases where an orthographic unit is different from a canonical token. For instance, for several languages, uppercase letters are used at the beginning of a sentence, in specific usages for naming institutions (the White House), in titles (What the Moon Brings [GUM fiction moon-1]), or for emphasis (YES!). It is useful to encode the canonical form in these cases, as it allows for an improved data analysis, performing linguistic queries on canonical forms.15 We propose a new way to encode the orthographic information in these two cases (MWTs and noncanonical forms) with two new features: textform, which always contains orthographic data and wordform which always contains a canonical lexical form (see Table 1 for examples). 11 English has adverbs taking a to VERB complement, such as up, next, about, or prior, but there are no subordinating conjunctions with this valency. 12 In order to keep a function word status for in order, in has been analyzed in the UD analysis of Fig. 8 as a subordinating conjunction (SCONJ, as in all occurrences of in order in UD E NGLISH -GUM, version 2.8), which is surprising to say the least. 13 Here, orthographic means the actually observed letters in input text. universaldependencies format #words-tokens and empty nodes 15 Note that this canonical form may not be trivial to recover. In French, diacritics are optional on upper-case letters, and an A as the first word can be either the preposition à (ex: à qui tu penses? ‘who are you thinking of?’) or a verbal form a (a-t-il choisi? ‘has he chosen?’). 41 [fr ] au [en] wanna [en] The [fr] Le maison [en] egg plant [en] NEEEVERR form à le want to The Le egg plant NEEEVERR lemma à le want to the le egg plant never textform au wanna [The] [Le] [egg] [plant] [NEEEVERR] wordform [à] [le] [want] [to] the le eggplant CorrectForm neeeverr never La Table 1: Examples on the usage of features textform, wordform and CorrectForm. The main advantage is that, using features, all information is available in the units used in the syntactic structure and it makes it possible to use these features in any tool (for querying the treebank, for conversion... ). It might seem appealing to use these features for encoding typ os as well. But, there may be conflicts, as shown for the phrase [fr] Le maison : Le must be corrected in La (the gender of maison is feminine) but also be normalised into le. So, we decided to use the feature CorrectForm (already used in other UD treebanks) in case of typos, to express the way it should be written. In order to avoid having an overly verbose CoNLL file, we propose in practice, to explicitly record textform and wordform only when they are different from the feature form (column 2 in CoNLL). In Table 1, square brackets are used to show feature values which are not stored in the CoNLL file . 4 The conversion UD ) SUD Our approach of the conversion between different syntactic annotations is based on graph rewriting. Each annotation is seen as a graph and the conversion of an annotation into another annotation is performed by applying a sequence of local graph rewriting rules. For this, we use the GREW tool16. In Grew, a Grew Rewriting System (GRS) is a set of rewriting rules organized into strategies such that these rules can be ordered, iterated and grouped into packages.17 Since SUD is richer than UD, a universal UD ) SUD GRS can only approximate the correct SUD annotation due to the lack of information in the UD annotation, and the adaptation of the GRS to each language is crucial. 4.1 The universal conversion UD ) SUD The universal UD ) SUD system has five main tasks to perform: 1. Replacing UD dependency labels with SUD dependency labels. 2. Reversing some dependencies between function words and lexical words to change the heads of adpositional phrases, subordinate clauses, and verb-auxiliary pairs. 3. Shifting the source of some dependencies as the result of reversing dependencies. 4. Attaching the right dependents of coordinations to the rightmost conjunct, whereas in UD they are attached to the leftmost conjunct, the coordination head (see Section 2.4). 5. Transforming bouquets of coordinated elements into sequences, marking embedded coordinations with the emb extension added to conj relations. 16 https://grew.fr/ All GRS described in this section are available on https://github.com/surfacesyntacticud/tools/ tree/master/converter 17 42 These tasks are not independent of each other and although they can most often be carried out in any order, their forms depend on this order and sometimes one order is more relevant than another. The universal UD ) SUD GRS contains 89 rules grouped into 20 packages. As said above, a conversion of an UD annotation into a SUD annotation is necessarily approximate. The lack of information is particularly problematic in four cases: 1. when several function words depend on the same lexical word in UD (see Section 2.2), 2. when a UD dependency from a lexical word to a function word has to be reversed, some of its dependents has to be transferred to the function word but there is usually no indication on which dependents have to be transferred, 3. to decide whether left dependents of a coordination head are dependent of the whole coordination or of the head alone, 4. when idioms have an internal structure, which is not represented in UD and cannot be recovered in the conversion. For the first problem, we assume that the further a function word is from the content word, the higher it is in the dependency structure, but there are cases that cannot be solved by such an heuristic, as shown with auxiliaries in Wolof and German (Section 2.2), and our conversion necessarily produces errors without a language-by-language customization. For the second problem, we have implemented some rules for specific cases: for instance, the subject moves to the auxiliary, while the complements stay on the lexical verb. For modifiers, it is more complex and we resort to word order, preserving the projectivity as much as possible, but only a language-specific and lexicon-based conversion could ensure a perfect structure. For the third problem, we use heuristics to decide. For example, if the leftmost conjunct of a coordination has a subject to its left and the other conjuncts have no subject, we consider that the subject is shared by all conjuncts. For the fourth problem, UD flat structures of idioms are converted into SUD flat structures. 4.2 Customization of the UD ) SUD conversion We have presented default solutions that minimize errors in the UD ) SUD conversion. By customizing the GRS for specific languages, we can further reduce the errors. For the case of several function words depending on the same lexical word, our architecture allows us to attribute a feature level to dependencies being to reverse with a value that gives its priority in the reversing process. For instance in French, cop dependencies are assigned a bigger priority than aux dependencies, which means that in case of competition cop dependencies must be reversed before aux dependencies. Such a rule is needed when the predicate has been extracted as in Fig. 9. mod:relcl ce PRON que PRON comp:pred cop aux:tense nsubj nous PRON mod@relcl subj avons AUX été AUX ce PRON que PRON nous PRON comp:aux@tense avons AUX été AUX Figure 9: UD ( left) and SUD ( right) trees for ce que nous avons été ‘what we have been ’ For the moment, the UD ) SUD conversion has been customized for French and Wolof. For French, a lexicon of modifiers that must move to the auxiliary has been developed. For Wolof, the level mechanism is used to take into account the case described in Section 2.2. 5 The conversion SUD ) UD Since SUD is richer than UD, we should have no difficulty in designing a universal GRS that converts any SUD annotation of a corpus in any language into an UD annotation. This is globally true but conversion sometimes requires adaptation to the specificity of the language. The universal SUD ) UD GRS must perform the same tasks as the universal UD ) SUD GRS (see Section 4.1), but in the opposite direction, and the rule order is not the same. It currently contains 94 rules grouped into 20 packages. In UD, the label of a dependency takes into account not only the syntactic function realized by the dependency but possibly the POS of the governor and the POS of the dependent. For example, the SUD mod dependency is converted into a UD advmod, amod, nmod, obl or advcl dependency, and knowledge of governor’s and dependent’s POS does not always identify the dependency label. In specific contexts, some words are not used in their usual syntactic function and this use depends on the language. For example, a SUD mod dependency from a verb to a noun is by default a UD obl dependency, but there are exceptions. Examples (2) from UD-E NGLISH -GUM illustrate respectively the two cases. (2) (a) Many times prideful people have a serious ‘my-way’s-the-only-way’ attitude. (b) An undistinguished student and an unskilled cricketer, he did represent the school. In SUD, the dependencies have! times (2a) and represent! student (2b) are both mod dependencies. The first one becomes an obl dependency in UD, whereas the second one becomes an advcl dependency because the noun phrase an undistinguished student and an unskilled cricketer is considered as a clause with an ellipsis equivalent to being an undistinguished student and an unskilled cricketer. Since there is no universal criterion to distinguish the two cases, we have designed a SUD ) UD conversion rule, which transforms mod relations into advcl relations if the governor is a verb and the dependent is a non-temporal nominal preceding the verb, but such a rule only works for certain languages, French and English in particular. Since the rule requires distinguishing temporal nominals, we chose to link the conversion rule to a lexicon. Another solution would have been to mark temporal nominals in the corpus (as it is done in some treebanks with the tmod extension). Another difficulty in the SUD ) UD conversion is that the definition of some UD relations takes into account semantic properties. In particular, the relation between a verb and an argument clause is denoted xcomp if the subject of the object clause is controlled by the main verb. Otherwise, the relation is denoted ccomp. Consider the following examples extracted from the F RENCH -GSD corpus. (3) (a) les mesures visant à développer l’accord ‘measures (aiming) to develop the agreement’ (b) Le tourisme commence à se développer. ‘Tourism is starting to develop.’ The UD annotation of (3a) includes a visant [ccomp]! développer dependency, whereas the UD annotation of (3b) includes a commence [xcomp]! développer dependency. In SUD, both dependencies are denoted comp:obl according to the fact that the definition of syntactic relations is based on positional paradigms (see Section 2.1). To choose between xcomp and ccomp in the SUD ) UD conversion of these relations, a way is to use a lexicon of control verbs and a conversion rule, which uses this lexicon. A major drawback is that you it should be done for each language separately. To avoid this drawback, another way is to mark the relations of the control verbs to the concerned argument with a special feature. That is what is done with the extension @x in the SUD annotation. The method we just described for improving the UD annotation resulting from the conversion can be used to take into account the idiosyncrasies of some languages. The diverse interests behind treebank development regularly lead to some idiosyncratic enrichment of the annotation. UD responds to this need with the option of adding language (or treebank) specific subrelations and features, and SUD naturally follows this approach. If and only if the SUD treebank developers have added new subrelations or features and want them to be taken into account when translating to UD, they must add these idiosyncratic rules to the universal SUD ) UD GRS. For the time being, the SUD ) UD conversion has been customized for French (by inserting two rule packages in the universal GRS), Naija, and Beja. For Beja, which is a strongly head-final language, coordinations have been analyzed in SUD by head-final conj relations (see (Kanayama et al., 2018) for a similar analysis in Japanese and Korean). As conj relations must always be head-initial in UD, we have added an ad hoc conversion to a dep:conj relation, but it is possible to customize the conversion in another way, for instance, by reversing the direction of conj relations. 44 On the train part of SUD F RENCH -GSD, the language-specific customization fixes 1.2% of the 400,220 dependencies in the UD ) SUD direction and 0.4% in the other direction (i.e threes times less, which is not surprising). The low percentage shows that idiosyncratic customization can be ignored at first when starting a SUD treebank as the universal SUD ) UD conversion amply does the trick. The lack of gold annotation in UD and SUD does not allow a direct evaluation of our SUD ) UD and UD ) SUD conversion tools, but we have done an indirect evaluation, using double conversion. The SUD ) UD conversion followed by the UD ) SUD conversion on the SUD F RENCH -GSD corpus gives 6231 different dependencies out of 400,220 dependencies, i.e. 1.56% of the total, between the resulting annotation and the initial annotation. The UD ) SUD conversion followed by the SUD ) UD conversion on the UD F RENCH -GSD corpus gives 90 different dependencies out of 400,220 dependencies, i.e. 0.02% of the total, between the resulting annotation and the initial annotation. This highlights that SUD is richer than UD. A closer look at the differences in the first double conversion shows that 82% are due to the flattening of idiomatic structures in UD, the rest coming from the ambiguity of UD in the dependencies on coordinations and nuclei. 6 A practical guide for the development of a SUD treebank Several tools are already available for helping the start of a new treebank in SUD. G REW- MATCH (Guillaume, 2021) is an on-line graph query tool which is dedicated to linguistic structures and in particular dependency graphs. It can be used during annotation in order to have a transversal view on already annotated data which helps to take consistent decisions on new annotations. During the maintenance of the corpora, it also helps to ensure global consistency and to do error-mining. G REWMATCH can be easily coupled with the two UD, SUD conversion systems and gives access to the parallel view of both annotation schemes: you can search in SUD and see also the UD corresponding structure and the reverse. The whole annotation process can be managed through the A RBORATOR G REW18 annotation platform (Guibon et al., 2020): user handling, access control, manual edition of the data... G REW- MATCH requests are also available through the A RBORATOR G REW platform and detected inconsistencies can be corrected directly. In A RBORATOR G REW, the user have also access to some specific tools: • A lexicon-based view of the treebank for detecting inconsistencies in the annotation of the different occurrences of a form or a lemma • Automatic graph transformation for the correction of regular errors or for applying changes in the annotation decisions (in the sentence-based as well as in the lexicon-based view of the treebank) A validation page for SUD treebank is available through G REW- MATCH. It checks that structures are well-formed and helps keeping consistent decisions during the annotation process. Through the conversion to UD, the validation of the UD data adds another layer of verification. Comparing the output of the double conversion SUD ) UD ) SUD with the original data is an additional way to obtain valuable feedback on the annotated data. It should be noted that in the particular case where a UD treebank already exists, the universal conversion should be tested to verify that the internal structure of the nuclei matches the expected structure. If this is not the case, the conversion may need to be customized as explained in Section 4. 7 Conclusion SUD is not just a richer and easier annotation scheme than UD that can automatically be converted to UD. Importantly, SUD’s distributional criteria facilitate and homogenize the annotation choices, resulting in treebanks that enable typological measures across languages. Also, a rich set of tools is available that allow for a kick-start in annotation of raw or partially annotated data. Several SUD treebanks exist that can serve as examples, with more in the pipeline. Go SUD! :// borator.github i s Olivier Bondéelle and Sylvain Kahane. 2021. Les particules verbales du wolof et leur combinatoire syntaxique et topologique. Bulletin de la Société de Linguistique de Paris, 115(1):391–465, January. Marie-Catherine de Marneffe, Christopher D. Manning, Joakim Nivre, and Daniel Zeman. 2021. Universal Dependencies. Computational Linguistics, 47(2):255–308, 07. Matthew S. Dryer. 1992. The greenbergian word order correlations. Language, 68(1):81–138. Kim Gerdes and Sylvain Kahane. 2013. Defining dependencies (and constituents). Frontiers in Artificial Intelligence and Applications, 258:1–25. Kim Gerdes and Sylvain Kahane. 2016. Dependency annotation choices: Assessing theoretical and practical issues of universal dependencies. In LAW X (2016) The 10th Linguistic Annotation Workshop: 131. Kim Gerdes, Bruno Guillaume, Sylvain Kahane, and Guy Perrier. 2018. SUD or surface-syntactic Universal Dependencies: An annotation scheme near-isomorphic to UD. In Proceedings of the Second Workshop on Universal Dependencies (UDW 2018), pages 66–74, Brussels, Belgium, November. Association for Computational Linguistics. Kim Gerdes, Bruno Guillaume, Sylvain Kahane, and Guy Perrier. 2019. Improving surface-syntactic Universal Dependencies (SUD): MWEs and deep syntactic features. In Proceedings of the 18th International Workshop on Treebanks and Linguistic Theories (TLT, SyntaxFest 2019), pages 126–132, Paris, France, August. Association for Computational Linguistics. Gaël Guibon, Marine Court , Kim Gerdes, and Bruno Guillaume. 2020. When Collaborative Treebank Curation Meets Graph Grammars. In LREC 2020 - 12th Language Resources and Evaluation Conference, Marseille, France, May.
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https://arxiv.org/abs/2404.14532
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The class of Krasner hyperfields is not elementary
Piotr B{\l}aszkiewicz and Piotr Kowalski
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The class of Krasner hyperfields is not elementary Piotr Błaszkiewicz♣ ♠Instytut Matematyczny Uniwersytet Wrocławski Wrocław Poland piotr.blaszkiewicz@math.uni.wroc.pl and Piotr Kowalski♠ ♠Instytut Matematyczny Uniwersytet Wrocławski Wrocław Poland pkowa@math.uni.wroc.pl http://www.math.uni.wroc.pl/~pkowa/ ###### Abstract. We show that the class of Krasner hyperfields is not elementary. To show this, we determine the rational rank of quotients of multiplicative groups in field extensions. Our argument uses Chebotarev’s density theorem. We also discuss some related questions. ♣ Supported by the Narodowe Centrum Nauki grant no. 2021/43/B/ST1/00405. ♠ Supported by the Narodowe Centrum Nauki grant no. 2021/43/B/ST1/00405. 2020 Mathematics Subject Classification Primary 03C60; Secondary 16Y20. Key words and phrases. Hyperfield, Elementary class, Chebotarev’s density theorem. ## 1\. Introduction The notion of a hyperfield (_hypercorps_) was introduced first by Marc Krasner in [12] as a tool to study valued fields. In his later paper [13], he introduced the quotient construction of a hyperfield from a given field and a subgroup of its multiplicative group (see Theorem 2.2). The question whether all hyperfields come from this quotient construction has been an open problem until the example of Massouros, who showed in [17] that it is not the case. Nevertheless, the class of Krasner hyperfields (i.e., hyperfields obtained by this quotient construction) contains a lot of known examples of hyperfields. Among them, there are the hyperfields known as RV- sorts, which are studied in the model theory of valued fields. They were first introduced by Joseph Flenner in his PhD thesis [7] as a tool to obtain (relative) quantifier elimination for valued fields. Flenner proved that RV- sorts are bi-interpretable with $amc$-structures (three sorted structures) introduced by Franz-Viktor Kuhlmann in [14]. Currently, hyperfields in the form of RV-sorts are one of the main objects used to study model theory of valued fields (see e.g. [2, 15, 21, 22]). In view of the usefulness of Krasner hyperfields for the model theory of valued fields discussed above, we were motivated to study model theoretical properties of Krasner hyperfields themselves. Since the definition of Krasner hyperfields is purely algebraical, the first question we faced was: “Is the class of Krasner hyperfields elementary?”. Based on the results of Alain Connes and Caterina Consani from [3], we show in this paper that this class is _not_ elementary. The paper is organized as follows. In Section 2, we collect the necessary facts and results about hyperfields as well as results from field theory. In Section 3, we prove our main algebraic result (Theorem 3.3) and use it to show that the class of Krasner hyperfields is not elementary (Corollary 3.9). In Section 4, we quickly state and prove this algebraic result in its proper generality (Theorem 4.1) and discuss some model-theoretical problems related with hyperfields and the algebraic methods used in this paper (Question 4.2 and Conjecture 4.3). We would like to thank Franz-Viktor Kuhlmann for his careful reading of this paper and his suggestions for improvement. Last but not least we would like to thank the members of the Wrocław model theory seminar for their insightful questions and comments concerning this paper. ## 2\. Preliminaries In this section, we introduce the necessary notions we are going to use throughout this paper (or we cite the necessary sources). Further we will present the results from the paper of Alain Connes and Caterina Consani [3], where (among other things) they studied connections between Krasner hyperfields and projective geometries. Finally, we state the Chebotarev’s density theorem which will play a crucial role in the arguments in Section 3. Not everything from this section is directly needed for the arguments in Section 3, e.g. Theorem 2.11, Facts 2.13, 2.14, or Remark 2.16 will not be used directly. However, we hope that these extra results provide a greater picture and they also show how to avoid possible “wrong paths” in the main argument. ### 2.1. Hyperfields The notion of a hyperfield, as one could expect, generalises the one of a field. The twist is that the addition is a multivalued operation, so instead of an element it returns a nonempty set. ###### Definition 2.1. A hyperfield is a tuple $(\mathcal{H},+,\cdot,0,1)$ where $(\mathcal{H},\cdot,1)$ is an abelian group and $+:\mathcal{H}\times\mathcal{H}\rightarrow\mathcal{P}(\mathcal{H})\setminus\\{\emptyset\\}$ satisfies the following axioms, where $x,y,z\in\mathcal{H}$ and $+,\cdot$ are naturally extended to subsets of $\mathcal{H}$: * • $x+y=y+x$ (commutativity), * • $(x+y)+z=x+(y+z)$ (associativity), * • for each $x\in\mathcal{H}$, there is a unique $-x\in\mathcal{H}$ such that $0\in x+(-x)$ (unique inverse), * • $z\in x+y\Rightarrow y\in z+(-x)$ (reversibility), * • $x+0=\\{x\\}$ (neutral element), * • $z\cdot(x+y)=z\cdot x+z\cdot y$ (distributivity). Note that every field can be viewed as a hyperfield in the obvious way. For more details and preliminary notions concerning hyperfields (such as homomorphisms, hyperideals, etc.) we direct the reader to [4, 10, 16]. We state now the theorem of Krasner which was mentioned in the introduction. ###### Theorem 2.2. Let $K$ be a field and $G$ a subgroup of $K^{\times}$. The quotient $K^{\times}/G$ together with an extra element $0$ and $+,\cdot$ defined as: * • $aG\cdot bG:=abG$, * • $aG+bG:=\\{(x+y)G\mid x\in aG,y\in bG\\}$ forms a hyperfield, where $1=G$. ###### Notation 2.3. We will abbreviate $(K^{\times}/G)\cup\\{0\\}$ from Theorem 2.2 as $K/G$. ###### Definition 2.4. If a hyperfield $\mathcal{H}$ is isomorphic to $K/G$ (as in Notation 2.3), then we call it a Krasner hyperfield. ### 2.2. Projective geometries and CC-hyperfields The material of this subsection comes from [3]. We introduce first the definition of $CC$-hyperfields. ###### Definition 2.5. We call a hyperfield $(\mathcal{H},+,\cdot,0,1)$ a $CC$-hyperfield, if $\forall x\in\mathcal{H}\ \ x+x=\\{x,0\\}.$ ###### Remark 2.6. The name “$CC$-hyperfield” does not appear anywhere except this paper. In particular, it was not used in [3] where hyperfields with this property were studied. However, the name used in [3] is quite technical (“hyperfield extensions of the Krasner hyperfield $\mathbf{K}$”) and, for simplicity, we decided to refer to this class of hyperfields as $CC$-hyperfields. There is the following nice description of Krasner CC-hyperfields. ###### Proposition 2.7 (Proposition 2.7 in [3]). Let $K$ be a field and $G$ be a subgroup of $K^{\times}$. Assume that $G\neq\\{1\\}$. Then the hyperfield $K/G$ is a $CC$-hyperfield if and only if $\\{0\\}\cup G$ is a subfield of $K$. The class of CC-hyperfields is also closely related to _projective geometries_ (in the sense of _incidence geometry_ , for the necessary notions see e.g. [1]). ###### Proposition 2.8 ([3] Proposition 3.1). If $\mathcal{H}$ is a CC-hyperfield, then there is a unique projective geometry on $\mathcal{H}\setminus\\{0\\}$ such that for distinct $x,y\in\mathcal{H}\setminus\\{0\\}$, the unique line through $x$ and $y$ coincides with $\\{x,y\\}\cup x+y$. ###### Notation 2.9. We will denote the above projective geometry by $\mathcal{P}_{\mathcal{H}}$. ###### Remark 2.10. If $\mathcal{H}$ is a Krasner CC-hyperfield, then the corresponding projective geometry $\mathcal{P}_{\mathcal{H}}$ is the classical one, which we will see below. By Proposition 2.8, $\mathcal{H}=L/K^{\times}$, where $K$ is a subfield of $L$. Then we can view $L$ as a vector space over $K$ and consider the classical projective geometry associated to this vector space. This geometry happens to be exactly the projective geometry associated to the CC-hyperfield $L/K^{\times}$. In particular, such a projective geometry is always _Desarguesian_ and we have $\dim\left(\mathcal{P}_{\mathcal{H}}\right)+1=[L:K].$ We finish this subsection with a result from [3] which will tell us later that we need to focus on Krasner CC-hyperfields of dimension one, where by the dimension of a CC-hyperfield, we always mean the dimension of its associated projective geometry. ###### Theorem 2.11 ([3] Theorem 3.8). Let $\mathcal{H}$ be a $CC$ hyperfield. Assume that the projective geometry $\mathcal{P}_{\mathcal{H}}$ is Desarguesian and of dimension at least 2. Then there exists a unique pair $(L,K)$ where $L$ is a field, and $K$ is its subfield such that $\mathcal{H}=L/K^{\times}.$ ### 2.3. Model theory In this subsection, we specify the model-theoretical set-up which is needed to work with hyperfields. We also show several reduction results. We start with specifying the first-order language of hyperfields. ###### Definition 2.12. Let us set the language of hyperfields as the tuple $(\oplus,\ominus,\odot,^{-1},\underline{0},\underline{1})$, where: * • $\odot$ is a binary function symbol interpreted as a multiplication, * • -1 is unary function symbol interpreted as a multiplicative inverse, * • $\oplus$ is a ternary relation symbol encoding the hyperaddition (so, in a hyperfield we will have: $\oplus(x,y,z)$ if and only if $z\in x+y$), * • $\ominus$ is a unary function symbol encoding the additive inverse (so, $\oplus(x,\ominus x,0)$ holds in a hyperfield), * • $\underline{1}$ and $\underline{0}$ are constant symbols corresponding to the neutral elements of the multiplication and the hyperaddition respectively. Clearly, the class of hyperfields can be first-order axiomatized in the language above. Let us state the following well-known result. ###### Fact 2.13. The class $\mathcal{C}$ of structures (in a fixed language) is elementary if and only if $\mathcal{C}$ is closed under elementary equivalence and under ultraproducts. As a simple consequence of Łoś’s theorem, one obtains the following. ###### Fact 2.14. The class of Krasner factor hyperfields is closed under ultraproducts. Therefore, we will aim to show that the class of Krasner hyperfields is not closed under elementary equivalence. We see below that we can restrict ourselves to the class of Krasner CC-hyperfields. ###### Lemma 2.15. If the class of Krasner hyperfields is elementary, then the class of Krasner CC-hyperfields is elementary. ###### Proof. It is obvious, since the condition $(\forall x)(x+x=\\{0\\})$ is clearly definable in the language from Definition 2.12. ∎ ###### Remark 2.16. All the assumptions from Theorem 2.11 can be expressed as first-order sentences in the language of hyperfields introduced above (using the explicit definition of the associated projective geometry from Proposition 2.8). Hence, we obtain that the class of Krasner $CC$-hyperfields of dimension at least 2 _is_ elementary. Because of Remark 2.16, we need to focus on one-dimensional Krasner CC- hyperfields. For convenience, we give names to the following two classes. ###### Notation 2.17. 1. (1) Let $\mathcal{K}$ denote the class of Krasner CC-hyperfields of dimension one. 2. (2) Let $\mathcal{K}^{\times}$ denote the class of groups which are of the form $L^{\times}/K^{\times}$, where $K\subseteq L$ is a field extension of degree 2. The next observation explains why the class of groups from Notation 2.17(2) is important for us. ###### Fact 2.18. Let $\mathcal{H}\in\mathcal{K}$. Then we have the following. 1. (1) $\mathcal{H}$ is isomorphic to $L/K^{\times}$ where $L$ is a field, $K$ is its subfield and $[L:K]=2$. 2. (2) The hyperaddition in $\mathcal{H}$ is given by the following formula: $\displaystyle x+y=\mathcal{H}\setminus\\{0\\}\mbox{ for x $\neq$ y $\neq$ 0,}$ $\displaystyle x+x=\\{x,0\\},$ $\displaystyle x+0=0+x=\\{x\\},$ so it is definable in the language $\\{\underline{0}\\}$ (just one constant symbol). ###### Proof. Item (1) follows from Remark 2.10, since $\dim(\mathcal{P}_{\mathcal{H}})=1$ if and only if $\mathcal{H}$ comes from a field extension of degree 2. Item (2) follows again from Remark 2.10 (and Proposition 2.8), since $\dim(\mathcal{P}_{\mathcal{H}})=1$ implies that there is only one line in the projective geometry $\mathcal{P}_{\mathcal{H}}$ and this line is the whole space. ∎ We need one more result from [3] saying that some hyperfields are definable just from their multiplicative structure. Such a phenomenon is impossible for fields and this is the base of our proof of the main result of this paper (Corollary 3.9). ###### Fact 2.19 (Proposition 3.6 in [3]). Let $(G,\cdot)$ be a commutative group (written multiplicatively) of order at least 4. We define $\mathcal{H}_{G}$ as $G\cup\\{0\\}$, where $0$ is a new symbol and extend the group operation on $G$ to the commutative monoid structure on $\mathcal{H}_{G}$ by setting $x\cdot 0=0=0\cdot x$. If we define the hyperaddition $+$ on $\mathcal{H}_{G}$ as in Fact 2.18(2), then $(\mathcal{H}_{G},+,\cdot)\in\mathcal{K}$ (see Notation 2.17(1)). As a consequence, we directly obtain the following. ###### Lemma 2.20. If the class of Krasner CC-hyperfields is elementary, then the class $\mathcal{K}$ is elementary. ###### Proof. By Facts 2.18 and 2.19, if $\mathcal{H}$ is a Krasner CC-hyperfields, then $\mathcal{H}\in\mathcal{K}$ if and only if the hyperaddition in $\mathcal{K}$ is given by the formula as in Fact 2.18(2), which is clearly a first-order condition. ∎ The following easy results outline the further connections between the classes $\mathcal{K}$ and $\mathcal{K}^{\times}$. ###### Lemma 2.21. Let $G$ and $H$ be commutative groups and $\mathcal{H}_{G},\mathcal{H}_{H}$ be the corresponding hyperfields as in Fact 2.19. If $G$ and $H$ are elementarily equivalent (as groups), then $\mathcal{H}_{G}$ and $\mathcal{H}_{H}$ are elementarily equivalent (as hyperfields). ###### Proof. Assume that $(G,\cdot)\equiv(H,\cdot)$. By the uniform definition of the monoid operation in $\mathcal{H}_{G},\mathcal{H}_{H}$, we get that $(\mathcal{H}_{G},\cdot)\equiv(\mathcal{H}_{H},\cdot)$. Since the hyperaddition in $\mathcal{H}_{G},\mathcal{H}_{H}$ is defined by the same formula in the monoid language (we actually only need the extra constant as in Fact 2.18), we get that $(\mathcal{H}_{G},+,\cdot)\equiv(\mathcal{H}_{H},+,\cdot)$. ∎ ###### Lemma 2.22. If the class $\mathcal{K}$ is elementary, then the class $\mathcal{K^{\times}}$ is closed under elementary equivalence. ###### Proof. Assume that the class $\mathcal{K}$ is elementary. Let us take $G\in\mathcal{K^{\times}}$, so there is a hyperfield $\mathcal{H}\in\mathcal{K}$ such that $G$ is the multiplicative group of $\mathcal{H}$. By Facts 2.18 and 2.19, we get that $\mathcal{H}=\mathcal{H}_{G}$ (as hyperfields). We also take a group $H$ such that $G\equiv H$. By Lemma 2.21, we get that $\mathcal{H}_{H}\equiv\mathcal{H}_{G}=\mathcal{H}$. Since the class $\mathcal{K}$ is elementary, we obtain that $\mathcal{H}_{H}\in\mathcal{K}$. Therefore, $H\in\mathcal{K}^{\times}$, which we needed to show. ∎ With those results at hand, it is enough to show that the class $\mathcal{K}^{\times}$ is not closed under elementary equivalence, which we will do in Section 3. In the next subsection, we will describe the necessary algebraic tools to obtain this result. ### 2.4. Chebotarev’s density theorem We will use one classical result which is a consequence of Chebotarev’s density theorem. We need some terminology first (see [8, Chapter 6]). Assume that $K\subseteq L$ is a finite Galois extension, where $K$ is either a number field or the field of rational functions ${\mathds{F}}_{q}(X)$ over a finite field. Let $\mathcal{O}_{K},\mathcal{O}_{L}$ be the integral closures of ${\mathds{Z}}$ or ${\mathds{F}}_{q}[X]$ in $K$ and $L$ respectively. Then $\mathcal{O}_{K}$ and $\mathcal{O}_{L}$ are Dedekind rings, hence each non- zero ideal decomposes uniquely into a finite product of maximal ideals. It is also well-known that if $P$ is a maximal ideal of $\mathcal{O}_{K}$, then we have $P\mathcal{O}_{L}=Q_{1}\cdot\ldots\cdot Q_{k}$, where $Q_{i}$ are maximal ideals of $\mathcal{O}_{L}$ and $k\leqslant[L:K]$. If $k>1$ and the ideals $Q_{1},\ldots,Q_{k}$ are pairwise distinct, then we say that $P$ _splits_ in $L$. If $P$ splits in $L$, and if $k=[L:K]$, then we say that $P$ _splits completely_ in $L$. In the case of a degree two extension, which is the situation corresponding to the class $\mathcal{K}$ from Notation 2.17(1), the notions of splitting and splitting completely coincide. We need the following consequence of Chebotarev’s density theorem. ###### Theorem 2.23. Let $K\subseteq L$ be a finite Galois extension as above. Then there are infinitely many maximal ideals in $\mathcal{O}_{K}$ which split completely in $L$. ###### Proof. This directly follows from [8, Exercise 5(a), page 129] together with [8, Theorem 6.3.1] (Chebotarev’s density theorem) and its interpretation stated in the paragraph before it (the sets of density $0$ are finite). ∎ ## 3\. Rational rank In this section, we prove the main results of this paper (Theorem 3.3 and Corollary 3.9). We need the following notion (see [6, Section 3.4]). ###### Definition 3.1. The _rational rank_ of a commutative group $A$ is the cardinality of a maximal ${\mathds{Z}}$-linearly independent subset of $A$. Following [6], we denote it by $\operatorname{rr}(A)$. ###### Remark 3.2. Let $A$ be a commutative group. 1. (1) It is easy to see that we have (see [6, Section 3.4]): $\operatorname{rr}(A)=\dim_{{\mathds{Q}}}\left(A\otimes_{{\mathds{Z}}}{\mathds{Q}}\right).$ 2. (2) If $A_{0}\leqslant A$, then we have (see [6, Section 3.4]): $\operatorname{rr}(A)=\operatorname{rr}(A_{0})+\operatorname{rr}\left(A/A_{0}\right).$ 3. (3) Other names as “rank” or “Prüfer rank” or “torsion-free rank” are sometimes used in this context as well. Our main algebraic result is the following (see Notation 2.17). ###### Theorem 3.3. The rational rank of any $A\in\mathcal{K}^{\times}$ is either $0$ or infinite. ###### Remark 3.4. This result will be generalized in Theorem 4.1 to a much wider class of commutative groups coming from multiplicative groups of fields. We proceed to the proof of Theorem 3.3. We start with a warm-up example which will be also used in the main proof. ###### Example 3.5. We will show here two particular cases of Theorem 3.3. For the proof of the first one, we will use a well-known algebraic fact that is also a direct consequence of Chebotarev’s theorem. In the proof of the second one, Chebotarev’s theorem will not be needed. 1. (1) We have $\operatorname{rr}({\mathds{Q}}[i]^{\times}/{\mathds{Q}}^{\times})=\aleph_{0}.$ ###### Proof. Let us recall that a prime number $p\in{\mathds{Z}}$ splits (equivalently in this case: splits completely) in ${\mathds{Z}}[i]$ if and only if $p\equiv 1(\mbox{mod }4)$ and that there are infinitely many such primes (this is a very special case of Theorem 2.23). Let us take an infinite sequence $p_{1},p_{2},\ldots$ of prime numbers which split in ${\mathds{Z}}[i]$. We have $p_{i}=r_{i}\overline{r_{i}}$, where $r_{i}$ is a prime element of ${\mathds{Z}}[i]$ and $\overline{r_{i}}$ is the complex conjugate of $r_{i}$. Then $r_{1},\overline{r_{1}},r_{2},\overline{r_{2}},\ldots$ is a sequence of pairwise non-associated prime elements of ${\mathds{Z}}[i]$. We will show that the cosets $r_{1}{\mathds{Q}}^{\times},r_{2}{\mathds{Q}}^{\times},\ldots$ are ${\mathds{Z}}$-independent in ${\mathds{Q}}[i]^{\times}/{\mathds{Q}}^{\times}$. Assume not, so there is a non-zero tuple $(n_{1},n_{2},...,n_{k})\in{\mathds{Z}}^{k}$ such that $r_{1}^{n_{1}}r_{2}^{n_{2}}\ldots r_{k}^{n_{k}}\in{\mathds{Q}}^{\times}$ (witnessing that $r_{1}{\mathds{Q}}^{\times},r_{2}{\mathds{Q}}^{\times},..,r_{k}{\mathds{Q}}^{\times}$ are not ${\mathds{Z}}$-independent in ${\mathds{Q}}[i]^{\times}/{\mathds{Q}}^{\times}$). We have: $r_{1}^{n_{1}}r_{2}^{n_{2}}...r_{k}^{n_{k}}=\overline{r_{1}}^{n_{1}}\overline{r_{2}}^{n_{2}}...\overline{r_{k}}^{n_{k}},$ which contradicts the unique factorization in ${\mathds{Z}}[i]$ (after rearranging the displayed equation in such a way that all the exponents are positive). ∎ 2. (2) We have $\operatorname{rr}({\mathds{Q}}(X)^{\times}/{\mathds{Q}}(X^{2})^{\times})=\aleph_{0}.$ ###### Proof. The proof here is analogous to the proof in item $(1)$. We take pairwise distinct rational numbers $a_{1},a_{2},\ldots$ and substitute: ${\mathds{Z}}\rightsquigarrow{\mathds{Q}}[X^{2}],\ \ {\mathds{Z}}[i]\rightsquigarrow{\mathds{Q}}[X],\ \ p_{i}\rightsquigarrow X^{2}-a_{i}^{2},\ \ r_{i}\rightsquigarrow X-a_{i},$ where the map ${\mathds{Q}}(X)\ni f\mapsto f(-X)\in{\mathds{Q}}(X)$ plays the role of the complex conjugation. ∎ We will prove now several technical results which will be used in the proof of Theorem 3.3. ###### Lemma 3.6. Let $F\subseteq K$ be a field extension of degree $2$. Suppose that $F$ is algebraic over a finite field or the extension $F\subseteq K$ is not Galois. Then we have: $\operatorname{rr}\left(K^{\times}/F^{\times}\right)=0.$ ###### Proof. If $F$ is algebraic over a finite field, then $K^{\times}$ is torsion. Therefore, $K^{\times}/F^{\times}$ is torsion as well and $\operatorname{rr}\left(K^{\times}/F^{\times}\right)=0.$ Assume that the extension $F\subseteq K$ is not Galois. Then $\operatorname{char}(F)=2$ and the extension $F\subseteq K$ is purely inseparable (since $[K:F]=2$). Therefore, $K^{2}\subseteq F$ (using again that $[K:F]=2$), hence the group $K^{\times}/F^{\times}$ is torsion again. ∎ For the proof of Theorem 3.3, it is enough now to show the following: ###### Proposition 3.7. Let $F\subseteq K$ be a Galois field extension of degree $2$ such that $F$ is not algebraic over a finite field. Then the rational rank of $K^{\times}/F^{\times}$ is infinite. The next result allows as to reduce the proof of Proposition 3.7 to several special cases. ###### Lemma 3.8. Let $K\subseteq L$ be a field extension satisfying the assumption of Proposition 3.7. Then either 1. (1) ${\mathds{Q}}(X)^{\times}/{\mathds{Q}}(X^{2})^{\times}$, or 2. (2) $F^{\times}/E^{\times}$, where $E\subseteq F$ is a number field extension of degree 2, or 3. (3) ${\mathds{F}}_{p}(X)^{\times}/{\mathds{F}}_{p}(X^{2})^{\times}$ for $p\neq 2$, or 4. (4) ${\mathds{F}}_{2}(X)^{\times}/{\mathds{F}}_{2}(X^{2}+X)^{\times}$, embeds into $L^{\times}/K^{\times}$. ###### Proof. We consider several cases. Case I $\operatorname{char}(K)=0$. By a standard argument (which works whenever $\operatorname{char}(K)\neq 2$), there is $\alpha\in L$ such that $\alpha^{2}\in K$ and $L=K(\alpha)$, so $K\subseteq L$ is a Kummer extension. Since we are in the characteristic 0 case, we can assume that ${\mathds{Q}}$ is a subfield of $K$. By our choice of $\alpha$, we have that ${\mathds{Q}}(\alpha)\cap K={\mathds{Q}}(\alpha^{2})$. Therefore, ${\mathds{Q}}(\alpha)^{\times}/{\mathds{Q}}(\alpha^{2})^{\times}$ embeds into $L^{\times}/K^{\times}$. If $\alpha$ is transcendental over ${\mathds{Q}}$, then we are in the item $(1)$ situation. Otherwise, we are in the item $(2)$ situation. Case II $\operatorname{char}(K)=p>2$. As in Case I, there is $\alpha\in L$ such that $\alpha^{2}\in K$ and $L=K(\alpha)$, , so $K\subseteq L$ is a Kummer extension again. We can assume that ${\mathds{F}}_{p}$ is a subfield of $K$. By our assumptions, there is $t\in K$ which is transcendental over ${\mathds{F}}_{p}$. If $\alpha$ is algebraic over ${\mathds{F}}_{p}$, then we replace $\alpha$ with $t\alpha$. If $\alpha$ is transcendental over ${\mathds{F}}_{p}$, then we keep $\alpha$ as it is. After this possible replacement, we moreover obtain that $\alpha$ is transcendental over ${\mathds{F}}_{p}$. As in Case I, ${\mathds{F}}_{p}(\alpha)^{\times}/{\mathds{F}}_{p}(\alpha^{2})^{\times}$ embeds into $L^{\times}/K^{\times}$ and we are in the item $(3)$ situation. Case III $\operatorname{char}(K)=2$. Since the extension $K\subseteq L$ is Galois, by Artin-Schreier theory there is $\alpha\in L$ such that $\alpha^{2}+\alpha\in K$ and $L=K(\alpha)$. We proceed now as in Case II, however we (possibly) need to replace $\alpha$ with $t+\alpha$ (rather than $t\alpha$). In the end, we are in the item $(4)$ situation. ∎ We are ready to show the main algebraic result of this section. ###### Proof of Prop. 3.7. It is clear that if a commutative group $A$ embeds into a commutative group $B$, then we have $\operatorname{rr}(A)\leqslant\operatorname{rr}(B)$. Therefore, it is enough to consider the four cases given by the statement of Lemma 3.8. Case (1) $\operatorname{rr}({\mathds{Q}}(X)^{\times}/{\mathds{Q}}(X^{2})^{\times})=\aleph_{0}$. This is covered by Example 3.5(2). Case (2) $\operatorname{rr}(L^{\times}/K^{\times})=\aleph_{0}$, where $K\subseteq L$ is a number field extension of degree 2. This is a generalization of Example 3.5(1). Let $\mathcal{O}_{L}$ and $\mathcal{O}_{K}$ denote the rings of algebraic integers of $L$ and $K$ respectively (as in Section 2.4) and let $\operatorname{Gal}(L/K)=\\{\operatorname{id},\sigma\\}$. By Theorem 2.23, there is an infinite sequence $P_{1},P_{2},\ldots$ of prime ideals in $\mathcal{O}_{K}$ which split completely in $L$ (as we remarked earlier, in the case of the degree 2 extension, splitting implies splitting completely). Then for each $i$, we have: $P_{i}=Q_{i}\sigma(Q_{i}),$ where $Q_{i}$ is a maximal ideal of $\mathcal{O}_{L}$ and all the ideals $Q_{1},\sigma(Q_{1}),Q_{2},\sigma(Q_{2}),\ldots$ are pairwise distinct. Using the Prime Avoidance Lemma (see e.g. [5, Section 3.2]), we choose $a_{1},a_{2},\ldots\in\mathcal{O}_{L}$ such that * • $a_{1}\in Q_{1}\setminus\sigma(Q_{1})$, * • $a_{2}\in Q_{2}\setminus(Q_{1}\cup\sigma(Q_{1})\cup\sigma(Q_{2}))$, and in general: * • $a_{i}\in Q_{i}\setminus(Q_{1}\cup\ldots\cup Q_{i-1}\cup\sigma(Q_{1})\cup\ldots\cup\sigma(Q_{i}))$. Similarly as in Example 3.5(1) (although without using the unique decomposition), we will show that the cosets $a_{1}K^{\times},a_{2}K^{\times},\ldots$ are ${\mathds{Z}}$-independent in $L^{\times}/K^{\times}$. Assume not, so there is a nonzero tuple $(n_{1},\ldots,n_{k})\in{\mathds{Z}}^{k}$ such that $a_{1}^{n_{1}}\ldots a_{k}^{n_{k}}\in K^{\times}$ (witnessing that $a_{1}K^{\times},\ldots,a_{k}K^{\times}$ are not ${\mathds{Z}}$-independent in $L^{\times}/K^{\times}$). Since the tuple $(n_{1},\ldots,n_{k})$ is nonzero, there is a smallest $r\leqslant k$, such that $n_{r}\neq 0$. Without loss of generality, we can assume that $n_{r}>0$. Since $a_{r}^{n_{r}}\ldots a_{k}^{n_{k}}\in K^{\times}$, we get ($*$) $a_{r}^{n_{r}}\ldots a_{k}^{n_{k}}=\sigma(a_{r}^{n_{r}}\ldots a_{k}^{n_{k}})=\sigma(a_{r})^{n_{r}}\ldots\sigma(a_{k})^{n_{k}}.$ By our choice of the sequence $a_{1},a_{2},\ldots$, we have: ($**$) $a_{r}\in Q_{r},\ \ a_{r+1},\ldots,a_{{}_{k}}\notin Q_{r},\ \ \sigma(a_{r}),\ldots,\sigma(a_{k})\notin Q_{r}.$ Using $(*),(**)$ and doing a similar rearrangement as in Example 3.5(1), we get that there are elements $b\in\mathcal{O}_{L},c_{1},\ldots,c_{m}\in\mathcal{O}_{L}\setminus Q_{r}$ such that ($***$) $a_{r}^{n_{r}}b=c_{1}\ldots c_{m}.$ Since $n_{r}>0$, $a_{r}\in Q_{r}$ and $Q_{r}$ is prime, the equality $(***)$ yields a contradiction, since its left-hand side belongs to $Q_{r}$ and its right-hand side does not. Case (3) $\operatorname{rr}({\mathds{F}}_{p}(X)^{\times}/{\mathds{F}}_{p}(X^{2})^{\times})=\aleph_{0}$, where $p\neq 2$. The proof is almost the same as in Example 3.5(2), however now we substitute: ${\mathds{Z}}\rightsquigarrow{\mathds{F}}_{p}[X^{2}],\ \ {\mathds{Z}}[i]\rightsquigarrow{\mathds{F}}_{p}[X].$ The choice of irreducible polynomials in ${\mathds{F}}_{p}[X^{2}]$ which split in ${\mathds{F}}_{p}[X]$ is not as straightforward as in Example 3.5(2). To obtain such a sequence, we again use Theorem 2.23, which also covers Case (3). With such a sequence at hand, we continue the proof as in Example 3.5(2). Case (4) $\operatorname{rr}({\mathds{F}}_{2}(X)^{\times}/{\mathds{F}}_{2}(X^{2}+X)^{\times})=\aleph_{0}$. It is almost identical to the Case (3) situation, we just use the ring ${\mathds{F}}_{2}[X^{2}+X]$ instead of the ring ${\mathds{F}}_{p}[X^{2}]$. ∎ This concludes the proof of Proposition 3.7, and hence also the proof of Theorem 3.3. Our main model-theoretic result is below. ###### Corollary 3.9. The class of Krasner hyperfields is not elementary. ###### Proof. If the class of Krasner hyperfields is elementary, then the class $\mathcal{K^{\times}}$ of groups (see Notation 2.17(2)) is closed under elementary equivalence by Lemmas 2.15, 2.20, 2.22. We will show that this is not the case. Since ${\mathds{C}}^{\times}$ is divisible, we have: $\mathcal{K}^{\times}\ni{\mathds{C}}^{\times}/{\mathds{R}}^{\times}\cong A\oplus\bigoplus_{p}C_{p^{\infty}}\equiv{\mathds{Q}}\oplus\bigoplus_{p}C_{p^{\infty}},$ where $C_{p^{\infty}}$ is the Prüfer $p$-group and $A$ is a vector space over ${\mathds{Q}}$ of dimension continuum. The isomorphism above follows from the classification of divisible commutative groups (see [11, Theorem 5 in Section 4]) and the elementary equivalence follows from the Szmielew’s description (see [19]) of the theories of commutative groups (this elementary equivalence can be also directly shown by taking ultraproducts). However, the rational rank of ${\mathds{Q}}\oplus\bigoplus_{p}C_{p^{\infty}}$ is 1, so this group does not belong to $\mathcal{K}^{\times}$ by Theorem 3.3. ∎ ## 4\. Generalization, conjecture and question In this section we improve on Theorem 3.3 and we also discuss some model- theoretical problems related with hyperfields and the algebraic methods used in this paper. We show now the following improvement of Theorem 3.3 to its proper generality. ###### Theorem 4.1. Let $F\subseteq K$ be an arbitrary field extension. Then both $\operatorname{rr}(F^{\times})$ and $\operatorname{rr}(K^{\times}/F^{\times})$ are $0$ or infinite. ###### Sketch of Proof. If $F$ is algebraic over a finite field, then $F^{\times}$ is torsion, so $\operatorname{rr}(F^{\times})=0$. If $F$ is not algebraic over a finite field, then either ${\mathds{Q}}$ embeds into $F$ or ${\mathds{F}}_{p}(X)$ embeds into $F$ for some prime number $p$. So, for the case of $\operatorname{rr}(F^{\times})$, it is enough to notice that $\operatorname{rr}({\mathds{Q}}^{\times})=\operatorname{rr}({\mathds{F}}_{p}(X)^{\times})=\aleph_{0},$ which follows (as in Example 3.5) from the fact that both of these fields are fraction fields of unique factorization domains with infinitely many pairwise non-associated prime elements. We move now to the case of a field extension $F\subseteq K$. If the extension $F\subseteq K$ is not algebraic, we take a transcendental $t\in K$ and then $\operatorname{rr}(F(t)^{\times}/F^{\times})$ is infinite by a similar argument as above. If the extension $F\subseteq K$ is purely inseparable or $K$ is contained in the algebraic closure of a finite field, then $\operatorname{rr}(K^{\times}/F^{\times})=0$ as in the proof of Lemma 3.6. Therefore, we can assume that $F\subseteq K$ is a finite extension which is not contained in the algebraic closure of a finite field and which is also not purely inseparable. We aim to show that $\operatorname{rr}(K^{\times}/F^{\times})$ is infinite. Let us take the field tower $F\subseteq K_{0}\subseteq K$, where the first extension is separable and non-trivial and the second one is purely inseparable. We have the following exact sequence: $1\to K_{0}^{\times}/F^{\times}\to K^{\times}/F^{\times}\to K^{\times}/K_{0}^{\times}\to 1$ and we know that $\operatorname{rr}(K^{\times}/K_{0}^{\times})=0$, so using Remark 3.2(2), we obtain that $\operatorname{rr}(K_{0}^{\times}/F^{\times})=\operatorname{rr}(K^{\times}/F^{\times})$, so we can moreover assume that $F\subseteq K$ is finite, separable, and $F={\mathds{F}}_{p}(X)$ or $F$ is a number field. Let $F\subseteq L$ be the normal closure of $F\subseteq K$ and $n:=[K:F]>1$. By Theorem 2.23, there are infinitely many prime ideals $P_{1},P_{2},\ldots$ of $\mathcal{O}_{F}$ which split completely in $\mathcal{O}_{L}$, so for each $i$, we also have $P_{i}\mathcal{O}_{K}=Q_{i1}\ldots Q_{in}$, where $Q_{ij}$’s are maximal ideals in $\mathcal{O}_{K}$. We take $a_{1},a_{2},\ldots\in\mathcal{O}_{K}$ such that for each $i$, we have: $a_{i}\in Q_{i1}\setminus\left(\bigcup_{j=1}^{i-1}Q_{j1}\cup\bigcup_{j=1}^{i}\bigcup_{k=2}^{l}Q_{jk}\right).$ Then the proof of the Case $(2)$ situation from Lemma 3.8 works after taking $\sigma\in\operatorname{Gal}(L/F)$ such that $\sigma(a_{r})\notin Q_{r1}\mathcal{O}_{L}$. ∎ Therefore (as in the proof of Corollary 3.9), the following class of groups: $\\{K^{\times}\ |\ \text{$K$ is a field}\\}$ is _not_ elementary. Interestingly, a similar phenomenon appeared in [9] where the authors consider model completeness of groups of rational points of algebraic groups. One can ask the following. ###### Question 4.2. Let $\mathbb{G}$ be a group scheme over ${\mathds{Z}}$. Are the following two conditions on $\mathbb{G}$ equivalent? 1. (1) The class $\\{\mathbb{G}(K)\ |\ \text{$K$ is a field}\\}$ is elementary. 2. (2) If $K$ is a model complete field, then $\mathbb{G}(K)$ is a model complete group. The multiplicative group scheme $\mathbb{G}_{\rm{m}}$ fails both items $(1)$ and $(2)$ above. On the other hand, semisimple or unipotent algebraic groups seem to satisfy both these items, which is work in progress related to [9]. Therefore, we do not have counterexamples to the equivalence in Question 4.2. Actually, if item $(1)$ holds, then (as in [9]) it is usually an important step for proving that item $(2)$ holds. The fact that item $(1)$ holds for certain simple algebraic groups follows from [18] and [20]. While trying to understand hyperfields (or any other structures) model- theoretically, it is natural to ask first what are the “model-theoretically simplest”, that is _strongly minimal_ , hyperfields. We propose the following. ###### Conjecture 4.3. A hyperfield is strongly minimal if and only if it is either a strongly minimal field (i.e., an algebraically closed field) or a hyperfield where the hyperaddition is definable in the structure of its multiplicative group which is strongly minimal. Since any infinite commutative group can be expanded to a hyperfield where the hyperaddition is definable just from one constant symbol (see Fact 2.19) there are plenty hyperfields as after “or” in the conjecture above. ## References * [1] F. Buekenhout. Handbook of Incidence Geometry: Buildings and Foundations. Elsevier, 1995. * [2] A. Chernikov and P. Simon. Henselian valued fields and inp-minimality. The Journal of Symbolic Logic, 84(4):1510–1526, 2019. * [3] Alain Connes and Caterina Consani. The hyperring of adèle classes. Journal of Number Theory, 131(2):159–194, 2011. * [4] B. Davvaz and A. Salasi. A realization of hyperrings. Communications in Algebra, 34:4389–4400, 2006. * [5] D. Eisenbud. Commutative Algebra with a View Towards Algebraic Geometry. Springer, 1996. * [6] A.J. Engler and A. Prestel. Valued Fields. Springer Monographs in Mathematics. Springer Berlin Heidelberg, 2005. * [7] Joseph Flenner. Relative decidability and definability in henselian valued fields. Journal of Symbolic Logic, 76:1240–1260, 2011. * [8] M.D. Fried and M. Jarden. Field Arithmetic. Ergebnisse der Mathematik und ihrer Grenzgebiete. 3. Folge / A Series of Modern Surveys in Mathematics. 3rd Edition, Springer, 2008. * [9] Daniel Max Hoffmann, Piotr Kowalski, Chieu-Minh Tran, and Jinhe Ye. Of model completeness and algebraic groups. Preprint, available on https://arxiv.org/abs/2312.08988. * [10] Jaiung Jun. Algebraic geometry over hyperrings. Advances in Mathematics, 323(7):142–192, 2018. * [11] I. Kaplansky. Infinite Abelian Groups. Dover Books on Mathematics. Dover Publications, 2018. * [12] Marc Krasner. Approximation des corps valués complets de caractéristique $p\neq 0$ par ceux de caractéristique 0. Colloque d’algèbre supérieure, pages 129–206, 1957. * [13] Marc Krasner. A class of hyperrings and hyperfields. International Journal of Mathematics and Mathematical Sciences, 6(2):307–311, 1983. * [14] F.-V. Kuhlmann. Quantifier elimination for henselian fields relative to additive and multiplicative congruences. Israel Journal of Mathematics, 85:277–306, 1994. * [15] Junguk Lee. Hyperfields, truncated DVRs and valued fields. Journal of Number Theory, 212:40–71, 2020. * [16] Alessandro Linzi. Notes on valuation theory for Krasner hyperfields. Preprint, available on https://arxiv.org/pdf/2301.08639. * [17] Ch. G. Massouros. Methods of constructing hyperfields. International Journal of Mathematics and Mathematical Sciences, 8(4):725–728, 1985. * [18] Dan Segal and Katrin Tent. Defining _R_ and _G(R)_. J. Eur. Math. Soc, 25(8):3325–3358, 2023. * [19] Wanda Szmielew. Elementary properties of Abelian groups. Fundamenta Mathematicae, 41(2):203–271, 1955. * [20] Simon Thomas. Classification theory of simple locally finite groups. PhD thesis, University of London, 1983. * [21] Pierre Touchard. Burden in henselian valued fields. Annals of Pure and Applied Logic, 174(10), 2023. * [22] Pierre Touchard. Stably embedded submodels of henselian valued fields. Archive for Mathematical Logic, 63:279–315, 2023.
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Lo anterior se visualiza en la Figura 3, la cual presenta el efecto del nivel educacional en la probabilidad de acceder al gabinete comparando el modelo con datos observacionales sin ajustes (modelo I), un modelo ajustado con distintas especificaciones como efectos fijos y una submuestra adecuada (modelo IV) y el modelo reestimado después del emparejamiento con el algoritmo full matching para controlar el problema de la asignación no aleatoria (modelo V). En efecto, es posible apreciar que la probabilidad predicha cambia significativamente al eliminar el sesgo. Por ejemplo, el modelo sin ajustes es una estimación bastante similar a los hallazgos presentados en Garrido-Vergara (2019, 2020a) y sugiere que el nivel educacional (o años de educación si se recodifica) tiene un efecto significativo positivo que aumenta la probabilidad de acceder al gabinete, sin embargo, al mejorar las especificaciones de la estimación econométrica y eliminar el sesgo, la variable no resulta significativa. Por último, en el modelo VI ni la trayectoria empresarial (p = 0, 100) ni el nivel educacional son significativos (p = 0, 186). Lo mismo ocurre en el modelo VII después del emparejamiento (p = 0, 171; p = 0, 328). Esta ausencia de resultados puede explicarse por la baja cantidad de casos positivos en Y2 (n = 26). Sin embargo, resulta interesante verificar que modelos con mejores ajustes y una estrategia de inferencia causal más robusta muestran resultados diferentes a los modelos iniciales, lo que da cuenta de la importancia de una estrategia empı́rica adecuada para evitar obtener hallazgos y conclusiones imprecisas. 18 de 33 Figura 3: Efecto del nivel educacional en la probabilidad de acceder a posiciones en el gabinete Fuente: Elaboración propia con Encuesta de Élites en Chile (1990-2010), última actualización por Joignant y González-Bustamante (2014). 4.2. Efecto de la trayectoria empresarial en la permanencia en el gabinete La Tabla 3 presenta las regresiones de Cox de riesgos proporcionales, por tanto, las variables no están codificadas para variar en el tiempo. Al exponenciar los coeficientes se obtiene el hazard ratio o coeficiente de riesgo que también lo utilizan las estimaciones no-paramétricas Kaplan-Meier. Como se explica en González-Bustamante y Olivares (2018), cuando este coeficiente es menor que uno se reduce el riesgo del evento, en este caso la salida del gabinete, por tanto, la curva se desplaza hacia la izquierda. Cuando el coeficiente es mayor a uno, aumenta el riesgo y la curva se desplaza hacia la derecha. Como este coeficiente de riesgo se obtiene exponenciando los coeficientes de la ecuación, aquellos con valor negativo se convierten en valores inferiores a uno y aquellos positivos, que aumentan la probabilidad, en valores superiores a uno. Este es un punto con el que hay que tener precaución en las interpretaciones ya que induce a errores frecuentes12. En el modelo VIII la trayectoria empresarial no es significativa (p = 0, 278). Este modelo corresponde a una regresión de Cox con la muestra desbalanceada, sin efectos fijos y con un criterio laxo de censura administrativa basado en un umbral de permanencia en el cargo del 75 % con respecto al perı́odo del mandato presidencial en curso. Como se abordó en el apartado metodológico esto es impreciso pues puede generar sesgos en las estimaciones de riesgo acumulado y en la función de supervivencia y además compromete el supuesto de cantidad de eventos por variable predictora. 12 Otro punto con el que hay que tener cuidado es como se codifica el evento de interés. Si, por ejemplo, se utiliza una variable binaria y el valor positivo se asigna a continuar en el gabinete en lugar de la salida, las interpretaciones se deben realizar de forma inversa. 19 de 33 Tabla 3: Modelos de riesgos proporcionales de Cox y resultados después del matching para salidas del gabinete en Chile (1990-2014) Umbral 75 % Modelo VIII Salida censurada Modelo IX Modelo X 0,464 (0,428) −0,456⋆ (0,263) 0,196 (0,445) −0,067 (0,434) −0.146 (0,494) −0.080 (0,408) 0,147 (0,363) −0,416⋆ (0,253) −0,651⋆⋆ (0,316) −0.073 (0,221) −0.116 (0,206) 0,051 (0,200) No No No No Full Sı́ Efectos fijos (gobierno) Submuestra Concurrencia No No Breslow Sı́ No Efron PS No Efron PHA VIF C-Index 0,068 Bajo 0,606 0,179 Bajo 0,627 0,341 Bajo 0,538 42 232 −131,493 274,986 126 232 −559,305 1.138,610 126 232 −600,374 1.138,610 Trayectoria empresarial Sexo (mujer) Independencia polı́tica Dirigente de partido Profesión de prestigio Capital polı́tico familiar Matching Sub. Clustering Eventos N Log Likelihood AIC ⋆ −0,556⋆⋆ (0,248) PS PS PS PS PS p ≤ 0, 100; ⋆⋆ p ≤ 0, 050; ⋆⋆⋆ p ≤ 0, 010 Nota: Se reportan coeficientes beta, errores estándar (modelos VIII y IX) y error estándar robusto (modelo X) entre paréntesis. AIC: Akaike Information Criterion; PHA: proportional hazard assumption; PS: propensity score; VIF: variance inflation factor. Fuente: Elaboración propia con datos de González-Bustamante y Olivares (2022). 20 de 33 El modelo IX corrige el criterio de censura laxo y aplica una censura administrativa estricta al término del mandato presidencial junto con otros ajustes en la especificación econométrica como la aplicación del método Efron y la incorporación de efectos fijos por gobierno. En este modelo la trayectoria empresarial es significativa al 90 % (p = 0, 083). Además, la independencia polı́tica también es significativa con un coeficiente negativo y un coeficiente de riesgo inferior a uno, por tanto, disminuye el riesgo y la probabilidad de salida (eβ = 0, 522, CI95 % [0, 281, 0, 969], p = 0, 039). Este segundo resultado se alinea con los hallazgos presentados en González-Bustamante y Olivares (2018) que analizan el mismo perı́odo e identifican una relación significativa positiva con un coeficiente de riesgo de la militancia polı́tica de ≈ 2, 048 con un 95 % de confianza, lo que es consistente al tratarse de una codificación inversa13. Por último, el modelo X, después del emparejamiento, presenta un coeficiente negativo estadı́sticamente significativo en la trayectoria y vı́nculos empresariales (eβ = 0, 573, CI95 % [0, 353, 0, 931], p = 0, 025), por tanto, esta variable está asociada a menor riesgo en el gabinete. Nuevamente es posible apreciar cómo mejorar la especificación y ajustes de los modelos puede conducir a resultados más especı́ficos y de interés como se aprecia en la Figura 4. De todas maneras, a pesar de la sofisticación metodológica alcanzada, este resultado debe ser considerado con cautela pues, como se indicó previamente, es necesaria una teorización más profunda sobre las relaciones causales subyacentes entre las variables utilizadas. Esta teorización genera un impacto en la estrategia econométrica al momento de incluir controles en la estimación de propensity score y el emparejamiento, o en la decisión de incorporar interacciones bidireccionales en el modelo final. Algunas preguntas que permitirı́an refinar el trabajo teórico serı́an: ¿Cuál es el nivel de correlación entre esta trayectoria y las habilidades gerenciales o recursos técnicos? Se podrı́a suponer que las capacidades individuales pueden conducir a un mejor desempeño, por tanto, menor exposición al riesgo14 . Otra lı́nea argumentativa estarı́a asociada con el riesgo moral y pérdida del control de agencia. En efecto, independiente del régimen de gobierno, los miembros del gabinete tienden a estar expuestos a riesgo moral y una desalineación con los intereses de su principal (primer ministro o presidente), lo que puede provocar un bajo desempeño (Dewan y Myatt, 2010; González-Bustamante, 2022a; 13 Otras variables significativas al 95 % en González-Bustamante y Olivares (2018), como profesión de prestigio y experiencia como dirigente de partido, no se alinean con estos resultados lo que se explica por diferencias en el ajuste econométrico como utilizar los gobiernos para estratificar errores en lugar de efectos fijos o el criterio de censura semi laxo aplicado a recolocaciones ministeriales y salidas para asumir cargos en el Congreso o en el comando presidencial del candidato oficialista. 14 En los sistemas parlamentarios, por ejemplo, se advierte una relación entre el despido de ministros problemáticos y la popularidad del primer ministro (Dewan y Dowding, 2005; McAllister, 2003). 21 de 33 Figura 4: Efecto de la trayectoria empresarial en el riesgo de dejar el gabinete Fuente: Elaboración propia con datos de González-Bustamante y Olivares (2022). Martı́nez-Gallardo y Schleiter, 2015). Esto es particularmente complejo si se advierte un desplazamiento del principal siguiendo las ideas de Adolph (2013) y fenómenos como sobornos retardados o puerta giratoria (Schneider, 1993, 2001, véase también Maillet et al., 2016, 2019). 5. Discusión y alcances Las demostraciones son bastante ilustrativas sobre las diferencias entre modelos sin ajustes o placebos y modelos con mejoras en la estimación econométrica o aplicados después de la estimación de propensity score y el emparejamiento de los datos. Resulta evidente que la ausencia de una estrategia econométrica de identificación causal robusta puede conducir a resultados sesgados debido a especificaciones inadecuadas y el uso de datos observacionales. El ejemplo del efecto del nivel educacional en el acceso al gabinete es ilustrativo pues después de los ajustes adecuados se obtiene que en realidad la variable no es significativa por especificaciones imprecisas y porque el desbalance en 22 de 33 la distribución del nivel educacional impide una medición adecuada del efecto. Esto implica que las investigaciones previas —o futuras— con los conjuntos de datos usados en nuestras demostraciones, u otros similares, que carezcan de una estrategia de inferencia causal robusta deben ser considerados con precaución y sus hallazgos debiesen ser interpretados como exploratorios. Lo anterior es porque aun cuando se utilicen diseños cuasiexperimentales es necesario un trabajo relevante de teorización y discusión sobre las relaciones causales subyacentes entre las variables que se incorporan en los modelos. Incluir indiscriminadamente variables en un modelo único para interpretar relaciones causales es una práctica que se debiese desestimar. La incorporación de variables que impactan de distinta forma en la variable dependiente en una única regresión logı́stica simple se conoce como la “falacia de la tabla 2”, lo que puede conducir a interpretaciones erróneas de las estimaciones (Westreich y Greenland, 2013). Una forma de superar este problema es trabajar con diagramas causales como, por ejemplo, directed acyclic graphs o DAGs (Ankan et al., 2021; Morgan y Winship, 2015). Este tipo de diagramas son representaciones gráficas no-paramétricas de la hipotetización de las relaciones causales entre las variables y permiten identificar con mayor precisión un efecto sobre la variable dependiente. Por ejemplo, en las demostraciones de este trabajo los controles de los modelos observacionales, como se advirtió, fueron utilizados como confounders, lo que requiere mayor reflexión e implica que los hallazgos deben considerarse con cautela. Sin embargo, en González-Bustamante (2022a), con la misma base de datos de ministros utilizada en este artı́culo fusionada con el conjunto de Franz y Codato (2016) con observaciones de Brasil, evaluamos el efecto de la exposición de ministros a perı́odos de baja aprobación presidencial sobre la permanencia en el gabinete utilizando una estrategia de inferencia causal mezclando regresiones de Cox con exposición variable en el tiempo, propensity score y técnicas de emparejamiento. Los principales resultados muestran que el riesgo aumenta en un 135,1 % en los perı́odos de baja aprobación y que solo uno de cada cinco ministros no partidistas es destituido. La Figura 5 presenta el diagrama causal de los modelos y pruebas de robustez principales de González-Bustamante (2022a). Es posible apreciar los senderos de causalidad de la variable principal D (exposición a baja aprobación presidencial) y de las variables moderadoras X1 , X2 y X3 que corresponden a atributos o perfiles de ministros asociados con estrategias presidenciales: (a) ministros no partidistas para limitar problemas de agencia y riesgo moral; (b) ministros economistas para optimizar el rendimiento del gabinete y enviar señales positivas al electorado; y (c) ministros lı́deres de partido para optimizar el apoyo legislativo. Por otra parte, se aprecian backdoor paths que gene- 23 de 33 ran los confounders como, por ejemplo, el crecimiento económico que afecta tanto a la variable independiente principal (baja aprobación) como a la dependiente (salida del gabinete). Adicionalmente en las pruebas de robustez consideramos variables que no son confounders y que operan más bien como fuente de heterogeneidad en las rotaciones del gabinete tales como sexo, edad y tipo de ministerio15 . Estas variables pueden afectar la varianza la rotación, sin embargo, teóricamente no es sostenible indicar que tienen un efecto sobre la variable independiente principal. Figura 5: Diagrama causal del efecto de la baja aprobación presidencial en la salida de ministros del gabinete Nota: Age (edad del ministro); D (exposición a la baja aprobación presidencial, bajo 40 %); ENP (número efectivo de partidos); Fixed-Effects (efectos fijos a nivel de gobierno y paı́s); GDP (crecimiento económico, medido como la variación porcentual anual per cápita con datos del Banco Mundial); Inflation (inflación, medida como la variación anual de los precios al consumo con datos del Banco Mundial); Re-Election (posibilidad de reelección del presidente); Sex (sexo del ministro); Term Patterns (patrones cuadráticos del modelo cı́clico de aprobación presidencial, medidos con cinco variables dummies correspondientes a los tres primeros trimestres y a los dos últimos del mandato presidencial); X1 (ministros no partidistas); X2 (ministros economistas); X3 (ministros lı́deres de partidos polı́ticos); Y (salida del gabinete). Fuente: Adaptación de González-Bustamante (2022a). Por otro lado, existen una serie de especificaciones y aplicaciones que pueden explorarse y que si se justifican teórica y metodológicamente permitirı́an innovaciones y 15 Esta variable no aparece en el diagrama, sin embargo, el material complementario de GonzálezBustamante (2022a) contiene pruebas de robustez adicionales que incorporan el tipo de ministerio, variable que no altera el efecto de la exposición a la baja aprobación presidencial ni la moderación que genera el perfil no partidista de los ministros. 24 de 33 análisis cuantitativos novedosos. Por ejemplo, para modelos logı́sticos con datos observacionales se pueden explorar ajustes con efectos mixtos o técnicas de remuestreo como bootstrapping o jackknife (véase Fleming et al., 2022). En los modelos de supervivencia, por otra parte, se pueden ensayar modelos de fragilidad compartida (shared-frailty) para detectar el efecto de variables latentes en la función de supervivencia, modelos semiparamétricos que evalúan la exposición a más de un riesgo, o modelos paramétricos que modelan de forma más precisa el efecto del tiempo como las regresiones exponenciales o de Weibull. Otra alternativa es alterar la estructura de datos para que varı́e en el tiempo y trabajar con modelos de riesgos no proporcionales, útiles cuando se utilizan indicadores trimestrales o mensuales (véase González-Bustamante, 2022a). Por último, para ambas aproximaciones se pueden aplicar distintas técnicas de emparejamiento y algoritmos más complejos al utilizado en este trabajo. 6. Conclusiones ¿Cuál es el efecto de la trayectoria y vı́nculos empresariales de un individuo en el acceso y permanencia en posiciones polı́ticas relevantes? Esta es una pregunta interesante considerando las complejidades que implica la intersección entre el campo polı́tico y económico. La evidencia presentada aplicando técnicas de propensión y emparejamiento sugiere que la trayectoria y vı́nculos empresariales no impactan en el acceso a posiciones polı́ticas relevantes, especı́ficamente en el gabinete y Senado en Chile. Sin embargo, si disminuyen el riesgo de ser removido del gabinete. El hallazgo anterior es interesante y requiere de mayor estudio y reflexión como se abordó previamente, sin embargo, también ha sido funcional para responder las preguntas iniciales de este trabajo metodológico sobre la conveniencia de la aplicación del análisis de supervivencia en comparación con otras estrategias empı́ricas como las regresiones logı́sticas binarias y los riesgos de trabajar con datos observacionales y estimaciones potencialmente sesgadas. Las demostraciones econométricas realizadas responden satisfactoriamente ambas preguntas. En primer lugar, el enfoque de supervivencia es útil cuando se estudian fenómenos en intervalos de tiempo, por tanto, sirve para estudiar permanencia. Por otro lado, otros enfoques son pertinentes para estudiar fenómenos como el acceso a posiciones especı́ficas siempre que el muestreo sea adecuado. Por último, tal como se abordó en el apartado sobre discusión y alcances, las demostraciones econométricas dan cuenta de los potenciales sesgos subyacentes ante la ausencia de una estrategia de inferencia e identificación causal robusta al trabajar con 25 de 33 datos observacionales. Esto implica que se deben considerar con cautela, e incluso a un nivel exploratorio, trabajos previamente publicados que utilizan los datos de estas demostraciones u otros similares. Aunque se utilicen regresiones de distinto tipo, si el diseño no implica una estrategia de identificación causal plausible, los resultados pueden estar expuestos a sesgo. 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Iberoamericana, XX(74):229–259. Olmos, A. y Govindasamy, P. (2015). Propensity Scores: A Practical Introduction Using R. Journal of MultiDisciplinary Evaluation, 11(25):68–88. Orchard, X. y González-Bustamante, B. (2022). Power Hierarchies and Visibility in the News: Exploring Determinants of Politicians’ Presence and Prominence in the Chilean Press (1991-2019). The International Journal of Press/Politics. OnlineFirst. Putnam, R. D. (1976). The Comparative Study of Political Elites. Prentice Hall, Hoboken. 31 de 33 Rosenbaum, P. R. y Rubin, D. B. (1983). The central role of the propensity score in observational studies for causal effects. Biometrika, 70(1):41–55. Schneider, B. R. (1993). The Career Connection: A Comparative Analysis of Bureaucratic Preferences and Insulation. Comparative Politics, 25(3):331–350. Schneider, B. R. (2001). La polı́tica de la reforma administrativa: Dilemas insolubles y soluciones improbables. Revista del CLAD Reforma y Democracia, (20):7–34. Semenova, E. (2018). Research Methods for Studying Elites. En Best, H. y Higley, J., editores, The Palgrave Handbook of Political Elites. Palgrave Macmillan UK, Londres. Vittinghoff, E. y McCulloch, C. E. (2007). Relaxing the Rule of Ten Events per Variable in Logistic and Cox Regression. American Journal of Epidemiology, 165(6):710–718. Westreich, D. y Greenland, S. (2013). The Table 2 Fallacy: Presenting and Interpreting Confounder and Modifier Coefficients. American Journal of Epidemiology, 177(4):292–298. Información adicional Biografı́a del autor Bastián González-Bustamante. Investigador Doctoral en el Departamento de Ciencia Polı́tica y Relaciones Internacionales y St Hilda’s College de University of Oxford, Reino Unido. Además, es Profesor Instructor del Departamento de Gestión y Polı́ticas Públicas de la Facultad de Administración y Economı́a de la Universidad de Santiago de Chile (USACH). Candidato a Doctor en Ciencia Polı́tica por University of Oxford, Reino Unido. Magı́ster en Ciencia Polı́tica, Administrador Público y Licenciado en Ciencias Polı́ticas y Gubernamentales con mención en Gestión Pública por la Universidad de Chile. Ha sido docente en la Universidad de Chile y consultor del Sistema de las Naciones Unidas. Sus investigaciones y trabajo docente se enfocan en la estabilidad de los regı́menes de gobierno, gabinetes, élites polı́ticas, servicio civil y gestión de crisis. Ha publicado en The International Journal of Press/Politics, World Development, Government and Opposition, The British Journal of Politics and International Relations, Bulletin of Latin American Research, entre otras revistas. 32 de 33 Historial de revisiones Revisión Fecha Descripción 1.0† 20 jul, 2021 Resumen ampliado † 2,0 20 feb, 2022 Manuscrito original (MO) 3,0† 23 jun, 2022 MO enviado a evaluación de pares 4,0 6 oct, 2022 Manuscrito aceptado (MA) 5,0⋆ 20 oct, 2022 MA revisado ⋆ 6,0 16 nov, 2022 MA revisado 7,0⋆ 25 nov, 2022 MA revisado ⋆ 29 nov, 2022 MA revisado ⋆ 8,0 Descargar la última versión desde SocArXiv (DOI: 10.31235/osf.io/5m2ur). † ⋆ versión disponible en repositorio de OSF. versión disponible en repositorio de OSF y SocArXiv. 33 de 33.
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Analisis Pendapatan Kota Batam Tahun 2018 - 2020 Melalui APBD dan PDRB
Justyanita Justyanita
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Abstrak Abstrak Kota Batam, salah satu kota di Provinsi Kepulauan Riau, Indonesia terletak di rute Pelayaran Internasional antara Singapura dan Malaysia. Lokasi Kota Batam berpengaruh terhadap pertumbuhan ekonomi Kota Batam yang lebih tinggi dari tingkat pertumbuhan ekonomi nasional sehingga Kota Batam dijadikan andalan untuk memicu pertumbuhan ekonomi nasional karena lokasinya yang strategis yang paling dekat antara Singapura dan Malaysia. Tujuan penelitian ini adalah untuk dapat mengidentifikasi dan menganalisis struktur keuangan daerah atau APBD Kota Batam dalam hal data statistik pendapatan, pengeluaran dan pembiayaan daerah. Sebagai salah satu daerah yang memiliki pertumbuhan ekonomi tinggi, Kota Batam tentunya menyediakan infrastruktur dengan cepat sehingga perlu diselenggarakan. Analisis keuangan daerah pengadaan infrastruktur seperti APBD, PAD dan retribusi daerah sehingga sumber dana kelolaan dapat berjalan optimal, efektif dan secara efisien dalam membiayai pembangunan kota. Metode dalam pengumpulan data yang dilakukan, yaitu dengan menganalisis dan menggunakan data sekunder dari 2 tahun terakhir dengan periode tahun 2018-2020 yang bersumber dari situs resmi Badan Pusat Statistik (BPS) Kota Batam yang ditinjau dari batamkota.bps.go.id. Sektor yang menjadi acuan dalam menggerakkan perekonomian antara lain komunikasi, listrik, air dan gas, perbankan, industri, perdagerman, perdagangan dan jasa, serta komoditas ekspor negara lain. Sebagai salah satu daerah yang memiliki pertumbuhan ekonomi tinggi. Tahun 2019 laju pertumbuhan ekonomi yang diukur oleh Produk Domestik Regional Bruto (GRDP) meningkat signifikan dimana kenaikan mencapai 5,92% dari 4,96% yang merupakan pertumbuhan ekonomi Kota Batam pada 2018. Kata kunci: Pertumbuhan ekonomi; Struktur keuangan daerah; APBD; GRDP ANALISIS PENDAPATAN KOTA BATAM TAHUN 2018 - 2020 MELALUI APBD DAN PDRB Justyanita, Sephia Septiana, Benny Septiawan dan Micel Thai Universitas Internasional Batam E-mail: 1941061.justyanita@uib.edu¹, 1941186.Sephia@uib.edu², 1941189.benny@uib.edut dan 1941288.micel@uib.edu⁴ ANALISIS PENDAPATAN KOTA BATAM TAHUN 2018 - 2020 MELALUI APBD DAN PDRB Justyanita, Sephia Septiana, Benny Septiawan dan Micel Thai Universitas Internasional Batam E-mail: 1941061.justyanita@uib.edu¹, 1941186.Sephia@uib.edu², 1941189.benny@uib.edut dan 1941288.micel@uib.edu⁴ Diterima: 24 April 2021 Direvisi: 9 Mei 2021 Disetujui: 14 Mei 2021 Volume 1, Nomor 5, Mei 2021 p-ISSN 2774-5147 ; e-ISSN 2774-5155 Volume 1, Nomor 5, Mei 2021 p-ISSN 2774-5147 ; e-ISSN 2774-5155 Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB City in terms of statistical data on income, expenditure and regional financing. As one of the regions that has high economic growth, Batam City certainly provides infrastructure rapidly so it needs to be held. regional financial analysis of infrastructure procurement such as APBD, PAD, and local levies so that the managed fund sources can run optimally, effectively, and efficiently in financing the city's development. Methods in data collection conducted, namely by analyzing and using secondary data from the last 2 years with the period 2018-2020 sourced from the official website of the Central Statistics Agency (BPS) Batam city reviewed from the batamkota.bps.go.id. Sectors that become references in driving the economy include communications, electricity, water and gas, banking, industry, shipping, trade and services, as well as export commodities of other countries. As one of the regions that has high economic growth. In 2019 the rate of economic growth that was measured by the Gross Regional Domestic Product (GRDP) increased significantly where the increase reached 5.92% from 4.96% which is the economic growth of Batam City in 2018. Keywords: Economic growth; Regional financial structure; APBD; GRDP Keywords: Economic growth; Regional financial structure; APBD; GRDP PENDAHULUAN Perkembangan ekonomi merupakan perubahan keadaan pada ekonomi negara secara terus – menerus (Hukom, 2014), melalui proses kenaikan kapasitas produksi negara tersebut dalam bentuk kenaikan pendapatan nasional (Alghofari & Pujiyono, 2011). Faktor utama yang memengaruhi pertumbuhan tersebut, yaitu jumlah pengeluaran daerah seperti pembangunan infrastruktur daerah (Yasin, 2020). Kegiatan ekonomi yang bermacam ragam, dapat mendorong setiap daerah tersebut untuk mengembang potensi ekonominya daerahnya (Djadjuli, 2018). Sehingga, pembangunan daerah dapat dilaksanakan secara berkesinambungan dengan tujuan agar pembangunan yang sedang berlangsung di setiap daerah (Jazuli, 2015) dapat dilaksanakan secara prioritas dan potensi daerah tersebut (Muttaqin, 2018). Pembangunan daerah sangat memiliki kaitan dengan pembangunan suatu bangsa (Ahlerup, Baskaran, & Bigsten, 2017) yang mewujudkan keberlangsungan pembangunan suatu negara, keberhasilan pembangunan suatu bangsa tersebut tentunya tidak terlepas dari keberhasilan daerah dalam mengelola sumber daya yang dimiliki secara tepat (Effendya & Harahapb, 2021). Indonesia merupakan negara berkembang yang terus melaksanakan pembangunan sesuai rencana dan bertahap (Soedarmono, 2010), tanpa mengabaikan usaha pemerataan dan kestabilan. Biasanya setiap daerah diberi kewenangan yang lebih besar untuk mengurus dan mengatur rumah tangganya sendiri. Tujuan kewenangan tersebut adalah untuk lebih mendekatkan pelayanan pemerintah kepada masyarakat, memudahkan masyarakat untuk memantau dan mengontrol penggunaan dana yang bersumber dari Anggaran Pendapatan dan Belanja Daerah (APBD), dan untuk menciptakan persaingan yang sehat antardaerah, serta mendorong timbulnya inovasi (Arina, Koleangan, & Engka, 2021). Menurut (Antari & Sedana, 2018), kinerja keuangan pemerintah dapat diukur berdasarkan seberapa besar kemampuan pemerintah dalam menggali potensi-potensi baik sumber daya alam maupun sumber daya manusia yang dimiliki pada setiap daerah agar dapat memberikan kontribusi terhadap pertumbuhan pendapatan daerahnya setiap tahun. Abstract Batam City, one of the cities in the Riau Islands Province, Indonesia is located on an international shipping route between Singapore and Malaysia. The location of Batam City has an influence on the economic growth in Batam City which is higher than the national economic growth rate so that Batam city is used as a mainstay to trigger national economic growth because of its strategic location which is closest between Singapore and Malaysia. The intent of this research was to be able to identify and analyze the regional financial structure or APBD of Batam 428 http://sostech.greenvest.co.id Justyanita, Sephia Septiana, Benny Septiawan dan Micel Thai 429 Volume 1, Nomor 5, Mei 2021 p-ISSN 2774-5147 ; e-ISSN 2774-5155 Salah satu daerah yang merupakan hasi pemekaran adalah Provinsi Kepulauan Riau (Kepri), di mana wilayah ini merupakan daerah otonom yang diharapkan menjadi model berkaitan dalam pengembangan perekonomian dengan adanya 3 kawasan ekonomi khusus (KEK) (Harefa, 2013). Batam merupakan kota yang paling besar di Kepulauan Riau, Indonesia. Kota ini terletak di antara Singapura dan Malaysia. Sehingga dapat dikatakan lokasi Kota Batam ini memberikan dampak pada pertumbuhan ekonomi. Penerapan economic zone di Batam adalah karena adanya keunggulan kompetitif dari segi geografis, yaitu berdekatan dengan Singapura dan Malaysia (Purba & Saputra, 2018). Kota Batam dianggap sangat cepat dalam hal pertumbuhan ekonominya, lebih tinggi dibandingkan dengan perkembangan ekonomi nasional, sehingga kota ini dijadikan andalan bagi pemicu perkembangan ekonomi secara nasional karena letaknya yang strategis. Walaupun begitu, dalam penelitian ini ingin mengetahui pendapatan Kota Batam dalam beberapa periode terakhir, terutama sebelum adanya masa pandemi hingga munculnya masa pandemi. Sektor yang dianggap sebagai acuan dalam penggerak ekonomi, meliputi bidang komunikasi, listrik, air dan gas, perbankan, industri, pelayaran, perdagangan dan jasa, serta komoditi ekspor untuk negara lain. Salah satu daerah yang memiliki perkembangan ekonomi yang sangat tinggi adalah Kota Batam, PAD di Kota Batam tahun 2013-2016 mengalami fluktuasi yang setiap tahunnya jika dilihat dari perhitungan rupiah cenderung mengalami peningkatan. Tentunya melakukan penyediaan infrastruktur dengan pesat perlu diadakan analisis keuangan daerah terhadap pengadaan infrastruktur seperti APBD, PAD, maupun pajak retribusi daerah. Penelitian ini dibuat dengan tujuan sumber dana yang dikelola dapat berjalan secara optimal, efektif dan efisien dalam pembiayaan pembangunannya sesuai dengan anggaran yang telah ditentukan oleh kota tersebut. Adapun rumusan masalah yang ingin ditanggapi dalam penelitian ini adalah mengetahui pertumbuhan ekonomi di Kota Batam dan jumlah pengeluaran, serta pembiayaan daerah di Kota Batam. Tujuan penelitian ini adalah untuk dapat mengidentifikasi dan menganalisis struktur keuangan daerah atau APBD Kota Batam dalam hal data statistik pendapatan, pengeluaran dan pembiayaan daerah. Dikarenakan penurunan pendapatan daerah akibat terdampak Covid-19 mengakibatkan pemerintah harus berupaya meningkatkan kebijakan-kebijakan moneter maupun fiskal agar dapat menstabilkan pendapatan negara (Apriliana, 2020). Solusi yang dapat dilakukan oleh Pemerintah Kota Batam adalah terus berupaya dalam meningkatkan pertumbuhan ekonomi dengan menerapkan beberapa sistem atau kebijakan lainnya, khususnya masa pandemi ini yang dimana dapat membantu Kota Batam tumbuh dan berkembang kembali seperti semula. Justyanita, Sephia Septiana, Benny Septiawan dan Micel Thai Dalam sebuah penelitian akan mengharapkan manfaat bagi setiap pembacanya untuk menambah wawasan, pengetahuan maupun pemahaman dimana penelitian ini dapat dijadikan sebagai referensi dalam melakukan penelitian, pemberian solusi maupun masukan terkait APBD Kota Batam. Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB pengetahuan yang menggunakan data berupa angka sebagai alat menganalisis keterangan mengenai apa yang ingin diketahui. Tujuannya ialah untuk melakukan pengujian teori secara spesifik terhadap suatu gejala. pengetahuan yang menggunakan data berupa angka sebagai alat menganalisis keterangan mengenai apa yang ingin diketahui. Tujuannya ialah untuk melakukan pengujian teori secara spesifik terhadap suatu gejala. p p g j Pada penelitian ini, metode dalam pengumpulan data yang dilakukan, yaitu dengan menganalisis dan menggunakan data sekunder dari 2 tahun terakhir dengan periode tahun 2018-2020 yang bersumber dari situs resmi Badan Pusat Statistik (BPS) Kota Batam yang ditinjau dari batamkota.bps.go.id. Dari situs resmi BPS Kota Batam yang merupakan hasil analisis data-data dari tahun ke tahun, peneliti juga memperoleh informasi-informasi atau fenomena yang terpercaya dimana melibatkan pendapatan pada wilayah Kota Batam yang ditinjau dari berbagai sektor. Penelitian ini bersumber dari data yang telah diperoleh penulis serta variabel yang dimanfaatkan dari penelitian dari setiap data-data yang telah dikumpulkan. Dari data tersebut, penelitian ini tidak hanya dijabarkan secara teoritis namun dijabarkan juga data-data numerik yang mendukung penelitian ini, sehingga pendapatan maupun pertumbuhan perekonomian Kota Batam periode 2018-2020 ini dapat dipaparkan secara jelas. METODE PENELITIAN Penelitian ini digunakan untuk mengukur dan menyelidiki PDRB dan APBD di Kota Batam. Dalam penelitian ini, peneliti menggunakan jenis penelitian kualitatif yang dimana penelitiannya dilaksanakan dengan mengumpulkan data asli yang bersifat deskriptif dimana penelitian ini berkeinginan untuk mendeskripsikan sebuah data yang tersusun secara urut untuk menganalisis suatu data (Darna & Herlina, 2018). Tujuan pada penelitian tersebut untuk menguraikan suatu informasi dengan sedalam-dalamnya dengan pengumpulan data yang dihasilkan mengacu pada pentingnya kedalaman dan detail suatu data penelitian. Selain dari penelitian kualitatif, dalam penelitian ini juga menggunakan penelitian kuantitatif dimana penelitian kuantitatif merupakan cara penemuan http://sostech.greenvest.co.id 430 Justyanita, Sephia Septiana, Benny Septiawan dan Micel Thai HASIL DAN PEMBAHASAN Untuk mengetahui dan menganalisis pendapatan nasional maupun regional, hal yang diperlukan sebagai pendukung dari penelitian ini yaitu data-data dan informasi akurat. Tahapan-tahapan dalam penganggaran meliputi penyusunan, ratifikasi, pelaksanaan dan pelaporan serta evaluasi. Pada proses penganggaran ini partisipasi dari masyarakat merupakan salah satu prinsip penyusunan Anggaran Pendapatan dan Belanja Daerah (APBD) yang harus dipenuhi yang mana tertuang dalam Peraturan Menteri Dalam Negeri Nomor 37 Tahun 2012 tentang Pedoman Penyusunan Anggaran Pendapatan dan Belanja Daerah Tahun Anggaran 2013. Mengingat tema dari penelitian ini adalah pendapatan nasional atau regional, maka pada penelitian kali ini penulis mengangkat Kota Batam sebagai target dari penelitian ini yang mengutip data maupun informasi dari Badan Pusat Statistik (BPS) Kota Batam. Berikut adalah penjabaran persentase pertumbuhan ekonomi Kota Batam periode 2018-2020 yang dikutip dari BPS Kota Batam. Tabel 1. Pertumbuhan ekonomi Kota Batam Periode 2018-2020 Sumber: Badan Pusat Statistik Kota Batam Pertumbuhan Ekonomi Kota Kategori Lapangan Usaha Batam (Persen) 2018 2019 2020 Pertanian, Kehutanan dan Perikanan 2,72 6,06 -0,47 Pertambangan dan Penggalian -1,78 1,43 -3,64 Industri Pengolahan 3,50 7,00 3,78 Pengadaan Listrik dan Gas -1,02 4,23 -2,67 Pengadaan Air, Pengelolaan Sampah, Limbah dan 3,14 7,23 -2,83 Daur Ulang Konstruksi 8,23 6,92 -6,98 Perdagangan Besar dan Eceran, Reparasi Mobil dan Sepeda Motor 6,92 4,49 -14,73 Transportasi dan Pergudangan 1,43 -17,02 -44,52 Penyediaan Akomodasi dan Makan Minum 10,18 9,62 -45,49 Informasi dan Komunikasi 12,85 11,97 18,09 Jasa Keuangan dan Asuransi 6,09 4,94 -1,18 Real Estate -5,13 2,10 -16,74 Tabel 1. Pertumbuhan ekonomi Kota Batam Periode 2018-2020 Sumber: Badan Pusat Statistik Kota Batam Justyanita, Sephia Septiana, Benny Septiawan dan Micel Thai 431 Volume 1, Nomor 5, Mei 2021 p-ISSN 2774-5147 ; e-ISSN 2774-5155 Volume 1, Nomor 5, Mei 2021 p-ISSN 2774-5147 ; e-ISSN 2774-5155 Jasa Perusahaan 7,19 -8,74 -43,33 Administrasi Pemerintahan, Pertahanan dan 8,31 1,08 12,23 Jaminan Sosial Jasa Pendidikan 2,27 0,71 -5,96 Jasa Kesehatan dan Kegiatan Sosial 3,70 2,10 -2,09 Jasa Lainnya 16,82 1,97 -67,98 PDRB Kota Batam 4,96 5,92 -2,55 Sumber: Badan Pusat Statistik Kota Batam Berdasarkan pencatatan dari BPS Kota Batam pada tabel 1, dapat dilihat bahwa tingkat pertumbuhan ekonomi Kota Batam pada tahun 2019 meningkat secara signifikan dimana kenaikan tersebut mencapai 5,92% dari 4,96% yang merupakan pertumbuhan ekonomi Kota Batam tahun 2018. HASIL DAN PEMBAHASAN Pertumbuhan ini diketahui dari pengukuran Produk Domestik Regional Bruto (PDRB) Kota Batam dimana Walikota Batam, Muhammad Rudi mengungkapkan bahwa pencapaian di tahun 2019 ini sebagai bentuk dan bukti nyata bahwa pengembangan maupun pembangunan yang dilakukan oleh pemerintah Kota Batam sudah tepat sasaran. Sektor yang tercatat sebagai pertumbuhan paling signifikan dalam 3 tahun terakhir (2018-2020) adalah sektor informasi dan komunikasi yang mencapai angka 12,85% di tahun 2018, 11,97% di tahun 2019 dan 18,09% di tahun 2020 sehingga menandakan bahwa sektor informasi dan komunikasi ini berkembang baik di Kota Batam. Tidak hanya itu, adapun sektor administrasi pemerintahan, pertahanan, dan jaminan sosial yang memilikipeningkatan baik walaupun di tahun 2019 sempat menurun dan menguat kembali di tahun 2020 dimana tahun 2018 8,31%, tahun 2019 menurun hingga 1,08% dan tahun 2020 meningkat pesat di angka 12,23%. Hal ini juga sebagai bukti nyata bahwa memang pada tahun tersebut pemerintahan Kota Batam terlaksana dengan baik. Selain peningkatan, ada juga sektor yang mengalami penurunan yang diduga menghambat perekonomian pada Kota Batam adalah sektor jasa lainnya, selain jasa pendidikan, jasa kesehatan dan kegiatan sosial. Sektor ini pada tahun tahun 2017 menduduki posisi sektor dengan pertumbuhan tertinggi yang mencapai 16,82%, tetapi pada tahun 2019 menurun hingga mencapai angka 1,97% dan tahun 2020 menurun drastis hingga menyentuh -67,98% dimana sektor jasa ini mengalami penurunan signifikan pada tahun 2020. Hal tersebut dapat disebabkan oleh wabah covid-19 yang dinyatakan masuk ke Indonesia pada awal tahun 2020 yang mana wabah ini memengaruhi perekonomian seluruh negara, tidak hanya Kota Batam saja. Diungkapkan juga oleh Walikota Batam, Muhammad Rudi bahwa bahan baku industri banyak yang berasal dari China, banyak karyawan dirumahkan, sektor pariwisata tertekan sehingga membuat pertumbuhan ekonomi melambat. Bukti lainnya yang dapat menyatakan bahwa perekonomian menurun akibat wabah Covid-19 ini adalah hampir sebagian besar sektor juga mengalami penurunan di tahun 2020 yang mana persentasenya berada di posisi minus, sehingga tidak perlu dipungkiri bahwa penurunan tersebut secara langsung berimbas pada PDRB Kota Batam yang juga menurun hingga di angka -2,55%. Menurut (Asari & Suardana, 2018), sesuai dengan Peraturan Walikota Batam Nomor 25 Tahun 2020 tentang perubahan keempat atas peraturan Walikota Batam Nomor 51 Tahun 2019 tentang penjabaran Anggaran Pendapatan dan Belanja Daerah Kota Batam tahun anggaran 2020, dalam rangka penanganan pandemi Covid-19 dan menghadapi ancaman terhadap perekonomian nasional, maka dalam pelaksanaan APBN tahun 2020, dilakukannya penyesuaian dan penetapan atas alokasi DBH, DAU, DAK, DID. HASIL DAN PEMBAHASAN Adapun percepatan dalam penyesuaian APBD tahun 2020, perlindungan terhadap daya beli masyarakat dan perekonomian nasional dengan menyesuaikan target pendapatan daerah dan rasionalisasi belanja daerah yang dituangkan dalam Laporan http://sostech.greenvest.co.id 432 Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB Realisasi Anggaran (LRA). Berdasarkan pernyataan tersebut, berikut merupakan perubahan atas penjabaran APBD Kota Batam. p j Gambar 1. Perubahan penjabaran APBD Kota Batam Sumber:Jaringan Dokumentasi dan Informasi Hukum Batam Gambar 1. Perubahan penjabaran APBD Kota Batam Sumber:Jaringan Dokumentasi dan Informasi Hukum Batam Gambar 1. Perubahan penjabaran APBD Kota Batam Sumber:Jaringan Dokumentasi dan Informasi Hukum Batam Dari perubahan atas APBD Kota Batam tahun 2020, dapat ditinjau perubahannya pada gambar 1 yang menampilkan 3 kategori, meliputi pendapatan, belanja dan pembiayaan. Pada kategori pendapatan dinyatakan bahwa sebelum perubahan, pendapatan dari APBD Kota Batam sebesar Rp. 2,96 triliun dan setelah perubahan sebesar Rp. 2,34 triliun. Selain itu pada kategori belanja juga dinyatakan bahwa sebelum perubahaan sebesar Rp. 3,01 triliun dan setelah perubahan sebesar Rp. 2,37 triliun. Adapun kategori pembiayaan yang terbagi menjadi penerimaan dan pengeluaran, yang mana penerimaan sebesar Rp. 55 miliar sebelum perubahan dan Rp. 35,4 miliar yang merupakan pembiayaan netto setelah perubahan. Pemerintah Kota Batam pada tahun 2021 diketahui bahwa adanya kesepakatan dari Pemerintah Kota Batam yang telah menetapkan APBD tahun 2021 sebesar Rp. 2,97 triliun, dimana penetapan tersebut telah disepakati. Rincian APBD tahun 2021 sebagai berikut: pendapatan daerah sebesar Rp. 2,86 triliun dengan PAD sebesar Rp. 1,43 triliun dan pendapatan transfer sebesar Rp. 1,31 triliun. Sedangkan, untuk belanja daerah diketahui sebesar Rp. 2,96 triliun, yang terdiri atas belanja tidak terduga sebesar Rp. 87 miliar. Sisa lebih dari perhitungan anggaran daerah tahun sebelumnya sebesar Rp. 107,7 miliar. Penyusunan dan penjabaran anggaran tersebut juga terdapat penyesuaian nama program kegiatan yang akan dilaksanakan pada tahun 2021 untuk KESIMPULAN Perkembangan ekonomi sebagai perubahan keadaan perekonomian suatu negara secara berkelanjutan, melalui kenaikan kapasitas produksi negara tersebut dalam bentuk kenaikan pendapatan nasional. Faktor utama yang mempengaruhi pertumbuhan tersebut, yaitu jumlah pengeluaran daerah seperti pembangunan infrastruktur daerah. Kegiatan ekonomi yang bermacam-macam mendorong setiap daerah untuk terus mengembangkan potensi ekonominya agar pembangunan daerah dilaksanakan secara terpadu dan serasi dengan tujuan agar pembangunan yang berlangsung di setiap daerah dapat dilaksanakan secara prioritas dan potensi daerah tersebut. Dapat dilihat bahwa tingkat pertumbuhan ekonomi Kota Batam pada tahun 2019 meningkat secara signifikan dimana kenaikan tersebut mencapai 5,92% dari 4,96% yang merupakan pertumbuhan ekonomi Kota Batam tahun 2018. Pencapaian di tahun 2019 ini dianggap sebagai bentuk dan bukti nyata bahwa pengembangan maupun pembangunan yang dilakukan oleh pemerintah Kota Batam sudah tepat sasaran. Sektor yang tercatat sebagai pertumbuhan paling signifikan dalam 3 tahun terakhir (2018-2020) adalah sektor informasi dan komunikasi yang mencapai angka 12,85% di tahun 2018, 11,97% di tahun 2019 dan 18,09% di tahun 2020 sehingga menandakan bahwa sektor informasi dan komunikasi ini berkembang baik di Kota Batam. Tidak hanya itu, adapun sektor administrasi pemerintahan, pertahanan dan jaminan sosial yang memiliki peningkatan baik walaupun di tahun 2019 sempat menurun dan menguat kembali di tahun 2020 dimana tahun 2018 8,31%, tahun 2019 menurun hingga 1,08% dan tahun 2020 meningkat pesat di angka 12,23%. Hal ini juga sebagai bukti nyata bahwa memang pada tahun tersebut pemerintahan Kota Batam terlaksana dengan baik.Selain peningkatan, ada juga sektor yang mengalami penurunan yang diduga menghambat perekonomian pada Kota Batam adalah sektor jasa lainnya, selain jasa pendidikan, jasa kesehatan dan kegiatan sosial. Sektor ini pada tahun tahun 2017 menduduki posisi sektor dengan pertumbuhan tertinggi yang mencapai 16,82%, tetapi pada tahun 2019 menurun hingga mencapai angka 1,97% dan tahun 2020 menurun drastis hingga menyentuh -67,98% dimana sektor jasa ini mengalami penurunan signifikan pada tahun 2020. Perubahan APBD Kota Batam tahun 2020 meliputi 3 kategori, dimana pada kategori pendapatan dinyatakan bahwa sebelum perubahan, pendapatan dari APBD Kota Batam sebesar Rp. 2,96 triliun dan setelah perubahan sebesar Rp 2,34 triliun. Pada kategori belanja juga dinyatakan bahwa sebelum perubahaan sebesar Rp 3,01 triliun dan setelah perubahan sebesar Rp. 2,37 triliun. Adapun kategori pembiayaan yang terbagi menjadi penerimaan dan pengeluaran, yang mana penerimaan sebesar Rp 55 miliar sebelum perubahan dan Rp. 35,4 miliar yang merupakan pembiayaan netto setelah perubahan. Pada tahun 2021 diketahui bahwa adanya kesepakatan dari Pemerintah Kota Batam yang telah menetapkan APBD tahun 2021 sebesar Rp. Justyanita, Sephia Septiana, Benny Septiawan dan Micel Thai 433 Volume 1, Nomor 5, Mei 2021 p-ISSN 2774-5147 ; e-ISSN 2774-5155 pencapaian Visi dan Misi Kota Batam Tahun 2016–2021. Tidak hanya itu, Walikota Batam Muhammad Rudi menyampaikan jika Kebijakan Umum APBD Kota Batam tahun 2021 juga memuat kondisi ekonomi makro daerah, asumsi penyusunan APBD, Kebijakan Pendapatan Daerah, Kebijakan Belanja Daerah dan Kebijakan Pembiayaan Daerah. Agenda Anggaran Kota Batam tahun 2021 ini disusun saat perekonomian Kota Batam sedang melambat akibat pandemi Covid-19 dimana Pemerintah Kota Batam optimis jika Kota Batam mampu tumbuh dan berkembang kembali seperti semula. KESIMPULAN 2,97 triliun, dimana penyusunan dan penjabaran anggaran tersebut juga terdapat penyesuaian nama program kegiatan yang akan dilaksanakan pada tahun 2021 untuk pencapaian Visi dan Misi Kota Batam Tahun 2016–2021. Walikota Batam Muhammad Rudi menyampaikan jika Kebijakan Umum APBD Kota Batam tahun 2021 juga memuat kondisi ekonomi makro http://sostech.greenvest.co.id 434 Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB Analisis Pendapatan Kota Batam Tahun 2018 - 2020 SOSTECH, 2021 Melalui APBD dan PDRB daerah, asumsi penyusunan APBD, Kebijakan Pendapatan Daerah, Kebijakan Belanja Daerah dan Kebijakan Pembiayaan Daerah yang disusun saat perekonomian Kota Batam sedang melambat akibat pandemi Covid-19 dimana Pemerintah Kota Batam optimis jika Kota Batam mampu tumbuh dan berkembang kembali seperti semula. Kota Batam memberikan dampak pada pertumbuhan ekonomi. Kota Batam dianggap sangat cepat dalam hal pertumbuhan ekonominya, lebih tinggi dibandingkan dengan pertumbuhan ekonomi nasional, sehingga kota ini dijadikan penunjang bagi pemicu perkembangan ekonomi nasional karena letaknya yang strategis. Meskipun Kota Batam mempunyai pertumbuhan ekonomi yang sangat signifikan, namun bukan berarti Kota Batam ini bebas dari resiko yang ada, salah satunya mengalami penurunan Produk Domestik Regional Bruto (PDRB) Kota Batam sebesar -2,55% yang disebabkan oleh wabah Covid-19 yang dinyatakan masuk ke Indonesia pada awal tahun 2020 dimana wabah ini mempengaruhi perekonomian seluruh negara. Maka disarankan agar pemerintah Kota Batam terus berupaya dalam meningkatkan pertumbuhan ekonomi dengan menerapkan beberapa sistem atau kebijakan lainnya untuk menghadapi wabah Covid-19, sehingga Kota Batam mampu tumbuh dan berkembang kembali seperti semula. Justyanita, Sephia Septiana, Benny Septiawan dan Micel Thai BIBLIOGRAPHY Ahlerup, Pelle, Baskaran, Thushyanthan, & Bigsten, Arne. (2017). Regional development and national identity in sub-Saharan Africa. Journal of Comparative Economics, 45(3), 622–643. https://doi.org/https://doi.org/10.1016/j.jce.2016.02.001 p g p g j j Alghofari, Farid, & Pujiyono, Arif. (2011). Analisis tingkat pengangguran di Indonesia tahun 1980-2007. Semarang: Undip. Antari, Ni Putu Gina Sukma, & Sedana, Ida Bagus Panji. (2018). Pengaruh Pendapatan Asli Daerah dan Belanja Modal Terhadap Kinerja Keuangan Pemerintah Daerah. E- Jurnal Manajemen, 7(2), 1080–1110. Apriliana, Eka Sri. (2020). Upaya Peningkatan Pendapatan Nasional di Tengah Wabah Virus Corona Perspektif Ekonomi Islam. Al Iqtishadiyah Jurnal Ekonomi Syariah Dan Hukum Ekonomi Syariah, 6(1), 19–28. Arina, Meylani M., Koleangan, Rosalina A. M., & Engka, Daisy S. M. (2021). Pengaruh Pendapatan Asli Daerah, Dana Bagi Hasil, Dana Alokasi Umum, Dan Dana Alokasi Khusus Terhadap Pertumbuhan Ekonomi Kota Manado. Jurnal Pembangunan Ekonomi Dan Keuangan Daerah, 20(3), 26–35. Asari, Ni Made Arni, & Suardana, Ketut Alit. (2018). Pengaruh Pendapatan Asli Daerah, Dana Perimbangan, dan Lain-Lain Pendapatan Daerah yang Sah pada Belanja Daerah. E-Jurnal Akuntansi, 25(2), 877–904. Darna, Nana, & Herlina, Elin. (2018). Memilih Metode Penelitian Yang Tepat: Bagi Penelitian Bidang Ilmu Manajemen. Jurnal Ekonologi Ilmu Manajemen, 5(1), 287– 292. Djadjuli, Didi. (2018). Peran Pemerintah Dalam Pembangunan Ekonomi Daerah. Dinamika: Jurnal Ilmiah Ilmu Administrasi Negara, 5(2), 8–21. Effendya, Syahril, & Harahapb, Baru. (2021). Analisis Faktor-Faktor Yang Memengaruhi Pendapatan Asli Daerah Kota Batam. SNISTEK, 138–143. Batam. Harefa, Mandala. (2013). Struktur Pertumbuhan Ekonomi dan Sektor Potensial Kota Batam dan Kabupaten Karimun Provinsi Kepulauan Riau. Jurnal Ekonomi & Kebijakan Publik, 4(2), 175–193. Hukom, Alexandra. (2014). Hubungan ketenagakerjaan dan perubahan struktur ekonomi terhadap kesejahteraan masyarakat. Jurnal Ekonomi Kuantitatif Terapan, 7(2), 120– 129. 435 Volume 1, Nomor 5, Mei 2021 p-ISSN 2774-5147 ; e-ISSN 2774-5155 Jazuli, Ahmad. (2015). Dinamika Hukum Lingkungan Hidup dan Sumber Daya Alam dalam Rangka Pembangunan Berkelanjutan. Jurnal Rechts Vinding: Media Pembinaan Hukum Nasional, 4(2), 181–197. Muttaqin, Rizal. (2018). Pertumbuhan Ekonomi dalam Perspektif Islam. Maro: Jurnal Ekonomi Syariah Dan Bisnis, 1(2), 117–122. Purba, Daris, & Saputra, Asron. (2018). Faktor Dominan Penurunan Pertumbuhan Ekonomi Batam. Prosiding Seminar Nasional Ilmu Sosial Dan Teknologi (SNISTEK), (1), 37–42. Soedarmono, Yuyun S. M. (2010). Donor issues in Indonesia: A developing country in South East Asia. Biologicals, 38(1), 43–46. https://doi.org/https://doi.org/10.1016/j.biologicals.2010.02.001 p g p g j g Yasin, Muhammad. (2020). Analisis Pendapatan Asli Daerah dan Belanja Pembangunan terhadap Pertumbuhan Ekonomi di Kabupaten/Kota Jawa Timur. COSTING: Journal of Economic, Business and Accounting, 3(2), 465–472. C i C 436 http://sostech.greenvest.co.id
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Urinary exosome-derived microRNAs reflecting the changes of renal function and histopathology in dogs
Osamu Ichii
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Instructions for use Title Urinary exosome-derived microRNAs reflecting the changes of renal function and histopathology in dogs Author(s) Ichii, Osamu; Ohta, Hiroshi; Horino, Taro; Nakamura, Teppei; Hosotani, Marina; Mizoguchi, Tatsuya; Morishita, Keitaro; Nakamura, Kensuke; Hoshino, Y uki; Takagi, Satoshi; Sasaki, Noboru; Takiguchi, Mitsuyoshi; Sato, Ryo; Oyamada, Kazuhisa; Kon, Y asuhiro Citation Scientific Reports, 7, 40340 https://doi.org/10.1038/srep40340 Issue Date 2017-01-11 Doc URL http://hdl.handle.net/2115/64596 Rights(URL) http://creativecommons.org/licenses/by/4.0/ Type article Additional Information There are other files related to this item in HUSCAP. Check the above URL. File Information Scientific Reports.40340.pdf Instructions for use Title Urinary exosome-derived microRNAs reflecting the changes of renal function and histopathology in dogs Author(s) Ichii, Osamu; Ohta, Hiroshi; Horino, Taro; Nakamura, Teppei; Hosotani, Marina; Mizoguchi, Tatsuya; Morishita, Keitaro; Nakamura, Kensuke; Hoshino, Y uki; Takagi, Satoshi; Sasaki, Noboru; Takiguchi, Mitsuyoshi; Sato, Ryo; Oyamada, Kazuhisa; Kon, Y asuhiro Citation Scientific Reports, 7, 40340 https://doi.org/10.1038/srep40340 Issue Date 2017-01-11 Doc URL http://hdl.handle.net/2115/64596 Rights(URL) http://creativecommons.org/licenses/by/4.0/ Type article Additional Information There are other files related to this item in HUSCAP. Check the above URL. File Information Scientific Reports.40340.pdf Urinary exosome-derived microRNAs reflecting the changes of renal function and histopathology in dogs received: 04 August 2016 accepted: 05 December 2016 Published: 11 January 2017 received: 04 August 2016 accepted: 05 December 2016 Published: 11 January 2017 Osamu Ichii1, Hiroshi Ohta2, Taro Horino3, Teppei Nakamura1,4, Marina Hosotani1, Tatsuya Mizoguchi1, Keitaro Morishita5, Kensuke Nakamura5, Yuki Hoshino5, Satoshi Takagi5, Noboru Sasaki2, Mitsuyoshi Takiguchi2, Ryo Sato6, Kazuhisa Oyamada6 & Yasuhiro Kon1 MicroRNAs act as post-transcriptional regulators, and urinary exosome (UExo)-derived microRNAs may be used as biomarkers. Herein, we screened for UExo-derived microRNAs reflecting kidney disease (KD) status in dogs. Examined dogs were divided into healthy kidney control (HC) and KD groups according to renal dysfunction. We confirmed the appearance of UExo having irregular globe-shapes in a dog by immunoblot detection of the exosome markers, TSG101 and CD9. Based on our previous data using KD model mice and the data obtained herein by next generation sequencing of UExo-derived microRNAs in dogs, miR-26a, miR-146a, miR-486, miR-21a, and miR-10a/b were selected as candidate microRNAs. In particular, UExo-derived miR-26a and miR-10a/b were significantly decreased in KD dogs, and miR-26a levels negatively correlated with deteriorated renal function compared to the other miRNAs. UExo- derived miR-21a levels corrected or not to that of internal control microRNAs in UExo, miR-26a and miR- 191, significantly increased with renal dysfunction. In kidney tissues, the decrease of miR-26a and miR- 10a/b in the glomerulus and miR-10b in the tubulointerstitium negatively correlated with deteriorated renal function and histopathology. Increased miR-21a in the tubulointerstitium rather than in the glomerulus correlated with deteriorated renal histopathology. In conclusion, microRNAs reflecting the changes in renal function and histopathology in dogs were identified in this study. In clinical veterinary medicine, serum blood urea nitrogen (BUN) and creatinine (Cr) are universally used as renal function markers. In dogs and cats, serum Cr level is used to grade patients with chronic kidney disease (CKD) into several clinical stages proposed by the International Renal Interest Society for adequate therapeutic strategy (http://www.iris-kidney.com/guidelines/staging.html). Our previous findings suggest that CKD patho- genesis differs among companion animals, and the glomerulus (Glo) and tubulointerstitium (TI) tend to be injured in dogs and cats, respectively1. The elevation of serum Cr indicates renal dysfunction. However, it is dif- ficult to estimate specific injured parts of the kidney from the results of serological analysis. Urinary protein and Cr are also useful markers for glomerular function and concentrating capacity, respectively. Instructions for use Hokkaido University Collection of Scholarly and Academic Papers : HUSCAP www.nature.com/scientificreports www.nature.com/scientificreports received: 04 August 2016 accepted: 05 December 2016 Published: 11 January 2017 Results A Appearance of UExo and UExo-derived RNAs in healthy dogs. Figure 1a summarizes the analysis protocols of UExos and UExo-derived total RNAs. In Fig. 1b and c, UExos collected by reagent 1- or 2-based method from fresh urine from a dog, showing normal kidney function, were examined. For immunoblotting, bands corresponding to the exosome markers, TSG101 and CD9, were detected (Fig. 1b), but the obvious band for the latter was detected when UExos were collected from 5 mL of urine. Furthermore, TSG101-derived band was detected in both reagent 1- and 2-based UExo isolation protocols. Scanning electron microscopy (SEM) showed that dog UExos presented an irregular globe-shape with a diameter of approximately 50–200 nm, and some of them presented a pit or process (Fig. 1c). p p p g Next, we examined the appearance of UExo and measured the amount of UExo-derived RNAs in a dog frozen urine samples by 3 different protocols. In Fig. 1d–f, 4 pooled samples, collected from more than 10 dogs showing normal kidney function, were analyzed. The highest total amount of UExo-derived total RNAs was obtained by using the column method when compared with the other methods using both 1 and 5 mL of urine (Fig. 1d). In term of recovery efficiency of UExo-derived total RNAs (Fig. 1e), UExo-derived total RNAs tended to decrease with the volume of urine used in all examined protocols, and significant differences between the groups using 1 and 5 mL were detected in the reagent 1 and column method. Furthermore, the highest amount of UExo-derived total RNAs was obtained by using the column method when compared with the other methods in both groups using 1 and 5 mL of urine. Figure 1f shows the levels of miR-26a, which was reported as the miRNA abundantly expressed in the kidneys of mice, dogs, and cats3,4, in the obtained UExo-derived total RNAs. The miR-26a level tended to increase with the urine volume used in all examined protocols, and significant differences between the groups using 1 and 5 mL were detected in reagent 1 and column method. Thus, our data showed that UExo are detected in dogs and suggested that the amount of obtained UExo-derived total RNAs is not necessarily similar to that of miRNAs. UExo-derived miRNAs in healthy kidney control (HC) and KD dogs. www.nature.com/scientificreports/ experimental rodents and humans5. In the kidneys, miR-21 participates in renal fibrosis by targeting transforming growth factor beta (TGF-β​)/Smad signaling6. We also demonstrated that altered expression of miR-26a and miR- 146a correlated with the progression of glomerular podocyte injury and tubulointerstitial inflammation in CKD model mice, respectively2,3. In veterinary medicine, although miRNA expression profile in companion animals is unknown, we recently identified miRNAs expressed in the renal cortex and medulla of dogs and cats by using next-generation sequencing (NGS)4.l g q g ( ) miRNAs are also found in body fluids such as the serum, plasma, saliva, milk, and urine7. Urinary miRNA is stable because it is included in 40–100 nm nano-sized vesicles called “exosomes”8. Exosome is a type of extracel- lular vesicles such as microvesicles, apoptotic bodies, or ectosomes9. Exosomes are derived from the budding of endosomal membranes, resulting in the formation of multivesicular bodies (MVBs) and produced by the fusion of MVBs with the plasma membrane. Therefore, exosomal membrane molecules such as CD9, CD63, and CD81 and the proteins involved in exosomal biogenesis such as programmed cell death 6 interacting protein (also known as ALIX) or tumor susceptibility 101 (TSG101) are used as representative exosomal markers10. ) p y ( ) p Urinary exosome (UExo)-derived miRNAs may be novel diagnostic markers for KD. Solé et al. reported that miR-29c levels in UExos correlated with the chronicity and glomerular sclerosis in human patients with lupus nephritis11. Furthermore, miR-1915 and miR-663 levels in UExo were downregulated in patients with focal seg- mental glomerulosclerosis compared to healthy controls, whereas those of miR-155 were upregulated in these patients12. We also reported altered levels of miR-26a and miR-146a in the urine of CKD model mice2,3. Thus, changes of UExo-derived miRNAs significantly correlate with the progression of KD. However, there is no evi- dence in companion animals. p In the present study, by using dog UExo and NGS, we identified novel miRNA candidates reflecting changes of renal function or renal histopathology and compared their clinicopathological significance with KD-related miRNAs already identified in our previous studies. Urinary exosome-derived microRNAs reflecting the changes of renal function and histopathology in dogs We recently focused on identifying a potential microRNA (miRNA) as a novel disease marker as well as therapeutic target in animal kidney diseases (KD)2–4. y miRNAs are stable small non-coding RNAs (20–25 bp) with high evolutionary sequence conservation that act as posttranscriptional regulators of target genes by binding to complementary sequences within specific target mRNAs. The close relationship between the progression of several diseases and miRNAs is well studied in both 1Laboratory of Anatomy, Department of Biomedical Sciences, Graduate School of Veterinary Medicine, Hokkaido University, Kita 18, Nishi 9, Kita-ku, Sapporo 060-0818, Japan. 2Laboratory of Veterinary Internal Medicine, Department of Veterinary Clinical Sciences, Graduate School of Veterinary Medicine, Hokkaido University, Kita 18, Nishi 9, Kita-ku, Sapporo 060-0818, Japan. 3Department of Endocrinology, Metabolism and Nephrology, Kochi University School of Medicine, Kohasu, Oko-cho, Nankoku 783-8505, Japan. 4Section of Biological Safety Research, Chitose Laboratory, Japan Food Research Laboratories, Bunkyo 2-3, Chitose 066-0052, Japan. 5Veterinary Teaching Hospital, Graduate School of Veterinary Medicine, Hokkaido University, Kita 18, Nishi 9, Kita-ku, Sapporo 060-0818, Japan. 6Matsubara Animal Hospital, Taijo 1-174-1, Matsubara 580-0044, Japan. Correspondence and requests for materials should be addressed to O.I. (email: ichi-o@vetmed.hokudai.ac.jp) Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 1 www.nature.com/scientificreports/ Results A *Significant difference between 1 and 5 mL groups analyzed by Mann-Whitney U test (P <​ 0.05). †,††Significant difference from the other method in same urine volume group analyzed by Scheffé method (P <​ 0.05, P <​ 0.01, respectively) following Kruskal-Wallis test. Figure 1. Analysis of urinary exosome-derived RNAs in dogs. (a) Flowchart of protocols used to analyze urinary exosome and exosome-derived RNAs in this study. (b) Detection of the urinary exosome markers, TSG101 and CD9, in urinary exosome-rich fractions. Reagent 1 or 2 was used in this experiment. “mL” at the top of lane indicates the volume of urine used. Arrowheads indicate the predicted bands for TSG101 or CD9. Fresh urine samples were used. (c) Ultrastructure of dog urinary exosome. Suspension buffer or re-suspended exosome rich fraction was mounted on a copper grid covered membrane and observed under scanning electron microscopy. The dog exosomes showed irregular round shapes and a diameter of about 50–200 nm. Some of them presented a pit (arrowhead) or process (arrow). Fresh urine samples were used. (d) Amount of RNA obtained from urinary exosome-rich fraction in dogs using 3 different methods. (e) Recovery efficiency of RNA obtained (obtained RNA/volume of urine used) from urinary exosome-rich fraction in dogs using 3 different methods. (f) miRNA level in RNA obtained from urinary exosome-rich fraction by 3 different methods in dogs. miR-26a was analyzed as a representative miRNA abundantly expressed in the animal kidney. TaqMan PCR method. For graphs d-f, four pooled samples of frozen urine obtained from more than 10 dogs for each sample were used in this experiment. Values =​ mean ±​ SE. *Significant difference between 1 and 5 mL groups analyzed by Mann-Whitney U test (P <​ 0.05). †,††Significant difference from the other method in same urine volume group analyzed by Scheffé method (P <​ 0.05, P <​ 0.01, respectively) following Kruskal-Wallis test. Levels of selected UExo-derived miRNAs in HC and KD dogs. Next, levels of selected miRNAs in UExo were quantified from the results presented in Table 1. Levels of miR-26a and miR-146a, which were differ- entially expressed in the kidneys of CKD mice compared to that in healthy control mice in our previous studies, were also quantified2,3. The raw levels of miR-26a, miR-10a, miR-10b, and miR-191 were significantly lower in UExo from KD dogs compared to those in UExo of HC dogs (Fig. 3a). Results A Suspension buffer or re-suspended exosome rich fraction was mounted on a copper grid covered membrane and observed under scanning electron microscopy. The dog exosomes showed irregular round shapes and a diameter of about 50–200 nm. Some of them presented a pit (arrowhead) or process (arrow). Fresh urine samples were used. (d) Amount of RNA obtained from urinary exosome-rich fraction in dogs using 3 different methods. (e) Recovery efficiency of RNA obtained (obtained RNA/volume of urine used) from urinary exosome-rich fraction in dogs using 3 different methods. (f) miRNA level in RNA obtained from urinary exosome-rich fraction by 3 different methods in dogs. miR-26a was analyzed as a representative miRNA abundantly expressed in the animal kidney. TaqMan PCR method. For graphs d-f, four pooled samples of frozen urine obtained from more than 10 dogs for each sample were used in this experiment. Values =​ mean ±​ SE. *Significant difference between 1 and 5 mL groups analyzed igure 1. Analysis of urinary exosome-derived RNAs in dogs. (a) Flowchart of protocols used to analyze Figure 1. Analysis of urinary exosome-derived RNAs in dogs. (a) Flowchart of protocols used to analyze urinary exosome and exosome-derived RNAs in this study. (b) Detection of the urinary exosome markers, TSG101 and CD9, in urinary exosome-rich fractions. Reagent 1 or 2 was used in this experiment. “mL” at the top of lane indicates the volume of urine used. Arrowheads indicate the predicted bands for TSG101 or CD9. Fresh urine samples were used. (c) Ultrastructure of dog urinary exosome. Suspension buffer or re-suspended exosome rich fraction was mounted on a copper grid covered membrane and observed under scanning electron microscopy. The dog exosomes showed irregular round shapes and a diameter of about 50–200 nm. Some of them presented a pit (arrowhead) or process (arrow). Fresh urine samples were used. (d) Amount of RNA obtained from urinary exosome-rich fraction in dogs using 3 different methods. (e) Recovery efficiency of RNA obtained (obtained RNA/volume of urine used) from urinary exosome-rich fraction in dogs using 3 different methods. (f) miRNA level in RNA obtained from urinary exosome-rich fraction by 3 different methods in dogs. miR-26a was analyzed as a representative miRNA abundantly expressed in the animal kidney. TaqMan PCR method. For graphs d-f, four pooled samples of frozen urine obtained from more than 10 dogs for each sample were used in this experiment. Values =​ mean ±​ SE. Results A Based on the serum Cr and BUN, urine color, and the diagnosis of a clinical veterinarian, the obtained urine samples were divided into 2 groups; HC (n =​ 37, median =​ 10-years-old) and KD (n =​ 47, median =​ 12-years-old). Clinical information of the examined dogs, including sex, age, and species is summarized in supplemental Table 1 and supplemental Fig. 1. Figure 2a shows the renal functions of HC and KD dogs. KD dogs showed significantly higher values in serum BUN and Cr and lower values in urinary Cr compared to HC dogs. NGS was performed by using these samples (Fig. 2b). Because of alignment, the percentage of UExo-derived miRNAs obtained were 0.12% and 0.42% in UExo-derived total RNAs of HC and KD dogs, respectively. Characteristically, most read sequences were derived from that of transfer RNA. As a result, 2,035 miRNAs were annotated.i Table 1 summarizes the results of UExo-derived miRNAs levels in HC and KD dogs. To refine the candidates, miRNAs showing more than 100 read numbers in both groups and a 2-fold difference (higher or lower) in KD dogs compared to HC dogs were selected. miR-3107, miR-486a, miR-21a, miR-10a, and miR-10b satisfied these requirements. miR-3107-5p was recently updated as miR-486b-5p, presenting the same mature sequence “uccu- guacugagcugccccgag” as miR-486a-5p according to the mouse database (miRBase, http://www.mirbase.org/). Therefore, miR-3107 and miR-486a are essentially the same mature miRNAs. Furthermore, to identify an inter- nal control miRNA in dog UExo, miRNAs showing more than 300 read numbers in both groups and less than a 2-fold difference (higher or lower) in the KD group compared to the HC group were selected. Among the selected miRNAs, we used miR-191 as an internal control in the subsequent study because it showed the lowest fold change between the HC and KD groups and was abundantly expressed in the kidneys of mice, dogs, and cats3,4. Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 2 www.nature.com/scientificreports/ Figure 1. Analysis of urinary exosome-derived RNAs in dogs. (a) Flowchart of protocols used to analyze urinary exosome and exosome-derived RNAs in this study. (b) Detection of the urinary exosome markers, TSG101 and CD9, in urinary exosome-rich fractions. Reagent 1 or 2 was used in this experiment. “mL” at the top of lane indicates the volume of urine used. Arrowheads indicate the predicted bands for TSG101 or CD9. Fresh urine samples were used. (c) Ultrastructure of dog urinary exosome. Results A In contrast, miR-146a and miR-21a levels tended to be higher in UExo of KD dogs compared to those in UExo of HC dogs. A significant difference was only detected in miR-21a levels between the groups. Additionally, we corrected their levels to the raw levels of miR-26a and miR-191 (Fig. 3b and c), which were selected as internal controls in dog UExo, based on their abun- dant expression in the kidneys of dogs3,4. The results are presented in Table 1. When the expression levels were corrected to that of miR-26a, the levels of miR-146a and miR-21a were significantly higher in UExo of KD dogs than that in UExo of HC dogs (Fig. 3b). When the expression levels were corrected to that of miR-191, the levels of miR-146a, miR-21a, miR-10a, and miR-10b tended to be higher in UExo of KD dogs than in UExo of HC dogs. A significant difference was detected in miR-21a levels between the groups (Fig. 3c). Furthermore, we examined the raw levels and the corrected levels of miRNAs in each sex group, including male, castrated male, female, and Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 3 www.nature.com/scientificreports/ Figure 2. Analysis of renal function and urinary exosome-derived RNA sequences in dogs. (a) Clinical parameters of dogs grouped into healthy kidney control (HC, n =​ 37) and kidney disease (KD, n =​ 47). BUN: blood urea nitrogen. Cr: creatinine. Bars in graphs and values in tables show the median of each group. **Significant difference between HC and KD analyzed by Mann-Whitney U test (P <​ 0.01). (b) Percentage of each RNA obtained from urinary exosome-derived RNA in dogs by next generation sequencing. Pooled samples of healthy kidney control (HC, n =​ 37) and kidney disease (KD, n =​ 47) were analyzed. tRNA: transfer RNA. Figure 2. Analysis of renal function and urinary exosome-derived RNA sequences in dogs. (a) Clinical parameters of dogs grouped into healthy kidney control (HC, n =​ 37) and kidney disease (KD, n =​ 47). BUN: blood urea nitrogen. Cr: creatinine. Bars in graphs and values in tables show the median of each group. **Significant difference between HC and KD analyzed by Mann-Whitney U test (P <​ 0.01). (b) Percentage of each RNA obtained from urinary exosome-derived RNA in dogs by next generation sequencing. Pooled samples of healthy kidney control (HC, n =​ 37) and kidney disease (KD, n =​ 47) were analyzed. tRNA: transfer RNA. Results A Accession Fold change (KD vs. HC) HC (raw) KD (raw) HC (normalized) KD (normalized) Reference Differentially expressed UExo- derived miRNAs miR-3107-5pa 18.5 153 3674 6.7 10.9 MI0014103 miR-486a-5p 13.91 142 2564 6.6 10.4 MI0003493 miR-21a-5p 4.09 211 1120 7.2 9.2 MI0000569 miR-10a-5p 2.31 3665 10999 13 14.1 MI0000685 miR-10b-5p 2.16 11980 33624 11.3 12.5 MI0000221 Similarly expressed UExo-derived miRNAs miR-192-5p 1.87 304 737 7.71 8.61 MI0000551 miR-22-3p 1.81 305 717 7.72 8.57 MI0000570 miR-30a-5p 1.78 756 1749 9.03 9.86 MI0000144 miR-191-5p 1.65 307 658 7.72 8.45 MI0000233 Table 1. List of differentially or similarly expressed UExo-derived miRNAs in KD compared to HC dogs. A total of 2,035 miRNAs were annotated. These genes showed 100 >​ read number and a 2-fold change in the kidney diseased group (KD) when compared to the healthy kidney control group (HC). a: This miRNA is updated as miR-486b-5p. miR-486a and miR-486b have the same mature sequence “uccuguacugagcugccccgag” in the mouse data base. A total of 2,035 miRNAs were annotated. These genes showed 200 >​ read number and within a 2-fold change in the KD group compared to the HC group. Accession Fold change (KD vs. HC) HC (raw) KD (raw) HC (normalized) KD (normalized) Reference Differentially expressed UExo- derived miRNAs miR-3107-5pa 18.5 153 3674 6.7 10.9 MI0014103 miR-486a-5p 13.91 142 2564 6.6 10.4 MI0003493 miR-21a-5p 4.09 211 1120 7.2 9.2 MI0000569 miR-10a-5p 2.31 3665 10999 13 14.1 MI0000685 miR-10b-5p 2.16 11980 33624 11.3 12.5 MI0000221 Similarly expressed UExo-derived miRNAs miR-192-5p 1.87 304 737 7.71 8.61 MI0000551 miR-22-3p 1.81 305 717 7.72 8.57 MI0000570 miR-30a-5p 1.78 756 1749 9.03 9.86 MI0000144 miR-191-5p 1.65 307 658 7.72 8.45 MI0000233 Table 1. List of differentially or similarly expressed UExo-derived miRNAs in KD compared to HC dogs. A total of 2,035 miRNAs were annotated. These genes showed 100 >​ read number and a 2-fold change in the kidney diseased group (KD) when compared to the healthy kidney control group (HC). a: This miRNA is updated as miR-486b-5p. miR-486a and miR-486b have the same mature sequence “uccuguacugagcugccccgag” in the mouse data base. A total of 2,035 miRNAs were annotated. These genes showed 200 >​ read number and within a 2-fold change in the KD group compared to the HC group. e 1. List of differentially or similarly expressed UExo-derived miRNAs in KD compared to HC dogs. Table 1. Results A List of differentially or similarly expressed UExo-derived miRNAs in KD compared to HC dogs. A total of 2,035 miRNAs were annotated. These genes showed 100 >​ read number and a 2-fold change in the kidney diseased group (KD) when compared to the healthy kidney control group (HC). a: This miRNA is updated as miR-486b-5p. miR-486a and miR-486b have the same mature sequence “uccuguacugagcugccccgag” in the mouse data base. A total of 2,035 miRNAs were annotated. These genes showed 200 >​ read number and within a 2-fold change in the KD group compared to the HC group. payed female, and there was no significant sex-related difference (P >​ 0.05) in any miRNA as determined by Kruskal–Wallis test. payed female, and there was no significant sex-related difference (P >​ 0.05) in any miRNA as determined by Kruskal–Wallis test. Correlation between levels of UExo-derived miRNAs and renal function in HC and KD dogs. A significant positive correlation was detected between age and miR-146a (Table 2). Serum BUN was significantly Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 4 www.nature.com/scientificreports/ Figure 3. Level of urinary exosome-derived miRNAs in dogs. (a) Raw miRNA levels in urinary exosome- derived miRNA in dogs. (b) miRNA levels corrected to miR-26a level in urinary exosome-derived miRNA in dogs. (c) miRNA levels corrected to miR-191 level in urinary exosome-derived miRNA in dogs. Dogs were divided into healthy kidney control (HC, n =​ 37) and kidney disease (KD, n =​ 47) groups. *, **Significant difference between HC and KD groups analyzed by Mann-Whitney U test (P <​ 0.05, P <​ 0.01, respectively). TaqMan PCR method. Bars in graphs and values in Tables show the median of each group. Figure 3. Level of urinary exosome-derived miRNAs in dogs. (a) Raw miRNA levels in urinary exosome- derived miRNA in dogs. (b) miRNA levels corrected to miR-26a level in urinary exosome-derived miRNA in dogs. (c) miRNA levels corrected to miR-191 level in urinary exosome-derived miRNA in dogs. Dogs were divided into healthy kidney control (HC, n =​ 37) and kidney disease (KD, n =​ 47) groups. *, **Significant difference between HC and KD groups analyzed by Mann-Whitney U test (P <​ 0.05, P <​ 0.01, respectively). TaqMan PCR method. Bars in graphs and values in Tables show the median of each group. and negatively correlated with miR-26a and miR-10b. www.nature.com/scientificreports/ www.nature.com/scientificreports/ Parameters Age BUN Serum Cr Urinary Cr UExo-derived miRNA levels miR-26a −​0.18 −​0.397** −​0.303** 0.425** miR-146a 0.251* 0.130 0.115 −​0.037 miR-486 −​0.111 −​0.149 −​0.159 0.314** miR-21a 0.028 0.213 0.238* −​0.200 miR-10a −​0.06 −​0.203 −​0.221* 0.271* miR-10b −​0.161 −​0.344** −​0.311** 0.428** miR191 −​0.134 −​0.218 −​0.234* 0.270* UExo-derived miRNA ratio miR-146a/miR-26a 0.411** 0.362** 0.294** −​0.302** miR-486/miR-26a 0.095 0.147 0.030 −​0.080 miR-191/miR-26a 0.059 0.051 −​0.041 −​0.040 miR-21a/miR-26a 0.134 0.489** 0.429** −​0.498** miR-10a/miR-26a 0.101 0.149 0.026 −​0.06 miR-10b/miR-26a −​0.034 0.05 −​0.048 0.073 miR-26a/miR-191 −​0.016 −​0.132 −​0.016 −​0.005 miR-146a/miR-191 0.189 0.068 0.188 −​0.222 miR-486/miR-191 0.060 0.049 0.041 −​0.071 miR-21a/miR-191 0.251* 0.517** 0.512** −​0.412** miR-10a/miR-191 0.103 0.068 0.072 −​0.058 miR-10b/miR-191 −​0.015 0.001 0.063 0.051 Table 2. Correlations between UExo-derived miRNA levels or ratio and clinical parameters in dogs. n =​ 75–84. Spearman’s rank correlation coefficient. *P <​ 0.05. **P <​ 0.01. BUN: blood urea nitrogen. Cr: creatinine. Table 2. Correlations between UExo-derived miRNA levels or ratio and clinical parameters in dogs. n =​ 75–84. Spearman’s rank correlation coefficient. *P <​ 0.05. **P <​ 0.01. BUN: blood urea nitrogen. Cr: creatinine. Table 2. Correlations between UExo-derived miRNA levels or ratio and clinical parameters in dogs. n =​ 75–84. Spearman’s rank correlation coefficient. *P <​ 0.05. **P <​ 0.01. BUN: blood urea nitrogen. Cr: creatinine. in Glo rather than in TI, but miR-21a and miR-10b showed a 0.99 and 1.18 ratio, respectively, meaning that they were comparatively expressed in both Glo and TI. All parameters tended to be lower in KD dogs compared to HC dogs. Significant differences were observed in terms of miR-21a and miR-10a levels between the groups. Furthermore, the levels of miR-21a, miR-10a, and miR-10b were less than 1.0 in dogs with KD, meaning that they tended to be expressed in TI rather than in Glo in dogs with KD. in Glo rather than in TI, but miR-21a and miR-10b showed a 0.99 and 1.18 ratio, respectively, meaning that they were comparatively expressed in both Glo and TI. All parameters tended to be lower in KD dogs compared to HC dogs. Significant differences were observed in terms of miR-21a and miR-10a levels between the groups. Furthermore, the levels of miR-21a, miR-10a, and miR-10b were less than 1.0 in dogs with KD, meaning that they tended to be expressed in TI rather than in Glo in dogs with KD. Correlation between miRNA levels in the kidney and renal function in HC and KD dogs. www.nature.com/scientificreports/ For miRNA levels in the kidney tissues collected by LMD (Table 3), age did not correlate with the examined miRNA levels. Serum BUN and Cr, and Glo damage score were negatively correlated with Glo levels of miR-26a, miR-10a, and miR-10b. Serum Cr also negatively correlated with miR-146a levels. Both TI damage score and KD score were negatively correlated with Glo levels of miR-486, miR-10a, and miR-10b. Furthermore, serum BUN and Cr as well as Glo and TI damage scores, and KD score were negatively correlated with TI levels of miR-10b. Glo damage and KD scores were also negatively correlated with miR-21a levels. g y Regarding the Glo to TI ratio (Table 4), miR-26a, miR-146a, and miR-10a were negatively correlated with Glo damage and KD scores, and miR-146a and miR-10a were negatively correlated with TI damage score and serum Cr, respectively. miR-10b was negatively correlated with age. Results A Serum Cr was significantly and negatively correlated with miR-26a, miR-10a, miR-10b, and miR-191 and positively correlated with miR-21a. Urinary Cr was significantly and positively correlated with miR-26a, miR-486, miR-10a, miR-10b, and miR-191. When miRNA expression lev- els were corrected to that of miR-26a, age was positively correlated with miR-146a, and serum BUN and Cr were positively correlated with miR-146a and miR-21a, while urinary Cr was negatively correlated with these miRNAs. When the expression levels were corrected to that of miR-191, miR-21a was positively correlated with age, serum BUN, and Cr, while it was negatively correlated with urinary Cr. Renal expression of miRNAs in the kidneys of HC and KD dogs. Figure 4a presents renal functions and kidney damage scores of the dogs histopathologically divided into HC (n =​ 6, median =​ 11 years old) and KD (n =​ 7, median =​ 10.5 years old). Clinical information of the examined dogs is summarized in supplemental Table 2. Dogs with KD showed significantly higher values of serum BUN and Cr and damage scores for Glo, TI, and KD. Representative histopathological features of the kidneys of HC and KD dogs are shown in Fig. 4b. In KD dogs, the kidneys showed clear Glo and TI damages. Figure 4c shows local expression of miRNAs in the kidneys analyzed by laser-microdissection (LMD). The expression of all examined miRNAs was lower in KD compared to HC collected Glo. Significant differences were detected in miR-26a, miR-10a, and miR-10b between the groups. For collected TI, the expression of miR-21a tended to be higher in KD compared to HC specimens. The expres- sion of other miRNAs tended to be lower. A significant difference was detected in miR-10b levels between the groups. We also calculated the miRNA expression ratio in Glo compared to TI (Fig. 4d). For the HC group, miR- 26a, miR-146a, and miR-486 presented a Glo to TI ratio above 1.5, meaning that they were abundantly expressed Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 5 Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 Discussion Bars in graphs and values in the Tables show the median of each group. Figure 4. Level of miRNAs in the kidney of dogs. (a) Clinical and histopathological parameters of the analyzed dogs. Dogs were divided into healthy kidney control (HC) and kidney disease (KD) groups. *, **Significant difference between HC and KD groups analyzed by Mann-Whitney U test (P <​ 0.05, P <​ 0.01, respectively). Bars in graphs and values in tables show the median of each group. (b) Representative histopathological features of the analyzed dogs. In KD dogs, damages are observed in the glomerulus (Glo, arrows) and tubulointerstitium (TI, arrowheads). The histopathological scores of the Glo and TI as well as the serum values of blood urea nitrogen (BUN) and creatinine (Cr) are shown. Sections were stained with Periodic acid Schiff. Glo and TI containing areas were isolated by laser-microdissection (LMD) after toluidine blue staining. (c) miRNA expression in the Glo and TI collected by LMD was analyzed by using the TaqMan PCR method. Values are expressed as fold increase of KD compared to HC. (d)Glo to TI miRNA expression ratios. HC: n =​ 6. KD: n =​ 7. *, **Significant difference between HC and KD analyzed by Mann-Whitney U test (P <​ 0.05, P <​ 0.01, respectively). Data indicates the mean value of each column. Bars in graphs and values in the Tables show the median of each group. amount of miR-21a in UExo, rather than raw levels of urinary miR-21a, increased during KD and correlated with changes in renal function in dogs. Overall, the expression of all examined miRNAs tended to decrease in the Glo of KD dogs compared to that in HC dogs, but these changes were milder in TI than in Glo in KD dogs (Fig. 4c). We previously reported that Glo lesions in CKD such as podocyte injuries were more strongly correlated with renal dysfunction in dogs than in cats1. Furthermore, approximately 52% of renal biopsy samples from diseased dogs presented Glo injuries14. On the other hand, TI damages, including cell infiltration, fibrosis, polycystic lesions, and necrosis, were commonly observed in cat KD15,16. Therefore, the decreased expression of the examined miRNAs in Glo might be associated with the pathological characteristics of dog kidneys such as Glo-dominant pathogenesis in this species.i Decreased Glo miRNAs in KD such as miR-26a, miR-10a, and miR-10b significantly and strongly correlated with renal dysfunction and Glo injuries in dogs. Discussion We examined the levels of UExo-derived miRNAs selected from both NGS and our previous reports2,3. Raw levels of UExo-derived miRNAs (Fig. 3a) can indicate 2 possibilities; 1) the quantitative changes of total amount of UExo or 2) the quantitative change of miRNAs in UExo. Because it is difficult to accurately measure the amount of UExo in dogs due to the lack of appropriate measurement techniques, we considered that internal control UExo-derived miRNAs were needed as an alternative. Therefore, we used miR-26a and miR-191 as internal con- trols, because they are known to be abundantly expressed in the kidneys of mice, dogs, and cats3,4. Additionally, miR-191 did not show drastic quantitative changes in the urine of HC and KD dogs in NGS (Table 1). miR-26a and miR-191 significantly decreased in UExo from KD dogs compared to that in HC dogs, suggesting that the total UExo amount tends to decrease in KD compared to HC. Therefore, its decreased level would also relate to a decrease in the total UExo amount in KD dogs. Furthermore, the raw levels of miR-26a and miR-191 in UExo correlated with changes of renal function indices such as serum BUN, serum Cr, or urinary Cr. Therefore, decreased UExo in KD might indicate altered renal function in the dog kidneys.i g g y miR-10b also significantly decreased in KD dogs compared to HC dogs, and their levels closely correlated with renal function compared to the other miRNAs. Although differences in miR-10b and miR-10a levels did not match between TaqMan PCR and NGS, we analyzed these miRNAs because their read number was high (Table 1), and they are highly expressed in human urine13 as well as in dog and cat kidneys4. This methodological difference might be affected by the differences between individual samples in TaqMan PCR and pooled samples in NGS. On the other hand, the expression of UExo-derived miR-21a significantly increased in KD dogs compared to that in HC dogs. This increase was still observed after correction of the expression levels to those of internal control candidates such as miR-26a or miR-191 and closely correlated with changes in renal function indices. Thus, the Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 6 www.nature.com/scientificreports/ Figure 4. Level of miRNAs in the kidney of dogs. (a) Clinical and histopathological parameters of the analyzed dogs. Dogs were divided into healthy kidney control (HC) and kidney disease (KD) groups. Discussion *, **Significant difference between HC and KD groups analyzed by Mann-Whitney U test (P <​ 0.05, P <​ 0.01, respectively). Bars in graphs and values in tables show the median of each group. (b) Representative histopathological features of the analyzed dogs. In KD dogs, damages are observed in the glomerulus (Glo, arrows) and tubulointerstitium (TI, arrowheads). The histopathological scores of the Glo and TI as well as the serum values of blood urea nitrogen (BUN) and creatinine (Cr) are shown. Sections were stained with Periodic acid Schiff. Glo and TI containing areas were isolated by laser-microdissection (LMD) after toluidine blue staining. (c) miRNA expression in the Glo and TI collected by LMD was analyzed by using the TaqMan PCR method. Values are expressed as fold increase of KD compared to HC. (d)Glo to TI miRNA expression ratios. HC: n =​ 6. KD: n =​ 7. *, **Significant difference between HC and KD analyzed by Mann-Whitney U test (P <​ 0.05, P <​ 0.01, respectively). Data indicates the mean value of each column. Bars in graphs and values in the Tables show the median of each group. Figure 4. Level of miRNAs in the kidney of dogs. (a) Clinical and histopathological parameters of the analyzed dogs. Dogs were divided into healthy kidney control (HC) and kidney disease (KD) groups. *, **Significant difference between HC and KD groups analyzed by Mann-Whitney U test (P <​ 0.05, P <​ 0.01, respectively). Bars in graphs and values in tables show the median of each group. (b) Representative histopathological features of the analyzed dogs. In KD dogs, damages are observed in the glomerulus (Glo, arrows) and tubulointerstitium (TI, arrowheads). The histopathological scores of the Glo and TI as well as the serum values of blood urea nitrogen (BUN) and creatinine (Cr) are shown. Sections were stained with Periodic acid Schiff. Glo and TI containing areas were isolated by laser-microdissection (LMD) after toluidine blue staining. (c) miRNA expression in the Glo and TI collected by LMD was analyzed by using the TaqMan PCR method. Values are expressed as fold increase of KD compared to HC. (d)Glo to TI miRNA expression ratios. HC: n =​ 6. KD: n =​ 7. *, **Significant difference between HC and KD analyzed by Mann-Whitney U test (P <​ 0.05, P <​ 0.01, respectively). Data indicates the mean value of each column. Discussion Disease score means histopathological index, including both Glo and TI. Glo/TI ratio Age BUN Serum Cr Glo score TI score Disease score miR-26a −​0.428 −​0.400 −​0.455 −​0.702** −​0.477 −​0.578* miR-146a −​0.497 −​0.327 −​0.483 −​0.607* −​0.580* −​0.589* miR-486 −​0.575 0.173 0.018 −​0.196 −​0.318 −​0.256 miR-21a −​0.326 −​0.500 −​0.446 −​0.534 −​0.469 −​0.500 miR-10a −​0.267 −​0.573 −​0.685* −​0.621* −​0.527 −​0.572* miR-10b −​0.621* −​0.173 −​0.221 −​0.448 −​0.262 −​0.339 Table 4. Correlations between Glo to TI miRNA expression ratio and clinical parameters. n =​ 11–13. Glo: glomerular lesion. TI: tubulointerstitial lesion. BUN: blood urea nitrogen. Cr: creatinine. Expression ratio of Glo to TI is analyzed. Spearman’s rank correlation coefficient. *P <​ 0.05. **P <​ 0.01. Disease score means histopathological index, including both Glo and TI. Table 4. Correlations between Glo to TI miRNA expression ratio and clinical parameters. n =​ 11–13. Glo: glomerular lesion. TI: tubulointerstitial lesion. BUN: blood urea nitrogen. Cr: creatinine. Expression ratio of Glo to TI is analyzed. Spearman’s rank correlation coefficient. *P <​ 0.05. **P <​ 0.01. Disease score means histopathological index, including both Glo and TI. Glo was reported in a CKD mouse model3. Decreased miR-26a in the kidneys is also demonstrated in diabetic nephropathy of humans and mice17. In humans, miR-26a levels decreased in the kidneys and urine of patients with lupus nephritis18. miR-26a silencing affected the cytoskeleton and differentiation of cultured mouse podo- cytes via altered expression of the actin family and vimentin3. Moreover, miR-26a downregulation is involved in the progression of diabetic nephropathy both in humans and in mice through enhanced TGF-β​/connective tissue growth factor signaling17. Podocytes and mesangial cells can produce exosomes2,19,20. Thus, decreased miRNA expression in Glo, at least for miR-26a, would be a crucial pathological event in dog KD and correlates with decreased UExo due to altered exosome production or producing cell numbers in the Glo.i miR-10b decreased in both the Glo and TI of KD dogs, and this change was significantly correlated with renal dysfunctions. miR-10b is expressed in the kidneys of mice, dogs, and cats3,4. The role of miR-10b in KD is unknown, but a previous report suggested that upregulation of cAMP responsive element binding protein 1 by loss of miR-10b plays an important role in the tumorigenesis of renal cell carcinoma21. Furthermore, miR-10b is significantly downregulated in rejected allografts, and miR-10b inhibition in human endothelial cells recapitu- lated apoptosis, release of pro-inflammatory cytokines/chemokine, and chemotaxis of macrophages22. Discussion These miRNAs also showed decreased levels in UExo and sig- nificant correlations with several parameters of renal dysfunction (Table 2). These 3 miRNAs are abundantly expressed in the mouse Glo. In particular, podocytes seemed to express miR-26a according to our mouse study3. As shown by the Glo/TI ratio (Fig. 4d), miR-26a and miR-10a also seemed to be expressed in the dog Glo com- pared to TI. Although there is no report about miR-10a in Glo cells, downregulation of miR-26a and miR-10a in Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 7 www.nature.com/scientificreports/ KD/HC ratio Age BUN Serum Cr Glo score TI score Disease score Glo miR-26a −​0.078 −​0.627* −​0.823** −​0.585* −​0.393 −​0.511 miR-146a −​0.175 −​0.482 −​0.662* −​0.529 −​0.273 −​0.411 miR-486 −​0.418 −​0.191 −​0.395 −​0.520 −​0.689** −​0.600* miR-21a −​0.143 −​0.345 −​0.497 0.025 −​0.036 −​0.033 miR-10a −​0.244 −​0.755** −​0.795** −​0.772** −​0.675* −​0.739** miR-10b −​0.230 −​0.609* −​0.681* −​0.806** −​0.736** −​0.778** TI miR-26a 0.005 −​0.364 −​0.584 −​0.266 −​0.301 −​0.306 miR-146a 0.345 −​0.218 −​0.290 0.140 0.368 0.228 miR-486 0.046 −​0.255 −​0.354 −​0.422 −​0.458 −​0.439 miR-21a 0.212 0.336 0.106 0.607* 0.505 0.556* miR-10a 0.175 −​0.409 −​0.317 −​0.104 −​0.085 −​0.150 miR-10b −​0.189 −​0.709* −​0.740** −​0.657* −​0.773** −​0.756** Table 3. Correlations between KD to HC miRNA expression ratio and clinical parameters. n =​ 11–13. Glo: glomerular lesion. TI: tubulointerstitial lesion. BUN: blood urea nitrogen. Cr: creatinine. Expression ratio of the diseased group to the healthy group is analyzed. Spearman’s rank correlation coefficient. *P <​ 0.05. **P <​ 0.01. Disease score means histopathological index, including both Glo and TI. KD/HC ratio Age BUN Serum Cr Glo score TI score Disease score Glo miR-26a −​0.078 −​0.627* −​0.823** −​0.585* −​0.393 −​0.511 miR-146a −​0.175 −​0.482 −​0.662* −​0.529 −​0.273 −​0.411 miR-486 −​0.418 −​0.191 −​0.395 −​0.520 −​0.689** −​0.600* miR-21a −​0.143 −​0.345 −​0.497 0.025 −​0.036 −​0.033 miR-10a −​0.244 −​0.755** −​0.795** −​0.772** −​0.675* −​0.739** miR-10b −​0.230 −​0.609* −​0.681* −​0.806** −​0.736** −​0.778** TI miR-26a 0.005 −​0.364 −​0.584 −​0.266 −​0.301 −​0.306 miR-146a 0.345 −​0.218 −​0.290 0.140 0.368 0.228 miR-486 0.046 −​0.255 −​0.354 −​0.422 −​0.458 −​0.439 miR-21a 0.212 0.336 0.106 0.607* 0.505 0.556* miR-10a 0.175 −​0.409 −​0.317 −​0.104 −​0.085 −​0.150 miR-10b −​0.189 −​0.709* −​0.740** −​0.657* −​0.773** −​0.756** Table 3. Correlations between KD to HC miRNA expression ratio and clinical parameters. n =​ 11–13. Glo: glomerular lesion. TI: tubulointerstitial lesion. BUN: blood urea nitrogen. Cr: creatinine. Expression ratio of the diseased group to the healthy group is analyzed. Spearman’s rank correlation coefficient. *P <​ 0.05. **P <​ 0.01. Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 www.nature.com/scientificreports/ increase in KD, but no significant correlation was observed between renal miR-21a expression and all exam- ined renal functional parameters. Many studies indicated that miR-21a is upregulated in several animal models and humans suffering from KD, and is considered a key mediator of renal fibrosis24,25. miR-21a suppresses the expression of genes involved in mitochondrial and peroxisomal functions and the generation of reactive oxygen species in renal tubular cells and presents mitochondrial suppressive function, enhancing matrix deposition and nuclear factor kappa B signaling in fibroblasts26. In the present study, miR-21a expression in TI significantly cor- related with Glo damage score rather than TI damage score, and this result might reflect that dog renal pathology tended to show Glo damage, as shown by the significant decrease of miR-26a in Glo of KD dogs. Otherwise, the time difference between miR-21a expression and histopathological manifestation of TI damage might explain the contradiction in the relationship between miR-21a expression in TI, Glo damage, and TI damage. Interestingly, miR-21a was upregulated in dog UExo (Fig. 3). Therefore, miR-21a would be an indicator of kidney tissue injuries independent of renal dysfunction in dog kidneys.h p y g y We extracted the UExo-rich fraction and subsequently obtained total RNA, including miRNAs (Fig. 1). The recovery efficiency of UExo-derived total RNA decreased with the increase of urine volume used by all examined methods, meaning that unknown inhibiting factors affect UExo-derived RNA extraction processes. However, the level of miRNAs (miR-26a was examined in this study) did not correlate with that of total RNA in UExo. As shown by immunoblotting, the band intensity of the exosomal marker, TSG101, seemed to increase with the urine volume used. Therefore, the recovery efficiency of UExo-derived miRNAs would increase with the urine volume used, while other coding or non-coding RNAs such as ribosomal, transfer, nuclear, and their degraded RNAs derived from urine supernatant or the extracellular vesicles except for exosomes such as microvesicles, apoptotic bodies, or ectosomes might interfere with the extraction of UExo-derived total RNA. Indeed, in our NGS using UExo-derived total RNAs extracted by the column method, the majority of read sequences partially derived from transfer RNAs (Fig. 2b). A previous report also showed that different RNA extraction methods affected the results of NGS of human UExo-derived miRNAs13. Methods hi Ethics statement. The investigators adhered to the Guide for the Care and Use of Laboratory Animals of Hokkaido University, Graduate School of Veterinary Medicine (approved by the Association for the Assessment and Accreditation of Laboratory Animal Care International). All sampling processes were carried out as part of clinical examination or diagnosis and the owners of the animals provided an informed consent. The present study retrospectively analyzed these collected samples for 2012 until 2016. Animal patients. The dog urine samples were obtained from patients in Veterinary Teaching Hospital, Hokkaido University (Sapporo, Japan) and Matsubara Animal Hospital (Osaka, Japan), and analyzed retro- spectively. First, dogs showing serum Cr levels over 1.5 mg/dL were selected as candidates having a risk of KD (International Renal Interest Society; http://iris-kidney.com/guidelines/grading.html). Forty-seven dogs were diagnosed with KD based on the serum Cr as well as serum BUN, urine color, the diagnosis of a clinical veterinar- ian, and medical history from health record on the date of urine collection. KD samples showed a range of serum BUN (35.4–140.0 mg/dL) and Cr (1.5–9.2 mg/dL). HC samples were defined as samples from individuals having normal range of serum BUN (8.0–18.0 mg/dL) and Cr (0.1–0.9 mg/dL). All urine samples were stored at −​3 0 °C until used. For kidney tissues, samples were obtained at Hokkaido University when dogs were euthanized and autop- sied. Firstly, the kidney samples showing normal renal histology and obvious renal lesions were divided into the HC and KD groups, respectively. The candidates showing elevated range of serum BUN (30.4–140.0 mg/dL) and Cr (0.5–7.2 mg/dL) were diagnosed as KD (n =​ 7). The candidates showing a normal range of serum BUN (8.3–21.8 mg/dL) and Cr (0.3–0.9 mg/dL) were diagnosed as HC (n =​ 6). Isolation of UExo-rich fraction. All urine samples (1 mL or 5 mL) were centrifuged at 2,000 ×​ g for 30 min- utes at 4 °C to remove cells and debris. From the urine supernatant, UExo-rich fraction was isolated by using Total Exosome Isolation (from urine) (reagent 1; ThermoFisher Scientific, Waltham, MA, USA) or miRCURY Exosome Isolation Kit-Cells, urine, and CSF (reagent 2; Exiqon, Vedbaek, Denmark) according to the manufac- turer’s instructions. Briefly, for reagent 1, equal volumes of urine and reagent were mixed and incubated at room temperature for 1 hour. After incubation, the sample was centrifuged at 10,000 ×​ g for 1 hour at 4 °C. www.nature.com/scientificreports/ In this study, because the obtained sequences of UExo-derived miRNAs ranged from 0.12 to 0.42% in dog UExo-derived total RNAs, further modified methodol- ogy to specifically concentrate miRNA-derived sequences would lead to a more accurate UExo-derived miRNA analysis. Furthermore, the availability of good antibodies to detect markers of dog exosomes is limited although good antibodies for the detection of markers of human and mouse exosomes are readily available. The identifi- cation of appropriate protein markers for dog exosomes and the development of the corresponding antibodies are needed for future studies. In addition, all urine samples were obtained from animal hospitals and involved different breeds of dogs in both groups in this study, which may affect the obtained results. Therefore, the eval- uation with the fixed constant method based on the appropriate method for UExo-derived miRNA extraction using high-affinity antibodies for UExo and in each dog breed would be important for UExo-derived miRNAs in clinical applications for humans as well as in veterinary medicine.i pp y In conclusion, we identified several candidate miRNAs associated with altered renal functions and kidney tissue injuries from the miRNA expression data of UExos and kidney samples in dogs. In particular, based on our present data and several previous studies, miR-26a and miR-21a would be strong candidates indicating Glo and TI damages, respectively. Further studies of expression data of these miRNAs in UExo and kidney tissues are warranted for the application of UExo-derived miRNAs to clinical veterinary medicine. Discussion Based on the Glo/TI ratio of miR-10b (0.8 in KD vs. 1.2 in HC), miR-10b was expressed in both Glo and TI, but this ratio decreased with aging. Furthermore, miR-10b level decreased in UExo in KD dogs. Therefore, decreased miR-10b in both the kidney and UExo might reflect the abnormal characteristics of cells composing dog kidneys and/or the inflammatory status. Aging also affects these processes.hi l y g gf p The levels of miR-486 in Glo and the Glo/TI ratio of miR-146a also significantly correlated with renal histo- pathological scores, although no significant change in both Glo and TI was detected between HC and KD dogs. For these miRNAs, although UExo-derived miR-146a/miR-26a ratio correlated with renal function parameters (Table 2), a constant tendency was not observed between the expression of miR146a and miR-486 in UExo and renal functional parameters. Age seemed to affect miR-146a levels in UExo. Recent studies reported that miR-486 in urinary sediments derived from urinary erythrocytes, not from renal parenchymal cells, significantly increased in human patients with IgA nephropathy23 and that miR-146a expression in the kidneys was specifically associ- ated with inflammatory cell infiltration in CKD mice2. In the dog kidneys, the other miRNAs rather than miR-486 and miR-146a more closely correlated with renal pathogenesis or changes in renal functions. 3 4 miR-21a expression in the kidney is relatively low in mouse, dogs, and cats3,4. In the present study, miR-21a expression in TI tended to increase in KD, and Glo/TI ratio decreased in KD compared to HC dogs (0.20 in KD vs. 0.99 in HC), suggesting that gene expression and/or the number of cells expressing miR-21a in TI tended to 8 Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 www.nature.com/scientificreports/ Methods hi Total RNA from UExo was also obtained by using 1 step column kit (Urine Exosome RNA Isolation Kit; Norgen, Thorold, ON, Canada) according to the manufacturer’s instruction. All RNA solutions were adjusted to 100 μ​L with RNase-free water. The obtained RNA concentration was measured by NanoDrop 2000 (ThermoFisher Scientific). NGS. NGS was carried out as previously reported4. The quality of total RNA in isolated UExo-derived total RNAs obtained from the column-based method (urine 1 mL) was checked by using a Bioanalyzer (Agilent; Santa Clara, CA, USA), and samples from HC and KD animals were pooled as one sample for each group. Libraries were prepared using a TruSeq Small Library Preparation Kit (Illumina; San Diego, CA, USA) according to the manufacturer’s protocols and sequenced using 50-base reads acquired by using a HiSeq 2000 platform. The details of the sequence analysis of small RNAs targeting miRNAs are described in Supplemental Methods. The December 2011 (GRCm38/mm10) mouse (Mus musculus) genome data were used as reference (https://genome.ucsc.edu/). Histopathological examination and LMD. The kidneys were fixed using 10% neutral buffered formalin or 4% paraformaldehyde and were embedded in paraffin. To assess the severity of Glo damage, over 20 glomer- uli per kidney were examined by using Periodic acid-Schiff (PAS)-stained sections. Each kidney sample was comprehensively scored according to the following criteria: score 0, no recognizable Glo lesion; score 3, a little PAS-positive deposition, mild proliferative or membranous lesions, mild glomerular hypertrophy; score 5, seg- mental or global PAS-positive deposition, proliferative or membranous lesions, and/or glomerular hypertrophy; score 7, the same as score 5 with PAS-positive deposition in 50% of regions of Glo and/or sever glomerular atro- phy or hypertrophy; score 9, disappearance of capillary or capsular lumina, global deposition of PAS-positive material, periglomerular infiltration of inflammatory cells, and/or sever glomerular sclerosis. Similarly, to assess the severity of TI damage, over 20 regions in the renal cortex were examined at a 200-fold magnification. Methods hi For reagent 2, urine and reagent (2.5 to 1.0 ratio) were mixed and incubated at 4 °C for 1 hour. After incubation, the sample was Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 9 www.nature.com/scientificreports/ centrifuged at 10,000 ×​ g for 30 min at 20 °C. In both protocols, after aspiration of the supernatant, a pellet con- taining UExo was obtained and used for immunoblotting, SEM, or RNA analysis. centrifuged at 10,000 ×​ g for 30 min at 20 °C. In both protocols, after aspiration of the supernatant, a pellet con- taining UExo was obtained and used for immunoblotting, SEM, or RNA analysis. Immunoblotting. Soluble proteins were extracted from isolated UExo-rich fraction using RIPA lysis buffer (Santa Cruz Biotechnology; Dallas, TX, USA). Immunoblotting was performed using the NuPAGE electrophore- sis system (Life Technologies, Carlsbad, CA, USA) with the anti-TSG101 rabbit antibody (reactivity with human, mouse, rat, cow, dog, horse, and rabbit; Biorbyt, Cambridge, UK), the anti-CD9 rabbit antibody (reactivity with human, mouse, rat; Abcam, Cambridge, UK), and donkey anti-Rabbit IgG (H +​ L) secondary Alexa Fluor 488 conjugated antibody (ThermoFisher Scientific). Immune complexes were detected using Typhoon Variable-Mode Imager (GE Healthcare; Little Chalfont, UK). SEM. UExo-rich fraction isolated by using reagent 2 was suspended in 100 μ​L of Resuspension Buffer (Exiqon) containing 2% paraformaldehyde for 10 min. After fixation, 10 μ​L of sample solution was mounted on the Parafilm (Bemis, WI, USA) and covered with a grid (200 mesh) coated with excel support film (Nisshin EM, Tokyo, Japan) for 10 min. After washing with phosphate buffered saline (PBS) for 30 s twice, sample-attached grids were fixed with 2.5% glutaraldehyde for 5 min. After washing in distilled water (DW) for 30 s 7 times, sam- ples were post-fixed with 1% osmium tetroxide for 30 min. After washing with DW for 30 s 7 times, samples were incubated with 10% samarium for 10 min. After washing with DW for 30 s 7 times, samples attached to the grid were mounted on the aluminum specimen stage and lightly sputter-coated with E-1030 (Hitachi, Tokyo, Japan). The specimen was observed on an S-4100 SEM (Hitachi) under the condition of 5 kV, 10 μ​A, and SE(U) mode. RNA purification from UExo-rich fraction. From the isolated UExo-rich fraction, total RNA was puri- fied by using miRNeasy Micro Kit (Qiagen, Venlo, Netherlands). Author Contributions O.I., M.H., T.M., T.N., T.H., and Y.K. designed and performed experiments and analyzed data. H.O., K.M., K.N., Y.H., S.T., N.S., M.T., R.S., and K.O. collected clinical data and samples. All authors were involved in writing the paper and approved the final manuscript. Methods hi Each kidney sample was comprehensively scored according to the following criteria: score 0, no recognizable lesion in TI; score 3, a little PAS-positive materials in the tubular lumen, mild peritubular cell infiltration, mild hypertro- phy of tubular basement membrane, and/or mild dilation of tubular lumen; score 5, several PAS-positive materi- als in the tubular lumen, peritubular cell infiltration, hypertrophy of tubular basement membrane, and/or dilation of tubular lumen; score 7, the same as score 5 with fibrotic feature in TI; and score 9, numerous PAS-positive materials in the tubular lumen, severe peritubular cell infiltration, hypertrophy of tubular basement membrane, atrophy of tubules, severe fibrotic feature, and/or severe dilation of tubular lumen. Furthermore, the product of the Glo damage score and TI damage score was defined as “kidney damage score.” The median of the scores for each dog was expressed as the values of each group. g p g p For LMD, deparaffinized sections were stained with toluidine blue. LMD was performed using a MicroBeam Rel.4.2 (Carl Zeiss; Oberkochen, Germany) on 200–400 Glo and TI sections with an area equal to that of the total area from which samples were collected. Total RNA from LMD samples was isolated using a miRNeasy Micro Kit (Qiagen). miRNA analysis. miRNA levels in UExo-rich fractions and LMD samples were determined using a TaqMan MicroRNA RT Kit (ThermoFisher Scientific). Quantitative PCR analysis was performed using each miRNA-specific TaqMan primer and TaqMan Universal PCR Master Mix (ThermoFisher Scientific) with an MX3000P system (Agilent). Mimic miRNAs (AccuTarget; Bioneer, Daejeon, Republic of Korea) were used to draw standard curves, and the net level of miRNA was calculated by numerical formula. Statistical analyses. Results are expressed as the median or mean ±​ standard errors (SE). The Mann– Whitney U test was used to compare two groups (P <​ 0.05). Kruskal-Wallis test was used for comparing over three populations or time points, and multiple comparisons were performed using Scheffé's method when a significant difference was observed (P <​ 0.05). Spearman’s correlation test (P <​ 0.05) was used to analyze the correlation between two parameters. Scientific Reports | 7:40340 | DOI: 10.1038/srep40340 10 www.nature.com/scientificreports/ References MicroRNA-10b downregulation mediates acute rejection of renal allografts by derepressing BCL2L11. Exp Cell Res 155–163 (2015).i ( ) 23. Duan Z. Y. et al. Selection of urinary sediment miRNAs as specific biomarkers of IgA nephropathy. Sci Rep 6, 23498 (2016).i 23. Duan Z. Y. et al. Selection of urinary sediment miRNAs as specific biomarkers of IgA nephropathy. Sci Rep 6, 23498 (2016).i et al. Selection of urinary sediment miRNAs as specific biomarkers i 24. Chau, B. N. et al. MicroRNA-21 promotes fibrosis of the kidney by silencing metabolic pathways. Sci Transl Med 4, 121ra18 (2 pi y y g p y 25. Glowacki, F. et al. Increased circulating miR-21 levels are associated with kidney fibrosis. PLoS One 8, e58014 (2013).fii i 6. Gomez, I. G., Nakagawa, N. & Duffield, J. S. MicroRNAs as novel therapeutic targets to treat kidney injury and fibrosis. Am J Physio Renal Physiol 310, F931–944 (2016). i 26. Gomez, I. G., Nakagawa, N. & Duffield, J. S. MicroRNAs as novel therapeutic targets to treat kidney injury and fibrosis. Am J Physiol Renal Physiol 310, F931–944 (2016). Acknowledgements g The dog urines and kidney tissues were collected with the kind help from all staffs in Veterinary Teaching Hospital, Hokkaido University (Sapporo, Japan) and Matsubara Animal Hospital (Osaka, Japan). This work was supported by JSPS KAKENHI Grant Number 15H05634. References C., Tedgui & Boulanger, C. M. Microvesicles as cell-cell messengers in cardiovascular diseases. Circ Res 114 345–353 (2014). 0. Kumar, D., Gupta, D., Shankar, S. & Srivastava, R. K. Biomolecular characterization of exosomes released from cancer stem cells Possible implications for biomarker and treatment of cancer. Oncotarget 6, 3280–3291 (2015).i p g 1. Solé, C., Cortés-Hernández, J., Felip, M. L., Vidal, M. & Ordi-Ros, J. miR-29c in urinary exosomes as predictor of early renal fibrosi in lupus nephritis. Nephrol Dial Transplant 30, 1488–1496 (2015).i 12. Ramezani, A. et al. Circulating and urinary microRNA profile in focal segmental glomerulosclerosis: a pilot study. 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The role of microRNAs and human epidermal growth factor receptor 2 in proliferative lupus nephritis. Arthritis Rheumatol 67, 2415–2426 (2015).i 19. Turco, A. E. et al. Specific renal parenchymal-derived urinary extracellular vesicles identify age-associated structural changes in living donor kidneys. J Extracell Vesicles 5, 29642 (2016). g y 20. Barutta, F. et al. Urinary exosomal microRNAs in incipient diabetic nephropathy. PLoS One 8, e73798 (2013). 20. Barutta, F. et al. Urinary exosomal microRNAs in incipien 21. Li, Y. et al. Oncogenic cAMP responsive element binding protein 1 is overexpressed upon loss of tumor suppressive miR-10b-5p and miR-363-3p in renal cancer. Oncol Rep 35, 1967–1978 (2013).t 21. Li, Y. et al. Oncogenic cAMP responsive element binding protein 1 is overexpressed upon loss of tumor suppressive miR-10b-5 miR-363-3p in renal cancer. Oncol Rep 35, 1967–1978 (2013).t p p 22. Liu, X. et al. References 1. Ichii, O. et al. 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Kidney Int 82, 1024–1032 (2012). 8. Alvarez, M. L., Khosroheidari, M., Kanchi Ravi, R. & DiStefano, J. K. Comparison of protein, microRNA, and mRNA yields using different methods of urinary exosome isolation for the discovery of kidney disease biomarkers. Kidney Int 82, 1024–1032 (2012). 9. Loyer, X., Vion, A. C., Tedgui & Boulanger, C. M. Microvesicles as cell-cell messengers in cardiovascular diseases. Circ Res 114, 345–353 (2014). f 9. Loyer, X., Vion, A. Additional Information upplementary information accompanies this paper at http://www.nature.com/srep 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: Ichii, O. et al. Urinary exosome-derived microRNAs reflecting the changes of renal function and histopathology in dogs. Sci. Rep. 7, 40340; doi: 10.1038/srep40340 (2017). How to cite this article: Ichii, O. et al. Urinary exosome-derived microRNAs reflecting the changes of renal function and histopathology in dogs. Sci. Rep. 7, 40340; doi: 10.1038/srep40340 (2017). Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in published maps an institutional affiliations. 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 | 7:40340 | DOI: 10.1038/srep40340 11
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Draft Genome Sequence of <i>Paenibacillus</i> sp. Strain MSt1 with Broad Antimicrobial Activity, Isolated from Malaysian Tropical Peat Swamp Soil
Yoong Kit Aw
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AUTHOR(S) AUTHOR(S) Y K Aw, K S Ong, C M Yule, Han Ming Gan, S M Lee Y K Aw, K S Ong, C M Yule, Han Ming Gan, S M Lee Draft Genome Sequence of Paenibacillus sp. Strain MSt1 with Broad Antimicrobial Activity, Isolated from Malaysian Tropical Peat Swamp Soil. AUTHOR(S) Y K Aw, K S Ong, C M Yule, Han Ming Gan, S M Lee PUBLICATION DATE 09-10-2014 HANDLE 10536/DRO/DU:30101905 Downloaded from Deakin University’s Figshare repository Deakin University CRICOS Provider Code: 00113B Draft Genome Sequence of Paenibacillus sp. Strain MSt1 with Broad Antimicrobial Activity, Isolated from Malaysian Tropical Peat Swamp Soil. 10536/DRO/DU:30101905 Downloaded from Deakin University’s Figshare repository Deakin University CRICOS Provider Code: 00113B Draft Genome Sequence of Paenibacillus sp. Strain MSt1 with Broad Antimicrobial Activity, Isolated from Malaysian Tropical Peat Swamp Soil Yoong Kit Aw, Kuan Shion Ong, Catherine M. Yule, Han Ming Gan, Sui Mae Lee School of Science, Monash University Malaysia, Selangor, Malaysia We report the draft genome sequence of Paenibacillus sp. strain MSt1, which has broad-range antimicrobial activity, isolated from tropical peat swamp soil. Genes involved in antimicrobial biosynthesis are found to be present in this genome. Received 2 September 2014 Accepted 8 September 2014 Published 9 October 2014 Citation Aw YK, Ong KS, Yule CM, Gan HM, Lee SM. 2014. Draft genome sequence of Paenibacillus sp. strain MSt1 with broad antimicrobial activity, isolated from Malaysian tropical peat swamp soil. Genome Announc. 2(5):e01024-14. doi:10.1128/genomeA.01024-14. Copyright © 2014 Aw et al. This is an open-access article distributed under the terms of the Creative Commons Attribution 3.0 Unported license. Address correspondence to Yoong Kit Aw, ykaw11@student.monash.edu. crossmark Yoong Kit Aw, Kuan Shion Ong, Catherine M. Yule, Han Ming Gan, Sui Mae Lee We report the draft genome sequence of Paenibacillus sp. strain MSt1, which has broad-range antimicrobial activity, isolated from tropical peat swamp soil. Genes involved in antimicrobial biosynthesis are found to be present in this genome. Received 2 September 2014 Accepted 8 September 2014 Published 9 October 2014 Citation Aw YK, Ong KS, Yule CM, Gan HM, Lee SM. 2014. Draft genome sequence of Paenibacillus sp. strain MSt1 with broad antimicrobial activity, isolated from Malaysian tropical peat swamp soil. Genome Announc. 2(5):e01024-14. doi:10.1128/genomeA.01024-14. Copyright © 2014 Aw et al. This is an open-access article distributed under the terms of the Creative Commons Attribution 3.0 Unported license. Address correspondence to Yoong Kit Aw, ykaw11@student.monash.edu. We report the draft genome sequence of Paenibacillus sp. strain MSt1, which has broad-range antimicrobial activity, isolated from tropical peat swamp soil. Genes involved in antimicrobial biosynthesis are found to be present in this genome. on October 13, 201 http://genomea.asm.org/ Downloaded from on October 13, 2017 by DEAKIN UNIVERSITY http://genomea.asm.org/ Downloaded from on October 13, 2017 by DEAKIN UNIVER http://genomea.asm.org/ aded from Copyright © 2014 Aw et al. This is an open-access article distributed under the terms of the Creative Commons Attribution 3.0 Unported license. Address correspondence to Yoong Kit Aw, ykaw11@student.monash.edu. ACKNOWLEDGMENTS The genomic DNA of a 3-day-old culture of Paenibacillus sp. MSt1ontryptonesoyagar(Merck,Germany)wasextractedusingthe GF-1 DNA extraction kit (Vivantis, Malaysia) and subsequently con- verted into an Illumina-compatible next-generation sequencing li- brary using Nextera XT (Illumina, San Diego, CA). The library was then sequenced on the Illumina MiSeq (150-bp paired-end reads) at the Monash University Malaysia Genomics Facility. The raw reads were trimmed and assembled de novo (default settings) using CLC Genomics Workbench 6 (CLC bio, Denmark). The draft genome of Paenibacillus sp. MSt1 has an accumulated genome size of 8,033,195 bp in 100 contigs, with an N50 of 215,818 bp. The overall GC content was found to be 51.45%. Annotation of the genome was performed by the NCBI Prokaryotic Genome Annotation Pipe- line(PGAP),and6,455protein-codingsequences(CDSs),12rRNAs, and 92 tRNAs were predicted. The project is supported by the School of Science, Monash University Malaysia (MUM). Funding for the genome sequencing is provided by the MUM Tropical Medicine and Biology Multidisciplinary Platform. 10536/DRO/DU:30101905 T lantibiotic-producing module (KEQ 23004) were predicted by PGAP in the genome, suggesting that Paenibacillus sp. MSt1 can produce more than one type of antimicrobial compound. Fur- thermore, although Paenibacillus spp. is known to produce the polymyxin class of antibiotics, the biosynthetic gene involved in the production of polymyxin was absent in the genome of Paeni- bacillus sp. MSt1. This might indicate that Paenibacillus sp. MSt1 produces other new antimicrobials. T he growing number of antimicrobial-resistant bacteria (ARB) is of global concern. Infections caused by ARB mean that standard treatments no longer work, resulting in increased health care costs. Furthermore,theemergenceofantibioticresistanceisnotconcurrent with an increase in novel antimicrobial discoveries. Only two com- pletely new scaffolds of antibiotics have recently been found: the oxa- zolidinone linezolid in 2000, and the cyclic lipopeptide daptomycin in 2003 (1, 2). Therefore, there is a dire need for novel antimicrobials to combat infections caused by ARB. on October 13, 2017 by DEAKIN UNIVERSITY mea.asm.org/ Interestingly, the genome of Paenibacillus sp. MSt1 is currently the largest genome size known compared to other Paenibacillus genome sequences available (3, 4), such as that of Paenibacillus polymyxa (about 5.7 Mbp). The large genome size often means increased numbers of genes involved in secondary metabolites, such as antimicrobial production, are present (5). n October 13, 2017 by DEAKIN UNIVERSITY Paenibacillus sp. strain MSt1 is a Gram-positive spore-forming rod-shaped bacterium isolated from the peat soil of the North Selangor tropical peat swamp forest, Selangor, Malaysia. Paeniba- cillus sp. MSt1 exhibits a wide range of antimicrobial activities, which includes antibacterial activities against ARB, such as methicillin-resistant Staphylococcus aureus (MRSA) ATCC 700699, with an MIC of the crude acetonitrile extract at 125 g/ ml. It also has antiyeast activity against Candida albicans (Institute for Medical Research, Malaysia) and Cryptococcus neoformans ATCC 66031, assayed using a spot-on assay with crude acetonitrile extract at 20 mg/ml. Nucleotide sequence accession numbers. The draft genome se- quenceofPaenibacillussp.MSt1hasbeendepositedatDDBJ/EMBL/ GenBank under the accession no. JNVM00000000. The version de- scribed in this paper is the first version, JNVM00000000.1. genomea.asm.org 1 September/October 2014 Volume 2 Issue 5 e01024-14 REFERENCES 1. Wright GD. 2007. The antibiotic resistome: the nexus of chemical and genetic diversity. Nat. Rev. Microbiol. 5:175–186. http://dx.doi.org/ 10.1038/nrmicro1614. 2. Hamad B. 2010. The antibiotics market. Nat. Rev. Drug Discov. 9:675–676. http://dx.doi.org/10.1038/nrd3267. 3. Wang ZW, Liu XL. 2008. Medium optimization for antifungal active substances production from a newly isolated Paenibacillus sp. using re- sponse surface methodology. Bioresour. Technol. 99:8245–8251. http:// dx.doi.org/10.1016/j.biortech.2008.03.039. g j 4. Kim JF, Jeong H, Park S-Y, Kim S-B, Park YK, Choi S-K, Ryu C-M, Hur C-G, Ghim S-Y, Oh TK, Kim JJ, Park CS, Park S-H. 2010. Genome sequence of the polymyxin-producing plant-probiotic rhizobacterium Paenibacillus polymyxa E681. J. Bacteriol. 192:6103– 6104. http:// dx.doi.org/10.1128/JB.00983-10. Several hypothetical gene clusters that are heavily involved in the biosynthesis of antimicrobials, such as two large polyketide synthetase modules (KEQ 22505 and KEQ 22506), one large non- ribosomal peptide synthetase module (KEQ 27573), and one 5. Konstantinidis KT, Tiedje JM. 2004. Trends between gene content and genome size in prokaryotic species with larger genomes. Proc. Natl. Acad. Sci. U. S. A. 101:3160–3165. http://dx.doi.org/10.1073/pnas.0308653100. September/October 2014 Volume 2 Issue 5 e01024-14 Genome Announcements genomea.asm.org
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Live Cell Poration by Au Nanostars to Probe Intracellular Molecular Composition with SERS
Evelina I. Nikelshparg
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  Citation: Nikelshparg, E.I.; Prikhozhdenko, E.S.; Verkhovskii, R.A.; Atkin, V.S.; Khanadeev, V.A.; Khlebtsov, B.N.; Bratashov, D.N. Live Cell Poration by Au Nanostars to Probe Intracellular Molecular Composition with SERS. Nanomaterials 2021, 11, 2588. https:// doi.org/10.3390/nano11102588 Citation: Nikelshparg, E.I.; Prikhozhdenko, E.S.; Verkhovskii, R.A.; Atkin, V.S.; Khanadeev, V.A.; Khlebtsov, B.N.; Bratashov, D.N. Live Cell Poration by Au Nanostars to Probe Intracellular Molecular Composition with SERS. Nanomaterials 2021, 11, 2588. https:// doi.org/10.3390/nano11102588 Keywords: SERS; Au nanostars; cell membrane Article Live Cell Poration by Au Nanostars to Probe Intracellular Molecular Composition with SERS parg 1,2,* , Ekaterina S. Prikhozhdenko 2 , Roman A. Verkhovskii 2 , Vsevolod S. Atkin 2 ev 3,4 , Boris N. Khlebtsov 2,3 and Daniil N. Bratashov 2,5,* Evelina I. Nikelshparg 1,2,* , Ekaterina S. Prikhozhdenko 2 , Roman A. Verkhovskii 2 , Vsevolod S. Atkin 2 Vitaly A. Khanadeev 3,4 , Boris N. Khlebtsov 2,3 and Daniil N. Bratashov 2,5,* 1 Department of Biophysics, Biological Faculty, Moscow State University, 1-12 Leninskie Gory, 119991 Moscow, Russia 2 Science Medical Center, Saratov State University, 83 Astrakhanskaya, 410012 Saratov, Russia; prikhozhdenkoes@sgu.ru (E.S.P.); r.a.verhovskiy@sgu.ru (R.A.V.); atkin.vsevolod@gmail.com (V.S.A.); khlebtsov_b@ibppm.ru (B.N.K.) 3 Institute of Biochemistry and Physiology of Plants and Microorganisms, Russian Academy of Sciences, 13 Prospekt Entuziastov, 410049 Saratov, Russia; khanadeev_v@ibppm.ru 4 Veterinary Medicine and Biotechnology Faculty, Saratov State Agrarian University, 1 Teatralnaya Square, 410012 Saratov, Russia 5 Moscow Institute of Physics and Technology, 9 Institutskiy per., 141701 Dolgoprudny, Russia * Correspondence: nikelshparg.evelina.2010@post.bio.msu.ru (E.I.N.); bratashovdn@info.sgu.ru (D.N.B.) Abstract: A new type of flat substrate has been used to visualize structures inside living cells by surface-enhanced Raman scattering (SERS) and to study biochemical processes within cells. The SERS substrate is formed by stabilized aggregates of gold nanostars on a glass microscope slide coated with a layer of poly (4-vinyl pyridine) polymer. This type of SERS substrate provides good cell adhesion and viability. Au nanostars’ long tips can penetrate the cell membrane, allowing it to receive the SERS signal from biomolecules inside a living cell. The proposed nanostructured surfaces were tested to study, label-free, the distribution of various biomolecules in cell compartments. nanomaterials nanomaterials nanomaterials 1. Introduction Academic Editors: Sergey M. Novikov and Isabel Pastoriza-Santos Analysis of live cell biochemistry attracts much interest nowadays. Surface-enhanced Raman scattering (SERS) is a valuable tool for such research as it is minimally inva- sive and allows online tracking of chemical composition and reactions in cell growth media [1–8]. The main problem is to ensure contact of the SERS probe with internal cel- lular structures, organelles, and the nucleus. Biocompatible SERS-active nanoparticles can be internalized inside the cell to study various molecules within a living cell [9–12], changes in protein conformation during mitosis [13], and spatio-temporal changes in cells during differentiation [14]. SERS active nanoparticles can be navigated inside the cell with magnetic [15], optical [16], or other kinds of tweezers. Combined labeled and non-labeled gold nanoparticles have been used to study the localization and molecular compositions of the plasma membranes and nuclei in cells [17]. Despite the variety of existing colloidal SERS probes, there are many restrictions on their use, including osmotic shock, the pres- ence of toxic byproducts remaining after chemical synthesis, uncontrolled aggregation, and the need for an internalization procedure [4]. Currently, there is a trend towards using nanostructured surfaces, which are more stable and convenient for transportation and storage. Received: 6 August 2021 Accepted: 22 September 2021 Published: 30 September 2021 Received: 6 August 2021 Accepted: 22 September 2021 Published: 30 September 2021 Publisher’s Note: MDPI stays neutral with regard to jurisdictional claims in published maps and institutional affil- iations. Copyright: © 2021 by the authors. Licensee MDPI, Basel, Switzerland. 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/). There are two possible mechanisms for enhancing the Raman signal of intracellular molecules on the SERS sensor surface. The first is a long-range enhancement when the SERS platform is outside the cell wall and examines molecules inside the cell. Aggregates of silver nanoparticles [18] and composite silica-silver nanostructures made it possible to amplify the Raman signal at large distances from submembrane molecules inside intact https://www.mdpi.com/journal/nanomaterials Nanomaterials 2021, 11, 2588. https://doi.org/10.3390/nano11102588 Nanomaterials 2021, 11, 2588 2 of 13 2 of 13 mitochondria or erythrocytes [19]. Nanostructured silver surfaces were used for label- free studies of conformational changes in cytochrome C heme in functional mitochondria adsorbed on its surface [20,21]. 2.1. Materials Poly(4-vinyl pyridine) (PVPyr, 160 kDa), 4-Mercaptobenzoic acid (4-MBA), hydro- gen tetrachloroaurate trihydrate (HAuCl4 · 3 H2O), silver nitrate (AgNO3; >99%), HCl, and ascorbic acid were purchased from Sigma-Aldrich (Darmstadt, Germany). Fetal bovine serum (FBS) and Dulbecco’s modified Eagle medium (DMEM) were purchased from Life Technologies (Waltham, MA, USA). Calcein AM cell dye was purchased from Invitro- gen (Waltham, MA, USA). Dulbecco’s phosphate-buffered saline (DPBS) was purchased from (BioloT, Saint Petersburg, Russia). Gold nanostars (Au nanostars) were obtained by the protocol described earlier [29] using 150 µL of 10 nm Au seeds from Sigma-Aldrich. All chemicals were used as received without further purification. Deionized water (spe- cific resistivity higher than 18.2 MΩ·cm) from Milli-Q Direct 8 (Millipore, Merck KGaA, Darmstadt, Germany) water purification system was used to prepare all solutions. 1. Introduction The SERS platform, consisting of graphene-coated gold nanopyramids, was used to study the intracellular composition, which made it possible to distinguish the p53 knockout cancer cell line [22]. g p There are many works on the synthesis of SERS probes in the form of gold nanostars. Many authors obtained Au nanostars through the surfactant-included procedure with the mixture of poly(vinyl pyrrolidone) and N,N-dimethylformamide (PVP/DMF) [23–26]. The new way of synthesis of such nanostructures is a surfactant-less approach with a quick reaction between AgNO3 and HCl followed by Au+ reduction to metallic gold using ascorbic acid [27–31]. Such star-shaped gold nanoparticles are thermodynamically unstable and susceptible to processes similar to Ostwald ripening, so they are usually placed on a polymer layer to provide some stabilization. Among the suitable polymers, the poly(4-vinyl pyridine) (PVPyr) has shown promising results up to now [32]. Unlike gold nanostars synthesized in a PVP/DMF mixture, stars without surfactant have fewer long sharp needles [33]. The star-shaped shape of these nanostructures provides good localization of the electromagnetic field enhancement near the tips [31,33–35] and, thus, effective SERS detec- tion of chemisorbed (such as 1-naphtalenethiol [23,24], 4-mercaptobenzoic acid [30]) and physisorbed (such as crystal violet [30], Alexa Fluor 750 C5-maleimide [24]) substances. For proof-of-concept experiments of cell wall penetration, the star-based SERS tags with different Raman reporters were developed [25,27,31,36]. Nanostars adsorbed on polymers were used as an optoporating systems allowing to introduce vectors encoding fluorescent proteins directly into the living cells [37]. The ability of nanostars to internalize into cells has been used to generate an enhanced two-photon photoluminescence signal to enable cell tracking [38]. Another interesting Au nanostars application is developing planar SERS substrates using different polymer layers on either a glass or silicon wafer [28,30], with which good sensitivity has already been demonstrated with simple, pure chemical analytes such as 4-aminothiophenol. p We first utilized the penetrating ability of gold nanostars for vital intracellular SERS imaging. Our approach is based on creating plasmonic nanostructured surfaces of Au nanostars immobilized on a poly(4-vinyl pyridine) polymer layer on a glass substrate. The proposed nanostructures provide substantial enhancement of the Raman signal from DNA, RNA, lipids, proteins, and hemes inside living cells, thus allowing one to map molecular distribution in different cellular compartments. 2.4. Cell Culture and Targeting The human cervix carcinoma cell line (HeLa) was kindly donated by Shemyakin- Ovchinnikov Institute of Bioorganic Chemistry of RAS and cultured in DMEM supple- mented with 10% FBS and 1% penicillin-streptomycin antibiotic antifungal cocktail under a humidified atmosphere with 5% CO2 at 37 °C. HeLa cells were seeded onto a glass cover- slip (a), or cover slip covered with PVPyr (b), or SERS substrate (c) placed into a 35 mm non-modified plastic Petri dish (100,000 cells per dish) and incubated overnight in 2 mL supplemented DMEM culture medium. Substrates for cell growth (a–c) were previously exposed to UV for 20 min on both sides for sterilization. p The murine melanoma cell line (B16-F10) was provided by the Department of Cell Engineering, Education and Research Institute of Nanostructures and Biosystems, Saratov State University, Saratov, Russia. 2.5. Living Cell Imaging Using prior measurements, cells were rinsed two times with 37 °C DPBS, and 2 mL DPBS was added. To prevent the appearance of peaks from the plastic bottom of the Petri dish, a sterile silicon wafer was placed under the substrate with cells in a Petri dish. SERS imaging of living cells was performed in a Streamline HR regime of Renishaw inVia Raman microscope with 1 µm steps using 50×/0.5 n.a. objective lens, laser wavelength 785 nm, laser power 3 mW. At each scanning point, the signal was collected for 1 s. Spectra were analyzed with open source software Pyraman [41]. For CLSM imaging, Calcein AM was added 1:1000 to culture media to stain the living cells and left for 30 min. All imaging was conducted in glass-bottom (0.17 mm thick) Petri dishes. 2.2. Preparing of SERS Substrate Prior to preparing SERS substrates with gold nanostars, cover glass slides (24 × 24 mm, Leica, Wetzlar, Germany) were subjected to cleansing using piranha solution (H2SO4:H2O2 (30% solution) in 3:1 ratio). Then, clean cover glass slides were washed and immersed in Nanomaterials 2021, 11, 2588 3 of 13 3 of 13 PVPyr solution (2 mg/mL) for 15 min. After subsequent washing with water, glass-PVPyr slides were put into Petri dish and covered overnight with a suspension of freshly synthe- sized Au nanostars. The next day, the prepared SERS substrates were washed from the residual unbound Au nanostars. PVPyr solution (2 mg/mL) for 15 min. After subsequent washing with water, glass-PVPyr slides were put into Petri dish and covered overnight with a suspension of freshly synthe- sized Au nanostars. The next day, the prepared SERS substrates were washed from the residual unbound Au nanostars. 2.3. Characterization SERS signals of HeLa cells were measured by the Renishaw inVia Raman microscope (New Mills, Gloucestershire, UK) using 50×/0.5 n.a. objective lens, laser wavelength 785 nm, and laser power 3 mW (100% = 30 mW). SERS measurements of 4-MBA (10−5 M so- lution in ethanol) were performed with the same setup using different laser power (0.3 mW) and time per single spectrum (1 s). SEM images of samples were taken with a Tescan MIRA II LMU (Tescan, Brno, Czech Republic) at the 30 kV accelerating voltage. Absorbance spectra of Au nanostars were measured by a Synergy H1 Multi-Mode plate reader (BioTek Instruments, Inc., Winooski, VT, USA). The spectra were obtained in the 400–999 nm spec- tral range with a 1 nm step. Cell viability and adhesion properties were observed using an Olympus IX73 inverted microscope (Tokyo, Japan). AFM images of the substrate, polymer layer, and surface covered with nanostars aggregates were obtained with an NTEGRA Spectra microscope (NT-MDT Spectrum Instruments, Zelenograd, Moscow, Russia) in tapping mode. NSG10 probes from NTMDT-SI with a typical resonance frequency around 220 kHz and tip curvature below 10 nm were used for image acquisition. All subsequent image processing was carried out with Gwyddion software [39]. The layer thicknesses were obtained by scratching the soft layer and measuring the height difference at the scratch area. The image background was subtracted, and peaks on the height distribution function were used to measure the thickness as described before [40]. Confocal laser scanning microscopy (CLSM) images were obtained using Leica TCS SP8 X (Leica, Wetzlar, Germany). 2.6. Processing of Raman Imaging Data Regions surrounding the aggregate of Au nanostars inside the HeLa live cell were chosen for SERS imaging. Images were analyzed with Pyraman using the following Nanomaterials 2021, 11, 2588 4 of 13 algorithm [42]. Baseline was subtracted in each spectrum using the same recipe chosen after analyzing 10–15 spectra from the image. Root-mean-square (RMS) value was calculated for Raman intensities in specific frequency ranges. The further processing of Raman images is described in the Results and Discussion section. algorithm [42]. Baseline was subtracted in each spectrum using the same recipe chosen after analyzing 10–15 spectra from the image. Root-mean-square (RMS) value was calculated for Raman intensities in specific frequency ranges. The further processing of Raman images is described in the Results and Discussion section. 3.2. Spectral Analysis HeLa cells were seeded onto SERS substrate and incubated overnight to ensure good cell adhesion to the surface. Before measurements, cells were imaged with the inverted microscope. No contamination was noticed in all dishes, which indicated the adequacy of sterilization procedure of cellular substrates with UV. The cells were well attached to the SERS substrate without changing their typical morphologies. g g yp p g Nanostars’ aggregates are seen as big black spots on brightfield images, whereas other areas of SERS substrates were transparent. It is challenging to obtain Raman spectra from wells on substrates placed in a plastic Petri dish due to the intense peaks from the plastic at the bottom of the dish. A small silicon wafer was underlaid beneath the SERS sensor to block Raman signal from plastic. Cells on SERS substrate placed on dark silicon were seen as shadows through the air-water interface under the Raman microspectrometer. Despite the cell shape being visible, it was challenging to recognize particular structures in a cell. A typical HeLa cell is about 20 µm diameter with a 10 µm nucleus located in the center of a cell. Therefore, spectra collected from the center of a cell were considered to originate mainly from the nucleus, whereas spectra collected from regions surrounding the nucleus corresponded to the cytoplasm. It can be assumed that due to differences in Au nanostar tip length and sharpness, some tips could penetrate a cell wall, some remained in the plasma membrane, and some did not contact the cell. Pylaev et al. [37] have already shown that Au nanostars can penetrate the cell wall and deliver vectors coding GFP proteins inside the cell. In our experiments, we used Au nanostars synthesized according to a similar protocol; thus, we assume that the mechanism of penetration into the cell wall remains the same. p The most intensive SERS spectra were obtained from cells adsorbed on large aggre- gates of Au nanostars. No peaks from cells placed on a modified or unmodified coverslip were detectable at the same detection parameters without Au nanostructures. The typical spectrum of a cell without aggregates of nanostructures is shown in the Supplementary Materials (Figure S2). It should be noted that there was a signal only from regions of a cell placed on aggregates of gold nanostars on PVPyr. 3.1. Nanostructure Characterization Nanomaterials 2021, 11, 2588 5 of 13 The obtained substrates were tested for SERS performance by measuring the signal from 4-mercaptobenzoic acid at a 10−5 M concentration. The result of such testing is shown in the Supplementary Materials (Figure S1). A slight increase in the signal from the analyte in the regions of large aggregates of gold nanostars on the surface of the substrate was observed. 3.1. Nanostructure Characterization The structure of the SERS substrate is schematically shown in Figure 1A. The overview SEM image (Figure 1B) clearly shows aggregates of nanostars with sharp needles. The measured diameter of the nanostar core was 40.0 ± 1.2 nm; the sharp needles had a length of 36.9 ± 5.8 nm. More discussion on nanostar size statistics and its influence on physical properties for stars obtained with the similar synthesis can be found in [43]. The sensor consists of a glass substrate, covered by the thin layer of PVPyr with the deposited Au nanostars. As a result, a developed surface is formed with chaotic pile-ups of stars on the polymer layer from small clusters to large aggregates 0.5–0.6 µm in height. Surface coverage varied between syntheses from 13% to 70% of total area. According to the AFM data, the measured thickness for the layer of PVPyr was 6.0 nm; the layer consists of small globular structures (Figure 1C). Thickness was measured by scratching the soft polymer layer, measuring data, flattening the AFM image’s background, and measuring the peaks’ centers on the height distribution function for the scratch and its neighborhood region. The thickness of the layer with Au nanostars aggregates varies with the aggregate size and can be up to 0.78 µm in the highest points of the surface (Figure 1D). The suspension of freshly synthesized gold nanostars had a broad absorption spectrum with a maximum at approximately 900 nm (Figure 1E). Deposition of gold nanostars onto the polymer layer resulted in a 60–80 nm shift of peak maximum to the left. Au nanostar aggregates were less stable without the polymer layer and could be partially washed away by distilled water or cell culture medium. Figure 1. (A) Experimental scheme: a cell is attached to a nanostructured surface consisting of gold nanostars deposited on a PVPyr layer on a coverslip. (B) SEM image of nanostructured surface. (C) Absorption spectra of a freshly synthesized suspension of gold nanostars. (D) AFM image of the PVPyr layer and (E) PVPyr layer with Au nanostars. Figure 1. (A) Experimental scheme: a cell is attached to a nanostructured surface consisting of gold nanostars deposited on a PVPyr layer on a coverslip. (B) SEM image of nanostructured surface. (C) Absorption spectra of a freshly synthesized suspension of gold nanostars. (D) AFM image of the PVPyr layer and (E) PVPyr layer with Au nanostars. 3.2. Spectral Analysis Taking into account peak assignment and peak intensities of pure chemicals [46,50–52], and other compounds (Table S1), we propose to consider spectral regions around 660–690, 790–805, and 1300–1350 cm−1 as originating primarily from bond vibrations in DNA nu- cleotides; 805–850 and 1510 cm−1 from RNA nucleotides; 730–765 cm−1 from hemes in mi- tochondrial cytochromes; 700–730, 1300–1330, and 1430–1470 cm−1 from lipids; 1000–1010 and 1360–1370 cm−1 from proteins. p Spectrum collected from the nucleus in the center of a cell contains intensive peaks of nucleotides (Figure 2G, spectrum 3). Peak 720 cm−1 may be attributed to adenine in DNA and phospholipids at the same time [51]. However, we did not observe the most intensive lipid peak 1445 cm−1, so peak 720 cm−1 can be considered characteristic of adenine. Peak 790 cm−1 is the most intensive peak of cytosine in DNA. Peak 645 cm−1 related to [Fe–S] cluster in mitochondrial electron transfer chain [47] is highly intensive. Peaks of hemes in mitochondrial cytochromes 745–760 and 1206 cm−1 are also presented in spectrum 1. According to Brazhe et al. [51], peak 750 cm−1 is more specific to heme C, whereas peak 760 cm−1 to heme B in mitochondria. The presence of specific peaks both from DNA and mitochondria opens a possibility to perform simultaneous analysis of mitochondria metabolism and local DNA composition. Intensive peaks 812 and 1510 cm−1 are most likely specific to RNA [48,51]. Spectrum 1 presumably represents cytoplasm composition. Spectrum 4 contains intensive peaks at 1141, 1225, 1350 cm−1 originating mainly from proteins and lipids [13,51,52,54]. Peaks 775 and 833 cm−1 from RNA are also presented [51,55]. Thus, this spectrum is supposed to represent the plasma membrane and a region of submembrane cytoplasm. g y p The regions surrounding the aggregate of nanostructures were chosen for SERS imag- ing. After baseline subtraction, the root-mean-square (RMS) value was calculated for Raman intensities in specific frequency ranges: 655–680 cm−1 corresponding to bond vibra- tions in DNA molecules; 740–765 cm−1 (hemes in mitochondria); 825–835 cm−1 (RNA), and 995–1010 cm−1 (proteins). Since there are no peaks in the spectral region 500–520 cm−1, this region may be considered noise. RMS values were normalized by the RMS value calculated for Raman intensities in the 500–520 cm−1 frequency range. Images of cells with these normalized RMS values can be used to locate DNA, mitochondria, RNA, and pro- teins, respectively, inside a cell (Figure 2A–D). 3.2. Spectral Analysis Short-distance enhancement (1–2 nm) is supposed to be induced by the direct interaction of nanostars’ tips with molecules inside cells [35]. This can be achieved by gold nanostars’ tips penetrating the cell through the plasma membrane and cellular organelles’ membranes. Although the membrane is about 10 nm thick, penetration is possible because the average tip length is about 37 nm, and some reach lengths of up to 50 nm, according to the SEM image (Figure 1B). The number of tips and, consequently, the probability of their penetration into the cell, was greater in aggregates of nanostructures than in individual nanoparticles. The rough morphology of aggregates contributed to plasma membrane stretch, which facilitated the penetration of tips. However, neither before nor after SERS imaging was cytoplasmic swelling or leakage observed. The small width of the tips allows them to penetrate the membrane without forming pores in it. A 785 nm laser focused through the 50×/0.5 n.a. objective has been used for Raman measurements with a microspectrometer that resulted in an Airy disk radius of 1.4–1.9 µm. Since the diameter of the detection spot exceeds 1.4 µm, and mitochondria are located close to the nucleus, the appearance of peaks from mitochondria, RNA, and DNA in one spectrum may indicate that some of the Au nanostars in a registration spot enhance the signal from the nucleus, and some enhance the signal from surrounding mitochondria, which makes it possible to study them simultaneously. Nanomaterials 2021, 11, 2588 6 of 13 Due to the significant decay of the SERS signal with distance from the nanostructure’s surface [44], we suggest that z-resolution depends only on the morphology of aggre- gates and distance of enhancement, despite the laser wavelength of 785 nm having good penetration ability. SERS spectra from different parts of a cell on the aggregate of nanostructures were sig- nificantly different. Such a result was expected due to differences in molecular composition in a particular region of a cell. For example, single spectra from 4 points of the same cell are shown in Figure 2. Each Raman peak corresponds to a specific atom group vibration in molecules. Detailed peak assignments according to literature data are summarized in Supplementary Materials (Table S1) [13,45–54]. 3.2. Spectral Analysis To present the distribution of RNA, DNA, and mitochondria within an area of image registration, merged RGB images were made by overlaying images corresponding to DNA (red), RNA (green), mitochondrial hemes (blue) in the same range of RMS values (Figure 2E). Aggregates of nanostructures varied in size and shape. They were located in the center of a cell (Figures 2F and 3F) or on the border of a cell (Figure 3C). Figure 3 illustrates a significant variation of spectra depending on a region in a cell from which they were collected. Spectrum 1 was registered from nanostructures outside a cell. It contains small peaks at 1010, 1065, and 1203 cm−1, which have a negligible impact on the overall SERS spectra of cells. 7 of 13 Nanomaterials 2021, 11, 2588 Figure 2. (A–D) Raman images of the chosen region (a black rectangle on a microphotograph of a cell on nanostructures (F)). Each point of the image corresponds to the normalized root-mean square (RMS) value calculated for frequency ranges: (A) 825–835 cm−1 (RNA); (B) 740–765 cm−1 (mitochondria); (C) 655–680 cm−1 (DNA); and (D) 995–1010 cm−1 (proteins). (E) The merged RGB image was made by overlaying grayscale images corresponding to RNA (green), mitochondria (blue) and DNA (red) in the same range of RMS values (0–60). Axes show a pixel number. The scale bars a (A–F) correspond to 10 µm. (G) SERS spectra from regions of interest (numbered in (F)). Rectangles are related to certain frequency ranges: 825–835 cm−1 (green), 740–765 cm−1 (blue), 655–680 cm−1 (red), 1300–1330 cm−1 and 1430–1470 cm−1 (gray), which are highly specific to bond vibrations in Figure 2. (A–D) Raman images of the chosen region (a black rectangle on a microphotograph of a cell on nanostructures (F)). Each point of the image corresponds to the normalized root-mean- square (RMS) value calculated for frequency ranges: (A) 825–835 cm−1 (RNA); (B) 740–765 cm−1 (mitochondria); (C) 655–680 cm−1 (DNA); and (D) 995–1010 cm−1 (proteins). (E) The merged RGB image was made by overlaying grayscale images corresponding to RNA (green), mitochondria (blue), and DNA (red) in the same range of RMS values (0–60). Axes show a pixel number. The scale bars at (A–F) correspond to 10 µm. (G) SERS spectra from regions of interest (numbered in (F)). 3.2. Spectral Analysis Rectangles are related to certain frequency ranges: 825–835 cm−1 (green), 740–765 cm−1 (blue), 655–680 cm−1 (red), 1300–1330 cm−1 and 1430–1470 cm−1 (gray), which are highly specific to bond vibrations in RNA, mitochondria, DNA and lipids, respectively. Peaks from proteins are shown in bold. Figure 2. (A–D) Raman images of the chosen region (a black rectangle on a microphotograph of a cell on nanostructures (F)). Each point of the image corresponds to the normalized root-mean- square (RMS) value calculated for frequency ranges: (A) 825–835 cm−1 (RNA); (B) 740–765 cm−1 (mitochondria); (C) 655–680 cm−1 (DNA); and (D) 995–1010 cm−1 (proteins). (E) The merged RGB image was made by overlaying grayscale images corresponding to RNA (green), mitochondria (blue), and DNA (red) in the same range of RMS values (0–60). Axes show a pixel number. The scale bars at (A–F) correspond to 10 µm. (G) SERS spectra from regions of interest (numbered in (F)). Rectangles are related to certain frequency ranges: 825–835 cm−1 (green), 740–765 cm−1 (blue), 655–680 cm−1 (red), 1300–1330 cm−1 and 1430–1470 cm−1 (gray), which are highly specific to bond vibrations in RNA, mitochondria, DNA and lipids, respectively. Peaks from proteins are shown in bold. 8 of 13 Nanomaterials 2021, 11, 2588 Figure 3. (A,D) Normalized RMS calculated for the frequency range 995–1010 cm−1 suggested as protein distribution for regions of image acquisition (C) and (F), respectively. (B,E) Overlapped normalized RMS images of DNA (red), RNA (green), and mitochondria (blue) in the same scale 0–60 for regions (C) and (F), respectively. (C,F) Microphotographs of regions of image acquisition The scale bars at (A–F) correspond to 10 µm. Edges of cells are circled with a dashed line. (G) Spectra of points of interest (numbered on microphotographs (C) and (F)) extracted from SERS images Rectangles designate peaks from atom group vibrations in DNA (red), RNA (green), mitochondria (blue), lipids (gray). Peaks from proteins are shown in bold. Figure 3. (A,D) Normalized RMS calculated for the frequency range 995–1010 cm−1 suggested as protein distribution for regions of image acquisition (C) and (F), respectively. (B,E) Overlapped normalized RMS images of DNA (red), RNA (green), and mitochondria (blue) in the same scale 0–60 for regions (C) and (F), respectively. (C,F) Microphotographs of regions of image acquisition. The scale bars at (A–F) correspond to 10 µm. Edges of cells are circled with a dashed line. 3.2. Spectral Analysis (G) Spectra of points of interest (numbered on microphotographs (C) and (F)) extracted from SERS images. Rectangles designate peaks from atom group vibrations in DNA (red), RNA (green), mitochondria (blue), lipids (gray). Peaks from proteins are shown in bold. Spectrum 1 was registered from nanostructures outside a cell. It contains small peaks at 1010, 1065, and 1203 cm−1, which have a negligible impact on the overall SERS spectra of cells. Spectra 2 and 3 look similar. Spectrum 3 contains a very intensive peak at 1446 cm−1 assigned to the C–H2 bend mostly in lipids and proteins; peak 1270 cm−1 corresponds to unsaturated fatty acids [50], and 1078 cm−1 corresponds to alkyl C–C gauche stretches in lipids [52]. Additionally, this spectrum contains intensive peaks from proteins: 1180, 1200, and 1570 cm−1 [48]. The carbohydrate peak at 1120 cm−1 is considered to originate from glycoproteins [52]. This may indicate that the spectrum represents the plasma membrane Nanomaterials 2021, 11, 2588 9 of 13 9 of 13 composition. Spectrum 2 contains less intensive peaks from lipids and another carbohy- drate peak at 912 cm−1 [52], so it probably corresponds to another region of the plasma membrane with a more significant number of glycoproteins. Spectrum 4 contains peaks 1146 and 1495 cm−1, corresponding to C–C and C–N vibrations, respectively, inherent to different molecules [13,49,54]. Peak 833 cm−1 most likely corresponds to bond vibrations in RNA. Thus, spectrum 4 represents the composition of cytoplasm near the edge of the cell. p p p y p g Spectra 5–7 are from the central part of the cell (Figure 3F). Peaks corresponding to RNA (822 cm−1) and DNA (670, 692, 802, 1330 cm−1) nucleotides are presented in all spectra of this region, indicating penetration of Au nanostars into the nucleus. Apart from them, there are intensive peaks of proteins (1000, 1180, and 1360–1370 cm−1) and some peaks of lipids (1260–1280, 1445 cm−1) presumably from the nuclear membrane. Peaks from hemes (746 and 754 cm−1) can be noticed in spectra 6 and 7. In order to make sure that we are recording spectra in the cytosol of the cell, the cells of the murine melanoma B16-F10 were measured on SERS substrates. These cells con- tain melanin grains in the cytosol, and the presence of a characteristic enhanced SERS spectrum indicates that the SERS signal is indeed recorded from the intracellular contents. 3.3. Image Analysis Normalized RMS values in frequency ranges specific to certain molecules in each pixel of Raman imaging were used to locate intracellular DNA, RNA, proteins, and mito- chondrial hemes. Regions containing nuclei provided more intensive spectra compared to cytoplasm. If an aggregate was located near the edge of a cell, then there were less intensive spectra. Such an effect can be observed when comparing image (Figure 3A) with images (Figures 2D and 3D) where protein distribution is visualized with normalized RMS values in the frequency range 995–1010 cm−1. As peripheral parts of a cell are more flexible, less dense, and heavier than the central part, the penetration of tips there may be less profound. p p p y p There was no aggregate in the center of a cell (Figure 3C), unlike in the following cases. The maximal RMS value for proteins was achieved in Figure 3D, whereas the minimum value was observed in the case of image acquisition outside the nucleus (Figure 3A). g q ( g ) RMS values of frequency ranges related to vibrations in DNA and RNA molecules were the highest within a nucleus and surrounding cytoplasm (Figure 2A,C,E). In Figure 3E, the only intensive region is associated with the nucleus. Areas with intensive RNA peaks (green) in merged images may be interpreted as cytoplasm or endoplasmic reticulum containing many ribosome-synthesizing proteins. This region may also be suggested as the nucleolus, the largest structure in the nucleus, containing a large amount of ribosomal RNA. Figure 3E potentially demonstrates this. The signal from heme vibrations in mitochondrial cytochromes was weaker than from other molecules. However, that does not mean that there were few mitochondria in cells. Wavelength 785 nm is not resonant for hemes; therefore, peaks at the 740–765 cm−1 range are weak. Spots related to mitochondria (hemes) were located mainly outside nuclei since mitochondria usually surrounded them. 3.2. Spectral Analysis The corresponding analysis is shown in Supplementary Materials (Figure S3). 3.4. Nanostars Localization Inside Cells To better see the localization of aggregates inside HeLa cells, 3D images were taken using confocal laser scanning microscopy (Figure 4). The cytosol of the cells was stained with the vital dye calcein AM, which provides uniform staining of the internal contents of the cells. Gold nanoparticles and their aggregates are visible against the green background as dark silhouettes. It should be noted that large aggregates are sufficiently opaque for optical radiation and the obscure part of the cell behind them, which makes it difficult to localize particles along the Z axis. 10 of 13 10 of 13 Nanomaterials 2021, 11, 2588 Figure 4. CLSM 3-D image of HeLa cells on the substrate with gold nanostars aggregates. To sum up, SERS spectra from different cell parts originated from the molecular Figure 4. CLSM 3-D image of HeLa cells on the substrate with gold nanostars aggregates. To sum up, SERS spectra from different cell parts originated from the molecular environment around gold tips that penetrated the cell. The number of tips and the depth of their penetration were significantly higher on the surface of aggregates. The SERS signal, even from DNA, RNA, and hemes located far from the plasma membrane, can be detected using nanostars with long tips up to 50 nm. To sum up, SERS spectra from different cell parts originated from the molecular environment around gold tips that penetrated the cell. The number of tips and the depth of their penetration were significantly higher on the surface of aggregates. The SERS signal, even from DNA, RNA, and hemes located far from the plasma membrane, can be detected using nanostars with long tips up to 50 nm. References 1. Petry, R.; Schmitt, M.; Popp, J. Raman Spectroscopy-A Prospective Tool in the Life Sciences. ChemPhysChem 2003, 4, 14–30. [CrossRef] [PubMed] 2. Pahlow, S.; März, A.; Seise, B.; Hartmann, K.; Freitag, I.; Kämmer, E.; Böhme, R.; Deckert, V.; We Bioanalytical application of surface- and tip-enhanced Raman spectroscopy. Eng. Life Sci. 2012, 12, 131 y pp p p py g f [ ] 3. Vitol, E.A.; Orynbayeva, Z.; Friedman, G.; Gogotsi, Y. Nanoprobes for intracellular and single cell surface-enhanced Raman spectroscopy (SERS). J. Raman Spectrosc. 2012, 43, 817–827. [CrossRef] p py 4. Eremina, O.E.; Semenova, A.A.; Sergeeva, E.A.; Brazhe, N.A.; Maksimov, G.V.; Shekhovtsova, T.N.; Goodilin, E.A.; Veselova, I.A. Surface-enhanced Raman spectroscopy in modern chemical analysis: advances and prospects. Russ. Chem. Rev. 2018, 87, 741–770. [CrossRef] [ ] 5. Bruzas, I.; Lum, W.; Gorunmez, Z.; Sagle, L. Advances in surface-enhanced Raman spectroscopy (SERS) substrates for lipid and protein characterization: sensing and beyond. Analyst 2018, 143, 3990–4008. [CrossRef] 6. Willets, K.A. Surface-enhanced Raman scattering (SERS) for probing internal cellular structure and dynamics. Anal. Bioanal. Chem. 2009, 394, 85–94. [CrossRef] 7. Lane, L.A.; Qian, X.; Nie, S. SERS Nanoparticles in Medicine: From Label-Free Detection to Spectroscopic Tagging. Chem. Rev. 2015, 115, 10489–10529. [CrossRef] 8. Khlebtsov, N.; Bogatyrev, V.; Dykman, L.; Khlebtsov, B.; Staroverov, S.; Shirokov, A.; Matora, L.; Khanadeev, V.; Pylaev, T.; Tsyganova, N.; et al. Analytical and Theranostic Applications of Gold Nanoparticles and Multifunctional Nanocomposites. Theranostics 2013, 3, 167–180. [CrossRef] 9. Schlücker, S. SERS Microscopy: Nanoparticle Probes and Biomedical Applications. ChemPhysChem 2009, 9. Schlücker, S. SERS Microscopy: Nanoparticle Probes and Biomedical Applications. ChemPhysChem 2009, 10, 1344–1354. [CrossRef] 10. Kneipp, J.; Kneipp, H.; McLaughlin, M.; Brown, D.; Kneipp, K. In Vivo Molecular Probing of Cellular Compartments with Gold Nanoparticles and Nanoaggregates Nano Lett 2006 6 2225–2231 [CrossRef] 9. Schlücker, S. SERS Microscopy: Nanoparti 9. Schlücker, S. SERS Microscopy: Nanoparticle Probes and Biomedical Applications. ChemPhysChem 2009, 10, 1344–1354. [CrossRef] 10 K i J K i H M L hli M B D K i K I Vi M l l P bi f C ll l C t t ith G ld 10. Kneipp, J.; Kneipp, H.; McLaughlin, M.; Brown, D.; Kneipp, K. In Vivo Molecular Probing of Cellular C Nanoparticles and Nanoaggregates. Nano Lett. 2006, 6, 2225–2231. [CrossRef] p gg g 11. Yashchenok, A.M.; Masic, A.; Gorin, D.A.; Shim, B.S.; Kotov, N.A.; Fratzl, P.; Möhwald, H.; Skirtach, A.G. 4. Conclusions Institutional Review Board Statement: Not applicable Institutional Review Board Statement: Not applicable Informed Consent Statement: Not applicable Informed Consent Statement: Not applicable Data Availability Statement: Data underlying the results presented in this paper are not publicly available at this time but may be obtained from the authors upon reasonable request. Data Availability Statement: Data underlying the results presented in this paper are not publicly available at this time but may be obtained from the authors upon reasonable request. Acknowledgments: We acknowledge Shemyakin-Ovchinnikov Institute of Bioorganic Chemistry of RAS for a donation of a human cervix carcinoma cell line (HeLa). E.I.N. and D.N.B. acknowledge financial support from RFBR (grant mol_nr 17-32-50138). The Government of the Russian Federation partly supported the work (grant no. 14.Z50.31.0044 to support scientific research projects imple- mented under the supervision of leading scientists at Russian institutions and Russian institutions of higher education). V.A.K. and B.N.K. acknowledge financial support from RSF (grant 18-14-00016-P) for synthesis of gold nanostars. Conflicts of Interest: The authors declare no conflict of interest. 4. Conclusions We have demonstrated a novel planar SERS substrate based on gold nanostar aggre- gates immobilized in the poly(4-vinyl pyridine) layer on the glass substrate. Tips of Au nanostars penetrate the cell membrane and provide the SERS signal from biomolecules in living HeLa cells. This platform provides an excellent alternative to other methods of SERS sensor internalization and can be used to investigate the biochemistry of different cellular organelles, including the nucleus with the nucleolus and mitochondria. The proposed nanostructured surfaces provide information about the distribution of different molecules in cellular compartments without any labeling. Supplementary Materials: The following are available online at https://www.mdpi.com/article/10 .3390/nano11102588/s1, Figure S1: SERS map of 4-MBA (10−5 M solution in ethanol). (a) Intensity distribution at 1075 cm−1 peak. (b) The same map, values above threshold calculated using Otsu’s method are marked with red. The scale bars at (a,b) correspond to 10 µm. (c) Mean spectra of area under (red line) and outside (black line) red mask (b), Table S1: Raman peak assignment, Figure S2: Spectrum of a cell outside gold substrates registered with 50×/0.5 n.a. objective lens, laser wavelength—785 nm, laser power—3 mW, acquisition time—1 s, Figure S3: SERS mapping of B16- F10 cell. (a,b) 1st component in PCA decomposition (PC 1) score distribution. (c) White light image, scanning area is marked with light grey color. Red mask (b,c) corresponds to values (PC 1 score) above the threshold calculated using Otsu’s method. (d) PC 1 explaining 86.46% overall variance. (B) Mean spectrum of area under mask (b,c) with its standard deviation. 11 of 13 11 of 13 Nanomaterials 2021, 11, 2588 Author Contributions: Conceptualization, E.I.N. and D.N.B.; software, E.I.N.; validation, E.I.N. and E.S.P.; formal analysis, E.I.N. and E.S.P.; investigation, E.I.N., E.S.P., R.A.V., V.S.A., V.A.K. and B.N.K.; resources, B.N.K. and D.N.B.; data curation, E.I.N.; writing—original draft preparation, E.I.N., E.S.P., R.A.V. and D.N.B.; writing—review and editing, E.I.N., E.S.P., R.A.V., V.S.A., V.A.K., B.N.K. and D.N.B.; visualization, E.I.N., E.S.P. and R.A.V.; supervision, D.N.B.; project administration, D.N.B.; funding acquisition, E.I.N. and D.N.B. All authors have read and agreed to the published version of the manuscript. Funding: E.I.N. and D.N.B. acknowledge financial support from RFBR (grant mol_nr 17-32-50138). 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SERS uncovers the link between conformation of cytochrome c heme and mitochondrial membrane potential. bioRxiv 2021. [CrossRef] 22. References Improved size-tunable synthesis and SERS properties of Au nanostars. J. Nanopart. Res. 2014, 16, 2623. [CrossRef] p 30. Indrasekara, A.S.D.S.; Meyers, S.; Shubeita, S.; Feldman, L.C.; Gustafsson, T.; Fabris, L. Gold nanostar substrates for SERS-based chemical sensing in the femtomolar regime. Nanoscale 2014, 6, 8891–8899. [CrossRef] 31. Register, J.K.; Fales, A.M.; Wang, H.N.; Norton, S.J.; Cho, E.H.; Boico, A.; Pradhan, S.; Kim, J.; Schroeder, T.; Wisniewski, N.A.; et al. In vivo detection of SERS-encoded plasmonic nanostars in human skin grafts and live animal models. Anal. Bioanal. Chem. 2015, 407, 8215–8224. [CrossRef] 32. Malynych, S.; Luzinov, I.; Chumanov, G. Poly(Vinyl Pyridine) as a Universal Surface Modifier for Immobilization of Nanoparticles. J. Phys. Chem. B 2002, 106, 1280–1285. 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Estudio de los mecanismos de muerte celular en la mucosa de intestino delgado
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Los hallazgos mostrados en este capítulo indican que la necroptosis se encuentra activa en la mucosa duodenal de pacientes con enfermedad celíaca, y también presentan elementos que sugieren que es posible evidenciarla en el intestino delgado proximal de ratones en nuestro modelo de enteropatía. En este último aspecto tenemos la ventaja de profundizar los estudios sobre esta vía empleando bloqueos funcionales para determinar el rol de la necroptosis en el daño a la mucosa intestinal. Esto es de especial interés ya que no se han realizado estudios en un modelo de inflamación estéril hasta el presente. 139 Capítulo 3: Necroptosis Conclusiones • Determinamos que mediadores claves de la vía de la necroptosis están activos en enfermedad celíaca, evidenciado por un incremento en la expresión y activación de ZBP1, RIPK3 y p-MLKL. • El análisis de expresión de p-MLKL indicó que las células CD3+ explicaron la mayoría de las células p-MLKL+ en la lamina propria, mientras que las células β-defensina+ (células de Paneth) explicaron las p-MLKL+ en el fondo de las criptas de la mucosa duodenal de los pacientes celíacos. • La evaluación en el modelo murino de enteropatía mostró un incremento de la expresión de RIPK3, indicando que la vía de la necroptosis también puede ser inducida en este modelo. Esto permitirá el avance en la caracterización de la necroptosis realizando estudios funcionales con bloqueos in vivo de elementos críticos de la vía. • Los pacientes con enfermedad celíaca no tratados tienen un mayor número de células que mueren por apoptosis y por otras vías de muerte celular programada proinflamatorias, como piroptosis y necroptosis. Estas vías de muerte celular podrían estar interconectadas y modularse entre sí. En base a los puntos detallados concluimos que se ha logrado confirmar que la vía de la necroptosis se encuentra activa en la mucosa duodenal de pacientes con EC. En el caso de nuestro modelo murino de enteropatía se requiere extender los estudios mediante el empleo de inhibidores de la vía con el fin de esclarecer su participación. Sin embargo, es destacable el incremento de la versión precursora de RIPK3 documentado, como un marcador de activación de la vía, simplemente por administración del péptido p31-43. Finalmente, el empleo de este modelo de inflamación estéril permitirá el desarrollo de una estrategia novedosa para avanzar en el conocimiento del rol de la necroptosis en el intestino delgado. 140 Conclusión General En este trabajo, hemos demostrado la implicancia en la progresión del daño a la mucosa del intestino delgado de múltiples vías de muerte celular programada en condiciones inflamatorias que coexisten en un mismo tejido, evaluadas tanto en muestras humanas como en un modelo experimental en ratón (Ilustración 23). Confirmamos que la vía de la apoptosis, descripta como la vía fundamental de eliminación masiva de células en el epitelio, se encuentra activa. De manera llamativa, observamos que existe un alto número de células muertas en la lamina propria, hallazgo que nos impulsó a estudiar otras posibles vías de muerte celular proinflamatoria. De esta forma, demostramos el rol de la piroptosis en la mucosa del intestino delgado tanto en una situación inflamatoria crónica (duodeno de pacientes celíacos) como en el modelo de enteropatía, al probar que las formas activas de moléculas centrales en esta vía (caspasa-1, IL-1β y GSDMD) se encuentran activadas. Empleando el modelo experimental, evidenciamos que el bloqueo in vivo de la vía de la piroptosis, mediante inhibición farmacológica o inmunoquímica (inhibidores de NLRP3, caspasa-1 o anticuerpo anti-IL-1β, respectivamente) impide la inducción de daño mediante el estímulo inflamatorio. Además, la observación de la expresión de RIPK3 y p-MLKL permitió demostrar la actividad de la vía de la necroptosis en intestino delgado de ratón. Conclusión general Ilustración 23. Resumen integral de las vías de muerte celular programada involucradas en la patogenia de EC En la ilustración se resumen de manera esquemática los resultados obtenidos en el desarrollo de este trabajo de tesis doctoral. Demostramos el papel de la apoptosis en la progresión del daño a la mucosa intestinal en la enfermedad celiaca, además de la implicancia de vías de muerte celular proinflamatorias como la piroptosis y la necroptosis, mecanismos que no habían sido estudiados en condiciones no infecciosas. En el desarrollo de la tesis doctoral se han estudiado, por primera vez, las vías de muerte proinflamatorias en intestino delgado en condiciones no infecciosas, y en el contexto de la enfermedad celíaca. La amplificación de los mecanismos inflamatorios y de daño tisular por liberación de DAMPS, como consecuencia de la piroptosis y necroptosis, constituyen mecanismos no descriptos en la enteropatía del intestino delgado. 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Heparan Sulfate Biosynthesis
Hinke A.B. Multhaupt
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Summary Heparan sulfate is perhaps the most complex polysaccharide known from animals. The basic repeating disaccharide is extensively modified by sulfation and uronic acid epimerization. Despite this, the fine structure of heparan sulfate is remarkably consistent with a particular cell type. This suggests that the synthesis of heparan sulfate is tightly controlled. Although genomics has identified the enzymes involved in glycosaminoglycan synthesis in a number of vertebrates and invertebrates, the regulation of the process is not understood. Moreover, the localization of the various enzymes in the Golgi apparatus has not been carried out in a detailed way using high-resolution microscopy. We have begun this process, using well-known markers for the various Golgi compartments, coupled with the use of characterized antibodies and cDNA expression. Laser scanning confocal microscopy coupled with line scanning provides high-quality resolution of the distribution of enzymes. The EXT2 protein, which when combined as heterodimers with EXT1 comprises the major polymerase in heparan sulfate synthesis, has been studied in depth. All the data are consistent with a cis-Golgi distribution and provide a starting point to establish whether all the enzymes are clustered in a multimolecular complex or are distributed through the various compartments of the Golgi apparatus. (J Histochem Cytochem 60:908–915, 2012) Heparan Sulfate Biosynthesis: Methods for Investigation of the Heparanosome Hinke A. B. Multhaupt and John R. Couchman Department of Biomedical Sciences, University of Copenhagen, Copenhagen, Denmark Hinke A. B. Multhaupt and John R. Couchman Department of Biomedical Sciences, University of Copenhagen, Copenhagen, Denmark Article Article Article Journal of Histochemistry & Cytochemistry 60(12) 908­–915 © The Author(s) 2012 Reprints and permission: sagepub.com/journalsPermissions.nav DOI: 10.1369/0022155412460056 http://jhc.sagepub.com Received for publication July 2, 2012; accepted August 6, 2012. Received for publication July 2, 2012; accepted August 6, 2012. Corresponding Author: Hinke A. B. Multhaupt, PhD, Department of Biomedical Sciences, University of Copenhagen, Biocenter, Ole Maløes Vej 5, 2200 Copenhagen N, Denmark. E-mail: hinke.multhaupt@bric.ku.dk glycosaminoglycan, proteoglycan, heparin, Golgi apparatus, confocal microscopy glycosaminoglycan, proteoglycan, heparin, Golgi apparatus, confocal microscopy Heparan sulfate is probably the most complex carbohydrate of the Bilateria. This arises not from the structure of the basic polymer, which is a repeating disaccharide, but from the further modifications, most notably sulfation. All multi- cellular animals possess heparan sulfate, and genetic experi- ments in invertebrates such as Caenorhabditis elegans, as well as the mouse, show that it is indispensable for life (Lin et al. 2000; Kitagawa et al. 2007). Almost certainly this derives from its ability to interact with a plethora of ligands belonging to many protein families (Esko and Selleck 2002). Examples from growth factors, chemokines, cytokines, mor- phogens, extracellular matrix glycoproteins and collagens, enzymes as diverse as metzincins, and lipases are recorded (Esko and Selleck 2002; Bishop et al. 2007; Couchman 2010). Moreover, a diverse array of pathogens use heparan sulfate to gain entry to cells (Bartlett and Park 2010). are the cell surface glypicans and syndecans. Others are a small unrelated set of proteins such as type XVIII collagen (Seppinen and Pihlajaniemi 2011), agrin, and perlecan (Iozzo et al. 2009) that are found in many basement mem- branes and other extracellular matrices. Cell surface beta- glycan and neuropilin-1 may also have a single heparan sulfate chain (Couchman 2010), whereas a specific splice variant of the hyaluronan receptor CD44 can also be substi- tuted with this glycosaminoglycan (Puré and Assoian 2009). With so many ligands, yet so few HSPGs, it appears that the major roles of heparan sulfate are to concentrate ligands or control their gradients within tissues (Lander and Selleck Received for publication July 2, 2012; accepted August 6, 2012. Corresponding Author: Hinke A. B. Multhaupt, PhD, Department of Biomedical Sciences, University of Copenhagen, Biocenter, Ole Maløes Vej 5, 2200 Copenhagen N, Denmark. E-mail: hinke.multhaupt@bric.ku.dk Despite the wide array of ligands, the number of core proteins that carry heparan sulfate chains is rather few. Two major families of heparan sulfate proteoglycans (HSPGs) Heparan Sulfate Biosynthesis in the Golgi 909 gure 1. Schematic representation of heparan sulfate synthesis and its modifications. Heparan sulfates are sugar chains that consist repeated disaccharides linked to serine residues on a protein core through the sequence xylose–galactose–galactose–uronic acid. wo polymerases, EXT1 and EXT2, are responsible for the elongation of the chain. The disaccharide residues are further modified by lfotransferases and epimerase to obtain a mature glycosaminoglycan. glycosaminoglycan, proteoglycan, heparin, Golgi apparatus, confocal microscopy However, these modifications do not go to completion, resulting domains of high, intermediate, and low sulfation, enabling the generation of many potential heparan sulfate structures and therefore and-binding sites. Figure 1. Schematic representation of heparan sulfate synthesis and its modifications. Heparan sulfates are sugar chains that consist of repeated disaccharides linked to serine residues on a protein core through the sequence xylose–galactose–galactose–uronic acid. Two polymerases, EXT1 and EXT2, are responsible for the elongation of the chain. The disaccharide residues are further modified by sulfotransferases and epimerase to obtain a mature glycosaminoglycan. However, these modifications do not go to completion, resulting in domains of high, intermediate, and low sulfation, enabling the generation of many potential heparan sulfate structures and therefore ligand-binding sites. demanding. Moreover, the sequences of all the enzymes that contribute to heparan sulfate biosynthesis are cata- logued from a number of genomes across the animal king- dom. However, the sheer complexity of heparan sulfate structures poses interesting questions and problems regard- ing synthesis. Initiation is characterized by the transfer of xylose to a serine acceptor on the core protein. This is fol- lowed by two galactose units and a glucuronic acid moiety. The completed tetrasaccharide is often referred to as a stem or linker, because it is common to heparan sulfate and chondroitin/dermatan sulfate synthesis (Couchman and Pataki 2012; Fig. 1). In the case of heparan sulfate, repeat- ing disaccharides of N-acetylglucosamine and glucuronic acid are added, and in some cases, 50 disaccharides or more may follow. The polymerase consists of two proteins, EXT1 and EXT2, that form heterodimeric complexes (McCormick et al. 2000). Data suggest that before chain elongation is completed, early modification steps occur. 2000; Bishop et al. 2007). Where transmembrane signaling is involved (e.g., in the syndecans), then presumably a wide variety of incoming stimuli can trigger a conservative num- ber of downstream events. Often cell surface proteoglycans work in concert with high-affinity receptors (Alexopoulou et al. 2007; Polanska et al. 2009; Xian et al. 2010). The best examples are known from fibroblast growth factor (FGF), and crystal structures are recorded for the ternary com- plexes of FGF, heparin, and FGF receptor (Pellegrini et al. 2000; Schlessinger et al. 2000). Localization of Heparan Sulfate Synthetic Machinery Despite the fact that genomics and biochemical analysis have provided details of the enzymes involved in heparan sulfate synthesis, and the products of their activity are increasingly well understood, little is known regarding the location of the enzymes. Early work suggested that xylosyltransferases were present in the endoplasmic reticulum or early Golgi (Vertel et al. 1993; Schön et al. 2006). The EXT enzymes, 5′ epimerase, NDST1, and other sulfotransferases have all been proposed as Golgi enzymes (McCormick et al. 2000; Crawford et al. 2001; Nagai et al. 2004; Busse et al. 2007), but high-resolution light or electron microscopic localization has not been performed in any case. However, light micro- scopic examinations are not simple, because as described by Dejgaard et al. (2007), it is important to carry out multiple localizations, coupled with laser scanning confocal micros- copy and line scans of the stained material. Only in this way can increased certainty be obtained regarding the assignment of a Golgi enzyme to a particular compartment or “stack.” The Golgi can be divided into cis, medial, and trans, with the more dispersed, vesicular trans-Golgi network as a site for packaging cell surface and matrix components for export. There is also an endoplasmic reticulum/Golgi vesicular com- partment on the cis face, termed ERGIC (Schweitzer et al. 1988; Saraste and Svensson 1991). To aid in localization of these domains, there are fortunately well-described specific antibodies that detect resident proteins (Table 1). As can be seen in Fig. 2, these antibodies stain discrete compartments within the Golgi, and these can be discriminated in double and triple staining protocols, using confocal immunocyto- chemistry. Some cells are much more amenable to Golgi studies than others, and among those most commonly used are normal rat kidney (NRK) cells, which are flat in culture with conspicuous and well-demarcated Golgi apparatus. In the case of heparin, characteristic of mucosal mast cell granules, chain modification is extensive, so that trisulfated disaccharides can be abundant (Casu et al. 1981; Björk et al. 1982; Tovar et al. 2012). However, adjacent to the core pro- tein (serglycin; Kolset et al. 2012; Rönnberg et al. 2012), there is a sulfate-poor region, and this appears to be com- mon to all HSPGs (Murphy et al. 2004). In contrast to hepa- rin, however, heparan sulfate of syndecans and glypicans, for example, is not so extensively modified. Heparan Sulfate Structure and Synthesis The composition of heparan sulfate from a variety of tis- sues across a number of species is well documented, although perhaps not as well known as those from inverte- brates where traditional biochemical approaches are more 910 Multhaupt and Couchman Table 1. Golgi Markers and EXT2 Protein Antibody Data Antibody Target Dilution Company Rabbit anti-ERGIC53/p58 Endoplasmic reticulum (ER)–Golgi intermediate compartment 1:100 Sigma-Aldrich (St. Louis, MO) Mouse anti-GM130 cis-Golgi 1:600 BD Transduction Laboratories (Franklin Lakes, NJ) Rabbit anti–α-mannosidase II medial-Golgi 1:200 Chemicon International (Temecula, CA) Mouse anti-Golgin97 trans-Golgi 1:300 Molecular Probes (Eugene, OR), Invitrogen (Carlsbad, CA) Sheep anti-TGN46 trans-Golgi network (TGN) 1:1000 Serotec (Kidlington, UK) Goat anti-EXT2 (N-15 + C-17) EXT2 protein 1:100 Santa Cruz Biotechnology (Santa Cruz, CA) are deleted, some 6-O-sulfation takes place (Holmborn et al. 2004), even though N-sulfation may be absent. The first is N-deacetylation and N-sulfation, carried out by one of four N-deacetylases/N-sulfotransferases (NDSTs) (in mammals). Both steps are carried out by a single pro- tein. This is followed by epimerization of uronic acid resi- dues, converting some of them from glucuronic to iduronic acid. Some of the iduronate is then sulfated at the 2-O posi- tion. In contrast to the NDSTs, there is a single 5′ epimerase and 2-O-sulfotransferase, reportedly forming a complex with each other (Pinhal et al. 2001). Next, 6-O-sulfation of glucosamine residues can occur; in mammals, three enzymes are capable of this modification (HS6ST-1, -2, and -3). Finally, and rarely, 3-O-sulfation takes place, but inter- estingly, seven mammalian enzymes are capable of com- pleting this step (Esko and Selleck 2002). Localization of Heparan Sulfate Biosynthetic Enzymes cells for a specific enzyme in control and knockout cells, usually derived from mice. This should yield no staining and no products in Western blots. In practice, many of the enzymes that contribute to heparan sulfate synthesis have been knocked out in mice. Some, however, such as EXT1, EXT2, NDST1, and HS6ST-1, are embryonic lethal (Lin et al. 2000; Ringvall et al. 2000; Stickens et al. 2005; Sugaya et al. 2008), underscoring the necessity for heparan sulfate in embryonic development. In such cases, cDNA expression in fibroblasts or other cells can be a good way forward. The only risk is that overexpression may lead to “overspill” into cellular compartments where the enzyme is not normally present. In practice, however, we have found that each ectopically expressed transferase only localizes to one Golgi compartment. In some cases, it may be possible to combine immunocytochemistry and ectopic protein expression as a further control, because the two assays should yield an iden- tical result. As a note, it should be remembered that most Golgi enzymes, including all those in heparan sulfate biosyn- thesis, are type II membrane proteins, so tagging the C-terminus is the only option to retain functionality. It is of interest to localize the heparan sulfate synthetic enzymes, to determine if they might co-localize in a multi- molecular complex, sometimes referred to as a “heparano- some.” It is an attractive hypothesis that, because heparan sulfate synthesis is controlled and mostly sequential, all the enzymes may be present in a supramolecular complex where a core protein is processed in a continuous fashion. Certainly, prior biochemical analysis of microsomal preparations sug- gests that sulfation events in glycosaminoglycan synthesis are a fast process, complete in a few minutes (Höök et al. 1975). To accomplish these localization experiments, either antibodies against the enzymes need to be prepared or char- acterized, or cDNAs encoding full-length enzymes as fluo- rescent fusion proteins can be transfected into cells. Rather few commercial antibodies are available to the many syn- thetic enzymes that contribute to heparan sulfate assembly. Moreover, some have to be treated with caution. The risk is not only that the antibody, particularly when it is polyclonal, may have unwanted additional activity against cellular com- ponents. An additional possibility is that an antibody may cross-react with more than one enzyme, particularly when it may share structural properties that reflect its function. Localization of Heparan Sulfate Synthetic Machinery Regions of low or no sulfation are interspersed between regions of high sul- fation, and at the junctions between these zones are regions of intermediate sulfation (Murphy et al. 2004). Given that the overall pattern of chain modification is held relatively constant within a particular cell type but may differ between cell types, the control of heparan sulfate synthesis is clearly complex. Because it is not random, modifications must be regulated. For example, it is known that liver-derived hepa- ran sulfate is more highly sulfated than that of other organs (Lyon et al. 1994; Nagamine et al. 2012). Still, today, there is little information regarding how cells control the pattern of chain modification. It is known that the activity of NDSTs lay down a template because N-sulfation largely determines where further modifications, such as epimerization and 2-O-sulfation, occur (Murphy et al. 2004; Kreuger and Kjellén 2012). However, even where NDST1 and NDST2 Heparan Sulfate Biosynthesis in the Golgi 911 Figure 2. The Golgi compartments can be resolved using specific antibodies. Normal rat kidney (NRK) (A, B) and MDA-MB231 cells (C) were stained with antibodies specific for the cis-Golgi compartment (GM130), medial-Golgi (α-mannosidase II), trans-Golgi (Golgin97), and trans-Golgi network (TGN46). The endoplasmic reticulum (ER)–Golgi intermediate compartment was identified using the ERGIC53 antibodies. (A) GM130/TGN46 and GM130/α-mannosidase II double staining shows compartment discrimination. (B) Double staining for ERGIC53 and GM130 shows overlap of the intermediate ER-Golgi compartment with cis-Golgi, with the ERGIC53 extending more toward the ER. (C) Triple staining for α-mannosidase II, Golgin97, and TGN46 resolved the late compartments of the Golgi. Scale bar: 10 µm. Figure 2. The Golgi compartments can be resolved using specific antibodies. Normal rat kidney (NRK) (A, B) and MDA-MB231 cells (C) were stained with antibodies specific for the cis-Golgi compartment (GM130), medial-Golgi (α-mannosidase II), trans-Golgi (Golgin97), and trans-Golgi network (TGN46). The endoplasmic reticulum (ER)–Golgi intermediate compartment was identified using the ERGIC53 antibodies. (A) GM130/TGN46 and GM130/α-mannosidase II double staining shows compartment discrimination. (B) Double staining for ERGIC53 and GM130 shows overlap of the intermediate ER-Golgi compartment with cis-Golgi, with the ERGIC53 extending more toward the ER. (C) Triple staining for α-mannosidase II, Golgin97, and TGN46 resolved the late compartments of the Golgi. Scale bar: 10 µm. Localization of Heparan Sulfate Biosynthetic Enzymes The only completely satisfactory control comprises staining of The EXT Enzymes A starting point on the way to mapping heparan sulfate synthetic enzyme mammalian cells has been EXT1 and 912 Multhaupt and Couchman Figure 3. EXT2 protein localized to the cis-Golgi compartment. (A) Endogenous EXT2 protein showed extensive co-localization w the cis-Golgi marker, GM130. Scale bar: 50 µm. (B) The same co-localization was seen for EXT2-mCherry chimeric protein and the c Golgi marker. A profile of a confocal microscopy line scan (arrow on the merged image) confirmed the localization of EXT2-mCher with GM130. (C) Golgin97, a trans-Golgi marker (arrowheads), was not co-distributed with EXT2-mCherry. The confocal microsco line scan (arrow on the merged image) showed that EXT2-mCherry was located in a different compartment than Golgin97. Scale ba B, C = 10 µm. Figure 3. EXT2 protein localized to the cis-Golgi compartment. (A) Endogenous EXT2 protein showed extensive co-localization with the cis-Golgi marker, GM130. Scale bar: 50 µm. (B) The same co-localization was seen for EXT2-mCherry chimeric protein and the cis- Golgi marker. A profile of a confocal microscopy line scan (arrow on the merged image) confirmed the localization of EXT2-mCherry with GM130. (C) Golgin97, a trans-Golgi marker (arrowheads), was not co-distributed with EXT2-mCherry. The confocal microscopy line scan (arrow on the merged image) showed that EXT2-mCherry was located in a different compartment than Golgin97. Scale bars: B, C = 10 µm. (Lin et al. 2000; Zak et al. 2002; Stickens et al. 2005). Antibodies against EXT2 strongly suggest a cis-Golgi localization because there is almost perfect colocalization with the GM130 marker by confocal microscopy (Fig. 3A, B). Moreover, precisely the same distribution is seen when a cDNA for EXT2 is expressed in NRK cells, in this case fused to mCherry. This is consistent with a prior observa- tion (McCormick et al. 2000); however, we have also com- pared staining for other Golgi compartments with that of GM130. In these cases, EXT2 does not co-localize with, for example, α-mannosidase II of the medial compartment or Golgin97 of the trans-Golgi compartment (Fig. 3C). EXT2. These combine to form the major polymerase and therefore are responsible for the biosynthetic step that immediately follows assembly of the linker tetrasaccharide. These two proteins form a complex (Kobayashi et al. 2000; McCormick et al. 2000), and it transpires that only EXT1 has significant transferase activity, with EXT2 appearing to be a form of chaperone while being homologous in sequence to EXT1 (McCormick et al. The EXT Enzymes 2000; Busse and Kusche-Gullberg 2003). There is evidence that the two EXT proteins cannot localize to the Golgi apparatus inde- pendent of each other but become resident in the endoplas- mic reticulum (McCormick et al. 2000; Busse et al. 2007). This would be consistent with evidence that mutations in EXT1 or EXT2 genes can lead to hereditary multiple exos- toses and that deletion of either gene is lethal in the mouse EXT2. These combine to form the major polymerase and therefore are responsible for the biosynthetic step that immediately follows assembly of the linker tetrasaccharide. These two proteins form a complex (Kobayashi et al. 2000; McCormick et al. 2000), and it transpires that only EXT1 has significant transferase activity, with EXT2 appearing to be a form of chaperone while being homologous in sequence to EXT1 (McCormick et al. 2000; Busse and Kusche-Gullberg 2003). There is evidence that the two EXT proteins cannot localize to the Golgi apparatus inde- pendent of each other but become resident in the endoplas- mic reticulum (McCormick et al. 2000; Busse et al. 2007). This would be consistent with evidence that mutations in EXT1 or EXT2 genes can lead to hereditary multiple exos- toses and that deletion of either gene is lethal in the mouse Further control experiments can be performed to support data from immunocytochemistry and the expression of enzymes ectopically. It is known that when cells are treated Heparan Sulfate Biosynthesis in the Golgi 913 Figure 4. cis-Golgi localization of EXT2 protein was retained in Golgi structures disrupted by drug treatments. Normal rat kidney (NRK) cells were treated with nocodazole (A) or brefeldin A (B, C). (A) Endogenous EXT2 localized with GM130 in ministacks, distinct from TGN46. (B, C) In brefeldin A-treated cells, endogenous (B) and EGFP-chimeric EXT2 (C) underwent retrograde movement with α- mannosidase II and GM130 to the endoplasmic reticulum. TGN46 remained in the trans-Golgi network compartment (B). The retrograde movement of EXT2-EGFP was further supported by confocal line scanning (C). Scale bar: A = 50 µm; B = 25 µm; C = 10 µm. Figure 4. cis-Golgi localization of EXT2 protein was retained in Golgi structures disrupted by drug treatments. Normal rat kidney (NRK) cells were treated with nocodazole (A) or brefeldin A (B, C). (A) Endogenous EXT2 localized with GM130 in ministacks, distinct from TGN46. The EXT Enzymes (B, C) In brefeldin A-treated cells, endogenous (B) and EGFP-chimeric EXT2 (C) underwent retrograde movement with α- mannosidase II and GM130 to the endoplasmic reticulum. TGN46 remained in the trans-Golgi network compartment (B). The retrograde movement of EXT2-EGFP was further supported by confocal line scanning (C). Scale bar: A = 50 µm; B = 25 µm; C = 10 µm. with nocodazole, the Golgi apparatus breaks up into “minis- tacks” (Cole et al. 1996). This underscores that the Golgi is itself a microtubule-dependent organelle for its integrity. However, the interesting feature of this treatment is that the ministacks retain their organization, so that cis, medial, and trans compartments are still discernable (Fig. 4). Moreover, in some cases, the clarity of the compartments under conditions of nocodazole treatment can be very favorable. In Fig. 4A, it is shown that EXT2 is clearly detectable as a cis-compartment component once again, with its distribution coincident with GM130 but distinct from medial- and trans-Golgi markers. retrograde movement back to the endoplasmic reticulum (Klausner et al. 1992). However, trans-Golgi membranes remain distinct, and so brefeldin A treatment can be used to distinctly ascertain whether a component has trans-Golgi localization. In the case of EXT2, its distribution does not follow that of TGN38 or TGN46 markers of the trans-Golgi but rather is disrupted (Fig. 4B, C). This provides some fur- ther evidence that EXT enzymes are not associated with the trans-Golgi but with an “earlier” compartment. Conclusions and Perspectives A further well-known effect on the Golgi apparatus is seen when cells are treated with brefeldin A. This compound, a fungal macrocyclic lactone, causes profound disturbance of the Golgi, with cis and medial membranes undergoing Given the complexity of the fine structure of heparan sulfate yet the conservation of its overall domain organization, there must be some cellular regulation of its synthesis. Many Multhaupt and Couchman 914 enzymes combine to assemble this polysaccharide on suitable core proteins. Each cell type tends to have a characteristic type of heparan sulfate in terms of domain structure and extent of modification by sulfation. Heparin synthesis by mast cells on the serglycin core protein (Kolset et al. 2012; Rönnberg et al. 2012) is one example of this regulation, in this particular case yielding a highly sulfate product, including precise organization of 3-O-sulfation (Casu et al. 1981; Björk and Lindahl 1982). How this is regulated at the molecular level is unknown but clearly more complex than simply regu- lating the protein expression of component enzymes. In cells that are polarized, with distinct apical and basolateral com- partments, it remains to be determined whether each has dis- tinct proteoglycan content. It is also not clear whether the fine structure of heparan sulfate differs on HSPGs from the differ- ent compartments. The complexity of Golgi organization in polarized cells is reviewed in this volume (Dick et al. 2012). Björk I, Larm O, Lindahl U, Nordling K, Riquelme ME. 1982. Permanent activation of antithrombin by covalent attachment of heparin oligosaccharides. FEBS Lett. 143:96–100. Busse M, Kusche-Gullberg M. 2003. In vitro polymerization of heparan sulfate backbone by the EXT proteins. J Biol Chem. 278:41333–41337. Busse M, Feta A, Presto J, Wilén M, Grønning M, Kjellén L, Kusche-Gullberg M. 2007. Contribution of EXT1, EXT2, and EXTL3 to heparan sulfate chain elongation. J Biol Chem. 282:32802–32810. Casu B, Oreste P, Torri G, Zoppetti G, Choay J, Lormeau JC, Petitou M, Sinäy P. 1981. The structure of heparin oligosaccharide frag- ments with high anti–(factor Xa) activity containing the minimal antithrombin III–binding sequence. Biochem J. 197:599–609. Cole NB, Sciaky N, Marotta A, Song J, Lippincott-Schwartz J. 1996. Golgi dispersal during microtubule disruption: regen- eration of Golgi stacks at peripheral endoplasmic reticulum exit sites. Mol Biol Cell. 7:631–650. Conclusions and Perspectives In the near future, we shall determine the localization of many of the biosynthetic enzymes, and it will be interesting to see whether all are present together in the same Golgi compartment or spread through various compartments. If they are spread across the Golgi, this will pose further ques- tions regarding how a nascent proteoglycan is appropriately “chaperoned” through the various compartments. However, given the importance of heparan sulfate for multicellular animal life, potential roles in human disease, and the need for better sources of heparin for clinical use, perhaps by in vitro biosynthesis, the organization of the heparan sulfate synthetic machinery is of considerable interest. Couchman JR. 2010. Transmembrane signaling proteoglycans. Ann Rev Cell Dev Biol. 26:89–114. Couchman JR, Pataki CA. 2012. An introduction to Proteoglycans and Their Localization. J Histochem Cytochem. 60:885–897. Crawford BE, Olson SK, Esko JD, Pinhal MAS. 2001. Cloning, Golgi localization, and enzyme activity of the full-length heparin/heparan sulfate-glucuronic acid C5-epimerase. J Biol Chem. 276:21538–21543. Dejgaard SY, Murshid A, Dee KM, Presley JF. 2007. Confocal microscopy-based linescan methodologies for intra-Golgi localization of proteins. J Histochem Cytochem. 55:709–719. Dick G, Akslen-Hoel LK, Grøndahl F, Kjos I, Prydz K. 2012. Pro- teoglycan synthesis and golgi organization in polarized epithelial cells. J Histochem Cytochem. 60:926–935. Funding Holmborn K, Ledin J, Smeds E, Eriksson I, Kusche-Gullberg M, Kjellén, L. 2004. Heparan sulfate synthesized by mouse embryonic stem cells deficient in NDST1 and NDST2 is 6-O-sulfated but contains no N-sulfate groups. J Biol Chem. 279:42355–42358. The authors disclosed receipt of the following financial support for the research, authorship, and/or publication of this article: This work was supported by a pilot grant from the Mizutani Foundation. Support from the Danish National Research Foundation, Lundbeck Fonden, the Novo Nordisk Fonden, and the Department of Biomedical Sciences at the University of Copenhagen are grate- fully acknowledged. Höök M, Lindahl U, Hallén A, Bäckström G. 1975. Biosynthesis of heparin: studies on the microsomal sulfation process. J Biol Chem. 250:6065–6071. Iozzo RV, Zoeller JJ, Nystrom A. 2009. Basement membrane pro- teoglycans: modulators par excellence of cancer growth and angiogenesis. Mol Cells. 27:503–513. Declaration of Conflicting Interests The authors declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article. Esko JD, Selleck SB. 2002. Order out of chaos: assembly of ligand binding sites in heparan sulfate. Annu Rev Biochem. 71:435–471. References Schön S, Prante C, Bahr C, Kuhn J, Kleesiek K, Götting C. 2006. Cloning and recombinant expression of active full-length xylo- syltransferase I (XT-I) and characterization of subcellular local- ization of XT-I and XT-II. J Biol Chem. 281:14224–14231. McCormick C, Duncan G, Goutsos KT, Tufaro F. 2000. The putative tumor suppressors EXT1 and EXT2 form a stable complex that accumulates in the Golgi apparatus and catalyzes the synthesis of heparan sulfate. Proc Natl Acad Sci U S A. 97:668–673. Schweitzer A, Fransen JA, Bachi T, Ginsel LA, Hauri H-P. 1988. Identification, by a monoclonal antibody, of a 53-kD protein associated with a tubulo-vesicular compartment at the cis-side of the Golgi apparatus. J Cell Biol. 107:1643–1653. Murphy KJ, Merry CL, Lyon M, Thompson JE, Roberts IS, Gal- lagher JT. 2004. A new model for the domain structure of heparan sulfate based on novel specificity of K5 lyase. J Biol Chem. 279:2723–27245. Seppinen L, Pihlajaniemi T. 2011. The multiple functions of colla- gen XVIII in development and disease. Matrix Biol. 30:83–92. Nagai N, Habuchi H, Esko JD, Kimata K. 2004. Stem domains of heparan sulfate 6-O-sulfotransferase are required for Golgi localization, oligomer formation and enzyme activity. J Cell Sci. 117:3331–3341. Stickens D, Zak BM, Rougier N, Esko JD, Werb Z. 2005. Mice deficient in Ext2 lack heparan sulfate and develop exostoses. Development. 132:5055–5068. 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Xylosylation is an endoplasmic reticulum to Golgi event. J Biol Chem. 268:11105–11112. Pinhal MAS, Smith B, Olson S, Aikawa J, Kimata K, Esko JD. 2001. References Alexopoulou A, Multhaupt HA, Couchman JR. 2007. Syndecans in wound healing, inflammation and vascular biology. Int J Biochem Cell Biol. 39:505–528. Kitagawa H, Izumikawa T, Mizuguchi S, Dejima K, Nomura KH, Egusa N, Taniguchi F, Tamura J, Gengyo-Ando K, Mitani S, et al. 2007. Expression of rib-1, a Caenorhabditis elegans homolog of the human tumor suppressor EXT genes, is indis- pensable for heparan sulfate synthesis and embryonic morpho- genesis. J Biol Chem 282:8533–8544. Bartlett AH, Park PW. 2010. Proteoglycans in host-pathogen inter- actions: molecular mechanisms and therapeutic implications. Expert Rev Mol Med. 12:e5. Bishop JR, Schuksz M, Esko JD. 2007. Heparan sulphate proteogly- cans fine-tune mammalian physiology. Nature. 446:1030–1037. Klausner RD, Donaldson JG, Lippincott-Schwartz. 1992. Brefeldin A: insights into the control of membrane traffic and organelle structure. J Cell Biol. 116:1071–1080. Björk I, Lindahl U. 1982. Mechanisms of the anticoagulant action of heparin. Mol Cell Biochem. 48:161–182. Heparan Sulfate Biosynthesis in the Golgi 915 Kobayashi S, Morimoto K, Shimizu S, Takahashi M, Kurosawa H, Shirasawa T. 2000. Association of EXT1 and EXT2, heredi- tary multiple exostoses gene products in Golgi apparatus. Bio- chem Biophys Res Commun. 268:860–867. Ringvall M, Ledin J, Holmborn K, van Kuppevelt T, Ellin F, Eriksson I, Olofsson AM, Kjellén L, Forsberg E. 2000. Defec- tive heparan sulfate biosynthesis and neonatal lethality in mice lacking N-deacetylase/N-sulfotransferase-1. J Biol Chem. 275:25926–25930. Kolset SO, Reinholt FP, Jenssen T. 2012. Diabetic Nephropathy and Extracellular Matrix. J Histochem Cytochem 60:976–986. Rönnberg E, Melo FR, Pjeler G. 2012. Mast cell proteoglycans. J Histochem Cytochem. 60:950–962. Kreuger J, Kjellén L. 2012. 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Penghindaran Pajak Pada Industi Barang Konsumsi di Indonesia Sebelum Era Pandemi Covid19: Ukuran Perusahaan dan Profitabilitas
Jeremi Martinus
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EDUCORETAX Volume 1 No. 4, Desember 2021 EDUCORETAX Volume 1 No. 4, Desember 2021 Abstrak Penelitian ini bertujuan untuk menganalisis pengaruh ukuran perusahaan dan profitabilitas terhadap penghindaran pajak. Data penelitian ini bersumber dari dari laporan keuangan perusahaan sektor industri barang konsumsi yang terdaftar di Bursa Efek Indonesia (BEI). Data penelitian diperoleh dari www.idx.co.id. Total sampel penelitian berdasarkan purposive sampling berjumlah 96 observasi yang terdiri dari 32 perusahaan dari tahun 2017 sampai dengan tahun 2019. Pengujian hipotesis dilakukan dengan uji analisis regresi berganda untuk data panel. Hasil penelitian menunjukkan bahwa ukuran perusahaan dan profitabilitas berpengaruh positif terhadap penghindaran pajak. Penelitian ini mengindikasikan bahwa otoritas pajak Indonesia perlu mempertimbangkan perusahaan dengan tingkat kinerja operasi yang tinggi terkait dan aset yang besar, terkait dengan dengan kebijakan penghindaran pajak. Kata Kunci: Pajak, Total Aset, Laba Bersih, Karakteristik Perusahaan Abstract This study aims to analyze firm size and profitability on tax avoidance. This research data is sourced from the financial statements of companies in the consumer goods industry sector listed on the Indonesia Stock Exchange (IDX). The data was obtained from www.idx.co.id. The total research sample based on purposive sampling is 96 observations consisting of 32 companies from 2017 to 2019. Hypothesis testing is carried out by using multiple regression analysis tests for panel data. The result suggests that firm size and profitability are positively associated with tax avoidance. This research indicates that the Indonesian tax authorities need to consider companies with a high level of related operating performance and large assets concerning tax avoidance policies. Keywords: Taxes, Total Assets, Net Income, Firm Characteristics Jeremi Martinus1); Mellida Ema Jiwandaningtyas2); Amrie Firmansyah3)*; Arifah Fibri Andriani4) Jeremi Martinus1); Mellida Ema Jiwandaningtyas2); Amrie Firmansyah3)*; Arifah Fibri Andriani4 1) jeremimartinus13@gmail.com, Politeknik Keuangan Negara STAN 2) emamellida@gmail.com, Politeknik Keuangan Negara STAN 3) amrie@pknstan.ac.id, Politeknik Keuangan Negara STAN 4) arifahfibri@pknstan.ac.id, Politeknik Keuangan Negara STAN * li k d i PENDAHULUAN Pajak merupakan bentuk kontribusi wajib warga negara atau badan kepada suatu negara (Republik Indonesia, 2007). Penerimaan pajak digunakan untuk membiayai pelaksanaan fungsi pemerintah meliputi pembangunan infrastruktur, pendidikan dan fungsi lain guna meningkatkan kesejahteraan masyarakat (Mankiw, 2012). Pajak memegang peranan penting dalam mendanai perekonomian suatu negara. Pajak merupakan sumber penerimaan terbesar pada postur Anggaran Pendapatan dan Belanja Negara (APBN). Pada tahun 2018, 2019, dan 2020, pajak mendominasi penerimaan negara sebesar rata-rata 80% dari keseluruhan penerimaan negara. Namun, target pajak pemerintah tidak pernah tercapai dalam 10 tahun terakhir (Victoria, 2020). Pada umumnya, wajib pajak baik orang pribadi maupun badan memiliki kecenderungan untuk memperkecil jumlah pajak yang dibayarkan kepada otoritas pajak (Pajriansyah & Firmansyah, 2017). Salah satu upaya wajib pajak badan untuk menurunkan kewajiban perpajakan adalah melalui penghindaran pajak (Falbo & Firmansyah, 2018). Penghindaran pajak merupakan salah satu strategi perusahaan dengan memanfaatkan celah dalam peraturan perundangan dengan tujuan untuk mengurangi kewajiban perpajakan. Tindakan ini tidak melanggar ketentuan perundangan terkait dengan perpajakan, namun berlawanan dengan tujuan utama dipungutnya pajak (Manurung, 2020). Aktivitas penghindaran pajak selain antara lain disebabkan oleh perbedaan kepentingan Page | 291 EDUCORETAX Volume 1 No. 4, Desember 2021 antara perusahaan dengan pemerintah dan kurangnya insentif yang disediakan oleh pemerintah (Mughal & Akram, 2012). Tindakan penghindaran pajak banyak dilakukan oleh perusahaan sebagai usaha pengurangan kewajiban perpajakan tanpa melanggar ketentuan perpajakan (Pramudya et al., 2021). Tindakan penghindaran pajak dilakukan dengan memanfaatkan aktivitas-aktivitas yang belum diatur dalam ketentuan peraturan perundangan terkait dengan perpajakan (Pramudya et al., 2021). Tindakan manajer dalam melakukan penghindaran pajak dapat menurunkan kepercayaan pemilik perusahaan. Aktivitas penghindaran pajak dilakukan oleh manajer terkait dengan penghematan pajak dengan tujuan mendapatkan laba operasi yang lebih besar. Adanya informasi asimetri mengakibatkan manajer dapat memiliki kebijakan yang tidak diketahui oleh pemegang saham. Manajer dapat memanfaatkan kondisi tersebut untuk melakukan tindakan sesuai dengan motif-motif tertentu. Selain itu, walaupun tidak melanggar ketentuan dan perundangan perpajakan, tindakan penghindaran pajak masih memungkinkan adanya potensi sengketa yang terjadi antara perusahaan dan otoritas perpajakan di masa depan. Manajer memiliki kebijakan dalam menjalankan operasi perusahaan yang mungkin berbeda dengan kepentingan pemegang saham. Oleh karena itu, pengujian penghindaran pajak perlu untuk diinvestigasi. g Arham et al. (2020) telah mengindentifikasi penelitian penghindaran pajak di Indonesia selama periode tahun 1999 sampai dengan tahun 2020. Arham et al. (2020) menggunakan data penelitian yang dipublikasikan pada jurnal terakreditasi Sinta dan Jurnal terindeks Scopus. PENDAHULUAN (2017) dan Fitria & Handayani (2019) menunjukkan bahwa ukuran perusahaan tidak terkait dengan penghindaran pajak. Hasil pengujian penelitian sebelumnya yang inkonsisten, mengakibatkan perlunya pengujian kembali ukuran perusahaan terhadap penghindaran pajak. dan Swingly & Sukartha (2015) menyimpulkan bahwa ukuran perusahaan berpengaruh negatif terhadap penghindaran pajak. Wardani & Khoiriyah (2018) menyimpulkan bahwa ukuran perusahaan berpengaruh positif terhadap penghindaran pajak, sedangkan Annisa et al. (2017) dan Fitria & Handayani (2019) menunjukkan bahwa ukuran perusahaan tidak terkait dengan penghindaran pajak. Hasil pengujian penelitian sebelumnya yang inkonsisten, mengakibatkan perlunya pengujian kembali ukuran perusahaan terhadap penghindaran pajak. Perusahaan dapat menjamin keberlangsungannya di masa depan dengan menghasilkan laba yang tinggi (Kieso et al., 2018). Kinerja perusahaan yang tinggi menunjukkan bahwa perusahaan tersebut dianggap stabil (Puspitasari et al., 2021). Di sisi lain, perusahaan yang memiliki laba yang tinggi akan dikenakan kewajiban pajak yang besar (Puspitasari et al., 2021). Perusahaan yang memiliki sumber daya yang besar cenderung untuk berupaya menurunkan pembayaran pajak dengan melakukan tindakan penghindaran pajak. Darmawan & Sukartha (2014), Dwiyanti & Jati (2019), Kurniasih & Sari (2013), Puspitasari et al. (2021), V. R. Putri & Putra (2017), Yulianty et al. (2021) menemukan bahwa profitabilitas tinggi dalam perusahaan mengindikasikan tindakan penghindaran pajak yang dilakukan oleh perusahaan tersebut. Sementara itu, Dewinta & Setiawan (2016) menyimpulkan bahwa profitabilitas berpengaruh negatif terhadap penghindaran pajak. Adanya hasil pengujian yang masih belum konslusif dalam penelitian sebelumnya mendorong leverage tidak berpengaruh terhadap penghindaran pajak. p j Penelitian ini bertujuan untuk menguji pengaruh ukuran perusahaan dan profitabilitas terhadap penghindaran pajak. Ukuran perusahaan dan profitabilitas merupakan karakteristik perusahaan yang saling berkaitan. Ukuran perusahaan yang semakin tinggi cenderung dituntut untuk mendapatkan laba yang besar. Selain itu, perusahaan yang besar biasanya memiliki sumber daya, sistem informasi dan sistem prosedur operasi yang lebih baik dalam menunjang peningkatan kinerja perusahaan. Data perusahaan dalam penelitian ini menggunakan data perusahaan sektor konsumsi yang terdaftar di Bursa Efek Indonesia dan menggunakan data sebelum pandemi covid19. Terkait dengan hal tersebut, perusahaan sektor konsumsi menggunakan tingkat penjualan dalam menghasilkan pendapatan utama. Pandemi covid19 yang terjadi tahun 2020 mengakibatkan perusahaan mengalami penurunan kinerja perusahaan, sehingga otoritas pajak di Indonesia memberikan pelonggaran atas kewajiban perpajakan di tahun tersebut (Firmansyah & Ardiansyah, 2020). Oleh karena itu, penelitian ini relevan untuk kondisi normal diluar dari kondisi yang terjadi pada era pandemic covid19. Penelitian ini juga menggunakan pertumbuhan penjualan sebagai variabel kontrol. Pertumbuhan penjualan termasuk dalam karakteristik perusahaan yang erat kaitannya dengan ukuran perusahaan dan profitabilitas. PENDAHULUAN Informasi pertumbuhan penjualan pada perusahaan sektor konsumsi sangat terkait dengan tingkat laba yang dihasilkan dalam suatu periode dan dapat dikaitkan dengan perusahaan dengan nilai aset tertentu. Tanjaya & Nazir (2021), Tebiono & Sukadana (2019) dan Za’imah et al. (2020) menemukan bahwa pertumbuhan penjualan berhubungan dengan aktivitas penghindaran pajak perusahaan. Adanya target penjualan yang lebih tinggi tahun berjalan dibandingkan dengan tahun sebelumnya merupakan indikasi penghindaran pajak yang dilakukan manajer dalam aktivitas operasi perusahaan. Penelitian ini diharapkan dapat memberikan kontribusi dalam mengembangkan literatur terkait dengan perpajakan dan akuntansi keuangan. Selain itu, dalam kondisi normal, penelitian ini juga diharapkan dapat memberikan manfaat kepada Otoritas Pajak di Indonesia terkait dengan perbaikan kebijakan perpajakan khususnya pajak penghasilan badan. PENDAHULUAN Penelitian penghindaran pajak sebelumnya diuji dengan ukuran perusahaan (Annisa et al., 2017; Fitria & Handayani, 2019; V. R. Putri & Putra, 2017; Wardani & Khoiriyah, 2018), kepemilikan institusional (Mulyani et al., 2018; R. D. Putri, 2018; Sari & Devi, 2018; Zia et al., 2018), komite audit (Fitria & Handayani, 2019; Mulyani et al., 2018; R. D. Putri, 2018; Sari & Devi, 2018), leverage (Hidayat, 2018; Permata et al., 2018; Puspitasari et al., 2021; R. D. Putri, 2018; Wardani & Khoiriyah, 2018), komisaris independen (Fitria & Handayani, 2019; Mulyani et al., 2018; R. D. Putri, 2018; Sari & Devi, 2018). Penelitian selanjutnya pengujian penghindaran pajak dilakukan dengan tax haven (Pramudya et al., 2021; Wijaya & Rahayu, 2021), multinationality (Falbo & Firmansyah, 2021; Pramudya et al., 2021), profitabilitas (Darmawan & Sukartha, 2014; Dewinta & Setiawan, 2016; Dwiyanti & Jati, 2019; Kurniasih & Sari, 2013; Puspitasari et al., 2021; V. R. Putri & Putra, 2017; Yulianty et al., 2021), manajemen laba (Falbo & Firmansyah, 2021; Irawan et al., 2020), tranfer pricing (Irawan et al., 2020; Wijaya & Rahayu, 2021), siklus hidup perusahaan (Irawan & Afif, 2020), diversifikasi perusahaan (Aryotama & Firmansyah, 2019), strategi perusahaan (Aryotama & Firmansyah, 2020b), pihak berelasi (Aryotama & Firmansyah, 2020a) dan konsentrasi pelanggan (Aryotama & Firmansyah, 2019). p gg y y Karakteristik perusahaan merupakan indikasi adanya perusahaan untuk melakukan penghindaran pajak. Salah satu karakteristik perusahaan yang paling mudah untuk oleh investor dan calon investor dalah ukuran perusahaan. Ukuran perusahaan biasanya dikaitkan dengan capaian laba dan capaian penjualan dalam satu periode. Oleh karena itu, sejalan dengan ukuran perusahaan, karakteristik perusahaan lainnya yang terkait adalah profitabilitas. Perusahaan yang memiliki skala besar semakin menjadi pusat perhatian pemerintah atau melakukan penghindaran pajak (Kurniasih & Sari, 2013). Perusahaan besar memiliki kemampuan untuk menangguhkan pendapatan periode kini menjadi pendapatan periode mendatang dengan menggunakan metode akuntansi tertentu sehingga keuntungan yang dilaporkan pada tahun tersebut lebih rendah daripada yang seharusnya (Watts & Zimmerman, 1990). Merslythalia & Lasmana (2016) menyatakan bahwa perusahaan dengan aset yang besar biasanya memiliki transaksi yang lebih kompleks sehingga memungkinkan perusahaan untuk memanfaatkan celah dalam peraturan perundangan untuk melakukan penghindaran pajak. V. R. Putri & Putra (2017), Page | 292 Page | 292 EDUCORETAX Volume 1 No. 4, Desember 2021 dan Swingly & Sukartha (2015) menyimpulkan bahwa ukuran perusahaan berpengaruh negatif terhadap penghindaran pajak. Wardani & Khoiriyah (2018) menyimpulkan bahwa ukuran perusahaan berpengaruh positif terhadap penghindaran pajak, sedangkan Annisa et al. KAJIAN PUSTAKA Konflik keagenan terjadi karena adanya perbedaan kepentingan antara manajer dan pemegang saham (Jensen & Meckling, 1976). Dalam mengelola perusahaan, manajer memiliki Page | 293 EDUCORETAX Volume 1 No. 4, Desember 2021 keunggulan terkait dengan informasi yang lebih lengkap dibandingkan dengan pemegang saham Manajemen (Firmansyah, Jadi, & Sukarno, 2021; Scott, 2015). Selain itu, manajer memiliki diskresi untuk mempengaruhi angka-angka akuntansi dalam laporan keuangan (Scott, 2015). Pemegang saham selaku pemili perusahaan tidak memiliki informasi yang cukup untuk mengawasi kinerja manajer. Salah satu aktivitas yang dijalankan oleh manajer adalah penghindaran pajak. Perusahaan yang mapan dan besar biasanya ditunjukkan dengan dengan jumlah aset yang besar (Firmansyah, Jadi, Febrian, et al., 2021; Rosyida et al., 2020). Perusahaan besar pada umumnya memiliki sumber daya yang besar termasuk pegawai yang handal. Perusahaan yang besar cenderung lebih mudah untuk melakukan perencanaan pajak. Kepemilikan perusahaan atas sumber daya yang memadai mendorong manajer untuk melakukan penghematan pajak dengan memanfaatkan celah peraturan perundangan. Selain itu, perusahaan besar memiliki perencanaan yang baik dalam menghasilkan laba tertentu dibandingkan dengan perusahaan yang lebih kecil. Kondisi ini sejalan dengan temuan Wardani & Khoiriyah (2018) bahwa ukuran perusahaan yang besar cenderung untuk melakukan penghindaran pajak. Laba yang besar dan stabil menjadi motivasi manajer untuk melakukan penghindaran pajak karena perusahaan harus menanggung beban pajak yang besar. Oleh karena itu, penggunaan sumber daya yang dimiliki oleh perusahaan dapat digunakan oleh manajer dalam menekan beban pajak perusahaan terkait dengan maksimalisasi kinerja perusahaan. H1: Perusahaan dengan ukuran perusahaan yang besar memiliki kecenderungan untuk melakukan penghindaran pajak p g p j Informasi asimetri antara manajer dan pemegang saham menunjukkan bahwa manajer memiliki informasi yang lebih sempurna dibandingkan dengan pemegang saham (Firmansyah, Jadi, & Sukarno, 2021), karena manajer mengelola perusahaan secara langsung. Manajer dituntut untuk mencapai kinerja operasi yang tinggi. Terkait dengan hal tersebut manajer memiliki kebijakan untuk menjalankan motif-motif jangka pendek tertentu tertentu seperti mendapatkan bonus yang tinggi (Saksessia & Firmansyah, 2020). Selain itu, tingkat keuntungan menunjukkan dengan strategi yang dijalankan oleh manajer terkait dengan strategi bisnis perusahaan dan investasi di masa depan (Aryotama & Firmansyah, 2020b; Firmansyah & Triastie, 2020). Namun, adanya kewajiban perpajakan untuk setiap perusahaan mengakibatkan manajer berupaya untuk meminimalisir beban pajak dengan cara-cara yang tidak melanggar ketentuan peraturan perundangan. gg p p g Di satu sisi, manajer yang memiliki capaian kinerja operasi yang tinggi dianggap sukses dalam mengelola perusahaan. KAJIAN PUSTAKA Di sisi lain, capain kinerja operasi yang tinggi tersebut diharapkan dapat memberikan manfaat kepada manajer dalam bentuk bonus yang diterimanya (Jananto & Firmansyah, 2019). Dengan melakukan penghindaran pajak, manajer mengharapkan jumlah bonus yang lebih besar akibat beban pajak yang dikurangkan dari laba operasi menjadi lebih kecil. Darmawan & Sukartha (2014), Dwiyanti & Jati (2019), Kurniasih & Sari (2013), Puspitasari et al. (2021), V. R. Putri & Putra (2017), dan Yulianty et al. (2021) menemukan bahwa profitabilitas yang tinggi mengindikasikan bahwa perusahaan tersebut melakukan penghindaran pajak. Profitabilitas perusahaan dipengaruhi oleh keuntungan yang diperoleh perusahaan dalam suatu periode, sehingga pajak yang harus dibayarkan akan bertambah ketika perusahaan memiliki profitabilitas tinggi. Manajer dapat menggunakan strategi dan sumber daya yang dimiliki perusahaan untuk dapat menekan beban pajak yang dibayarkan perusahaan kepada pemerintah. H2: Perusahaan dengan tingkat profitabilitas yang tinggi memiliki kecenderungan untuk melakukan penghindaran pajak EDUCORETAX EDUCORETAX Volume 1 No. 4, Desember 2021 Volume 1 No. 4, Desember 2021 Volume 1 No. 4, Desember 2021 Penelitian ini menggunakan data sekunder yang diperoleh dari www.idx.co.id berupa data laporan keuangan perusahaan manufaktur sub sektor konsumsi tahun 2017-2019. Dalam penelitian ini, pengambilan sampel dilakukan secara purposive sampling dengan kriteria sebagai berikut: Tabel 1 Pemilihan Sampel Penelitian Tabel 1 Pemilihan Sampel Penelitian Kriteria Jumlah Emiten sektor barang konsumsi di BEI per 30 November 2020 52 Emiten yang melakukan initial public offering (IPO) setelah 1 Januari 2017 -20 Emiten yang memiliki laporan keuangan tahunan dengan informasi tidak lengkap selama periode 2017-2019 0 Data perusahaan yang dapat digunakan dalam penelitian 32 Jumlah tahun penelitian 3 Total sampel 96 S b d t di l h METODE Page | 294 Page | 294 Kriteria Emiten sektor barang konsumsi di BEI per 30 November 2020 Data perusahaan yang dapat digunakan dalam penelitian Jumlah tahun penelitian Sumber: data diolah Penghindaran pajak merupakan variabel dependen dalam penelitian ini. Proksi penghindaran pajak dalam penelitian ini menggunakan Cash Effective Tax Rate (CETR), mengikuti proksi yang digunakan oleh Ferdiawan & Firmansyah (2017), Ilmiani & Sutrisno (2014), Wardani & Khoiriyah (2018). CETR menunjukkan tingkat kepatuhan pajak perusahaan, sehingga penghindaran pajak memiliki nilai yang terbalik dengan CETR. y g g CashETR = Cash Tax Paid Pretax Income CashETR = Cash Tax Paid Pretax Income ETR = Pretax Income Cash ETR : Cash Effective Tax Rate perusahaan i pada tahun t Cash Tax Paid: jumlah kas yang dibayarkan untuk kewajiban perpajakan oleh perusahaan i pada tahun t P I l b b l j k h i d h : Cash Effective Tax Rate perusahaan i pada tahun t Cash ETR : Cash Effective Tax Rate perusahaan i pada tahun t Cash ETR : Cash Effective Tax Rate perusahaan i pada tahun t C h T P id j l h k dib k t k k jib j k l h h i d Cash ETR : Cash Effective Tax Rate perusahaan i pada tahun t Cash Tax Paid: jumlah kas yang dibayarkan untuk kewajiban perpajakan oleh perusahaan i pada ff p p Cash Tax Paid: jumlah kas yang dibayarkan untuk kewajiban perpajakan oleh perusahaan i pada tahun t Pretax Income: laba sebelum pajak perusahaan i pada tahun t Selanjutnya, ukuran perusahaan dan profitabilitas merupakan variabel independen dalam penelitian ini. Ukuran perusahaan dalam penelitian ini menggunakan proksi sebagaimana Annisa et al. (2017), V. R. Putri & Putra (2017), Swingly & Sukartha (2015), Wardani & Khoiriyah (2018) yaitu: y Ukuran perusahaan = logaritma natural total aset Ukuran perusahaan = logaritma natural total aset Proksi profitabilitas dalam penelitian ini menggunakan Return On Asset (ROA) sebagaimana Dwiyanti & Jati (2019), Puspitasari et al. (2021), dan Yulianty et al. (2021). N t I Net Income ROA = Net Income Total Assets ROA = Net Income Total Assets Penelitian ini juga menggunkaan variabel kontrol yaitu pertumbuhan penjualan. Proksi pertumbuhan penjualan mengikuti Tanjaya & Nazir (2021), Tebiono & Sukadana (2019), Za’imah et al. (2020). SGR = Salest − Salest−1 Salest−1 SGR = Salest − Salest−1 Salest−1 Analisis regresi linear berganda untuk data panel digunakan untuk menguji hipotesis dalam penelitian ini. Model penelitian ini adalah sebagai berikut: Analisis regresi linear berganda untuk data panel digunakan untuk menguji hipotesis dalam penelitian ini. Sumber: data diolah Model penelitian ini adalah sebagai berikut: A O β0 β1S β2 OA β3SG g TAVOIDit = β0 + β1SIZEit + β2ROAit + β3SGRit + εit TAVOIDit = β0 + β1SIZEit + β2ROAit + β3SGRit + εit TAVOIDit = β0 + β1SIZEit + β2ROAit + β3SGRit + εit Di mana: TAVOIDit : Penghindaran pajak perusahaan i pada tahun t SIZEit : Ukuran perusahaan i pada tahun t ROAit : Profitabilitas perusahaan i pada tahun t SGRit : Pertumbuhan penjualan perusahaan i pada tahun t : Penghindaran pajak perusahaan i pada tahun t : Ukuran perusahaan i pada tahun t : Profitabilitas perusahaan i pada tahun t : Pertumbuhan penjualan perusahaan i pada tahun t : Pertumbuhan penjualan perusahaan i pada tahun t HASIL DAN PEMBAHASAN HASIL DAN PEMBAHASAN Statistik deskriptif dari variabel-variabel yang digunakan dalam penelitian ini terdapat Statistik deskriptif dari variabel-variabel yang digunakan dalam penelitian ini terdapat Page | 295 Page | 295 EDUCORETAX Volume 1 No. 4, Desember 2021 Volume 1 No. 4, Desember 2021 dalam Tabel 2 sebagai berikut: dalam Tabel 2 sebagai berikut: dalam Tabel 2 sebagai berikut: Tabel 2 Statistik Deskriptif Uraian Mean Med. Std. Dev. Min. Max. Obs CETR 0.361 0.254 0.718 0.0001 6.935 96 SIZE 28.73 28.48 1.629 25.73 32.201 96 PROF 0.103 0.073 0.146 -0.176 0.921 96 SDR 0.051 0.050 0.127 -0.472 0.500 96 Sumber: data diolah Selanjutnya, ringkasan hasil uji hipotesis dengan menggunakan fixed effect model adalah sebagai berikut: Selanjutnya, ringkasan hasil uji hipotesis dengan menggunakan fixed effect model adalah sebagai berikut: Tabel 3 Ringkasan Hasil Uji Hipotesis Var. Coeff. t-Stat. Prob. C -7.265 -6.782 0.000 *** SIZE -0.732 -3.988 0.000 *** PROF -0.431 -3.204 0.001 *** SGR 0.269 7.193 0.000 *** R2 0.798 Adj. R2 0.685 F-stat. 7.076 Prob(F-stat.) 0 Sumber: data diolah Keterangan: ***) berpengaruh pada tingkat signifikansi 1% Keterangan: ***) berpengaruh pada tingkat signifikansi 1%. h Ukuran Perusahaan Terhadap Penghindaran Pajak Pengaruh Ukuran Perusahaan Terhadap Penghindaran Pajak Hasil pengujian hipotesis menunjukan bahwa ukuran perusahaan berpengaruh positif terhadap pengindaran pajak. Penelitian ini mengkonfirmasi hasil pengujian yang dilakukan oleh Wardani & Khoiriyah (2018), namun tidak mengkonfirmasi hasil pengujian yang dilakukan oleh Annisa et al. (2017), Fitria & Handayani (2019), V. R. Putri & Putra (2017), Swingly & Sukartha (2015). Perusahaan besar memiliki sumber daya yang memadai dalam melakukan tindakan penghindaran pajak seperti sumber daya manusia, sistem informasi, proses bisnis. Sumber: data diolah Tindakan penghindaran pajak merupakan tindakan penghematan pajak yang dilakukan oleh perusahaan tanpa melanggar ketentuan perpajakan. Selain itu, perusahaan besar biasanya merupakan perusahaan yang telah mencapai tahap kedewasaan, sehingga perusahaan memiliki strategi jangka panjang yang telah direncanakan dengan baik untuk tetap mempertahankan kinerjanya. Penghindaran pajak merupakan tindakan yang dilakukan oleh perusahaan dalam satu periode dengan tujuan untuk mencapai laba perusahaan tertentu. Berdasarkan strategi dan rencana perusahaan ke depan, perusahaan memanfaatkan sumber daya yang ada untuk dapat menekan biaya yang harus dikeluarkan oleh perusahaan termasuk kewajiban perpajakan kepada pemerintah. Perusahaan besar tetap mematuhi ketentuan perpajakan dengan baik walaupun adanya indikasi penghindaran pajak. Perusahaan besar berusaha untuk menyelaraskan pencapaian strategi yang dsirencanakan dengan upaya penghematan pajak dalam rangka menekan biaya perusahaan seminimal mungkin. Saran Penelitian ini hanya menggunakan data perusahaan sektor barang konsumsi sehingga tidak mencerminkan kondisi untuk seluruh perusahaan sektor manufaktur. Selain itu, horison waktu yang digunakan dalam penelitian ini hanya 3 tahun yaitu tahun 2017-2019. Oleh karena itu, penelitian selanjutnya dapat menggunakan data perusahaan yang tercakup dalam sektor manufaktur dan horison waktu yang lebih panjang untuk mendapatkan hasil penelitian yang lebih baik. Penelitian ini mengindikasikan bahwa otoritas perpajakan di Indonesia dapat melihat karakteristik perusahaan tertentu terkait dengan kebijakan penghindaran pajak. Selain itu, otoritas pajak di Indonesia dapat berkoordinasi dengan otoritas pengawas pasar modal di Indonesia terkait dengan aktivitas penghindaran pajak dan perlindungan investor di pasar modal. menjalankan aktivitasnya. Pemilik perusahaan dapat menanggung beban keagenan yang lebih tinggi dengan catatan bahwa manajer berhasil dalam mengelola perusahaan. Adanya asimetri informasi antara manajer dan pemegang saham dimanfaatkan manajer untuk mendapatkan bonus yang tinggi. Manajer menggunakan strategi perencanaan pajak dalam memenuhi kewajiban pajak perusahaan kepada pemerintah. Walaupun perusahaan mendapatkan laba yang tinggi, tidak berarti bahwa perusahaan akan menanggung beban pajak yang tinggi. Manajer dapat memanfaatkan celah peraturan perpajakan untuk meminimalisir kewajiban pajak perusahaan kepada pemerintah. Manajer berupaya untuk menggunakan keahlian dan sumber daya yang tersedia dalam perusahaan untuk menjalankan strategi tersebut. Di sisi lain, manajer juga harus menjaga reputasinya dalam menjalankan strategi perusahaan di masa depan baik strategi bisnis maupun investasi perusahaan dengan meminimalisir kewajiban pajak perusahaan setiap periode. PENUTUP Simpulan p Perusahaan yang besar dan profitabilitas yang tinggi cenderung untuk melakukan penghindaran pajak. Penelitian ini membuktikan bahwa ukuran perusahaan dan profitabilitas merupakan indikasi yang simultan atas aktivitas penghindaran pajak yang dilakukan oleh perusahaan. S Pengaruh Profitabilitas terhadap Penghindaran Pajak g p g j Hasil pengujian menunjukkan bahwa profitabilitas berpengaruh positif terhadap penghindaran pajak. Hasil pengujian ini sejalan dengan Darmawan & Sukartha (2014), Dwiyanti & Jati (2019), Kurniasih & Sari (2013), Puspitasari et al. (2021), V. R. Putri & Putra (2017), dan Yulianty et al. (2021), namun tidak sejalan dengan Dewinta & Setiawan (2016). Tujuan manajer mendapatkan kinerja yang baik untuk mencapai tujuan jangka pendek dan jangka panjang. Manajer dianggap berhasil apabila dapat mengelola perusahaan dengan baik. Salah satu indikasinya adalah mencapai tingkat laba yang semakin tinggi. Pemilik perusahaan mengharapkan bahwa perusahaan dapat terjamin keberlangsungannya dan tetap stabil dalam Page | 296 EDUCORETAX Volume 1 No. 4, Desember 2021 menjalankan aktivitasnya. EDUCORETAX Volume 1 No. 4, Desember 2021 How Far We Can Survive in Industrial Revolution 4.0? (pp. 235–239). Routledge. https://doi.org/10.1201/9780367822965 Darmawan, I. G. H., & Sukartha, I. M. (2014). Pengaruh penerapan corporate governance, leverage, return on assets, dan ukuran perusahaan pada penghindaran pajak. E-Jurnal Akuntansi Universitas Udayana, 9(1), 143–161. https://ojs.unud.ac.id/index.php/Akuntansi/article/view/8635 Dewinta, I. A. R., & Setiawan, P. E. (2016). Pengaruh ukuran perusahaan, umur perusahaan, profitabilitas, leverage, dan pertumbuhan penjualan terhadap tax avoidance. E-Jurnal Akuntansi Universitas Udayana, 14(3), 1584–1615. https://ojs.unud.ac.id/index.php/Akuntansi/article/view/16009 p j p p Dwiyanti, I. A. I., & Jati, I. K. (2019). Pengaruh profitabilitas, capital intensity, dan inventory intensity pada penghindaran pajak. E-Jurnal Akuntansi, 27(3), 2293–2321. https://doi.org/10.24843/EJA.2019.v27.i03.p24 Falbo, T. D., & Firmansyah, A. (2018). Thin capitalization, transfer pricing aggresiveness, penghindaran pajak. Indonesian Journal of Accounting and Governance, 2(1), 1–28. https://doi.org/10.36766/ijag.v2i1.11 p g j g Falbo, T. D., & Firmansyah, A. (2021). Penghindaran pajak di Indonesia: multinationality dan manajemen laba. Bisnis-Net Jurnal Ekonomi Dan Bisnis, 4(1), 94–110. https://doi.org/10.46576/bn.v4i1.1325 Ferdiawan, Y., & Firmansyah, A. (2017). Pengaruh political connection, foreign activity, dan, real earnings management ter-hadap tax avoidance. Jurnal Riset Akuntansi Dan Keuangan, 5(3), 1601–1624. https://doi.org/10.17509/jrak.v5i3.9223 g p g j Firmansyah, A., & Ardiansyah, R. (2020). Bagaimana praktik manajemen laba dan penghindaran pajak sebelum dan setelah pandemi covid19 di Indonesia? Bina Ekonomi, 24(2), 31–51. https://doi.org/10.26593/be.v24i1.5075.87-106 p g Firmansyah, A., Jadi, P. H., Febrian, W., & Sismanyudi, D. (2021). Pengaruh tata kelola perusahaan dan ukuran perusahaan terhadap pengungkapan emisi karbon di Indonesia. 16(2), 303–320. https://doi.org/10.25105/jipak.v16i2.9420 p g j p Firmansyah, A., Jadi, P. H., & Sukarno, R. S. (2021). Bagaimana respon investor terhadap kepemilikan saham oleh CEO? Jurnal Online Insan Akuntan, 4(1), 15–28. https://ejournal- binainsani.ac.id/index.php/JOIA/article/view/1476 Firmansyah, A., & Triastie, G. A. (2020). The role of corporate governance in emerging market: Tax avoidance, corporate social responsibility disclosures, risk disclosures, and investment efficiency. Journal of Governance and Regulation, 9(3), 8–26. https://doi.org/10.22495/jgrv9i3art1 Fitria, G. N., & Handayani, R. (2019). Tax avoidance: studi empiris pada perusahaan manufaktur sektor barang konsumsi di Indonesia. Monex : Journal Research Accounting Politeknik Tegal, 8(1), 251. https://doi.org/10.30591/monex.v8i1.1263 Hidayat, W. W. (2018). Pengaruh profitabilitas, leverage dan pertumbuhan penjualan terhadap penghindaran pajak. Jurnal Riset Manajemen Dan Bisnis (JRMB), 3(1), 19–26. Ilmiani, A., & Sutrisno, C. R. (2014). Pengaruh tax avoidance terhadap nilai perusahaan dengan transparansi perusahaan sebagai variabel moderating. Jurnal Ekonomi Dan Bisnis, 14(1), 30–39. https://doi.org/10.31941/jebi.v14i1.194 Irawan, F., & Afif, A. R. (2020). Does firms’ life cycle influence tax avoidance? evidence from Indonesia. DAFTAR PUSTAKA Annisa, A., Taufik, T., & Hanif, R. A. (2017). Pengaruh return on asset, leverage, ukuran perusahaan dan koneksi politik terhadap penghindaran pajak (studi empiris pada perusahaan manufaktur yang terdaftar di BEI periode tahun 2012-2015). Jurnal Online Mahasiswa (JOM) Bidang Ilmu Ekonomi, 4(1), 685–698. https://jom.unri.ac.id/index.php/JOMFEKON/article/view/12396 Arham, A., Firmansyah, A., Nor, A. M. E., & Vito, B. (2020). A bibliographic study on tax avoidance research in Indonesia. International Journal of Psychosocial Rehabilitation, 24(7), 9526–9554. https://www.psychosocial.com/article/PR270956/19446/ Aryotama, P., & Firmansyah, A. (2019). The effect of corporate diversification, customer concentration on tax avoidance in Indonesia. Jurnal Akuntansi Dan Bisnis, 19(2), 117– 125. https://doi.org/10.20961/jab.v19i2.475 Aryotama, P., & Firmansyah, A. (2020a). The association between related party transaction and tax avoidance in Indonesia. AFEBI Accounting Review, 4(02), 117. https://doi.org/10.47312/aar.v4i02.243 Aryotama, P., & Firmansyah, A. (2020b). The effect of business strategy on tax avoidance in Indonesia’s consumer goods industry. In Public Sector Accountants and Quantum Leap: Page | 297 Page | 297 EDUCORETAX Volume 1 No. 4, Desember 2021 EDUCORETAX Volume 1 No. 4, Desember 2021 EDUCORETAX Jananto, A. E., & Firmansyah, A. (2019). The effect of bonuses, cost of debt, tax avoidance, and corporate governance on financial reporting aggressiveness: evidence from Indonesia. International Journal of Innovation, Creativity and Change, 7(5), 280–302. Jensen, M. C., & Meckling, W. H. (1976). Theory of the firm: Managerial behavior, agency costs and ownership structure. Journal of Financial Economics, 3(4), 305–360. https://doi.org/10.1016/0304-405X(76)90026-X Kieso, D. E., Weygandt, J. J., & Warfield, T. D. (2018). Intermediate accounting: IFRS Edition, 3rd Edition. John Wiley & Sons, Inc. https://www.google.co.id/books/edition/Intermediate_Accounting/VXH5twEACAAJ?hl =en Kurniasih, T., & Sari, M. R. (2013). Pengaruh return on assets, leverage, corporate governance, ukuran perusahaan dan kompensasi rugi fiskal pada tax avoidance. Buletin Studi Ekonomi, 18(1), 58–66. https://ojs.unud.ac.id/index.php/bse/article/view/6160 Mankiw, N. G. (2012). Principles of economics sixth edition. South-Western Cengage Learning. Manurung, J. T. P. (2020). Praktik penghindaran pajak di Indonesia. https://pajak.go.id/id/artikel/praktik-penghindaran-pajak-di-indonesia Merslythalia, D. R., & Lasmana, M. S. (2016). Komisaris independen, dan kepemilikan institusional terhadap tax avoidance. Jurnal Ilmiah Akuntansi Dan Bisnis, 11(2), 117–124. https://ojs.unud.ac.id/index.php/jiab/article/view/28339 p j p p j Mulyani, S., Wijayanti, A., & Masitoh, E. (2018). Pengaruh corporate governance terhadap tax avoidance (perusahaan pertambangan yang terdaftar di BEI). Jurnal Riset Akuntansi Dan Bisnis Airlangga, 3(1), 322–340. https://doi.org/10.31093/jraba.v3i1.91 p g j Pajriansyah, R., & Firmansyah, A. (2017). Pengaruh leverage, kompensasi rugi fiskal dan manajemen laba terhadap penghindaran pajak. Keberlanjutan : Jurnal Manajemen Dan Jurnal Akuntansi, 2(1), 431–459. http://openjournal unpam ac id/index php/keberlanjutan/article/view/571 http://openjournal.unpam.ac.id/index.php/keberlanjutan/article/view/571 Permata, A. D., Nurlaela, S., & Wahyuningsih, E. M. (2018). Pengaruh size, age, profitability, leverage dan sales growth terhadap tax avoidance. Jurnal Akuntansi Dan Pajak, 19(1), 10. https://doi.org/10.29040/jap.v19i1.171 p g j p Pramudya, T. A., Lie, C., Firmansyah, A., & Trisnawati, E. (2021). Peran komisaris independen di indonesia: multinationality, tax haven, penghindaran pajak. Jurnalku, 1(3), 200–209. https://jurnalku.org/index.php/jurnalku/article/view/40 Puspitasari, D., Radita, F., & Firmansyah, A. (2021). Penghindaran pajak di Indonesia: profitabilitas, leverage, capital intensity. Jurnal Riset Akuntansi Tirtayasa, 6(2), 138–152. https://doi.org/10.48181/jratirtayasa.v6i2.10429 Putri, R. D. (2018). Pengaruh corporate governance terhadap tax avoidance (studi empiris perusahaan sektor perbankan yang terdaftar di BEI tahun 2012-2016). Jurnal Ekonomi & Bisnis Dharma Andalas, 20(2), 337–347. http://ojs.unidha.ac.id/index.php/edb_dharmaandalas/article/view/106 Putri, V. R., & Putra, B. I. (2017). Pengaruh leverage, profitability, ukuran perusahaan dan proporsi kepemilikan institusional terhadap tax avoidance. Jurnal Ekonomi Manajemen Sumber Daya, 19(1), 1–11. https://doi.org/10.23917/dayasaing.v19i1.5100 Republik Indonesia. (2007). Undang-Undang Republik Indonesia Nomor 28 Tahun 2007 Tentang Perubahan Ketiga Atas Undang-Undang Nomor 6 Tahun 1983 Tentang Ketentuan Umum Dan Tata Cara Perpajakan. EDUCORETAX International Journal of Innovation, Creativity and Change, 14(1), 1211–1229. https://www.ijicc.net/images/Vol_14/Iss_1/14118_Irawan_2020_E_R.pdf p j g p Irawan, F., Kinanti, A., & Suhendra, M. (2020). The impact of transfer pricing and earning management on tax avoidance. 12(3), 3203–3216. https://www.iratde.com/index.php/jtde/article/view/1229 Page | 298 Page | 298 EDUCORETAX Volume 1 No. 4, Desember 2021 EDUCORETAX Volume 1 No. 4, Desember 2021 EDUCORETAX https://www.dpr.go.id/dokjdih/document/uu/UU_2007_28.pdf Rosyida, H., Firmansyah, A., & Wicaksono, S. B. (2020). Volatilitas harga saham: leverage, ukuran perusahaan, pertumbuhan aset. JAS (Jurnal Akuntansi Syariah), 4(2), 196–208. Page | 299 Page | 299 EDUCORETAX Volume 1 No. 4, Desember 2021 https://doi.org/10.46367/jas.v4i2.256 Saksessia, D., & Firmansyah, A. (2020). The role of corporate governance on earnings quality from positive accounting theory framework. International Journal of Scientific and Technology Research, 9(1), 808–820. http://www.ijstr.org/final-print/jan2020/The-Role- Of-Corporate-Governance-On-Earnings-Quality-From-Positive-Accounting-Theory- Framework.pdf Sari, M., & Devi, H. P. (2018). Pengaruh corporate governance dan profitabilitas terhadap tax avoidance. Inventory: Jurnal Akuntansi, 2(2), 298–306. https://doi.org/10.25273/INVENTORY.V2I2.3289 p g Scott, W. R. (2015). Financial Accounting Theory (7th ed.). Pearson Canada. Swingly, C., & Sukartha, I. M. (2015). Pengaruh karakter eksekutif, komite audit, ukuran perusahaan, leverage dan sales growth pada tax avoidance. E-Jurnal Akuntansi Universitas Udayana, 10(1), 47–62. Tanjaya, C., & Nazir, N. (2021). Pengaruh profitabilitas, leverage dan ukuran perusahaan terhadap penghindaran pajak (tax avoidance). Jurnal Akuntansi Trisakti, 8(2), 189–208. https://doi.org/10.25105/jat.v8i2.9260 p g j Tebiono, J. N., & Sukadana, I. B. N. (2019). Faktor-faktor yang mempengaruhi tax avoidance pada perusahaan manufaktur yang terdaftar di BEI. Jurnal Bisnis Dan Akuntansi, 20(1a- 2), 121–130. https://doi.org/10.34208/jba.v21i1a-2.749 Victoria, A. O. (2020). Target pajak tak pernah tercapai dalam 10 tahun terakhir. https://katadata.co.id/agustiyanti/finansial/5e9a4c3b2d85b/pengamat-target-pajak-tak- pernah-tercapai-dalam-10-tahun-terakhir p p Wardani, D. K., & Khoiriyah, D. (2018). Pengaruh strategi bisnis dan karakteristik perusahaan terhadap penghindaran pajak. Akuntansi Dewantara, 2(1), 25–36. https://jurnal.ustjogja.ac.id/index.php/akuntansidewantara/article/view/2181 p j j gj p p Watts, R. L., & Zimmerman, J. L. (1990). Positive accounting theory: a ten year perspective. The Accounting Review, 65(1), 131–156. https://www.jstor.org/stable/247880 Wijaya, S., & Rahayu, F. D. (2021). Pengaruh agresivitas transfer pricing, penggunaan negara lindung pajak, dan kepemilikan institusional terhadap penghindaran pajak. Jurnal Informasi, Perpajakan, Akuntansi, Dan Keuangan Publik, 16(2), 245. https://doi.org/10.25105/jipak.v16i2.9257 Yulianty, A., Khrisnatika, M. E., & Firmansyah, A. (2021). Penghindaran pajak pada perusahaan pertambangan di indonesia: profitabilitas, tata kelola perusahaan, intensitas persediaan, leverage. Jurnal Pajak Indonesia, 5(1), 20–31. https://doi.org/10.31092/jpi.v5i1.1201 Za’imah, A., Sobarudin, M., Permatasari, N. I., Nabilah, Z. N., & Holiawati, H. (2020). Pengaruh pertumbuhan penjualan dan umur perusahaan terhadap tax avoidance (Prosiding Webinar “Insentif Pajak Untuk Wp Terdampak Covid-19”). http://openjournal.unpam.ac.id/index.php/Proceedings/article/view/9930 Zia, I. K., Pratomo, D., & Kurnia. (2018). Kepemilikan institusional dan multinationality dengan firm size dan leverage sebagai variabel kontrol terhadap tax avoidance. Jurnal Riset Akuntansi Kontemporer, 10(2), 67–73. https://doi.org/10.23969/jrak.v10i2.1369 Page | 300 Page | 300
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MicroED structure of the NaK ion channel reveals a Na+ partition process into the selectivity filter
Shian Liu
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1 Janelia Research Campus, Howard Hughes Medical Institute, 19700 Helix Drive, Ashburn, VA, 20147, USA. 2 Howard Hughes Medical Institute, University of California, Los Angeles, CA 90095, USA. 3 Departments of Physiology and Biological Chemistry, David Geffen School of Medicine, University of California, Los Angeles, CA 90095, USA. Correspondence and requests for materials should be addressed to T.G. (email: tgonen@ucla.edu) | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio Results In this study, the first 19 residues of wild-type NaK from Bacillus cereus were truncated to create a 10-kDa monomer that assembles as a tetramer forming an open channel construct NaK–Δ1922, which for simplicity will be referred to as NaK. A protein with this molecular weight is far too small for meaningful structure determination by single-particle cryoEM23 but can be studied crystallographically. Therefore, we attempted to crystallize NaK in a 96-well plate in Na+ buffers as previously reported13,22. Only 0.2 μl of protein was used per condition mixed with an equal volume of the crystallization buffer. Within ~3 days, some drops looked opaque as if filled with protein granular aggregates (Fig. 1a). We speculated that nano-crystals might have formed in these drops, but due to their minute size they were unidentifiable by light microscopy20. Indeed, when viewed under the electron microscope, numerous NaK nano-crystals with cubic morphology were found in almost all the drops that contained granular aggregates (Fig. 1b). Such crystallization drops are typically ignored as failed attempts at growing large crystals for X-ray diffraction; however, they are suitable for structure determination by MicroED24. To investigate how Na+ interacts with ion channels, we applied micro-electron diffraction (MicroED) to study a prototypical cyclic nucleotide-gated ion channel, NaK, as a model system. NaK belongs to the tetrameric cation channel family11, and electro- physiology studies have shown that it efficiently conducts Na+ ions12. Previous X-ray crystallographic structures of NaK revealed a unique architecture of its selectivity filter (63TVGDGN68) with two distinct regions separated by an internal vestibule11,13 (Supplementary Fig. 1b). The intracellular side of the filter con- sists of two ion-binding sites corresponding to sites 3 and 4 of K+ channels, while near the extracellular side of the vestibule, a wide external site is formed by four asparagine residues arranged as a ring. X-ray structures of NaV channels indicated that asparagine or glutamate residues may form direct contacts with ions in the filter;14–16 however, no electron density for Na+ ions was pre- viously identified at NaK’s external site even after the crystals were soaked in high-salt solutions13. MicroED is an ideal method for studying membrane protein structures from nano-crystals without further crystal growth optimization. First, electrons interact with matter more strongly than X-rays25, making it possible to study crystals a billion times smaller in size than what is needed for traditional X-ray crys- tallographic studies17,20. ARTICLE ARTICLE COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 T etrameric cation channels comprise a superfamily of membrane proteins that mediate ion conduction across membranes. Their roles in electrical signaling have been extensively studied in eukaryotic systems1 and more recently in bacterial biofilms2. These channels have various strategies to conduct or to exclude some of the most abundant cations in nature, Na+ and K+ ions. For example, the conserved selectivity filter of K+ channels (TVGYG) form a narrow pore lined with four oxygen cages, displacing water from an incoming K+ ion to allow efficient conduction3,4 (Supplementary Fig. 1a). However, as sodium tries to enter, the K+ channel selectivity filter either collapses into an inactivated conformation to stop the conduction of Na+5,6, or the channel conducts significantly slowly because of unfavorable kinetics7,8. Several classes of ion channels, such as voltage-gated Na+ (NaV) channels, contain a relatively shorter but wider filter than K+ channels, and they have been proposed to conduct partially hydrated Na+ ions 9,10 although these states have never been structurally captured. structures have been obtained at atomic resolutions18–20. The crystals studied by MicroED are a billion times smaller than what is regularly used in X-ray studies17. An important advantage of MicroED over X-ray crystallography is that MicroED provides information about the charges in the proteins21. Here, we demonstrate the successful application of MicroED to study the membrane protein crystals, namely the NaK ion channel, where two newly identified conformations underlie the ion conduction and gating mechanisms. T MicroED structure of the NaK ion channel reveals a Na+ partition process into the selectivity filter Shian Liu1 & Tamir Gonen1,2,3 Sodium (Na+) is a ubiquitous and important inorganic salt mediating many critical biological processes such as neuronal excitation, signaling, and facilitation of various transporters. The hydration states of Na+ are proposed to play critical roles in determining the conductance and the selectivity of Na+ channels, yet they are rarely captured by conventional structural biology means. Here we use the emerging cryo-electron microscopy (cryoEM) method micro-electron diffraction (MicroED) to study the structure of a prototypical tetrameric Na+-conducting channel, NaK, to 2.5 Å resolution from nano-crystals. Two new conforma- tions at the external site of NaK are identified, allowing us to visualize a partially hydrated Na+ ion at the entrance of the channel pore. A process of dilation coupled with Na+ movement is identified leading to valuable insights into the mechanism of ion conduction and gating. This study lays the ground work for future studies using MicroED in membrane protein biophysics. 1 | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio COMMUNICATIONS BIOLOGY| (2018) 1:38 COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 Phe69, Gly67, and Asp66 (Fig. 4). Next, the rotation of Asn68 in molB dilates the external site like an iris almost doubling its radius from ~2.5 Å to ~4.3 Å (Fig. 3d, f) and in the process pulling the Na+ ion deeper into the channel pore. At this state, Asn68 no longer maintains direct interactions with the ion; instead, the coordination is replaced by water molecules that form a bonding network with Asn68, as well as four Gly67 residues directly below the Na+ ion. The system of hydrogen bonds that stabilize Asn68 (involving Phe69, Gly67, and Asp66) is shortened to facilitate the rotation of Asn68 to dilate the external site (Fig. 4c). Finally, molC depicts a channel state in which the Na+ ion has entered and the external site dilates further to accom- modate the water molecules closer to the filter (Supplementary Fig. 1b). particles, hence they are sensitive to the charges in proteins, suggesting that perhaps one could identify previously unseen ions21. The functions of many membrane proteins are coupled to the charge, hence the application of MicroED to unambiguously identify ions within these proteins, as well as protonation states where applicable, can be extremely valuable and important. NaK nano-crystals were only ~500 nm in length (Fig. 1b) and readily diffracted to ~2.0 Å resolution by MicroED (Fig. 1c). MicroED data were recorded by continuous rotation as a movie26, and the data from 11 crystals were merged to increase the com- pleteness. These crystals had the same unit cell dimensions and symmetry as previously reported (Table 1). The X-ray structure of NaK (PDB accession number 3E89) was used as a search model for molecular replacement, and refinement was performed as described before27. The final MicroED NaK model was refined to 2.5 Å resolution having acceptable Rwork and Rfree statistics (21.83% and 26.25%, respectively). The density was of high quality allowing the identification of all amino acids, as well as water molecules and Na+ ions (Fig. 2). Table 1 MicroED data collection and refinement statistics NaK Data collection Space group I4 Cell dimensions a, b, c (Å) 68.07, 68.07, 89.3 α, β, γ (°) 90, 90, 90 Resolution (Å) 22.0–2.5 (2.6–2.5)a I / σI 4.7 (1.6) Completeness (%) 81.68 (69.48) Redundancy 4.9 (3.6) CC1/2 (%) 98.4 (24.3) Refinement Resolution (Å) 2.5 No. reflections 5793 Rwork/Rfree (%) 21.83 / 26.25 No. COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 atoms Protein 1470 Ligand/ion 20 Water 4 B-factors Protein 41.36 Ligand/ion 41.28 Water 22.78 R.m.s. deviations Bond lengths (Å) 0.003 Bond angles (°) 0.47 Ramachandran plot Favored (%) 95.63 Allowed (%) 4.37 Outliers (%) 0 a Eleven crystals were merged. Values in parentheses are for highest-resolution shell Table 1 MicroED data collection and refinement statistics g As with other tetrameric ion channels, the ion pathway of NaK is located at the four-fold axis of the channel (Fig. 2a). Each NaK monomer is folded into two transmembrane helices (TMs) and one loop that contains the selectivity filter (Fig. 2b). Each unit cell contained two NaK tetramers (referred to as molA and molB) packed in a head-to-head fashion consistent with previous stu- dies22. Superposition of NaK determined by MicroED with NaK determined previously by X-ray crystallography (referred to as molC)22 indicated a near identical match of the overall archi- tecture with a root mean square deviation (r.m.s.d.) of 0.6 Å (Supplementary Fig. 2). Despite these similarities, there are unique differences present in the MicroED structure. For exam- ple, close examination of the selectivity filter revealed several densities for ions and waters at the external site that were not found in the previous studies (Figs. 2, 3 and Supplementary Fig. 1). Moreover, density corresponding to a Na+ ion appeared at site 4 at the center of the oxygen cage in NaK instead of at the oxygen plane as seen in the X-ray structures (Supplementary Fig. 1b). While the previous X-ray study identified contaminating ions in the filter, careful mass spectroscopy analysis on our pre- parations did not identify such contamination (Table 2). The two conformations determined here together with the previously known structure of NaK allow us to put together a molecular movie of ion partitioning into this channel (Fig. 3). The starting point of the ion conduction is likely presented by molA. In molA, a Na+ ion is bound at the extracellular site in direct contact with Asn68 (Fig. 3b). Four Asn68 residues form a narrow entry point with an approximate radius of 2.5 Å (Fig. 3d, e). Asn68 is held in place by a system of hydrogen bonds involving d Asn68 Gly67 External site c d Internal vestibule Asn68 Gly67 Site 3 Site 4 External site c d b a Internal vestibule Asn68 Gly67 Site 3 Site 4 Fig. 2 Structural model of the NaK channel determined by MicroED. | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio ARTICLE ARTICLE COMMUNICATIONS BIOLOGY| (2018) 1:38 Results Second, electrons are negatively charged g MicroED is a recently developed cryo-electron microscopy (cryoEM) method that applies electron diffraction to solve pro- tein structures from nano-crystals17, with which several novel 2.07 Å 2.59 Å 3.46 Å 5.19 Å 10.37 Å + 3.46 Å 2.59 Å 2.07 Å c 500 µm 2.07 Å 2.59 Å 3.46 Å 5.19 Å 10.37 Å + 3.46 Å 2.59 Å 2.07 Å a b c 2 µm Fig. 1 Microscopic analysis of NaK channel nano-crystals. a, b NaK nano-crystals are imaged under optical and electron microscopes, respectively. Comparing the scales of two images illustrates that the crystals are indistinguishable by optical microscopy (a) but clearly resolved under electron microscopy as cubes with sharp edges (b, red arrow head). c An example of an electron diffraction pattern of a NaK nano-crystal. Data were recorded by continuous rotation showing clear reflections to atomic resolution (~2 Å). Clearly defined reflections at high resolutions are shown in a magnified image on the right 500 µm a a c a c b 2 µm b Fig. 1 Microscopic analysis of NaK channel nano-crystals. a, b NaK nano-crystals are imaged under optical and electron microscopes, respectively. Comparing the scales of two images illustrates that the crystals are indistinguishable by optical microscopy (a) but clearly resolved under electron microscopy as cubes with sharp edges (b, red arrow head). c An example of an electron diffraction pattern of a NaK nano-crystal. Data were recorded by continuous rotation showing clear reflections to atomic resolution (~2 Å). Clearly defined reflections at high resolutions are shown in a magnified image on the right COMMUNICATIONS BIOLOGY| (2018) 1:38 | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio 2 COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 Discussion Table 2 ICP-MS analysis of ion species in the crystallization condition Element Result Element Result Lithium <2 ppm Indium <2 ppm Beryllium <2 ppm Tin <2 ppm Boron <20 ppm Antimony <2 ppm Sodium 1508 ppm Tellurium <2 ppm Magnesium 5 ppm Cesium <2 ppm Aluminum <20 ppm Barium <2 ppm Phosphorus <20 ppm Lanthanum <2 ppm Potassium <20 ppm Cerium <2 ppm Calcium N/A Praseodymium <2 ppm Scandium <2 ppm Neodymium <2 ppm Titanium <2 ppm Samarium <2 ppm Vanadium <2 ppm Europium <2 ppm Chromium <2 ppm Gadolinium <2 ppm Manganese <2 ppm Terbium <2 ppm Cobalt <2 ppm Dysprosium <2 ppm Nickel <2 ppm Holmium <2 ppm Copper 15 ppm Erbium <2 ppm Zinc <20 ppm Thulium <2 ppm Gallium <2 ppm Ytterbium <2 ppm Arsenic <2 ppm Lutetium <2 ppm Selenium <2 ppm Hafnium <2 ppm Rubidium <2 ppm Tantalum <2 ppm Strontium <2 ppm Tungsten <2 ppm Yttrium <2 ppm Rhenium <2 ppm Zirconium 2 ppm Iridium <2 ppm Niobium <2 ppm Platinum <2 ppm Molybdenum <2 ppm Mercury <2 ppm Ruthenium <2 ppm Thallium <2 ppm Rhodium <2 ppm Lead <2 ppm Palladium <2 ppm Bismuth <2 ppm Silver <2 ppm Thorium <2 ppm Cadmium <2 ppm Uranium <2 ppm Table 2 ICP-MS analysis of ion species in the crystallization condition Table 2 ICP-MS analysis of ion species in the crystallization condition The mechanism described above for Na+ conduction through NaK may be applicable to other Na+-conducting channels in symmetric assemblies. The extracellular site or the selectivity filter of many Na+-conducting channels contain Asn or Glu resi- dues14,15,28 (Supplementary Fig. 3 and 4) that may rotate in a concerted manner similarly to NaK to allow the incoming Na+ ion to move deeper into the channel. As the partially hydrated sodium is conducted through the pore, the ion could be coordi- nated directly to the key Asn or Glu residues, or the coordination may involve a H-bridge through water16,29–31. In eukaryotes, a single polypeptide chain with four pseudo repeats assemble into a voltage-gated Na+ channel. Their filters are formed with a ring of four different residues: Asp, Glu, Lys, and Ala (DEKA)32. Although the concerted movement is likely absent, Asp and Glu, and to a lesser extent Lys, may still act in synchrony to attract and guide the associated ions into the channel because of their inherent charge properties. COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 molA (side view) molB (side view) Asn68 External site Internal vestibule Site 3 Site 4 molA :: molB (top view) molA (top view) molB (top view) Asn68 Asn68 Asn68 4.3 Å 2.5 Å molA d e f a b c molB Asn68 Gly67 Asp66 Gly67 Asp66 Fig. 3 Insertion of partially hydrated Na+ into the dilated external site of NaK. a Side view of the overall structure (blue) of NaK in a cartoon representation, while the front and back subunits are removed for clarity. Selectivity filter in yellow. b, c The top half of the filters from molA and molB are shown in stick models, and Na+ ions and waters as orange and red spheres, respectively. d The top view of the external sites from molA and molB are overlaid to illustrate the conformational change of Asn68 dilating the external site to allow Na+ into the pore. e, f The top view of molA and molB, respectively, illustrating the large conformational change in Asn68 and the resulting change in diameter. As the conformation of Asn68 changes between molA and molB, the radius of the external site almost doubles. Green dashed lines indicate the radii of the circles molB (side view) c Asn68 Gly67 Asp66 b a c molA (top view) Asn68 2.5 Å e molA :: molB (top view) Asn68 molA d molB molB (top view) Asn68 4.3 Å f f d e e Fig. 3 Insertion of partially hydrated Na+ into the dilated external site of NaK. a Side view of the overall structure (blue) of NaK in a cartoon representation, while the front and back subunits are removed for clarity. Selectivity filter in yellow. b, c The top half of the filters from molA and molB are shown in stick models, and Na+ ions and waters as orange and red spheres, respectively. d The top view of the external sites from molA and molB are overlaid to illustrate the conformational change of Asn68 dilating the external site to allow Na+ into the pore. e, f The top view of molA and molB, respectively, illustrating the large conformational change in Asn68 and the resulting change in diameter. As the conformation of Asn68 changes between molA and molB, the radius of the external site almost doubles. Green dashed lines indicate the radii of the circles COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 The top (a) and side (b) views, respectively, of the overall structure of NaK in a cartoon representation (blue) and the selectivity filter in yellow. (The front and back subunits in b are removed for clarity). c The selectivity filter region (yellow) in b is shown in the stick representation for closer examination, overlaid with 2Fo–Fc MicroED density map contoured at 1.5σ for molB. Densities inside the selectivity filter include Na+ ions and waters shown as orange and red spheres, respectively. d The external site bound with a partially hydrated Na+ ion in c is magnified and shown in a three-dimensional model with the density map c b a b a c a Fig. 2 Structural model of the NaK channel determined by MicroED. The top (a) and side (b) views, respectively, of the overall structure of NaK in a cartoon representation (blue) and the selectivity filter in yellow. (The front and back subunits in b are removed for clarity). c The selectivity filter region (yellow) in b is shown in the stick representation for closer examination, overlaid with 2Fo–Fc MicroED density map contoured at 1.5σ for molB. Densities inside the selectivity filter include Na+ ions and waters shown as orange and red spheres, respectively. d The external site bound with a partially hydrated Na+ ion in c is magnified and shown in a three-dimensional model with the density map Fig. 2 Structural model of the NaK channel determined by MicroED. The top (a) and side (b) views, respectively, of the overall structure of NaK in a cartoon representation (blue) and the selectivity filter in yellow. (The front and back subunits in b are removed for clarity). c The selectivity filter region (yellow) in b is shown in the stick representation for closer examination, overlaid with 2Fo–Fc MicroED density map contoured at 1.5σ for molB. Densities inside the selectivity filter include Na+ ions and waters shown as orange and red spheres, respectively. d The external site bound with a partially hydrated Na+ ion in c is magnified and shown in a three-dimensional model with the density map | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio 3 3 COMMUNICATIONS BIOLOGY| (2018) 1:38 ARTICLE | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 External site molA (side view) b a c molB (side view) Asn68 Phe69 3.6 Å 3.0 Å Asp66 Gly67 Gly67 Asp66 Phe69 Asn68 2.4 Å 2.9 Å Internal vestibule Site 3 Site 4 Fig. 4 Hydrogen bonding in NaK structures to stabilize Asn68. a Side view of the overall structure (blue) of NaK in a cartoon representation, while the front and back subunits are removed for clarity. b, c The external sites from molA and molB monomers are shown in stick models, respectively. The hydrogen bonds and corresponding distances are indicated in green dashed lines, and Na+ ion and waters as orange and red spheres molA (side view) b Asn68 Phe69 3.6 Å 3.0 Å Asp66 Gly67 c molB (side view) Gly67 Asp66 Phe69 Asn68 2.4 Å 2.9 Å b a c Phe69 Asp66 Asp66 Asp66 Fig. 4 Hydrogen bonding in NaK structures to stabilize Asn68. a Side view of the overall structure (blue) of NaK in a cartoon representation, while the front and back subunits are removed for clarity. b, c The external sites from molA and molB monomers are shown in stick models, respectively. The hydrogen bonds and corresponding distances are indicated in green dashed lines, and Na+ ion and waters as orange and red spheres neutralization of Glu/Asp to Gln/Asn or lowering of the external pH was able to alter the gating properties of many TRP chan- nels34–38. Therefore, depending on the specific physiological functions that an activated ion channel is to achieve, gating may be carefully calibrated at the outer pore positions through the interaction with passing ions and fine tuning of their hydration state. neutralization of Glu/Asp to Gln/Asn or lowering of the external pH was able to alter the gating properties of many TRP chan- nels34–38. Therefore, depending on the specific physiological functions that an activated ion channel is to achieve, gating may be carefully calibrated at the outer pore positions through the interaction with passing ions and fine tuning of their hydration state. Crystallization. Purified NaK was concentrated to 5–10 mg ml−1 for crystal- lization. A condition matrix was designed for a 96-well plate with (±)-2-methyl- 2,4-pentanediol (MPD) concentrations varying between 50 and 80% and pH between 6.0 and 8.5. COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 The pH was buffered with 100 mM MES (pH 6.0), 100 mM MES (pH 6.5), 100 mM HEPES (pH 7.0), 100 mM HEPES (pH 7.5), 100 mM Tris (pH 8.0), and 100 mM Tris (pH 8.5). An inductively coupled plasma mass spec- trometry (ICP-MS) assay was performed to ensure that there was no contaminating ion associating with NaK during the crystal growth. The hanging drops were set up with 0.2 μl protein mixed with 0.2 μl reservoir solution, and the plate was incubated at room temperature in the Rock Imager (FORMULATRIX). Since NaK crystals can neither be detected using fluorescence for the lack of tryptophan nor using polarized light, we could only rely on white light to monitor the growth of crystals. Tiny NaK crystals appeared within 3–5 days at room temperature. The NaK nano-crystals, used here for MicroED, grew out of a sparse matrix set in a 96-well plate with only 0.2 μl of protein sample per drop. Nano-crystals found in drops that appeared like granular aggregates yielded ~2 Å electron diffraction data without any further optimization of crystal growth. We propose that sparsely populated or transient states in proteins may be teased out when nano-crystals are used in MicroED. Previous MicroED studies with peptides illustrated that different crystal packing of the same sample can arise from one crystallization drop. Likewise, while hundreds of structures of the protein lysozyme have been determined to date, an unprecedented packing was found recently from nano-crystals using MicroED39. Whether the crystal size is associated with some differences observed between MicroED and X-ray structures will require further testing, but, when coupled with the unique ability of MicroED to identify charges in proteins, this approach could pave a powerful new way to understanding the structural dynamics in membrane proteins, which is currently beyond the means of conventional X-ray crystallography. MicroED data collection. Cryo-grids were made as reported previously24. The grid screening process of NaK was performed using an FEI Technai F20 field-emission TEM as before17. Continuous rotation MicroED data were collected26 with a TVIPS TemCam-F416 CMOS camera at the rolling-shutter mode as a movie. Each frame in the movie was recorded as the campustage was rotated at 0.19° s−1 during 4 s exposures. Image frames were converted to SMV format for subsequent data processing27. Structure determination. Each MicroED dataset was indexed and integrated in iMOSFLM40, and 11 best datasets were scaled and merged in AIMLESS41. Discussion However, additional structures are needed to further delineate the ion conduction mechanism through such asymmetric channels. g y Two new conformational states of NaK were captured by MicroED to reveal a novel mechanism of gating at the external site. Two NaK channels pack against one another in a single unit cell, but their extracellular sites are more than 10 Å apart (Sup- plementary Fig. 2b) indicating that crystal packing does not play a role in dictating the positions of the sodium ions that were identified in this study. Previous studies showed mutant NaK (N68D) had a larger open probability than the wild-type channel without compromising the architecture of the filter33. Given the differences between Asn and Asp, our structure suggests that the charge state of the outer pore residues may affect their interaction with passing ions and therefore alter the gating properties. Transient receptor potential (TRP) channels are tetrameric ion channels in a protein family where most members allow Na+ ions to pass through and have similar architecture of their outer pore residues (Supplementary Fig. 4). Interestingly, either COMMUNICATIONS BIOLOGY| (2018) 1:38 | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio 4 COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 ARTICLE COMMUNICATIONS BIOLOGY | DOI: 10.1038/s42003-018-0040-8 Due to the orientation preference of NaK crystals on the grid, cell dimension c was detected less precisely than the other five parameters. To determine its value, c was manually varied by 0.3 Å each time in sftools in CCP4i package. The resulting file was molecular replaced42 with PDB entry 3E89, and maximum likelihood structure refinement was performed in phenix.refine using electron-scattering factors43 and coot44. This process was iterated several times until the lowest R values were found. The final corresponding cell dimensions appeared to be consistent with the X-ray structures reported previously. Water molecules were automatically modeled during the refinement in phenix.refine. The refinement statistics are reported in Table 1. Methods Protein exp Protein expression. The protein expression and purification procedure was reported previously13,22 with some modifications. Briefly, the construct corre- sponding to the first 19-residue deleted (Δ19) NaK was cloned into pQE60 vector. Plasmids were transformed into the XL1-Blue Escherichia coli competent cells to allow growth in the presence of 100 μg ml−1 ampicillin at 37 °C. When the OD600 = 0.8, protein expression was induced with 0.4 mM isopropyl β-D-1- thiogalactopyranoside (IPTG) at 25 °C for 20 h. Cells were harvested by spinning at 4000 rpm using a JLA-8.1 rotor (Beckman Coulter). The cell pellet was suspended in 50 mM Tris buffer (pH 8.0), 150 mM NaCl, 1 mM PMSF, 2 μg ml−1 DNase, 10 μg ml−1 lysozyme, and Pierce Protease Inhibitors. After passing through a Microfluidizer (Microfluidics Corporation) at 15,000 psi, the cell lysate was spun at 42,000 rpm using Ti45 rotor in Optima L-90K Ultracentrifuge (Beckman Coulter) for 1 h. The pelleted membrane was re-suspended in 50 mM Tris buffer (pH 8.0) and 150 mM NaCl. Homogenized membranes were kept at −80 °C before use. Protein expression. The protein expression and purification procedure was reported previously13,22 with some modifications. Briefly, the construct corre- sponding to the first 19-residue deleted (Δ19) NaK was cloned into pQE60 vector. Plasmids were transformed into the XL1-Blue Escherichia coli competent cells to allow growth in the presence of 100 μg ml−1 ampicillin at 37 °C. When the OD600 = 0.8, protein expression was induced with 0.4 mM isopropyl β-D-1- thiogalactopyranoside (IPTG) at 25 °C for 20 h. Cells were harvested by spinning at 4000 rpm using a JLA-8.1 rotor (Beckman Coulter). The cell pellet was suspended in 50 mM Tris buffer (pH 8.0), 150 mM NaCl, 1 mM PMSF, 2 μg ml−1 DNase, 10 μg ml−1 lysozyme, and Pierce Protease Inhibitors. After passing through a Microfluidizer (Microfluidics Corporation) at 15,000 psi, the cell lysate was spun at 42,000 rpm using Ti45 rotor in Optima L-90K Ultracentrifuge (Beckman Coulter) for 1 h. The pelleted membrane was re-suspended in 50 mM Tris buffer (pH 8.0) and 150 mM NaCl. Homogenized membranes were kept at −80 °C before use. Data availability. The data that support the findings of this study are available from the corresponding author upon reasonable request. Coordinates and structure factors for NaK have been deposited in the RCSB Protein Data Bank and Electron Microscopy Data Bank under accession codes 6CPV and EMD-7558, respectively. Methods Protein exp Received: 7 February 2018 Accepted: 28 March 2018 | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio Competing interests: The authors declare no competing interests. crystallography. Nat. Protoc. 11, 895–904 (2016). 25. Henderson, R. The potential and limitations of neutrons, electrons and X-rays for Atomic resolution microscopy of unstained biological molecules. Q. Rev. Biophys. 28, 171–193 (1995). Reprints and permission information is available online at http://npg.nature.com/ reprintsandpermissions/ Reprints and permission information is available online at http://npg.nature.com/ reprintsandpermissions/ p y 26. Nannenga, B. L., Shi, D., Leslie, A. G. W. & Gonen, T. High-resolution structure determination by continuous-rotation data collection in MicroED. Nat. 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Supplementary Information accompanies this paper at https://doi.org/10.1038/s42003- 018-0040-8. y py ( ) 24. Shi, D. et al. The collection of MicroED data for macromolecular crystallography. Nat. Protoc. 11, 895–904 (2016). y py 24. Shi, D. et al. The collection of MicroED data for macromolecular t ll h N t P t 11 895 904 (2016) y y 24. Shi, D. et al. The collection of MicroED data for macromole y y 24. Shi, D. et al. The collection of MicroED data for mac crystallography. Nat. Protoc. 11, 895–904 (2016). Competing interests: The authors declare no competing interests. References 1. Hille, B. Ion Channels of Excitable Membranes 3rd edn https://doi.org/ 10.1007/3-540-29623-9_5640 (2001). 1. Hille, B. Ion Channels of Excitable Membranes 3rd edn https://doi.org/ 10.1007/3-540-29623-9_5640 (2001). 2. Lee, D., yeon, D., Prindle, A., Liu, J. & Süel, G. M. SnapShot: electrochemical communication in biofilms. Cell 170, 214–214.e1 (2017). Purification. Thawed membranes were mixed with n-Decyl-β-D-maltoside (DM) to a final concentration of 2%, and the mixture was stirred at room temperature for 2 h. Insoluble materials were discarded after spinning at 42,000 rpm using Ti70 rotor (Beckman Coulter) for 30 min. The supernatant was applied to a Co2+ column (Clontech) pre-equilibrated in 50 mM Tris (pH 8.0), 150 mM NaCl, and 0.2% DM. After washing with 15 mM imidazole and eluting with 300 mM imi- dazole in the same buffer, NaK was mixed with thrombin protease to a final ratio of 0.5 U mg−1 protein. The mixture was incubated at 4 °C overnight, and the diges- tion was stopped by 1 mM phenylmethanesulfonyl fluoride . Cleaved NaK protein was further purified through a Superdex 200 size exclusion column (GE Healthcare). 3. Zhou, Y., Morais-Cabral, J. H., Kaufman, A. & Mackinnon, R. Chemistry of ion coordination and hydration revealed by a K+channel-Fab complex at 2.0 Å resolution. Nature 414, 43–48 (2001). 4. Morais-Cabral, J. H., Zhou, Y. & MacKinnon, R. Energetic optimization of ion conduction rate by the K+ selectivity filter. Nature 414, 37–40 (2001). + 5. Liu, S. et al. Ion-binding properties of a K+channel selectivity filter in different conformations. Proc. Natl Acad. Sci. USA 112, 15096–15100 (2015). 5. Liu, S. et al. Ion-binding properties of a K+channel selectivity filter in different conformations. Proc. Natl Acad. Sci. USA 112, 15096–15100 (2015). 5 5 | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio COMMUNICATIONS BIOLOGY| (2018) 1:38 Additional information Supplementary Information accompanies this paper at https://doi.org/10.1038/s42003- 018-0040-8. 23. Cheng, Y., Grigorieff, N., Penczek, P. A. & Walz, T. A primer to single-particle cryo-electron microscopy. Cell 161, 439–449 (2015). Competing interests: The authors declare no competing interests. Sodium ion binding sites and hydration in the lumen of a bacterial ion channel from molecular dynamics simulations. J. Phys. Chem. Lett. 2, 2504–2508 (2011). 32. Shen, H. et al. Structure of a eukaryotic voltage-gated sodium channel at near- atomic resolution. Science 355, 1–12 (2017). 33. Sauer, D. B., Zeng, W., Raghunathan, S. & Jiang, Y. Protein interactions central to stabilizing the K. Proc. Natl Acad. Sci. USA 108, 1–6 (2011). 34. Nilius, B. et al. The single pore residue Asp542 determines Ca2+permeation and Mg2+block of the epithelial Ca2+channel. J. Biol. Chem. 276, 1020–1025 (2001). © The Author(s) 2018 COMMUNICATIONS BIOLOGY| (2018) 1:38 | DOI: 10.1038/s42003-018-0040-8| www.nature.com/commsbio 6
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Ribbons in Garside monoids. 2022. &#x27E8;hal-03684892&#x27E9;
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HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. 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. RIBBONS IN GARSIDE MONOIDS FRANÇOIS DIGNE AND JEAN MICHEL Abstract. We expound the properties of ribbons in a setting which is general enough to encompass spherical Artin monoids and dual braid monoids of wellgenerated complex reflection groups. We generalize to our setting results on parabolic subgroups of spherical Artin group of Godelle [4], Cumplido [2] and others. This short note expounds the properties of ribbons in a setting (Assumptions 3 and 24) which is general enough to encompass spherical Artin monoids and dual braid monoids of well-generated complex reflection groups. We show in particular that this approach can recover, and generalize to our setting, results on parabolic subgroups of spherical Artin group of Godelle [4], Cumplido [2] and others. We have strived for the text to be self-contained apart from basic results on Garside theory for which we refer to [5]. The assumptions under which we study ribbons are slightly stronger than those in [5, VIII §1.4] but allow us to develop them much further. Let M be Garside monoid; that is, M is Noetherian, left- and right-cancellative, any pair of elements have left- and right-gcd’s and lcm’s, and there exists a Garside element ∆, an element whose left- and right-divisors coincide and generate M (see [5, I 2.1]). We recall that a factor is any left-divisor of a right-divisor (or equivalently a rightdivisor of a left-divisor) and that Noetherian means there is no infinite sequence where each term is a proper factor of the previous one. Definition 1. A standard parabolic submonoid P of M is a submonoid closed by factors such that any element of M has a maximal left-divisor (the left P -head) in P and a maximal right-divisor (the right P -head) in P. This is the particular case, for a monoid, of Definition [5, 1.30 VII] which is in the context of a Garside category. We denote by HP (g) the left P -head of g ∈ M and we define TP (g) (the ”P tail”) by g = HP (g)TP (g). We say that g is P -reduced if HP (g) = 1 or equivalently g = TP (g). Any intersection of standard parabolic submonoids is a standard parabolic submonoid [5, VII 1.35]. It is clear that any standard parabolic submonoid of a standard parabolic submonoid is a standard parabolic submonoid. Since M is Noetherian, it is generated by the set S of its atoms (elements which have no proper nontrivial divisors) and a standard parabolic submonoid being closed by factors is also generated by its atoms. Lemma 2. A standard parabolic submonoid P has a Garside element ∆P given by ∆P = HP (∆). F , F . Proof. First P is generated by the left-divisors of ∆P since it is generated by its atoms which are left-divisors of ∆ hence of ∆P. Now the right- and left- divisors of ∆ are the same, thus ∆ < ∆P. Hence HP< (∆) < ∆P, if HP< (g) denotes the right P -head of g. Exchanging right and left, that is HP and HP<, we get symmetrically HP< (∆) 4 ∆P. Hence ∆P is a factor of itself. It cannot be a strict factor by Noetherianity, thus ∆P = HP< (∆). The left-divisors of ∆P are left, thus rightdivisors of ∆, and since they are in P they are right-divisors of HP< (∆) = ∆P. Conversely right-divisors of ∆P are right, thus left-divisors of ∆ and being in P are left-divisors of ∆P. Assumption 3. We assume that for any subset S1 ⊂ S, the right-lcm of S1 is the Garside element given by Lemma 2 of the smallest standard parabolic submonoid containing S1. In the following we assume that Assumption 3 holds. It clearly holds in a spherical Artin monoid. Proposition 4. The dual braid monoid M of a well generated complex reflection group W satisfies Assumption 3. Proof. From the fact that any decomposition of ∆ is obtained from one of them by the Hurwitz action (see [1, Proposition 7.6 and Proposition 8.5]), it follows that the same holds for any simple. It follows from that that any factor of a simple w is a left-divisor of w. It follows that any simple w is a common right multiple of the atoms which left-divide it. If the right-lcm of these atoms was a strict divisor of w, there would be an atom s whose square is a factor of w, thus of ∆. This does not exist, see [6, Property (iii) of Proposition 2.1 (M2)]. Thus any simple w is the left-lcm of the set Sw of atoms which left divide it. The submonoid Pw generated by these atoms is standard parabolic since it is clearly stable by factor, and every element has a P -head : to see this it is sufficient to check it for a simple v by [5, VII, 1.25], in which case the left-gcd of v and w is the head. Finally, for any set S1 of atoms, the right-lcm w of this set defines thus a parabolic Pw which is clearly the minimal parabolic subgroup containing S1. If b, g ∈ M and g 4 bg we say that the conjugate bg, equal to g −1 bg, is defined. For a set P ⊂ M we say that P g is defined if pg is defined for any p ∈ P. Definition 5. For P a standard parabolic submonoid we call P -ribbon a P -reduced g element g ∈ M such that P g is defined. We denote such a ribbon by P − →. Let P be a standard parabolic submonoid with Garside element ∆P and s be an atom of M which is not in P ; we define P (s) as the smallest standard parabolic submonoid containing P and s. Since ∆P (s) is left-divisible by ∆P the following makes sense: Definition 6. For P a standard parabolic submonoid and s ∈ S, s ∈ / P, we define vs,P by ∆P (s) = ∆P vs,P. Recall that conjugation by ∆ is an automorphism of M (see for example [5, V 2.17]). Lemma 7. For P a standard parabolic submonoid and for s ∈ S, s ∈ / P the element vs,P is a P -ribbon. RIBBONS IN GARSIDE MONOIDS 3 Proof. We have ∆P = HP (∆P (s) ) since any divisor in P of ∆P (s) divides ∆ hence divides ∆P. Hence vs,P is P -reduced. And P vs,P is defined since the conjugation by vs,P is the composition of the inverse of the conjugation by ∆P, which is an automorphism of P, and the conjugation by ∆P (s), which is an automorphism of P (s). Lemma 8. If g is a P -ribbon and s ∈ S left-divides g then vs,P 4 g. Proof. We have ∆P g = g∆gP. Thus s 4 ∆P g, thus ∆P (s) 4 ∆P g by Assumption 3, thus vs,P = ∆−1 P ∆P (s) 4 g. Note that the converse of this lemma, that is s 4 vs,P, holds in an Artin monoid but not necessarily in a dual braid monoid, see Example 13. Proposition 9. Let P be a standard parabolic submonoid; then g • If P − → is a ribbon then P g is a standard parabolic submonoid, and x 7→ xg ∼ is a monoid isomorphism P − → P g. • A P -ribbon is a product of elements vs,P 0 where P 0 are standard parabolic submonoids conjugate to P. g • If P − → is a ribbon then the conjugate by g of the atoms of P are the atoms of P g. g • If P − → is a ribbon then ∆gP = ∆P g. Proof. Let s be an atom dividing g, then vs,P conjugates P on a standard parabolic submonoid since the conjugation by ∆P (s) is an automorphism of P (s), hence conjugates P on a standard parabolic submonoid of P (s) thus of M, and the conjugation g1 −1 by ∆P conjugates P on itself. If g1 = vs,P g, it follows that P vs,P −→ is a ribbon (g1 is P vs,P -reduced since for an atom s if svs,P 4 g1 then s 4 g). By Noetherian induction we get the first two items. The third item is an immediate consequence of the first one, and the fourth also by Assumption 3. In view of the third item above, the definition of a P -ribbon could instead of asking that P g is defined just ask that the conjugate of any atom of P by g is defined. g Lemma 10. If P is a standard parabolic submonoid, if s is an atom of P and P − → is a ribbon, then the right-lcm of s and g is sg. Proof. Since g is a P -ribbon it conjugates s into some atom s0. The right-lcm of s and g left-divides sg = gs0 and is a strict right-multiple of g (since g is P -reduced), hence is equal to gs0. g Lemma 11. Let P − → be a ribbon; for x ∈ P, y ∈ M, it is equivalent that g 4 xy or that g 4 y. Proof. If y = gy 0, then xy = gxg y 0 so that g 4 xy. To prove the converse, by Noetherian induction on x, it is sufficient to prove that if an atom s ∈ P leftdivides gh for some h, then sg 4 h. By Lemma 10, the right-lcm of s and g is sg = gsg. Thus s 4 gh is equivalent to gsg 4 gh which is finally equivalent to sg 4 h. 4 FRANÇOIS DIGNE AND JEAN MICHEL g Lemma 12. Let P − → be a ribbon and let h ∈ M. Then TP (gh) = gTP g (h) and HP (gh)g = HP g (h). In particular if g is a P -ribbon and h is a P g -ribbon, then gh is a P -ribbon. Proof. Let s be an atom of P and set s0 := sg. Both formulae clearly follow if we show that it is equivalent that s 4 gh or that s0 4 h. This is true by the proof of Lemma 11. It follows from Lemma 12 and the first item of Proposition 9 that the ribbons form a category. The second item of Proposition 9 shows that the atoms of this vs,P category are the P −−−→ which are not strict multiple of some other one. This is always the case in a spherical Artin monoid but not in a dual braid monoid as the following example shows. Example 13. We consider the Coxeter Group of type A4 identified with the symmetric group on 5 letters. We number the transpositions s1,..., s10 in the order (1, 2), (2, 3), (3, 4), (4, 5), (1, 3), (2, 4), (3, 5), (1, 4), (2, 5), (1, 5). We choose as Coxeter element the product s1 · · · s4. The atoms of the corresponding dual monoid are in one to one correspondence with the transpositions. We denote the atoms again by s1,... s10. Let P be the standard parabolic subgroup generated by the atom s5 ; then right-lcm(s5, s6 ) = s5 s1 s3, thus v(s6, P ) = s1 s3 and right-lcm(s5, s1 ) = s5 s1 so that v(s1, P ) = s1. Note that s6 does not divide v(s6, P ) = s1 s3. 0 0 Lemma 14. If b, g, g 0 ∈ M and bg and bg are defined, then so are bleft-gcd(g,g ) and 0 bright-lcm(g,g ). 0 Proof. The conditions for bg and bg to be defined are g 4 bg and g 0 4 bg 0. It follows easily that left-gcd(g, g 0 ) 4 b left-gcd(g, g 0 ) and right -lcm(g, g 0 ) 4 b right-lcm(g, g 0 ). For g ∈ M we denote by H(g) the first term of its Garside normal form, equal to left-gcd(g, ∆) and define T (g) by g = H(g)T (g). g Proposition 15. If P − → is a ribbon, so are all the terms of its Garside normal form. H(g) T (g) Proof. It is sufficient to prove that P −−−→ and P H(g) −−− → are ribbons . For the first fact, we have HP (H(g)) = 1 since HP (g) = 1, and P H(g) is defined by Lemma 14, since H(g) = left-gcd(g, ∆). For the second fact, since (P H(g) )T (g) = P g is defined, it is sufficient to show that T (g) is P H(g) -reduced. By Lemma 12 with H(g), T (g) for g, h, we get that HP H(g) (T (g)) = HP (H(g)T (g))H(g) = 1. g g0 Proposition 16. If P − → and P −→ are in the ribbon category, then also the map left-gcd( g,g 0 ) P − −−−−−−−→ 0 Proof. It is clear that HP (left-gcd(g, g 0 )) = 1, and P left-gcd(g,g ) is defined by lemma 14. g g0 Proposition 17. If P − → and P −→ are in the ribbon category, then also the map right-lcm(g,g 0 ) P −−−−−−−−−→. RIBBONS IN GARSIDE MONOIDS 5 0 Proof. It follows from Lemma 14 that P right-lcm(g,g ) is defined. It remains to show g that k = right-lcm(g, g 0 ) is P -reduced. Note that Lemma 12 implies that if P − → is in the ribbon category and g 4 k then g 4 TP (k). It follows that g and g 0 left-divide TP (k), thus k = right-lcm(g, g 0 ) left-divides TP (k) which proves that k is P -reduced. Proposition 18. For P a standard parabolic submonoid, let g ∈ M be P -reduced. Then there is a unique maximal left-divisor of g which is a P -ribbon. If we denote by RP (g) this left-divisor, then RP (g)−1 g is P RP (g) -reduced and there is equivalence between: (i) RP (g) = 1. (ii) Any atom which left-divides ∆P g is in P. Proof. The existence of RP (g) is a consequence of the fact that the ribbon category is stable by right-lcms. The fact that RP (g)−1 g is P RP (g) -reduced is an immediate consequence of Lemma 12. We finally prove the equivalence of (i) and (ii) by observing that RP (g) 6= 1 is equivalent to the existence of an atom s ∈ / P such that vs,P 4 g, which is in turn equivalent to ∆P (s) 4 ∆P g which is equivalent to s left-dividing ∆P g. Proposition 19. Let P be standard parabolic submonoid of M, and let b ∈ P and g ∈ M be such that g is P -reduced and bg is defined. Assume further that ∆P 4 bi for some integer i. Then g is a P -ribbon. Proof. The fact that bg is defined implies that (bi )g is defined, thus replacing b by bi we may assume that ∆P 4 b; let us thus write b = ∆P v. The assumption that bg is defined can be written g 4 ∆P vg. If s is an atom leftdividing g it follows, using Assumption 3, that right-lcm(∆P, s) = ∆P (s) 4 ∆P vg, whence vs,P 4 vg. By Lemma 11 it follows that vs,P 4 TP (vg) = g. We conclude by Noetherian induction on g, since replacing simultaneously g by −1 vs,P g, P by P vs,P and b by bvs,P all the assumptions remain. We conjecture that the assumption in Proposition 19 that ∆P 4 bi for some i can be replaced by the assumption that P is the smallest standard parabolic submonoid containing b. For spherical Artin monoids, this is a result of the beautiful paper [3]. If we could prove that conjecture, we could extend all results of [3] to our setting. We now give a version of Proposition 19 where g is not P -reduced. Proposition 20. Let P be a standard parabolic submonoid of M and let b ∈ P, g ∈ M be such that bg ∈ M. Assume that for some i > 0 we have ∆P 4 bi. Then TP (g) is a P -ribbon. Proof. Let us prove first that bHP (g) ∈ P, that is HP (g) 4 bHP (g). Indeed, from g 4 bg we get HP (g) 4 HP (bg) = bHP (g). Since TP (g) is P -reduced we can now apply Proposition 19 with b replaced by bHP (g) and g replaced by TP (g) and we get the result. Lemma 21. Let P and Q be standard parabolic submonoids of M and g ∈ M, k > 0 be such that (∆kP )g ∈ Q; then TP (g) is a P -ribbon and P TP (g) ⊂ Q. If in addition (∆kP )g = ∆kQ then P TP (g) = Q. 6 FRANÇOIS DIGNE AND JEAN MICHEL Proof. Proposition 20 applied with b = ∆kP shows that TP (g) is a P -ribbon. Replacing ∆kP by some power, we can assume that k > l∆ (HP (g)), where l∆ is the Garside length, that is the number of factors in a Garside normal form. We then have ∆P 4 (∆kP )HP (g) ∈ P. Now any atom of P left-divides (∆kP )HP (g) and is thus conjugate to an element of Q by TP (g), hence P TP (g) ⊂ Q. If (∆kP )g = ∆kQ, let Q0 = P TP (g). We have ∆kQ = (∆kP )g = ((∆kP )HP (g) )TP (g) ⊂ Q0. Hence the divisors of ∆Q in particular all the atoms of Q are in Q0, so that Q = Q0. Garside Group s We now denote by G the group of fractions of the Garside monoid M (which exists since M is an Ore monoid, see [5, 2.32, V and 3.11, II]). We call standard parabolic subgroup GP the group of fractions of a standard parabolic submonoid P. Definition 22. We say that p−1 q is a left reduced fraction for b ∈ G if b = p−1 q with p, q ∈ M and the left-gcd of p and q is trivial. Symmetrically there are right reduced fractions pq −1. By “reduced fraction” we will mean left reduced fraction. The reduced fraction for an element is unique; more precisely if p−1 q is reduced and p−1 q = p0−1 q 0 there exists d such that p0 = dp and q 0 = dq (see [5, 3.11, II]). By [5, II, 3.18] GP is a subgroup of G and GP ∩ M = P. If an element of GP has p−1 q as its reduced fraction in G, then p, q ∈ P since there is a reduced fraction a−1 b in P and a < p and b < q. It follows that if P and Q are standard parabolic submonoids and P ( Q then GP ( GQ. Lemma 23. Let b ∈ GP and g ∈ M be such that bg ∈ M. Then bHP (g) ∈ P. Proof. Let b0 = bg, and write g = HP (g)TP (g). Let bHP (g) = pq −1 where the righthand side is a right reduced fraction in P, that is p, q ∈ P. From the equality of the two fractions TP (g)b0 TP (g)−1 = pq −1 we deduce q 4 TP (g) which implies q = 1 since TP (g) is P -reduced. Assumption 24. We assume that the automorphism induced by the conjugation by ∆ is of finite order, or equivalently that some power of ∆ is central. From now on we assume that Assumption 24 holds. It holds in spherical Artin monoids and in the dual braid monoids of well generated complex reflection groups. Proposition 25. For two standard parabolic submonoids P and Q and g ∈ G the three following properties are equivalent (i) GgP ⊂ GQ (ii) There exists k > 0 such that (∆kP )g ∈ GQ. pg∆i (iii) There exist p ∈ GP and a central power ∆i of ∆ such that P −−−→ is a ribbon such that P pg ⊂ Q. Proof. Clearly (iii) implies (i) and (i) implies (ii). We prove that (ii) implies (iii). Let u = (∆kP )g ∈ GQ. Multiplying g −1 by some central power ∆i of ∆ we get h ∈ M such that uh = ∆kP. Then by the Lemma 23 we have uHQ (h) ∈ Q. We thus have −1 (∆kP )TQ (h) ∈ Q. Multiplying TQ (h)−1 by a central power ∆j of ∆ we get m ∈ M RIBBONS IN GARSIDE MONOIDS 7 TP (m) such that (∆kP )m ∈ Q. By Lemma 21 P −−−−→ is a ribbon. Now h ∈ g −1 ∆i, thus TQ (h) ∈ Qg −1 ∆i, whence m ∈ gGQ ∆j−i and TP (m) is in P gGQ ∆j−i = GP g∆j−i, the last equality since g conjugates GQ to GP. Proposition 26. Assume Assumption 24. For two standard parabolic submonoids P, Q we have equivalence between: (i) There is g ∈ G such that GgP ∩ GQ is of finite index in GgP and in GQ. (ii) There is g ∈ G such that GgP = GQ. (iii) There exists an integer k > 0 and g ∈ G such that (∆kP )g = ∆kQ. g (iv) There exists a ribbon P − → such that P g = Q. Proof. It is clear that g satisfying (iv) satisfies (iii). If g satisfies (iii), we may assume that g ∈ M up to multiplying g by some central power of ∆. Then Lemma 21 shows that TP (g) satisfies (iv). Thus (iv) and (iii) are equivalent. It is clear that g satisfying (iv) satisfies (ii), and that g satisfying (ii) satisfies (i). It is thus enough to show that (i) implies (iv). So we assume (i). Since GgP ∩ GQ is of finite index in GP, there is some positive power k such that (∆kP )g ∈ GQ. It follows by Proposition 25 that there exists g0 g 0 ∈ M of the form g∆i q with ∆i a central power and q ∈ GQ such that P −→ is a 0 ribbon (and P g ⊂ Q). The element g 0 satisfies clearly the same finite index assumptions as g. Thus 0 0 there exists k such that GgP 3 ∆kQ. Let u ∈ GP be such that ug = ∆kQ. By 0 0 Lemma 23 we have uHP (g ) ∈ P, but HP (g 0 ) = 1 thus P g 3 ∆kQ. This implies that 0 0 P g = Q since P g is a standard parabolic submonoid, thus contains all divisors of k its element ∆Q, that is all atoms of Q. For a similar proposition for spherical Artin groups see [4, Théorème 0.1]. Corollary 27. It is equivalent for standard parabolic submonoids P and Q that g ∈ G conjugates GP onto GQ, or that it conjugates some central power ∆kP to ∆kQ. If g ∈ M is P -reduced it is equivalent that it conjugates ∆P to ∆Q or that it conjugates P to Q. In particular if GP is conjugate to GQ and ∆kp is the smallest power central in P then ∆kQ is the smallest power central in Q. Proof. We remark that in the proof (iii) ⇒ (iv) ⇒ (ii) of Proposition 26 the element obtained differs from g by a central power of ∆ and an element of P, which gives that if g conjugates ∆kP to ∆kQ it conjugates P to Q. In the proof of (ii) ⇒ (iii) of Proposition 26 the element obtained is in GP g∆i GQ for some central power ∆i. If ∆kP is central this element has the same effect as g on it. This proves the reverse implication. The second sentence results from Lemma 21. We call parabolic subgroups the conjugates of the standard parabolic subgroups. Note that the notion of parabolic subgroup of G depends on the Garside monoid M ; in particular in a spherical Artin monoid the parabolic subgroups for the ordinary Garside structure are not the same as those for the dual Garside structure. Definition 28. If K = GgP is a parabolic subgroup, we denote by zK the element (∆kP )g where ∆kP is the smallest central power of ∆P. The notation zK makes sense thanks to the following proposition: Proposition 29. Let K, K 0 be parabolic subgroups of G. • zK depends only on K. • It is equivalent that g ∈ G conjugates K to K 0 or zK to zK 0. 0 Proof. For the first item, let K = GgP and K = GgP 0 two ways of conjugating K to a standard parabolic subgroup. This defines two candidates for zK which are 0 (∆kP )g and (∆kP 0 )g. But these two elements are equal by Corollary 27 since g 0 g −1 conjugates P 0 to P, thus ∆kP 0 to ∆kP. 0 For the second item, let K = GgP and K 0 = GgP 0 be ways of conjugating K, K 0 0 to standard parabolic subgroups. Then zK = (∆kP )g and zK 0 = (∆kP 0 )g. Now 0−1 K x = K 0 for some x ∈ G is equivalent to Ggxg = GP 0 and we conclude again by P Corollary 27. Proposition 30. Let K = GbP be a parabolic subgroup of G, where P is a standard parabolic submonoid and b ∈ M. Define b0 by HP (b)RP (TP (b))b0 = b and Q by Q = P RP (TP (b)). Then b0−1 ∆kQ b0 is the reduced fraction of zK, where ∆kQ is the smallest central power of ∆Q in Q. Proof. We first remark that by definition we have (∆kP )b = zK. We may clearly replace b in this equality by TP (b). Let c = RP (TP (b)); we have (∆kP )c = ∆kQ. We thus get zK = b0−1 ∆kQ b0. We claim this is a reduced fraction. Indeed by construction RQ (b0 ) = 1 thus by Proposition 18(ii) any atom left-dividing ∆Q b0 is in Q, thus the same is true for ∆kQ b0 by induction, using that for k > 1 one has 0 0 H(∆kQ b0 ) = H(∆Q H(∆k−1 Q b )). Since b is Q-reduced, the fraction is reduced. 0 Note that b0 above is minimal such that b K is standard, that is any u ∈ M such that uK is standard is a left multiple of b0, and GQ is a “canonical” standard parabolic subgroup conjugate to K. For spherical Artin groups the proposition is [2, Theorem 3] and the element b0 is called a minimal standardizer. An immediate consequence of Proposition 30 if that it is equivalent that zK ∈ M or that K is standard. References [1] D. Bessis, Finite complex reflection arrangements are K(π, 1), Ann. of Math. 181 (2015) 809–904 [2] M. Cumplido, On the minimal positive standardizer of a parabolic subgroup of an Artin-Tits group, J. Algebraic Combinatorics 49 (2019) 337–359 [3] M. Cumplido, V. Gebhardt, J. Gonzalez-Meneses and B. Wiest, On parabolic subgroups of Artin-Tits groups of spherical type, Adv. Math. 352 (2019) 572–610 [4] E. Godelle, Normalisateur et groupe d’Artin de type sphérique, J. Algebra 269 (2003) 263–274 [5] P. Dehornoy, F. Digne, E. Godelle, D. Krammer, J. Michel, Foundations of Garside theory, EMS Tracts in Math. 22 (2015) [6] F. Digne, I. Marin and J. Michel, The center of pure complex braid groups J. Algebra 347 (2011) 206–213 (F. Digne) Laboratoire Amiénois de Mathématique Fondamentale et Appliquée, CNRS UMR 7352, Université de Picardie-Jules Verne, 80039 Amiens Cedex France. Email address: digne@u-picardie.fr URL: www.lamfa.u-picardie.fr/digne RIBBONS IN GARSIDE MONOIDS 9 (J. Michel) Institut Mathématique de Jussieu – Paris rive gauche, CNRS UMR 7586, Université de Paris, Bâtiment Sophie Germain, 75013, Paris France. Email address: jean.michel@imj-prg.fr URL: webusers.imj-prg
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Reading Needs Analysis of EFL Learners in the Saudi Context: Identifying Needs and Deficiencies
Asmaa A. AlGhamdi
Latin
Spoken
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12,007
International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 Abstract The aim of the current study is to do a reading needs analysis of preparatory-year students in the Saudi context. The scope is to identify the reading needs and deficiencies of EFL learners www.macrothink.org/ijele 92 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 at King Abdulaziz University. The instrument used is a paper-based questionnaire that was distributed among the participants. A total of sixty-three female students participated in the study. The questionnaire is adapted from the needs analysis questionnaire for non-English learners (Gravatt, Richards & Lewis, 1997). Two open-ended questions were added in order to get in-depth data from the participants. The statistical analysis was utilized for the quantitative data via SPSS whereas the open-ended questions were analyzed thematically using NVivo. The results demonstrate that EFL learners in the Saudi context have deficiencies of some reading strategies such as reading speed and reading to respond critically. However, they do not have difficulties with general comprehension of reading texts and they are able to read slowly in order to understand the details of the text. Regarding preferences, they mostly like to read works of fiction such as stories or novels but they do not prefer to read long texts. Based on the findings, this study was able to draw a number of implications and propose several recommendations. Keywords: reading, needs analysis, deficiencies, needs, Saudi, EFL learners Keywords: reading, needs analysis, deficiencies, needs, Saudi, EFL learners 1. Introduction Needs analysis is the collection of data to better understand the needs and deficiencies of language learners, and is particularly useful for learners of English as a Foreign Language (EFL) and experts of Teaching English as a Second Language (TESOL). Needs analysis therefore forms an integral part of modern language course design. In general, needs analysis prioritizes the development of methods that assist tutors and instructors in developing course delivery techniques that put students’ needs at the core of their teaching. It thus emphasizes learners’ motivation and success as more learners are assigned tasks that meet their learning needs. “Needs analysis is very crucial in language teaching, and it gains support from the new trends that focus on its importance. Students needs can be identified either directly by asking them to put their aims, preferences, priorities, or by using a questionnaire that is used to know their needs” (Habib, 2018). Overall, a number of educational trends come under the umbrella of needs analysis, including models to help teachers develop course delivery methods according to students’ needs. The theoretical basis for needs’ analysis aims at serving learners’ motivation and enhance their success, and self-selection of tasks or learning activities (Graves, 1996; Fatihi, 2003; Weddel & Van Duzer, 1997). In particular, needs analysis can be used to gain a better understanding of the reading strategies, habits and comprehension skills of learners, and it is often the first step in curriculum development (Malika, 2017). Comprehension is a particular focus of needs analysis, since without comprehension, reading is considered null and void—a waste. Previous research studies have recommended the application of schema theory before, during, and after reading to activate learners' background knowledge on any subject matter. This enhances learning and can serve as a complementary technique to needs analysis. Learning strategies that incorporate needs analysis are more learner-centric and pay more attention to the needs of the learner, thereby, achieving better learning outcomes. The www.macrothink.org/ijele 93 www.macrothink.org/ijele 2.1 The Importance of Needs Analysis Needs analysis is somewhat an unexplored field of research in Saudi Arabia despite its importance. One of the most powerful books that emphasizes the importance of needs analysis when designing courses is "Teachers as Course Developers" by Kathleen Graves. She (1996) provides models and frameworks about successful curricula, as she mentions in Framework components that needs assessment is about two major questions: "What are my learners' needs?" and "How can I assess them so that I can address them?" (p. 13). A review in 1980 found that we conceptualize needs by distinguishing between subjective needs and objective needs (as cited in Graves, 1996, p. 13). Needs analysis is a continual process; as it is ongoing before, within, and after the course period (Graves, 1996, p. 16). The aim of the current study is to discover reading strategies, the needs and the weaknesses of adult EFL learners of preparatory-year students, so, the importance of needs analysis should be discussed to allow teachers to make informed decisions about the syllabus objectives and aims. A theoretical study in an international context on ESL learners reveals the importance of conducting needs analysis (Weddel, Kathleen Santopietro; Van Duzer, Carol, 1997, p. 1). Another study conducted in India emphasizes the role of needs analysis in ESL program design based on theoretical implications examine the students' needs (Fatihi, 2003, p. 57). The findings from the two surveys confirm that when curriculum content, materials, and instructional methodologies match students' needs, students' motivation and level of success are amplified despite the conflict between students' needs and teacher pedagogy (Weddel & Van Duzer, 1997; Fatihi, 2003). In addition, according to other interesting findings of studies in the United States, students' needs are: creating awareness of triangulation through different perspectives whether from students, teachers, and administrative personnel and to have a clear picture of academic needs analysis (Long, 2005; Zhu & Jeffra, 2005). Boakye and Mbong (2016) present their needs analysis study on first-year sociology students in South Africa which reveals that comprehension is a real challenge due to new vocabulary items and length of texts (p. 235). International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 importance of needs analysis is being realized gradually with the aim of helping curriculum developers and stakeholders understand English-language learners’ needs and deficiencies in order to achieve better learning outcomes. 2.2 Reading Comprehension Processes Reading is useless without comprehension. In fact, the comprehension process needs a certain input (text) to build vocabulary and interact with the meaning conveyed in the text. Many significant studies indicate the relationship between reading comprehension and second language development. A study conducted in a Canadian university on 37 adult learners in a comprehension-based class and 18 in the four-skill comparison class reveals that the comprehension- based class made gains in discourse knowledge, while the four-skill class www.macrothink.org/ijele www.macrothink.org/ijele 94 2.3 Reading Strategies Teachers apply reading strategies with their learners, but are learners aware of those strategies? To answer this question, it should be known that reading strategies are cognitive and metacognitive; the cognitive reading strategies is the implicit application of these strategies, whereas the metacognitive reading strategies are the knowledge of how reading strategies are applied. Most studies demonstrate strategic reading in second language learning as a very effective element for ESL learners (Phakiti, 2006; Mikulecky, 2008; Alsamadani, 2008; Iwai, 2009; Vaiciuniene & Uzpaliene, 2013; Dahish, 2017). A study was conducted in 2008 to explore Saudi students' use of reading strategies in four major universities in Saudi Arabia including King Abdul-Aziz University, King Faisal University, Teachers' College in Jeddah, and Teachers' College in Al-Ahsa. It shows that most Saudi learners are aware of reading strategies, but there is no significant relationship between reading strategies and the level of comprehension as they use questioning strategies, and translation (Alsamadani, 2008, pp. 112-114). In addition, an exploratory study of cognitive reading strategies employed on ESL students of various academic levels in a university in Mississippi, USA was conducted to explore the importance of metacognitive awareness in reading. It indicates the fact that less-advanced readers may require more explicit use of reading strategies (more metacognition) than advanced learners (Iwai, 2009, p. 151). However, online reading strategies employed by university students in a university in Lithuania, demonstrates that online readers work successfully with text to cope with difficulties. Another study in the USA acknowledges that students prefer short stories and “dislike texts stuffed with unfamiliar words”; they are well aware of using metacognitive strategies but they are not consistent in using them (Vaiciuniene & Uzpaliene, 2013; Dahish, 2017). International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 made gains on content words, and that comprehension-based programs developed learners' proficiency (Paribakht, T. Sima; Wesche, Marjorie Bingham, 1993, pp. 13-23). It is important to keep in mind that schemata are interrelated to reading comprehension, because background knowledge aids comprehending and input. It is vital to inspire ESL readers to follow a reading strategy and activating schemata to become better readers (Stott, 2001, p. 4). Furthermore, a study on English learners in the United States provides advice to practitioners and TESOL researchers about how students learn to read in English in order to decide on the best types of activities, e.g. bottom-up models, top-down models, and interactive models (Burt, Miriam; Peyton, Joy Kreeft; Adams, Rebecca, 2003, pp. 5, 24). Additionally, another study on English learners in Riyadh, Saudi Arabia discusses cognitive tasks involved in reading that teachers use in their instruction, and the findings support the importance of the fluency stage of reading and word recognition (Alyousef, 2006, pp. 64, 70). A survey-based study on 420 ESL certified teachers in New York highlights scaffolding, and reveals that higher level questioning, graphic organizers, informal assessment, underlining, and pre-reading activities enhances reading comprehension (White, 2016, pp. 79-83) International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 how and why Saudi students fail to interact with English reading; as they differ in vocabulary building and reading speed (Alhoshan, 2014, pp. 17, 170). Lempke (2016) appears to explore attitudes of Saudi students in ESL classrooms and their academic reading. She finds that reading in L1 affects L2, and that Saudi students tend to use reading strategies to aid their reading. However, they face difficulty with vocabulary and thus, become demotivated (Alhoshan, 2014; Lempke, 2016). Further research studies on needs analysis are urgently needed in order to investigate Saudi ESL learners' needs and deficit in reading strategies. The current study might proceed in recognizing the current situation of Saudi preparatory-year students, assist teachers to develop their instructional methods, and try to persuade stakeholders to develop academic English program curricula which fit the current needs of those students. To the best knowledge of the researchers, there are not enough studies on needs analysis in the Saudi context, and therefore, the current study will add a lot to TESOL researchers' ideas on the needs analysis issue that focuses on reading strategies. The major contributions of previous studies assist in creating awareness of the importance of needs analysis, exploring reading comprehension and discovering TESOL methodologies, cognitive and metacognitive strategic reading, and recent difficulties derived from ESL readers. There are many gaps found in the previous studies which cannot be generalized. The list includes the inadequacy of reading models to teach reading, inactivated schemata of some ESL learners while reading, incomplete picture of needs, limitations either on teachers' perspectives of learners' perspectives (not both), strategies that are not enough to enhance comprehension, and the limited number of participants (Alhoshan, 2014; Alsamadani, 2008; Alyousef, 2006; Boakye & Mai, 2016; Dahish, 2017; Fatihi, 2003; Gravatt & Richards, 1997; Graves, 1996; Iwai, 2009; Jalilehvand, 2012; Lempke, 2016; Long, 2005). Further studies have to include more EFL learners in Saudi Arabia, and needs analysis has to be an ongoing process with extended time frames. Thus, conducting a research on reading needs analysis in the Saudi context will add to the existing literature, and will help to identify needs and deficiencies, on one hand, and define updated goals and aims of English programs, on the other. 2.4 Difficulties in Reading One of the aims of the current study is to explore the deficiencies of reading strategies among Saudi preparatory-year students. One of the studies in Saudi Arabia provides literature about www.macrothink.org/ijele 95 www.macrothink.org/ijele Therefore, the current study aims to address EFL learners' needs and deficiencies of reading strategies in the preparatory-year level at King Abdulaziz University. www.macrothink.org/ijele International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 this review is the investigation of EFL preparatory year students' awareness of reading strategies, or the deficiency thereof, and their needs in future reading comprehension learning skills. For the organizational pattern of this review, we cover various significant concepts which are complementary to "needs analysis of reading", i.e. needs analysis procedures (NA), comprehension of text, reading strategies (cognitive and metacognitive), and difficulties in reading. Needs analysis is the process of data collection conducted for the sake of satisfying language learners' necessities, deficiencies, and needs (Nation, I. S. P.; Macalister, John, 2010, p. 26). In this review, we highlight learners' needs and deficiencies. The rationale behind the current study is to make sure that the reading strategies adopted in the English courses for preparatory year students in King Abdul-Aziz University will be relevant and satisfying to them so that EFL teachers can act as TESOL role models to develop textual contents in the required books and modify their teaching strategies and materials. The overall trends that come under the umbrella of needs analysis are models to assist teachers to develop and deliver courses according to students' needs, to review theoretical implications to emphasize the importance of needs' analysis to serve learners' motivation and enhance success, and to liberate students to select their tasks or activities (Graves, 1996; Fatihi 2003; Weddel & Van Duzer, 1997). Moreover, comprehension is one of the most important components of reading; as without it, reading is useless and input is disregarded. Many studies reveal concerns about comprehending reading texts through considering language learning outcomes of teaching methodologies to emphasize global comprehension of written and oral texts, schema theory applications to activate learners' background knowledge before, while, and after reading (Paribakht & Bingham, 1993; Scott, 2001). Consequently, studies on how adult English learners learn to read English as an L2 demonstrate to practitioners how to decide on required activities and tasks to polish the reading process (Burt, Miriam; Peyton, Joy Kreeft; Adams, Rebecca, 2003, p. 5). In addition, Alyousef (2006) suggests in his theoretical paper the methods teachers use in teaching reading comprehension and the cognitive tasks teachers use whenever they teach reading comprehension in a Saudi context (p. 64). 3. The Rationale for the Study Needs analysis of L2 reading is an extraordinary and compulsory element when course experts design language programs. There is actually a growing demand for needs analysis to enhance language curricula. Actually, very little attention is paid to needs analysis, so we have to connect theory to practice and rethink about the importance of needs analysis (Long, 2005, p. 2). In a Saudi context, particularly, in the preparatory-year programs of universities, female students face difficulties in the reading comprehension part of the mid-term and final CBT examinations. As a result, we investigate "needs analysis" for "reading strategies" and focus on "needs" and "deficiencies" of the targeted students to encourage the curriculum development team and the stake holders to work for a better program which suits students' needs. The central theme of www.macrothink.org/ijele 96 Other studies have been conducted to reinforce employing both cognitive and metacognitive strategic reading form learners' or teachers' perspectives, and effective instruction in reading (Phakiti, 2006; Mikulecky, 2008; Alsamadani, 2008; Iwai, 2009; Vaiciuniene & Vilhelmina Uzpaliene, 2013; Dahish, 2017). Therefore, raising teachers' and practitioners' awareness of teaching reading comprehension is of vital importance in all contexts. 2. What do EFL learners want or prefer to read? (Needs) 1. How often do EFL learners have difficulties with reading strategies? (Deficiencies) 1. How often do EFL learners have difficulties with reading strategies? (Deficiencies) 2. What do EFL learners want or prefer to read? (Needs) 4. Research Questions 97 www.macrothink.org/ijele 5.4 Instrumentation A paper-based questionnaire was distributed among the participants in April 2018 (See Appendix B). On one hand, the first part aims to identify the reading needs of students. It has an open-ended question and a set of dichotomous questions in which students select between "Yes" or "No". On the other hand, the second part aims at investigating the deficiencies of reading strategies among the participants. It has an open-ended question and a five-point Likert scale, with 1 having "always" and 5 having "never". The students are asked to indicate how often they have difficulty with reading strategies. The questionnaire in the current study is adapted from the needs analysis questionnaire for non-English students utilized at the University of Auckland (Gravatt, Richards & Lewis, 1997). It has been translated into Arabic to ensure the comprehensibility of the items since all the participants are Arab EFL learners. 5.3 Research Design The current study is questionnaire-based. It is used to identify the reading deficiencies and needs of EFL learners at the preparatory-year level in the Saudi context. 5. Methodology 5. Methodology 5.1 Participants They are EFL students in the preparatory-year level at King Abdulaziz University. They are sixty-three female students who were randomly selected to participate in the current study. Random sampling is considered a good representative and it helps to eliminate bias as it provides every individual an equal opportunity of being selected (McLeod, 2014; Alvi, 2016). According to the Common European Framework of Reference for Languages (CEFR), the participants are at B1. Their ages range from seventeen to nineteen. 5.2 Piloting Prior to the data collection phase, the questionnaire has been piloted to ensure the clarity and comprehensibility of the items. It was randomly distributed to seven of the intended participants. The items were evaluated as very clear and easy to understand. The value of Cronbach's Alpha is 0.71 which indicates that the questionnaire has an acceptable reliability. This was utilized via SPSS in order to determine the internal consistency of the items. In terms of validity, the questionnaire was given to two TESOL experts to provide their feedback about it and to ensure the accuracy of the Arabic translation. Accordingly, some amendments had taken place before the questionnaire went live. International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 6. Analysis and Discussion 6.1 Statistical Analysis International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 www.macrothink.org/ijele 5.5 Procedure In order to collect the data, a paper-based questionnaire was distributed randomly among the participants. Sixty-three of them completed the questionnaire thoroughly. With regard to data analysis, quantitative data were analyzed via (SPSS) to find the percentages of all answers. Thematic analysis for the two open-ended questions was utilized using NVivo. Based on the findings of the study, a number of implications and recommendations were drawn. www.macrothink.org/ijele www.macrothink.org/ijele 98 6.1 Statistical Analysis The first part of the questionnaire investigates the reading needs of EFL learners. Table 1 indicates that they mostly prefer to read works of fiction such as novels and stories, selected chapters of books, and photocopied notes with the percentages (73%, 68%, 78%) respectively. However, the participants do not prefer to read newspaper articles, text books, workbooks, and computer-presented reading materials with the percentages of (73%, 68%, 84%, 64%) respectively. Such results align with the findings of previous studies that students like reading short stories but they not reading long texts (Vaiciuniene & Uzpaliene, 2013; Dahish, 2017). Table 1. Types of material students prefer to read (Needs) Prefer to read No (%) Yes (%) 52 48 1. Magazine articles 73 27 2. Newspaper articles 27 73 3. Works of fiction 68 32 4. Text books 32 68 5. Selected chapters of books 22 78 6. Photocopied notes 84 16 7. Workbooks 40 60 8. Laboratory instructions 64 36 9. Computer-presented reading materials Table 1. Types of material students prefer to read (Needs) The aim of the second part of the questionnaire is to find out the reading strategies that EFL learners deficiencies. As shown in Table 2, most students have difficulty with reading speed and reading to respond critically with the following percentages (27%, 19%). However, the results demonstrate that students can generally comprehend texts that received the highest percentage (40%), followed by their ability to read slowly to understand the details of the passage with the percentage of (31%). Generally speaking, EFL students at the preparatory-year level in the Saudi context lack several reading strategies such as reading speed, reading to critique the text, understanding specialist vocabulary in a text, and understanding the main points of reading texts. This finding goes in line with Alhoshan's (2014) and Lempke's (2016) results which state that Saudi students have difficulties with reading speed and vocabulary items. Additionally, Table 2 indicates that students have www.macrothink.org/ijele 99 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 difficulty with guessing unknown words from the text and understanding the text organization but such difficulties are rare. In contrast, they do not have any difficulties with the general comprehension of reading texts and they are able to read slowly and carefully to understand the details of the text. Table 2. Frequency of difficulty students have with the reading strategies (Deficiencies) Never (%) Rarely (%) Sometimes (%) Often (%) Always (%) 13 30 33 11 13 10. Understanding the main points of text 29 19 22 14 16 11. Reading a text quickly in order to establish a general idea of the content (skimming) 31 19 18 14 18 12. Reading a text slowly and carefully in order to understand the details of the text 30 17 22 18 13 13. Looking through a text quickly in order to locate specific information (scanning) 11 29 23 18 19 14. Guessing unknown words in a text 14 29 30 14 13 15. Understanding text organization 9 25 33 27 6 16. Understanding specialist vocabulary in a text 24 14 19 16 27 17. Reading speed 18 22 25 16 19 18. Reading in order to respond critically 24 25 29 11 11 19. Understanding a writer's attitude and purpose 40 19 14 11 16 20. General comprehension able 2. Frequency of difficulty students have with the reading strategies (Deficiencies) difficulty students have with the reading strategies (Deficiencies) 3.1.1 Free Reading The most striking result to emerge from the data is that 68.6% of preparatory-year students read only novels. This suggests that the readers were engaged not in the reading activity itself but in other aspects such as the story events, the illustrations and visual aspects provided. This is consistent with studies conducted in the United States which found that students prefer short stories and dislike texts with many unfamiliar words (Vaiciuniene & Uzpaliene, 2013; Dahish, 2017). That confirms the association between the two themes referred to previously. Similarly, Jalilehvand (2012) analysed the effects of text length and images on reading comprehension among high school students, and found that images had a larger impact on younger learners and less-skilled readers 3.1 Reading for Pleasure Learners in different academic institutions are exposed to different reading materials and their preferences are based on their reading comprehension abilities. 6.2 Thematic Analysis for the Open-ended Questions The responses indicate students’ reading preferences (needs) in table 3. Three broad themes emerged from the responses: reading for pleasure, reading for purpose, and reading for schooling. The majority of participants stated that they prefer to read for pleasure, and these responses could be further divided into two sub-themes: free reading and extensive reading. 100 www.macrothink.org/ijele International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 Table 3. Students' preferences of reading Themes Sub-theme s Description % 1. Reading for pleasure Free reading Students enjoy reading stories and books with illustrations. 68.6 Extensive reading Students read extensive material for pleasure on topics that interest them (novels). 5.7 2. Reading for purpose -- Students tend to read for a specific purpose, such as a task or project at school. 19 3. Reading for schooling -- Students read mainly to study school subjects. 3.8 4. No interests in reading -- Students are not engaged in reading activities. 2.9 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 Table 3. Students' preferences of reading Themes Sub-theme s Description % 1. Reading for pleasure Free reading Students enjoy reading stories and books with illustrations. 68.6 Extensive reading Students read extensive material for pleasure on topics that interest them (novels). 5.7 2. Reading for purpose -- Students tend to read for a specific purpose, such as a task or project at school. 19 3. Reading for schooling -- Students read mainly to study school subjects. 3.8 4. No interests in reading -- Students are not engaged in reading activities. 2.9 3.1.2 Extensive Reading The data also identified that 5.7% of the participants have a zeal for reading about new things in the world. They are motivated by a need to explore and learn. One such participant stated that “I like knowing what is new through exploring the internet and reading articles online.” www.macrothink.org/ijele 101 www.macrothink.org/ijele International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 This type of student may like reading content that does not directly improve their school work; However, it is important to focus on helping such students access articles they find interesting in order to encourage them to keep reading. Studies have found that students who read online work successfully with texts to cope with difficulties (Vaiciuniene & Uzpaliene, 2013; Dahish, 2017). This is therefore an approach that teachers should apply in teaching English to Saudi students. 3.2 Reading for Specific Purposes According to the current study, 19% of the learners are motivated to conduct extensive research. Such individuals have a higher overall reading comprehension capacity than those who do not like or engage in reading, and they have good reading habits—a requirement for educational success. The exploration of different types of content through research can help students understand new concepts presented to them. Teachers can encourage this type of learners by introducing specific topics that interest them. When students are thus encouraged by their teachers, they end up developing a reading culture, which can further enhance both reading and writing skills. Since this approach is different from the one needed for the previously discussed readers, a needs analysis should be conducted to know which kind of students a teacher is handling. Studies on how adult English learners discover ways to read English as an L2 reveal to practitioners a way to decide on required activities and tasks to sharpen the reading process (Burt, Kreeft Peyton, & Adams, 2003). 3.3 Reading for Schooling While analysing the open-ended questions, it was thought that reading for schooling would be a major theme. However, this turned out to be a minor theme among the Saudi students under study Only about 3.8% read for schooling purposes. 3.4 No Interest in Reading Some people are not in the habit of reading, and their reading comprehension is limited. They learn more from engaging with images or audio content. Recent literature shows that Saudi students are unable to read interactively reflecting their attitudes towards reading itself (Alhoshan, 2014; Lempke, 2016). Data collected for this study similarly found that 2.9 % of the participants were not interested in reading. They did not know how to read effectively, and they found the recommended materials boring due to the lack of illustrations. One of the participants stated that “I would prefer watching documentary films than reading.” Given these results, learners who do not have the capacity and interest to read the available materials should be identified by doing a needs analysis. Teachers can then provide these students with alternative content, such as podcasts or videos. This can be done in any educational institution where teachers create podcasts to make the content more available to students with lower reading comprehension. Also, the availability of other formats is important in order for students to select according to their need. Table 4 presents students' suggestions for improving reading at the university level 102 www.macrothink.org/ijele www.macrothink.org/ijele International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 (deficiencies). Four major themes emerged from the responses: planning, places, content, and demotivation. The first theme has been categorized into three sub-themes: provide courses for reading strategies, devote time, and raising awareness of the importance of reading. Table 4. Students' suggestions to improve reading at the university level Themes Sub-theme s Description % 1.Planning Provide courses for reading strategies Students understand what they need help in developing their reading skills and want courses to fill the knowledge gap. 42.8 Devote time Students understand the need to spend more time on reading activities 11.7 Raising awareness Students understand that awareness about the importance of reading is required in university faculty. 10.4 2. Places -- Students want appropriate reading facilities 19.5 3. Content -- Students want the library to provide more genres of text. 14.3 4. Demotiva- tion -- Some students have negative views about attending libraries 1.3 Table 4. Students' suggestions to improve reading at the university level 4.1 Planning for Reading 4.1.1 Providing Time 4.1 Planning for Reading 4.1.1 Providing Time 4.1 Planning for Reading 4.1.1 Providing Time Time management is an essential tool in all educational domains. Everything that is done has been planned for; course lessons are prepared to ensure that all learners and teachers manage their time carefully. Given this, 11.7% of the students in this study argued that the time allocated to reading should be increased and there should be a well laid out plan for how reading should be done. Usually, libraries within educational facilities close early, which means that students who cannot read and understand things quickly are unable to spend as much time as they need in the library. Expanding hours of university libraries would thus help 103 www.macrothink.org/ijele 4.3 Provide a Variety of Content The content provided to learners often influences their abilities to understand different concepts. A variety of learning materials should be provided to students based on their different needs and abilities. Regarding this study, 14.3% of the participants indicated that they would like to be provided with simple content. One of the participants commented that “some of the content that we have access to in the library is too difficult to understand.” Also, they would like to be provided with illustrated materials as they believed that illustrated information would enhance their understanding. Therefore, teachers should try to introduce materials that suit students' level. Libraries should also provide illustrated materials and other simple content which can help to enhance learners' comprehension in the long run. 4.2 Improvement of Reading Places Environments can affect how comfortable learners are when reading. Research has found a strong relationship between study support and difficulties in using facilities (Phakiti & Li, 2011). Proper use of study facilities can have a positive effect on the quality of learning and academic achievement outcomes (Berno & Ward, 2003; Bundy, 2003; Jackson, 2005; Wang, 2006). Learners are attracted to reading environments and places where they can spend long hours for reading. About 19.5% of the participants indicated a need for more places that are conducive to reading and one of them suggested establishing an ambient library. This could include new library facilities as well as more reading spaces within educational institutions. The creation of additional and more attractive reading environments could therefore help students spend more time on reading and improve their reading skills. 4.1.2 Providing Courses about Reading Strategies Reading strategies are beneficial for enhancing reading comprehension, which in turn allows readers to make sense of what they are reading. According to the current study, 42.8% of the participants understood that they need help in developing their reading skills, and specifically requested opportunities to take courses on how to become strategic readers. A recent survey of ESL teachers highlighted the importance of scaffolded learning for students to discover strategic reading tools to build comprehension (White, 2016, pp. 1-92). International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 ensure that students with varying reading capabilities are given the opportunity to enhance their reading skills. An initial needs analysis would be necessary to understand how much time learners require for reading. 7. Conclusion To sum up, the aim of the study is to do a reading needs analysis of EFL learners in the Saudi context with the focus on identifying the needs and deficiencies. The participants are sixty-three female students. The study is questionnaire-based that is adapted from the needs analysis questionnaire for non-English students (Gravatt, Richards & Lewis, 1997). The questionnaire has dichotomous questions and another set of questions of five-point Likert scale. Also, it has two open-ended questions. The quantitative data were analyzed via SPSS 104 www.macrothink.org/ijele www.macrothink.org/ijele International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 whereas thematic analysis was utilized using NVivo. The findings indicate that Saudi EFL learners lack some reading strategies such as reading speed and reading to critique the text, and they have preferences to read some materials like novels more than others. 8. Implications and Recommendations Based on the findings of the current study, there are some implications and recommendations that need to be mentioned. The results of the study encourage teachers to focus on students' deficiencies and needs in order to improve their reading ability. For example, students need instruction on how to read to critique a particular text and they need to improve their reading speed through extensive practice of timed-reading. In addition, EFL learners' needs should be taken into consideration by integrating their preferences in reading classrooms. The findings indicate that students prefer to read works of fiction such as novels and short stories, so, such preferences need to be addressed. For example, teachers can assign some stories for students to work in groups to perform a role-play, make presentations or summarize the main points. Also, teachers need to implicitly or explicitly teach reading strategies to students and include a variety of reading materials while designing the course syllabus. Students should develop their autonomy by searching and reading based on their interests rather than depending on their teachers or the course materials. It is of paramount importance to do a needs analysis prior to designing any reading course in order to meet students' different needs and preferences. References Alhoshan, B. (2014). Affordances and Constraints in an ESL REading Classroom: A Study of Four Saudi Students' Cases. UMI ProQuest, 1-187. https://doi.org/10.1.1.842.5495 Alsamadani, H. A. (2008). The Relationship between Saudi EFL College-Level Students' Use of Reading strategies and Thier EFL Reading Comprehension. UMI Microform ProQuest, 1-173. Retrieved from https://etd.ohiolink.edu/ Alvi, M. (2016). A Manual for Selecting Sampling Techniques in Research. Retrieved from https://mpra.ub.uni-muenchen.de/70218/ Alyousef, H. S. (2006). Teaching Reading Comprehension to ESL/EFL Learners Journal of Language and Learning. Journal of Language and Learning, 5(1), 63-73. Boakye, N. A., & Mai, M. M.-2. (2016). A Needs Analysis for a Discipline-Specific Reading Intervention. Eric, 9(3), 235-247. Retrieved from https://eric.ed.gov/?id=EJ1095543 Burt, Miriam; Peyton, Joy Kreeft; Adams, Rebecca. (2003). Reading and Adult English Language Learners. Washington, DC: Center for Applied Linguistics. Retrieved from https://eric.ed.gov/?id=ED505537 105 www.macrothink.org/ijele www.macrothink.org/ijele International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 Dahish, J. M. (2017). ESL Students' Metacognitive Awareness of Their Reading Strategies. ProQuest, 1-106. Dahish, J. M. (2017). ESL Students' Metacognitive Awareness of Their Reading Strategies. ProQuest, 1-106. Fatihi, A. R. (2003). The Role of Needs Analysis in ESL Program Design. South Asian Language Review, 13(1-2), 39-59. Retrieved from http://www geocities ws/southasianlanguagereview/SecondLanguage/fatihi pdf http://www.geocities.ws/southasianlanguagereview/SecondLanguage/fatihi.pdf Gravatt, B., Richards, J. & Lewis, M. (1997). Language Needs in Tertiary studies. Auckland: Occasional Paper Number 10, University of Auckland Institute of Language Teaching and Learning. Graves, K. (1996). Teachers as Course Developers. New York: Cambridge University Press. Iwai, Y. (2009). Metacognitive Awareness and Strategy Use in Academic English Reading among Adult English as a Second Language (ESL) Students. UMI Microform ProQuest, 1-212. Retrieved from https://aquila.usm.edu/cgi/ Jalilehvand, M. (2012). The effects of text length and picture on reading comprehension of Iranian EFL students. Asian Social Science, 8(3), 329. Retrieved from http://academia.edu Lempke, K. (.-1. (2016). . ESL Students from the Arabian Gulf and their Attitudes towards Reading. ProQuest, 1-114. https://doi.org/10250526 Long, M. H. (2005). Second Language Needs Analysis. New York: Cambridge University Press. McLeod, S. (2014). Sampling Methods. Retrieved from https://www.simplypsychology.org/sampling.html Mikulecky, B. S. (2008). Teaching Reading in a Second language. Pearson Education, 1- Nation, I. S. P. & Macalister, John. (2010). Language Curriculum Design. New York: Routledge. Paribakht, T. Sima & Wesche, Marjorie Bingham. (1993). Reading Comprehension and Second Language Development in a Comparision-Based ESL Program. TESL CANADA JOURNAL, 11(1), 9-29. Phakiti, A. (2006). Theoretical and Pedagogical Issues in ESL/EFL Teaching of Strategic Reading. University of Sydney Papers in TESOL, 1, 19-50. Retrieved from researchgate.net Phakiti, A., & Li, L. (.-2. (2011). General academic difficulties and reading and writing difficulties among Asian ESL postgraduate students in TESOL at an Australian university. RELC Journal, 42(3), 227-264. Retrieved from journals.sagepub.com Stott, N. (2001). Helping ESL Students Become Better Readers: Schema Theory Applications and Limitations. The Internet TESL Journal, 7(11), 1-7. Retrieved from http://semanticscholar.org 106 www.macrothink.org/ijele Vaiciuniene, V., & Uzpaliene, D. (2013). Metacognitive Online Reading Strategies in Foriegn Language Learning Context at University. Social Technologies, 3(2), 316-329. Social Technologies, 3(2), 316-329. Retrieved from semanticscholar.org Vaiciuniene, V., & Uzpaliene, D. (2013). Metacognitive Online Reading Strategies in Foriegn Language Learning Context at University. Social Technologies, 3(2), 316-329. Social Technologies, 3(2), 316-329. Retrieved from semanticscholar.org Weddel, Kathleen Santopietro & Van Duzer, Carol. (1997). Needs Assessment for Adult ESL Learners. Ericae.net, 1-4. Retrieved from http://ed.gov White, P. A. (2016). A Qualitative Study of ESL Teacher Experiences and Perceptions of Comprehension and Scaffolding for Refugee Students. ProQuest, 1-92. https://doi.org/10092279 Zhu, W., & Flaitz, J. (2005). Using Focus Group Methodology to Understand International Students' Academic Language Needs: A Comparison of Perspectives. TESL-EJ, 8(4), 1-9. https://doi.org/1068108 Appendix Appendix Appendix 1. The English version of the questionnaire adapted from (Gravatt, Richards & Lewis, 1997) The following questions concern the reading tasks required of you during the course. The following questions concern the reading tasks required of you during the course. 1. Which of the following types of material you prefer to read: Prefer to read No Yes 1. Magazine articles 2. Newspaper articles 3. Works of fiction 4. Text books 5. Selected chapters of books 6. photocopied notes 7. Workbooks 8. Laboratory instructions 9. Computer-presented reading materials 107 www.macrothink.org/ijele International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 2. What do you prefer to read? ............................................................................................................................. ....................... 3. Indicate how often you have difficulty with each of the following: Never Rarely Sometimes Often Always 10. Understanding the main points of text 11. Reading a text quickly in order to establish a general idea of the content (skimming) 12. Reading a text slowly and carefully in order to understand the details of the text 13. Looking through a text quickly in order to locate specific information (scanning) 14. Guessing unknown words in a text 15. Understanding text organization 16. Understanding specialist vocabulary in a text 17. Reading speed 18. Reading in order to respond critically 19. Understanding a writer's attitude and purpose 20. General comprehension 4. What are your suggestions to improve reading at the university level? 108 www.macrothink.org/ijele International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 Appendix 2. The Arabic version of the questionnaire distributed to the participants 1 . مب هي أ وواع المواي التي تفضليه قراءتهب تفضهين قراءته ا ال نعى يقال صحفي في يجهح ال نعى يقانح في جريذج ال نعى عًم فني ال نعى كتاب دراسي ال نعى فصىل يعينح ين كتاب ( (chapters ال نعى نىتاخ يصىرج ال نعى كتاب انتًارين لا نعى تعهيًاخ انًختثر ال نعى يىاد نهقراءج عهً انحاسة اآلني 1 . مب هي أ وواع المواي التي تفضليه قراءتهب 2 . مبذا تفضليه أن تقرأله؟ 2 . مبذا تفضليه أن تقرأله؟ 109 www.macrothink.org/ijele International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 4 . مبهي اقترادبتك لتحسيه القراءة في المستوى الجبمعي؟ International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 International Journal of English Language Education ISSN 2325-0887 2018, Vol. 6, No. 2 2018, Vol. 6, No. 2 3 . ددي عدي المرات التي تواجهيه فيهب صعوبة في كل ممب للي ًدائًا أواجه ًغانثا أواجه ًأحيانا أواجه ًنادرا أواجه ًأتذا ال أواج ه 1. فهى اننقطح انرئيسيح ين اننص 1 2 3 4 5 2. قراءج اننص تسرعح ين أجم إنشاء فكرج عايح عن انًحتىي (قراءج )تصفحيح (Skimming) 1 2 3 4 5 3. قراءج اننص تثظء وتعنايح نفهى تفاصيم اننص 1 2 3 4 5 4. اننظر سريعا نهنص إليجا د يعهىيح يحذدج (Scanning) 1 2 3 4 5 5. تخًين انكهًاخ غير انًعروفح في اننص 1 2 3 4 5 6. فهى هيكه ح اننص )(طريقح ترتيثه 1 2 3 4 5 7. فهى كهًح يحذدج في اننص 1 2 3 4 5 8. سرعح انقراءج 1 2 3 4 5 9. انقراءج ين أجم نقذ اننص 1 2 3 4 5 فهى فكر انكاتة وانغرض ينه 1 2 3 4 5 11 . انفهى انعاو نهنص 1 2 3 4 5 110 110 www.macrothink.org/ijele www.macrothink.org/ijele Copyright Disclaimer Copyright for this article is retained by the author(s), with first publication rights granted to the journal. This is an open-access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/3.0/). 111 111 www.macrothink.org/ijele www.macrothink.org/ijele
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Rem2 stabilizes intrinsic excitability and spontaneous firing in visual circuits
Anna R. Moore
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Introduction Ocular dominance (OD) plasticity in the mammalian visual system, induced by monocular eyelid suture, is one of the best-studied models of the influence of experience on neural circuit develop- ment. The current consensus view holds that OD plasticity is achieved through an ‘early-phase’ decrease in responsiveness to the deprived, contralateral eye through Hebbian-like LTD mechanisms (Cooke and Bear, 2010; Crozier et al., 2007; Kirkwood et al., 1996; Rittenhouse et al., 1999; Yoon et al., 2009), followed by a ‘late-phase’ homeostatically-regulated increase in responsiveness to the open, ipsilateral eye through synaptic scaling up and increases in intrinsic excitability (Kaneko et al., 2008b; Lambo and Turrigiano, 2013; Mrsic-Flogel et al., 2007; Smith et al., 2009). While significant attention has been given to the role of synaptic plasticity mechanisms in reg- ulating experience-dependent changes in circuit function (Desai et al., 2002; Maffei and Turri- giano, 2008; Turrigiano et al., 1998), far less is known about the contribution of altered intrinsic neuronal properties to this process. Received: 25 October 2017 Accepted: 28 May 2018 Published: 29 May 2018 RESEARCH ARTICLE Rem2 stabilizes intrinsic excitability and spontaneous firing in visual circuits Anna R Moore1†‡, Sarah E Richards1,2†, Katelyn Kenny3, Leandro Royer1, Urann Chan1, Kelly Flavahan1, Stephen D Van Hooser1,2*, Suzanne Paradis1,2,3* 1Department of Biology, Brandeis University, Waltham, United States; 2Volen Center for Complex Systems, Brandeis University, Waltham, United States; 3National Center for Behavioral Genomics, Brandeis University, Waltham, United States Abstract Sensory experience plays an important role in shaping neural circuitry by affecting the synaptic connectivity and intrinsic properties of individual neurons. Identifying the molecular players responsible for converting external stimuli into altered neuronal output remains a crucial step in understanding experience-dependent plasticity and circuit function. Here, we investigate the role of the activity-regulated, non-canonical Ras-like GTPase Rem2 in visual circuit plasticity. We demonstrate that Rem2-/- mice fail to exhibit normal ocular dominance plasticity during the critical period. At the cellular level, our data establish a cell-autonomous role for Rem2 in regulating intrinsic excitability of layer 2/3 pyramidal neurons, prior to changes in synaptic function. Consistent with these findings, both in vitro and in vivo recordings reveal increased spontaneous firing rates in the absence of Rem2. Taken together, our data demonstrate that Rem2 is a key molecule that regulates neuronal excitability and circuit function in the context of changing sensory experience. DOI: https://doi.org/10.7554/eLife.33092.001 DOI: https://doi.org/10.7554/eLife.33092.001 *For correspondence: vanhoosr@brandeis.edu (SDVH); paradis@brandeis.edu (SP) †These authors contributed equally to this work Present address: ‡Department of Biology, Temple University, Philadelphia, United States Competing interests: The authors declare that no competing interests exist. Funding: See page 29 Received: 25 October 2017 Accepted: 28 May 2018 Published: 29 May 2018 Reviewing editor: Yukiko Goda, RIKEN, Japan Analysis of their brains showed that mice that had been genetically modified to lack the Rem2 gene responded differently to this change in their environment (i.e. the loss of input to one eye) than their normal counterparts. Further experiments suggest that Rem2 regulates the excitability of individual neurons: that is, how much the neurons respond to any given input. In the absence of Rem2, neurons in visual areas of the brain become hyperactive. This prevents them from adjusting their activity levels in response to changes in sensory input, which in turn leads to impaired plasticity. B i bl h h b i ’ i l l i i h i d d f l b Being able to harness the brain’s visual plasticity mechanisms on demand, for example by regulating Rem2 activity, could benefit individuals with disorders such as amblyopia. Rem2 is also active in many other parts of the brain besides those that support vision. This suggests that manipulating this gene could affect numerous forms of plasticity. However, various barriers must be overcome before we could use this approach to treat brain disorders. These include obtaining a more in depth understanding of the role of the Rem2 gene in the human brain. DOI htt //d i /10 7554/ Lif 33092 002 molecule whose main function is to assess cell-wide activity levels, indicated by changes in Ca2+ influx, and implement downstream signaling mechanisms that alter intrinsic excitability (Liu et al., 1998; O’Leary et al., 2014; Siegel et al., 1994). However, the identity of such sensor molecules and signaling pathways remains largely unknown. The activity-regulated Ras-like GTPase Rem2 is an excellent candidate to link the activity of a neu- ral circuit with functional plasticity. Rem2 is a member of the Rad/Rem/Rem2/Gem/Kir (RGK) protein family, a Ras-related subfamily of small GTPases (Finlin et al., 2000), whose expression and function are regulated by neuronal activity in response to calcium influx through voltage-gated calcium chan- nels (Ghiretti et al., 2014). Further, gene knockdown approaches in cultured cortical neurons and Xenopus laevis optic tectum established that Rem2 is a positive regulator of synapse formation and a negative regulator of dendritic complexity (Ghiretti et al., 2013; Ghiretti et al., 2014; Ghiretti and Paradis, 2011; Moore et al., 2013), suggesting Rem2 may regulate structural plasticity in an activity-dependent manner. Reviewing editor: Yukiko Goda, RIKEN, Japan From crustaceans to mammals, neurons respond to decreased activity by modulating their ionic conductances in order to change their intrinsic excitability and re-establish an appropriate firing rate (Aizenman et al., 2003; Desai et al., 1999; Liu et al., 1998; Marder and Prinz, 2003; Pratt and Aizenman, 2007; Siegel et al., 1994). Underlying this homeostatic regulation of intrinsic excitability are activity-dependent changes in gene expression (Dong et al., 2006; Turrigiano, 2008) and recent modeling studies illustrate that the rate of calcium-dependent gene transcription serves as a central point of regulation underlying changes in intrinsic excitability and neuronal conductances (O’Leary et al., 2014). Interestingly, this model posits the existence of a key regulator or ‘sensor’ Copyright Moore et al. This article is distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use and redistribution provided that the original author and source are credited. Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 1 of 34 Research article Research article Research article Neuroscience eLife digest Throughout our waking hours, we experience an ever-changing stream of input from our senses. The brain responds to this varying input by adjusting its own activity levels and even its own structure. It does this by changing the strength of the connections between neurons, or the properties of the neurons themselves. Known as plasticity, this process of continuous change enables the brain to develop, learn and to recover from injury. The visual systems of mammals are particularly well suited to studying how sensory experience alters the brain. Studies in animals show that lack of sensory input to one or both eyes during a critical period in development causes long-lasting changes in the brain’s visual circuits. Similarly, children with the condition amblyopia or ‘lazy eye’ – in which one eye has impaired vision and the brain ignores input from that eye – can end up with permanent deficits in their vision if the condition is not treated during childhood. Changes in sensory input are thought to trigger plasticity in the brain by altering the activity of specific genes. But exactly how this process works is unclear. Moore, Richards et al. now show that a gene called Rem2 has an important role in regulating visual plasticity. In the key experiments, young mice had their vision in one eye blocked for a few days. Research article Rem2 is expressed in cortex during the critical period p g p We first sought to determine when Rem2 is expressed in the developing rodent cortex based on the hypothesis that if Rem2 is an important molecule in activity-dependent plasticity pathways, then its expression should be modulated by neural activity evoked by natural sensory stimulation. Toward this end, rat cortical lysates were harvested at different developmental time points (from postnatal day (P)1 to adult). Samples were analyzed by immunoblotting using an antibody that specifically rec- ognizes Rem2 (Figure 1A). We found that Rem2 expression peaks in the cortex around the time of eye opening (P9-P14, eyes open at P13 in rodents), and declines near the end of the critical period (P35, (Gordon and Stryker, 1996). This result suggests that Rem2 is expressed during the develop- mental window in which robust synapse formation and activity-dependent refinement of cortical cir- cuits occurs. Given that Rem2 is expressed around eye opening (Figure 1A) and that Rem2 mRNA is modu- lated by neuronal activity (Ghiretti et al., 2014) we next asked if Rem2 mRNA expression is regu- lated in mammalian visual cortex by sensory experience. To address this question, mice were dark Figure 1. Rem2 expression is developmentally regulated and activity-dependent. (A) (left) Western Blot of cortical lysate from rat brains at different developmental ages detected using anti-Rem2 (1:500); anti-bactin (1:5000) was used as a loading control. (right) Quantification of relative Rem2 intensity at different developmental ages normalized to anti-bactin. Molecular Weight of REM2: ~50 kDa. Molecular weight of ACTB: 42 kDA. (B) Fold change in Rem2 (left) or Fos mRNA expression (right) in isolated primary visual cortex (V1) or somatosensory cortex (S1) from P28 mice raised in the dark (DR, from P9-P28) or raised in the dark (P9–P28) and exposed to light for 90 m (90 m Light). N = 3 biological replicates of 4 mice in each experiment. mRNA levels were normalized to Actb levels and then to S1 DR condition and presented as mean ± SEM. *p<0.05 from V1 DR by one-way ANOVA followed by a Dunnett’s post hoc test. DOI: https://doi.org/10.7554/eLife.33092.003 Figure 1. Rem2 expression is developmentally regulated and activity-dependent. (A) (left) Western Blot of cortical lysate from rat brains at different developmental ages detected using anti-Rem2 (1:500); anti-bactin (1:5000) was used as a loading control. (right) Quantification of relative Rem2 intensity at different developmental ages normalized to anti-bactin. Molecular Weight of REM2: ~50 kDa. Reviewing editor: Yukiko Goda, RIKEN, Japan Because Rem2 expression and signaling is sensitive to neuronal activity levels (Ghiretti et al., 2013; Ghiretti et al., 2014), and Rem2 signaling regulates changes in gene expression (Kenny et al., 2017), we hypothesized that Rem2 could be a key regulator of corti- cal plasticity mechanisms in the intact nervous system. To test this hypothesis, we generated Rem2 knockout mice to directly assess how Rem2 influen- ces cortical plasticity in the mammalian visual system. We found that Rem2-/- mice exhibit a deficit in late-phase OD plasticity during the critical period, whereas early-phase OD plasticity and adult OD plasticity are normal. These functional deficits depend specifically on deletion of Rem2 from excit- atory neurons in the cortex. At the cellular level, we found that Rem2-/- neurons exhibit altered regu- lation of synaptic function and increased intrinsic excitability. Further, using sparse deletion methods, we found that the effects on intrinsic excitability are cell-autonomous, and precede the effects on synaptic regulation. Consistent with the observed increase in intrinsic excitability, we Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 2 of 34 Research article Research article Research article Neuroscience demonstrated that Rem2 also induces changes in spontaneous firing rates both in vitro and in vivo. Taken together, thesedatasuggestthatRem2 providesanewunderstanding ofthemolecular processes- thatcoordinate changes inintrinsicexcitability, spontaneous firing rates, synapse regulation, and ulti- mately circuit function. demonstrated that Rem2 also induces changes in spontaneous firing rates both in vitro and in vivo. Taken together, thesedatasuggestthatRem2 providesanewunderstanding ofthemolecular processes- thatcoordinate changes inintrinsicexcitability, spontaneous firing rates, synapse regulation, and ulti- mately circuit function. Generation and validation of the Rem2 null and conditional knockout ouse To determine if Rem2 functions to regulate visual system plasticity in vivo, we generated a Rem2 knockout mouse. Embryonic stem cell lines harboring a cassette with conditional potential (Figure 2A, cassette strategy originally developed by (Skarnes et al., 2011) at the Rem2 locus were acquired from EUCOMM (Ref ID: 92501) and injected into blastocysts from which we obtained chi- meras and germline transmission of this Rem2 allele (referred to as Rem2-/-; Figure 2A middle). We verified correct insertion of the cassette at the Rem2 locus both by Southern blot analysis (Figure 2B) and by extensive PCR followed by sequencing (Figure 2D, top). We also demonstrated that, as expected (Skarnes et al., 2011), insertion of the cassette disrupts Rem2 expression by immunoblotting (Figure 2C), confirming a null allele at the protein level. The Rem2-/- mice were also crossed with mice expressing Flp recombinase in the germline (JAX 009086), which produced a ‘floxed’ (i.e. flanked by loxP sites) Rem2 allele (referred to as Rem2flx/flx; Figure 2A, bottom). The location of the loxP sites was confirmed by extensive PCR followed by sequencing across the entire targeted Rem2 locus (Figure 2D, bottom). Rem2-/- mice are viable and fertile and do not display any overt phenotypes. The genotypes of pups obtained from a Rem2+/- cross are recovered in the expected Mendelian ratio. We closely examined the brains of these animals at different developmental ages (P7, P16, P21, and P30) to determine if loss of Rem2 resulted in any overt changes in brain or cortical structure. We found no difference in the brain/body weight ratio between Rem2-/- and Rem2+/+ (i.e. wildtype) littermates at P7, P21 or P30 (Figure 2—figure supplement 1A). In addition, we investigated the cortical thickness of the visual cortex at the aforementioned developmental ages. Visual cortex was identified using anatomical landmarks and measured from the deepest extent of layer six to the pial surface (just above the corpus callosum, Figure 2—figure supplement 1D, blue line). While we found no signifi- cant change in cortical thickness at P7 and P21, we did observe a small increase in cortical thickness at P30 (Figure 2—figure supplement 1D, p=0.05). We also examined cortical layer thickness by Nissl staining 30 mm sections through the visual cortex at P16 and found that layer thickness was indistinguishable between Rem2-/- and wildtype mice (Figure 2—figure supplement 1B,C). Neuroscience reared (DR) from P9 (prior to eye opening at P13) to P28 (during the peak of the critical period). At P28, one group of mice was exposed to 90 min of light stimulation while a separate group was kept in the dark. Following visual stimulation, primary visual cortex (V1) and primary somatosensory cortex (S1), used as a negative control, were micro-dissected and cDNA was prepared from total RNA for use in RT-qPCR experiments (Figure 1B). Compared to DR littermates, 90 min of light stimulation led to a significant and rapid increase in Rem2 mRNA expression in V1 with no change in Rem2 mRNA expression in S1 (Figure 1B, left). As expected, we also observed an increase in mRNA levels of the immediate early gene Fos in response to changes in visual experience (Figure 1B, right). These data illustrate that Rem2 mRNA expression in V1 is modulated by visual stimulation coincident with experience-dependent development of visual cortical circuits. Interestingly, although our results demonstrate a reduction in baseline Rem2 protein expression around P28 and in adulthood (Figure 1A, compared to P9 and P14), Rem2 mRNA expression can be modulated by visual stimula- tion both at P28 (Figure 1B) and in the adult visual cortex (Mardinly et al., 2016). Thus, while base- line Rem2 protein levels may decline with age, Rem2 mRNA expression continues to be regulated by neuronal activity in discrete cell types into adulthood. These activity-dependent changes in Rem2 expression suggest that Rem2 function may be relevant throughout the life of the animal. Generation and validation of the Rem2 null and conditional knockout mouse Rem2 is expressed in cortex during the critical period Molecular weight of ACTB: 42 kDA. (B) Fold change in Rem2 (left) or Fos mRNA expression (right) in isolated primary visual cortex (V1) or somatosensory cortex (S1) from P28 mice raised in the dark (DR, from P9-P28) or raised in the dark (P9–P28) and exposed to light for 90 m (90 m Light). N = 3 biological replicates of 4 mice in each experiment. mRNA levels were normalized to Actb levels and then to S1 DR condition and presented as mean ± SEM. *p<0.05 from V1 DR by one-way ANOVA followed by a Dunnett’s post hoc test. DOI: https://doi.org/10.7554/eLife.33092.003 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 3 of 34 Research article Research article Research article Generation and validation of the Rem2 null and conditional knockout Thus, we conclude that cortical development at the gross anatomical level proceeds relatively normally despite the absence of Rem2. A number of studies demonstrated that overexpression of Rem2 and other RGK proteins inhibit voltage-gated calcium channel function in a variety of cell types (Chen et al., 2005; Correll et al., 2008; Moore et al., 2013). Therefore, we sought to determine if resting calcium levels were per- turbed by loss of Rem2. We prepared neuronal cultures from dissociated cortices obtained from E18 wildtype, Rem2+/-, and Rem2-/- mice. At 5 days in vitro (DIV5), neurons were loaded with the ratio- metric Ca2+ indicator Fura-2 and images of unstimulated cells were obtained using an epifluores- cence microscope (Figure 2—figure supplement 1E). Interestingly, we found no difference in the resting Ca2+ levels of cortical neurons obtained from wildtype, Rem2+/-, or Rem2-/- mice (Figure 2— figure supplement 1E). These data suggest that either endogenous Rem2 does not alter the Ca2+ Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 4 of 34 Research article Research article Research article Neuroscience Figure 2. Generation of a Rem2 knockout mouse. (A) The Rem2 locus (top, Rem2+/+) with exons 1–5 depicted as gray boxes. Homologous recombination was used to insert a 7.5 kb cassette containing a mouse En2 splice acceptor sequences(EN2), IRES, a LacZ gene, a SV40 polyadenylation and a Neo gene flanked by FRT sites (black rectangles) and LoxP sites flanking exons 2 and 3 (indicated by black triangles). Insertion of this cassette yielded a Rem2 null allele (Rem2-/-). Following germline transmission of the insert allele, the mice were crossed to a mouse expressing Flp recombinase in the germline, which produced a floxed Rem2 allele (termed Rem2flx/flx, bottom). Blue half arrows indicate PCR forward and reverse primer locations. Scale bar, 500 bp. (B) Southern blot analysis of ScaI/AscI-digested genomic DNA from mice that are Rem2 wildtype (+/+), heterozygous (+/-) or homozygous (-/-) using the 3’ probe (red line, top A). Fragments of the predicted size (11 kb) indicate correct targeting. (C) Western blot analysis of Rem2+/+ and Rem2-/- mice confirming the loss of Rem2 expression. Molecular Weight of REM2: 37 kDa. Molecular weight of ACTB: 42 kDA. D) Genotyping PCR products of genomic DNA isolated from tails of mice that were (top) wildtype (Rem2+/+), heterozygous (Rem2+/-) or homozygous (Rem2-/-) or (bottom) wildtype (Rem2+/+), heterozygous (Rem2flx/+) or homozygous (Rem2flx/flx). See Materials and methods for genotyping details. Generation and validation of the Rem2 null and conditional knockout DOI: https://doi.org/10.7554/eLife.33092.004 The following figure supplements are available for figure 2: Research article Neuroscience Figure 2. Generation of a Rem2 knockout mouse. (A) The Rem2 locus (top, Rem2+/+) with exons 1–5 depicted as gray boxes. Homologous recombination was used to insert a 7.5 kb cassette containing a mouse En2 splice acceptor sequences(EN2), IRES, a LacZ gene, a SV40 polyadenylation, and a Neo gene flanked by FRT sites (black rectangles) and LoxP sites flanking exons 2 and 3 (indicated by black triangles). Insertion of this cassette yielded a Rem2 null allele (Rem2-/-). Following germline transmission of the insert allele, the mice were crossed to a mouse expressing Flp recombinase in the germline, which produced a floxed Rem2 allele (termed Rem2flx/flx, bottom). Blue half arrows indicate PCR forward and reverse primer locations. Scale bar, 500 bp. (B) Southern blot analysis of ScaI/AscI-digested genomic DNA from mice that are Rem2 wildtype (+/+), heterozygous (+/-) or homozygous (-/-) using the 3’ probe (red line, top A). Fragments of the predicted size (11 kb) indicate correct targeting. (C) Western blot analysis of Rem2+/+ and Rem2-/- mice confirming the loss of Rem2 expression. Molecular Weight of REM2: 37 kDa. Molecular weight of ACTB: 42 kDA. D) Genotyping PCR products of genomic DNA isolated from tails of mice that were (top) wildtype (Rem2+/+), heterozygous (Rem2+/-) or homozygous (Rem2-/-) or (bottom) wildtype (Rem2+/+), heterozygous (Rem2flx/+) or homozygous (Rem2flx/flx). See Materials and methods for genotyping details. DOI: https://doi.org/10.7554/eLife.33092.004 The following figure supplements are available for figure 2: Figure supplement 1. Rem2-/- mice display no gross anatomical or function cortical abnormalities. DOI: https://doi.org/10.7554/eLife.33092.005 p g Figure supplement 2. Rem2-/- mice exhibit decreased spine density in vivo. DOI: https://doi.org/10.7554/eLife.33092.006 Figure supplement 2. Rem2-/- mice exhibit decreased spine density in vivo. DOI: https://doi org/10 7554/eLife 33092 006 permeability at rest in young cortical neurons, or that in the absence of Rem2 expression, compensa- tory mechanisms exist to maintain normal resting calcium levels. permeability at rest in young cortical neurons, or that in the absence of Rem2 expression, compensa- tory mechanisms exist to maintain normal resting calcium levels. To further understand the implications of Rem2 deletion in visual system function, we examined visual response tuning properties in wildtype and Rem2-/- mice using two-photon calcium imaging (Figure 2—figure supplement 1F–I). Generation and validation of the Rem2 null and conditional knockout The calcium indicator Oregon Green BAPTA-AM was bulk- loaded into cells of wildtype or Rem-/- mice (P31/32) 150 mm below the surface of the exposed bin- ocular region of primary visual cortex (V1b; Figure 2—figure supplement 1F). Visual stimuli consist- ing of a series of gratings moving in different directions (0˚ to 360˚ at 45˚ steps) were delivered at random to each eye (Figure 2—figure supplement 1G, black arrows). No differences in measures of orientation tuning (circular variance, (Ringach et al., 2002), or in measures of direction selectivity Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 5 of 34 Research article Research article Neuroscience Neuroscience (circular variance in direction space, (Mazurek et al., 2014) were observed between wildtype and Rem2-/- neurons (Figure 2—figure supplement 1H,I), indicating that basic visual response tuning properties are normal in Rem2-/- mice. Taken together, our data suggests that, despite the expres- sion of Rem2 during this developmental window, deletion of Rem2 does not interfere substantially with initial brain or circuit development in the embryonic or early postnatal period of mouse development. In addition, previous studies in our lab have established that Rem2 functions as a positive regula- tor of synapse formation and dendritic spine maturation (Ghiretti and Paradis, 2011; Moore et al., 2013). Therefore, we sought to determine if Rem2 deletion affects the experience-dependent increase in excitatory synapse density that occurs during the weeks after eye opening in visual cor- tex. Toward this goal, wildtype and Rem2-/- mice were either dark-reared from P9 (before eye open- ing) to P30 or raised under normal light-reared conditions from birth (LR, i.e. housed in a 12 hr light/ 12 hr dark cycle). At P30, the brains from both groups were harvested and Golgi histology per- formed; spine density of terminal apical branches of layer 2/3 pyramidal neurons was quantified. In wildtype mice, visual experience resulted in a significant increase in spine density relative to dark- reared animals, similar to previous reports (Figure 2—figure supplement 2: WT LR = 0.98 ± 0.01 spines/mm; WT DR = 0.83 ± 0.01 spines/mm, p=0.00012; (Valverde, 1971; Wallace and Bear, 2004). However, Rem2-/- mice did not exhibit an experience-dependent increase in spine density (Fig- ure 2—figure supplement 2; Rem2-/- DR = 0.87 ± 0.01 spines/mm, p=0.58 compared to Rem2-/- LR). Rem2 is required for normal critical period OD plasticity q p p y Given that Rem2 expression is acutely regulated by visual experience (Figure 1B), we sought to determine if Rem2 plays a role in activity-dependent processes in the visual cortex following sensory deprivation by investigating ocular dominance (OD) plasticity. We assayed critical period OD plastic- ity in Rem2-/- mice or wildtype littermate controls that underwent normal visual experience (typically reared, TR: 12 hr light/12 hr dark cycle) or that experienced monocular deprivation (MD) by lid suture for 2 days to measure early-phase OD plasticity or in a separate group of animals MD for 6 days to measure late-phase OD plasticity (Figure 3A top). Using optical imaging of intrinsic signals (ISI; Cang et al., 2005; Grinvald et al., 1986; Heimel et al., 2007), we measured cortical responses in the binocular portion of the visual cortex (V1b) to stimuli presented to either the left or right eye (Figure 3B, representative images). We computed the ocular dominance index (ODI) of each animal by taking the response to stimulation of the contralateral (C) eye minus the response to stimulation of the ipsilateral (I) eye, normalized to the sum of these responses [ODI = (C –I)/(C + I)]. Wildtype typically-reared littermate controls exhibited normal OD plasticity (Figure 3C). Closure of the contralateral eye for 2 days (P26-28) produced an initial, significant shift in the ODI (Figure 3C, WT TR = 0.35 ± 0.03 ODI; WT 2d MD = 0.15 ± 0.04 ODI, p=0.006). In a separate experi- mental group, prolonged MD for 6 days (P26-32) resulted in a further robust shift in OD toward the ipsilateral eye (Figure 3C, WT 6d MD = 0.11 ± 0.04 ODI, p=0.000001 compared to WT TR) as has been previously reported (Gordon and Stryker, 1996; Heimel et al., 2007; Mrsic-Flogel et al., 2007). Consistent with prior reports (Frenkel and Bear, 2004; Gordon and Stryker, 1996; Heimel et al., 2007; Kaneko et al., 2008b; Mrsic-Flogel et al., 2007), responses to the contralat- eral (deprived) eye were decreased during the early-phase of deprivation (2d MD), while responses to the ipsilateral eye increased slightly during the late-phase of deprivation (6d MD; Figure 3C, inset, Table 1). Rem2-/- mice with normal visual experience (Rem2-/- TR) displayed an ODI similar to that observed in wildtype mice (Figure 3C, Rem2-/- TR = 0.35 ± 0.06 ODI, p=0.54 compared to WT TR). Generation and validation of the Rem2 null and conditional knockout Consistent with our previous in vitro experiments, these results suggest that Rem2 functions to pro- mote experience-dependent synapse formation in vivo. Research article Rem2 is required for normal critical period OD plasticity (A) Representative experimental timeline for (top) critical period ocular dominance (OD) plasticity and (bottom) adult OD plasticity. (B) Example fields showing intrinsic signal imaging data from the ipsilateral (I) and contralateral (C) eyes in wildtype or Rem2-/- mice that were (left) typically reared (TR) or monocularly deprived (MD) for 2 days (middle) and 6 days (right). (C) Ocular dominance index (ODI) for WT TR (black, n = 6), WT 2d MD (dark gray, n = 6), WT 6d MD (light gray, n = 6), Rem2-/- TR (blue, n = 6), and Rem2-/- 2d MD (medium blue, n = 9), Rem2-/- 6d MD (light blue, n = 7). Mice are shown as circles for each animal. Orange circles with error bars represent the group averages. Inset at bottom: Changes in reflectance over baseline reflectance (DR/R) as measured by ISI driven ipsilateral (I) or contralateral (C) eye for wildtype and Rem2-/- mice that were either typically reared or monocularly deprived. (D) ODI for Adult WT TR (black, n = 12), Adult WT MD (gray, n = 6), Adult Rem2-/- TR (navy blue, n = 6), and Adult Rem2-/- MD (gray blue, n = 8). Inset: DR/R for Adult WT and Rem2-/- TR and MD mice. Data is presented as mean ± SEM. *p<0.05 by two-way ANOVA and Tukey post-hoc. Significance comparisons for DR/R in C and D insets are listed in Table 1. DOI https //doi org/10 7554/eLife 33092 007 Rem2-/- 6d MD C I B WT TR Rem2-/- TR C I WT 6d MD C I C I WT 2d MD Rem2-/- 2d MD C I C I B A D Adult Rem2-/- MD Adult Rem2-/- TR Adult WT MD Adult WT TR -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI ∆R/R 7 10-4 × * * I C I C I C I C D C Figure 3. Rem2 is required for late-phase critical period ocular dominance plasticity. (A) Representative experimental timeline for (top) critical period ocular dominance (OD) plasticity and (bottom) adult OD plasticity. (B) Example fields showing intrinsic signal imaging data from the ipsilateral (I) and contralateral (C) eyes in wildtype or Rem2-/- mice that were (left) typically reared (TR) or monocularly deprived (MD) for 2 days (middle) and 6 days (right). Rem2 is required for normal critical period OD plasticity Closure of the contralateral eye in Rem2-/- mice for 2 days induced an initial, significant shift in the ODI similar to that observed in WT mice (Figure 3C, Rem2-/- 2d MD = 0.17 ± 0.03 ODI, p=0.008), indicating that early-phase OD plasticity is intact in the absence of Rem2. As expected, the magnitude of depression of the deprived, contralateral eye responses following 2d MD in Rem2-/- mice is similar to those observed in wildtype mice (Figure 3C, inset 2d MD, Table 1), and suggests that a weaken- ing of synaptic strength, reminiscent of LTD, is indeed induced in either the presence or absence of Rem2. However, in contrast to early phase plasticity, late-phase OD plasticity was altered in Rem2-/- mice relative to their WT littermate controls (Figure 3C). Following 6 days of MD, Rem2-/- mice failed Moore et al. eLife 2018;7:e33092. Rem2 is required for normal critical period OD plasticity DOI: https://doi.org/10.7554/eLife.33092 6 of 34 Research article Neuroscience Rem2-/- 6d MD C I B C D Adult Rem2-/- MD Adult Rem2-/- TR Adult WT MD Adult WT TR -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI × 10-4 ∆R/R 12 Rem2-/- 2d MD Rem2-/- TR WT 2d MD WT TR Rem2-/- 6d MD WT 6d MD -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI ∆R/R 7 10-4 × 7-10d MD Critical Period P70-P85 Imaging P0 WT TR A Rem2-/- TR C I WT 6d MD C I C I 2d 6d Lid Suture Imaging P0 Critical Period OD Plasticity Critical Period Adult OD Plasticity P28 P32 P26 Lid Suture WT 2d MD Rem2-/- 2d MD C I C I * * * * * * * * I I I I I I C C C C C C I C I C I C I C P60-P74 C -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI × 10-4 ∆R/R 12 Rem2-/- 2d MD Rem2-/- TR WT 2d MD WT TR Rem2-/- 6d MD WT 6d MD 7-10d MD Critical Period P70-P85 Imaging P0 A 2d 6d Lid Suture Imaging P0 Critical Period OD Plasticity Critical Period Adult OD Plasticity P28 P32 P26 Lid Suture * * * * * * I I I I I I C C C C C C P60-P74 Rem2-/- 6d MD C I B C D Adult Rem2-/- MD Adult Rem2-/- TR Adult WT MD Adult WT TR -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI × 10-4 ∆R/R 12 Rem2-/- 2d MD Rem2-/- TR WT 2d MD WT TR Rem2-/- 6d MD WT 6d MD -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI ∆R/R 7 10-4 × 7-10d MD Critical Period P70-P85 Imaging P0 WT TR A Rem2-/- TR C I WT 6d MD C I C I 2d 6d Lid Suture Imaging P0 Critical Period OD Plasticity Critical Period Adult OD Plasticity P28 P32 P26 Lid Suture WT 2d MD Rem2-/- 2d MD C I C I * * * * * * * * I I I I I I C C C C C C I C I C I C I C P60-P74 Figure 3. Rem2 is required for late-phase critical period ocular dominance plasticity. Rem2 is required for normal critical period OD plasticity (C) Ocular dominance index (ODI) for WT TR (black, n = 6), WT 2d MD (dark gray, n = 6), WT 6d MD (light gray, n = 6), Rem2-/- TR (blue, n = 6), and Rem2-/- 2d MD (medium blue, n = 9), Rem2-/- 6d MD (light blue, n = 7). Mice are shown as circles for each animal. Orange circles with error bars represent the group averages. Inset at bottom: Changes in reflectance over baseline reflectance (DR/R) as measured by ISI driven ipsilateral (I) or contralateral (C) eye for wildtype and Rem2-/- mice that were either typically reared or monocularly deprived. (D) ODI for Adult WT TR (black, n = 12), Adult WT MD (gray, n = 6), Adult Rem2-/- TR (navy blue, n = 6), and Adult Rem2-/- MD (gray blue, n = 8). Inset: DR/R for Adult WT and Rem2-/- TR and MD mice. Data is presented as mean ± SEM. *p<0.05 by two-way ANOVA and Tukey post-hoc. Significance comparisons for DR/R in C and D insets are listed in Table 1. DOI: https://doi.org/10.7554/eLife.33092.007 DOI: https://doi.org/10.7554/eLife.33092.007 to display a further shift in ODI (Figure 3C, Rem2-/- 6d MD = 0.10 ± 0.02 ODI vs. WT 6d MD 0.11 ± 0.04 ODI, p=0.0008 vs. Rem2-/- 2d MD = 0.17 ± 0.03, p=0.44), indicating a deficit in late- phase OD plasticity. to display a further shift in ODI (Figure 3C, Rem2-/- 6d MD = 0.10 ± 0.02 ODI vs. WT 6d MD 0.11 ± 0.04 ODI, p=0.0008 vs. Rem2-/- 2d MD = 0.17 ± 0.03, p=0.44), indicating a deficit in late- phase OD plasticity. A closer examination of individual eye responses revealed interesting differences between WT and Rem2-/- plasticity. Both WT and Rem2-/- mice exhibited a decrease in responses to the contralat- eral (deprived) eye after 2d MD (Figure 3C, inset). However, upon 6d of MD, WT mice exhibited an increase in ipsilateral (open) eye response (Figure 3C, inset WT 6d MD). This increased response has been previously attributed to homeostatic mechanisms (Kaneko et al., 2008b; Lambo and Turri- giano, 2013), which presumably interact with continued reductions in responses to the contralateral eye to promote a further shift in ODI. By contrast, Rem2-/- mice exhibited relatively equal increases in both the contralateral eye and ipsilateral eye responses with 6d MD. Thus, Rem2-/- animals Moore et al. eLife 2018;7:e33092. Rem2 is required for normal critical period OD plasticity DOI: https://doi.org/10.7554/eLife.33092 7 of 34 Research article Research article Neuroscience Table 1. Statistical comparisons of Individual Eye Responses as measured for ocular dominance index. Table 1. Statistical comparisons of Individual Eye Responses as measured for ocular dominance index Statistical comparisons of changes in reflectance over baseline reflectance (DR/R) for ipsilateral (I) or contralateral (C) eye response vales for wildtype and Rem2 deletion mice as measured by intrinsic sig- nal imaging. These values correspond to the DR/R values displayed in Figure 3C–D and Figure 4 insets. Statistical comparisons of changes in reflectance over baseline reflectance (DR/R) for ipsilateral (I) or contralateral (C) eye response vales for wildtype and Rem2 deletion mice as measured by intrinsic sig- nal imaging. These values correspond to the DR/R values displayed in Figure 3C–D and Figure 4 insets. Statistical comparison Ipsi p-Value Contra p-value WT TR vs. WT 2d MD 0.7689 0.0149* WT TR vs. WT 6d MD 0.2242 0.0050* WT 2d MD vs. WT 6d MD 0.0678 0.8486 Rem2-/- TR vs. Rem2-/- 2d MD 0.4259 0.0031179* Rem2-/- TR vs. Rem2-/- 6d MD 0.3594 0.1637101 Rem2-/- 2d MD vs. Rem2-/- 6d MD 0.0247* 0.1673178 WT TR vs. Rem2-/- TR 0.5419 0.5363 WT 2d MD vs. Rem2-/- 2d MD 0.7797 0.5264 WT 6d MD vs. Rem2-/- 6d MD 0.5847 0.0096* Adult WT TR vs. Adult WT 10d MD 0.0632 0.0257* Adult Rem2-/- TR vs. Adult Rem2-/- 10d MD 0.0598 0.6656 Adult WT TR vs. Rem2-/- TR 0.9587 0.7801 Adult WT 10d MD vs. Rem2-/- 10d MD 0.1709 0.0998 Rem2+/+;Emx1Cre TR vs. Rem2+/+;Emx1Cre 6d MD 0.7784 0.0440* Rem2flx/flx;Emx1Cre TR vs. Rem2flx/flx;Emx1Cre 6d MD 0.9992 0.3774 Rem2+/+;Emx1Cre TR vs. Rem2flx/flx;Emx1Cre TR 0.9990 0.9990 Rem2+/+;Emx1Cre 6d MD vs. Rem2flx/flx;Emx1Cre 6d MD 0.7446 0.5876 Rem2+/+;PvalbCre TR vs. Rem2+/+;PvalbCre 6d MD 0.3275 0.2828 Rem2flx/flx;PvalbCre TR vs. Rem2flx/flx;PvalbCre 6d MD 0.7515 0.0513 Rem2+/+;PvalbCre TR vs. Rem2flx/flx;PvalbCre TR 0.9956 0.9997 Rem2+/+;PvalbCre 6d MD vs. Rem2flx/flx;PvalbCre 6d MD 0.7564 0.7999 Rem2+/+;VipCre TR vs. Rem2+/+; VipCre 6d MD 0.0443* 0.0875 Rem2flx/flx; VipCre TR vs. Rem2flx/flx; VipCre 6d MD 0.2417 0.0554 Rem2+/+; VipCre TR vs. Rem2flx/flx; VipCre TR 0.7063 0.7400 Rem2+/+; VipCre 6d MD vs. Rem2flx/flx; VipCre 6d MD 0.5437 0.3990 *p0.05 by a two-way ANOVA followed by a Tukey test. All other comparisons are not significant. DOI: https://doi.org/10.7554/eLife.33092.008 exhibited a non-competitive increase in activity during late-phase MD. Research article Rem2 is required for normal critical period OD plasticity These results raise the possi- bility that Rem2 may play an important role in regulating the absolute responsiveness of the cortex to visual stimulation, such as through regulation of neuronal excitability or synaptic scaling. In order to gain more insight into the circuit mechanisms that might underlie the observed OD plasticity deficits of Rem2-/- mice, we went on to examine adult OD plasticity. Unlike critical period OD plasticity, adult OD plasticity relies primarily on elimination of inhibitory synapses and does not require homeostatic synaptic scaling (Hofer et al., 2006; Lehmann and Lo¨wel, 2008; Ranson et al., 2012; Sawtell et al., 2003; van Versendaal et al., 2012). To measure changes in adult OD plastic- ity, WT littermate controls or Rem2-/- mice underwent normal visual experience (typically reared, TR: 12 hr light/12 hr dark cycle) or monocular deprivation (MD) for 7–10 days between 10–12 weeks of age, a time well-beyond the classically defined critical period (Figure 3A bottom), followed by ISI to measure cortical responses in V1b. Wildtype mice monocularly deprived for 7–10 days in adulthood produced a robust shift in ODI from a contralateral bias to an ipsilateral bias (Figure 3D, Adult WT TR = 0.30 ± 0.04 ODI; Adult WT MD = 0.15 ± 0.12 ODI, p=0.0005). Similarly, Rem2-/- mice that In order to gain more insight into the circuit mechanisms that might underlie the observed OD plasticity deficits of Rem2-/- mice, we went on to examine adult OD plasticity. Unlike critical period OD plasticity, adult OD plasticity relies primarily on elimination of inhibitory synapses and does not require homeostatic synaptic scaling (Hofer et al., 2006; Lehmann and Lo¨wel, 2008; Ranson et al., 2012; Sawtell et al., 2003; van Versendaal et al., 2012). To measure changes in adult OD plastic- ity, WT littermate controls or Rem2-/- mice underwent normal visual experience (typically reared, TR: 12 hr light/12 hr dark cycle) or monocular deprivation (MD) for 7–10 days between 10–12 weeks of age, a time well-beyond the classically defined critical period (Figure 3A bottom), followed by ISI to measure cortical responses in V1b. Wildtype mice monocularly deprived for 7–10 days in adulthood produced a robust shift in ODI from a contralateral bias to an ipsilateral bias (Figure 3D, Adult WT TR = 0.30 ± 0.04 ODI; Adult WT MD = 0.15 ± 0.12 ODI, p=0.0005). Similarly, Rem2-/- mice that Moore et al. eLife 2018;7:e33092. Rem2 is required for normal critical period OD plasticity DOI: https://doi.org/10.7554/eLife.33092 8 of 34 R Research article Neuroscience Research article -0.2 0.2 0.4 0.6 ODI 0 * 0.8 1 -1 -0.8 -0.6 * ∆R/R I I I I C C C C × 10-4 9 -0.4 -0.2 0.2 0.4 0.6 ODI 0 0.8 1 -1 -0.8 -0.6 -0.4 * n.s. * I I I I C C C C ∆R/R × 10-4 9 I I I I C C C C ∆R/R × 10-4 9 Rem2flx/flx;VipCre MD Rem2flx/flx;VipCre TR Rem2+/+;VipCre MD Rem2+/+;VipCre TR Rem2flx/flx;PvalbCre MD Rem2flx/flx;PvalbCre TR Rem2+/+;PvalbCre MD Rem2+/+;PvalbCre TR Rem2flx/flx;Emx1 Cre TR Rem2flx/flx;Emx1 Cre MD Rem2+/+;Emx1 Cre TR Rem2+/+;Emx1 Cre MD B C A -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI * * -0.2 0.2 0.4 0.6 ODI 0 * 0.8 1 -1 -0.8 -0.6 * ∆R/R I I I I C C C C × 10-4 9 -0.4 -0.2 0.2 0.4 0.6 ODI 0 0.8 1 -1 -0.8 -0.6 -0.4 * n.s. * I I I I C C C C ∆R/R × 10-4 9 I I I I C C C C ∆R/R × 10-4 9 Rem2flx/flx;VipCre MD Rem2flx/flx;VipCre TR Rem2+/+;VipCre MD Rem2+/+;VipCre TR Rem2flx/flx;PvalbCre MD Rem2flx/flx;PvalbCre TR Rem2+/+;PvalbCre MD Rem2+/+;PvalbCre TR Rem2flx/flx;Emx1 Cre TR Rem2flx/flx;Emx1 Cre MD Rem2+/+;Emx1 Cre TR Rem2+/+;Emx1 Cre MD B C A -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI * * Figure 4. Rem2 is required in cortical excitatory neurons for ocular dominance plasticity. (A) Ocular dominance index (ODI) for Rem2+/+; Emx1Cre typically reared (TR, black, n = 6), Rem2+/+; Emx1Cre monocularly deprived (MD gray, n = 8), Rem2-/-; Emx1Cre TR (dark teal, n = 7) or Rem2-/-; Emx1Cre MD (light teal, n = 8). Inset: DR/R for Rem2+/+; Emx1Cre and Rem2-/-; Emx1Cre TR and MD mice. (B) ODI for Rem2+/+; PvalbCre TR (black, n = 7), Rem2+ Figure 4 continued on next page OI: https://doi.org/10.7554/eLife.33092 9 of -0.2 0.2 0.4 0.6 ODI 0 0.8 1 -1 -0.8 -0.6 -0.4 * n.s. * I I I I C C C C ∆R/R × 10-4 9 Rem2flx/flx;Emx1 Cre TR Rem2flx/flx;Emx1 Cre MD Rem2+/+;Emx1 Cre TR Rem2+/+;Emx1 Cre MD A A -0.2 0.2 0.4 0.6 ODI 0 * 0.8 1 -1 -0.8 -0.6 * ∆R/R I I I I C C C C × 10-4 9 -0.4 -0.2 0.2 0.4 0.6 ODI 0 0.8 1 -1 -0.8 -0.6 -0.4 * n.s. Rem2 is required in cortical excitatory neurons for critical period OD plasticity p y Ocular dominance plasticity during the critical period is dependent on the proper balance of net- work excitation and inhibition. To probe whether Rem2 regulates the plasticity of excitatory neurons, inhibitory neurons, or both, Rem2flx/flx animals were crossed to mice directing Cre recombinase expression under the control of cell-type specific promoter elements. To assay the contribution of Rem2 expression in cortical excitatory pyramidal neurons we used the Emx1-Cre line (Emx1Cre, JAX #005628), where Cre expression is turned on early in embryonic development and is largely restricted to the dorsal telencephalon (Gorski et al., 2002). Rem2+/+; Emx1Cre or Rem2 flx/flx; Emx1- Cre mice were typically reared or monocularly deprived for 5–7 days as outlined above and ODI was measured using ISI. The Rem2+/+; Emx1Cre mice showed a pronounced shift in their ODI following 5–7 days of MD as expected (Figure 4A, Rem2+/+; Emx1Cre TR = 0.33 ± 0.06 ODI; Rem2+/+; Emx1Cre MD = 0.06 ± 0.06 ODI, p=0.0005). However, Rem2 deletion specifically from excitatory, cortical neurons (Rem2flx/flx; Emx1Cre) resulted in diminished OD plasticity following MD (Figure 4A, Rem2 flx/flx; Emx1Cre TR = 0. 31 ± 0.04 ODI; Rem2 flx/flx; Emx1Cre MD = 0.21 ± 0.06 ODI, p=0.61). We made two important conclusions based on this data. First, Rem2 is required in the cortex to mediate proper OD plasticity, as the Emx1 promoter does not drive Cre expression in other upstream regions of the visual system such as thalamus and retina (Gorski et al., 2002). Second, within the cortex, Rem2 is required in excitatory glutamatergic neurons for critical period ocular dominance plasticity to occur. It is well-established that inhibitory tone plays a critical role in opening and closing the critical period for OD plasticity (Hensch and Fagiolini, 2005; Kuhlman et al., 2013; Southwell et al., 2010; van Versendaal and Levelt, 2016). Therefore, we sought to determine whether Rem2 expres- sion in inhibitory interneurons contributes to OD plasticity. To this end, we crossed the Rem2flx/flx mice to a mouse line expressing Cre recombinase under control of the parvalbumin (Pvalb) promoter (PvalbCre, JAX#017320) as Pvalb+ interneurons are one of the most abundant interneuron subtypes in the cerebral cortex and disinhibition from interneurons plays an important role in OD plasticity (Butt et al., 2005; Kuhlman et al., 2013; Rudy et al., 2011). Figure 4 continued +; PvalbCre MD (gray, n = 7), Rem2-/-; PvalbCre TR (magenta, n = 8) or Rem2-/-; PvalbCre MD (light pink, n = 7). Inset: DR/R for Rem2+/+; PvalbCre and Rem2-/-; PvalbCre TR and MD mice. (C) ODI for Rem2+/+; VipCre TR (black, n = 6), Rem2+/+; VipCre MD (gray, n = 6), Rem2-/-; VipCre TR (green, n = 8) or Rem2-/-; PvalbCre MD (light green, n = 8). Inset: DR/R for Rem2+/+; VipCre and Rem2-/-; VipCre TR and MD mice. Each animal is depicted as an individual circle. Orange circles with error bars represent the averages for each group ± SEM. Data is presented as mean ± SEM. *p<0.05 by two-way ANOVA with Tukey post-hoc. Significance comparisons for DR/R in C and D insets are listed in Table 1. DOI: https://doi.org/10.7554/eLife.33092.009 DOI: https://doi.org/10.7554/eLife.33092.009 underwent monocular deprivation in adulthood also produced a significant shift in ODI following 7– 10 days of MD (Figure 3D, Adult Rem2-/- TR = 0.37 ± 0.07 ODI; Adult Rem2-/- MD = 0.05 ± 0.09 ODI, p=0.003). Thus, taken together these data suggest that Rem2 is required specifically for late- phase critical period plasticity. Rem2 is required for normal critical period OD plasticity * I I I I C C C C ∆R/R × 10-4 9 I I I I C C C C ∆R/R × 10-4 9 Rem2flx/flx;VipCre MD Rem2flx/flx;VipCre TR Rem2+/+;VipCre MD Rem2+/+;VipCre TR Rem2flx/flx;PvalbCre MD Rem2flx/flx;PvalbCre TR Rem2+/+;PvalbCre MD Rem2+/+;PvalbCre TR Rem2flx/flx;Emx1 Cre TR Rem2flx/flx;Emx1 Cre MD ; ; B C A -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI * * Figure 4. Rem2 is required in cortical excitatory neurons for o index (ODI) for Rem2+/+; Emx1Cre typically reared (TR, black, gray, n = 8), Rem2-/-; Emx1Cre TR (dark teal, n = 7) or Rem2-/-; Rem2+/+; Emx1Cre and Rem2-/-; Emx1Cre TR and MD mice. (B) Figure 4 continued on next page -0.2 0.2 0.4 0.6 ODI 0 * 0.8 1 -1 -0.8 -0.6 * ∆R/R I I I I C C C C × 10-4 9 -0.4 I I I I C C C C ∆R/R × 10-4 9 Rem2flx/flx;VipCre MD Rem2flx/flx;VipCre TR Rem2+/+;VipCre MD Rem2+/+;VipCre TR Rem2flx/flx;PvalbCre MD Rem2flx/flx;PvalbCre TR Rem2+/+;PvalbCre MD Rem2+/+;PvalbCre TR B C -1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1 ODI * * -0.2 0.2 0.4 0.6 ODI 0 * 0.8 1 -1 -0.8 -0.6 * ∆R/R I I I I C C C C × 10-4 9 -0.4 Rem2flx/flx;PvalbCre MD Rem2flx/flx;PvalbCre TR Rem2+/+;PvalbCre MD Rem2+/+;PvalbCre TR B B B Figure 4. Rem2 is required in cortical excitatory neurons for ocular dominance plasticity. (A) Ocular dominance index (ODI) for Rem2+/+; Emx1Cre typically reared (TR, black, n = 6), Rem2+/+; Emx1Cre monocularly deprived (MD, gray, n = 8), Rem2-/-; Emx1Cre TR (dark teal, n = 7) or Rem2-/-; Emx1Cre MD (light teal, n = 8). Inset: DR/R for Rem2+/+; Emx1Cre and Rem2-/-; Emx1Cre TR and MD mice. (B) ODI for Rem2+/+; PvalbCre TR (black, n = 7), Rem2+/ Figure 4 continued on next page Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 9 of 34 9 of 34 Research article Research article Neuroscience Neuroscience Neuroscience Rem2 is necessary for synaptic strengthening and maintenance Rem2 is necessary for synaptic strengthening and maintenance At the circuit level, monocular deprivation causes biphasic changes in cortical excitability, which underlies the observed shift in ocular dominance. Early-phase OD plasticity (1-3d MD) results in an initial decrease in responsiveness to the closed eye largely dependent on LTD-like mechanisms (Cooke and Bear, 2014; Crozier et al., 2007; Yoon et al., 2009), while the slower gain of respon- siveness to the open eye during late-phase OD plasticity (4-6d MD) is due to homeostatic mecha- nisms including postsynaptic scaling up of excitatory synapses and intrinsic excitability homeostasis (Kaneko et al., 2008b; Lambo and Turrigiano, 2013; Mrsic-Flogel et al., 2007; Smith et al., 2009). The presence of a late-phase ocular dominance plasticity phenotype, which resulted in enhanced visual responsiveness at 6d MD in Rem2-/- animals, led us to question whether homeo- static mechanisms might be enhanced or altered in the absence of Rem2. To address this possibility, we examined the synaptic and intrinsic properties of layer 2/3 pyramidal neurons, due to their robust characterization in OD plasticity function (Keck et al., 2013; Kuhlman et al., 2013; Lambo and Tur- rigiano, 2013; Mellios et al., 2011; Mrsic-Flogel et al., 2007), using ex vivo slice experiments fol- lowing either 2 days or 6 days of monocular deprivation. g y y p To begin, we assayed changes in postsynaptic inputs by measuring miniature excitatory postsyn- aptic current (mEPSC) amplitudes. Both wildtype and Rem2-/- littermates were either typically reared or monocularly deprived for 2 or 6 days starting at P26 and continuing until P28 or P32, respectively (Figure 5A,B; representative traces). Whole-cell voltage-clamp recordings were used to measure mEPSCs in layer 2/3 pyramidal neurons in acute slices. We found that 2 days of monocular depriva- tion in wildtype mice resulted in a significant decrease in mEPSC amplitude recorded from layer 2/3 pyramidal neurons (Figure 5A,C and E (left); WT TR = 9.8 ± 0.1 pA; WT 2d MD = 8.87 ± 0.08 pA, p=0.015) as previously reported (Lambo and Turrigiano, 2013). Similarly, recordings from layer 2/3 pyramidal neurons in cortical slices obtained from Rem2-/- mice following 2 days of MD also resulted in a significant decrease in mEPSC amplitude (Figure 5A,C and E (left), Rem2-/- P28 TR = 9.76 ± 0.08 pA; Rem2-/- 2d MD = 9.12 ± 0.08 pA, p=0.014). Rem2 is required in cortical excitatory neurons for critical period OD plasticity As expected, we observed a significant shift in the ODI in Rem2+/+; PvalbCre mice following monocular deprivation (Figure 4B, Rem2+/+; PvalbCre TR = 0.30 ± 0.04 ODI; Rem2+/+; PvalbCre MD = 0.05 ± 0.06 ODI, p=0.001). However, in contrast to the lack of OD plasticity observed in the Rem2flx/flx; Emx1Cre mice, deletion of Rem2 from Pvalb+ interneurons (Rem2flx/flx; PvalbCre) had no effect on OD plasticity (Figure 4B, Rem2flx/flx; PvalbCre TR = 0.34 ± 0.05 ODI, Rem2flx/flx; PvalbCre MD = 0.01 ± 0.07 ODI, p=0.0005). These data demonstrate that Rem2 is not required in Pvalb+ interneurons for OD plasticity. Vasoactive intestinal peptide (Vip) positive interneurons regulate cortical gain control during arousal (Fu et al., 2014), are integral to a disinhibitory circuit that enhances adult OD plasticity (Fu et al., 2015), and regulate visual acuity in an experience-dependent manner (Mardinly et al., 2016). Additionally, previous work demonstrated a significant increase in Rem2 mRNA expression in Vip+ interneurons following light exposure in dark reared mice (Mardinly et al., 2016). To assay whether Rem2 is required in Vip+ interneurons for critical period plasticity we crossed the Rem2flx/flx Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 10 of 34 Research article Research article Neuroscience mice to a mouse line expressing Cre recombinase under control of the Vip promoter (VipCre, JAX#010908). We observed a significant shift in the ODI in Rem2+/+; VipCre mice following monocu- lar deprivation (Figure 4C, Rem2+/+; VipCre TR = 0.39 ± 0.01 ODI; Rem2+/+; VipCre MD = 0.04 ± 0.02 ODI, p=0.01). A similar shift was observed in the monocularly deprived Rem2flx/flx; VipCre mice, indi- cating that deletion of Rem2 from Vip+ interneurons has no effect on OD plasticity (Figure 4C, Rem2flx/flx; VipCre TR = 0.32 ± 0.03 ODI; Rem2flx/flx; VipCre MD = 0.00 ± 0.09 ODI, p=0.001). Taken together these data demonstrate that Rem2 is not required in either Pvalb+ or Vip+ interneurons for critical period OD plasticity. Interestingly, the Rem2flx/flx; Emx1Cre animals exhibit a smaller shift in ocular dominance after 6d MD than the Rem2-/- animals when compared to their respective littermate controls (compare Figure 3C to Figure 4A). One possible explanation for this result is that Rem2 modulates plasticity via its expression in different cell types or brain regions other than those examined by use of these particular Cre driver lines in the current study. Rem2 is required in cortical excitatory neurons for critical period OD plasticity Previous work investigating the role of Igf1 in Vip+ interneurons in OD plasticity demonstrated that while deletion of Igf1 in Vip+ interneurons altered inhibitory tone it did not affect OD plasticity following monocular deprivation (Mardinly et al., 2016). Thus, another possibility is that Rem2 may also function in other cell types, such as Vip+ inter- neurons, to help disinhibit cortical circuits and indirectly contribute to the partial shift observed in the Rem2-/- animals that is absent in the Rem2flx/flx; Emx1Cre mice. Rem2 is necessary for synaptic strengthening and maintenance 2d MD 6d MD D C WT TR WT 2d MD % mEPSCs 0 50 100 E 5 10 15 20 25 5 10 15 20 25 0 0.5 1 1.5 0 0.5 1 1.5 2 2.5 WT TR WT 6d MD % mEPSCs 0 50 100 0 50 100 0 50 100 Amplitude (pA) Interevent Interval (s) F WT Rem2 WT Rem2 WT Rem2 WT Rem2 2d MD 6d MD 2d MD 6d MD WT TR WT 6d MD Rem2-/- 2d MD Rem2-/- TR WT TR WT 2d MD Rem2-/- 2d MD Rem2-/- TR Rem2-/- 6d MD Rem2-/- TR Rem2-/- 6d MD Rem2-/- TR E F Figure 5. Rem2 is required for postsynaptic strengthening following 6 days of monocular deprivation. (A) Representative whole-cell voltage clamp recordings of mEPSCs from layer 2/3 pyramidal neurons in binocular visual cortex (V1b) of wildtype typically reared mice at P28 (WT TR), wildtype mice undergoing 2 days of monocular deprivation (WT 2d MD), Rem2-/- typically reared mice at P28 (Rem2-/- TR), or Rem2-/- mice following 2 days of monocular deprivation (Rem2-/- 2d MD). (B) Representative voltage-clamp traces from layer 2/3 pyramidal neurons from V1b of wildtype typically reared mice at P32 (WT TR), wildtype mice undergoing 6 days of monocular deprivation from P26-P32 (WT 6d MD), Rem2-/- typically reared mice at P32 (Rem2-/- TR) or following 6 days of MD (Rem2-/- 6d MD). (C) Average mEPSC amplitude recorded from wildtype or Rem2-/- layer 2/3 pyramidal neurons with normal visual experience at (left) P28 (WT TR, white, n = 25; Rem2-/- TR, dark purple, n = 29), or following 2 days of monocular deprivation (WT DR, light gray, n = 25; Rem2-/- 2d MD, light purple, n = 23) or (right) at P32 with normal visual experience (WT TR, black, n = 24; Rem2-/- TR, dark blue, n = 24) or following 6 days of monocular deprivation (WT 6d MD, gray, n = 25; Rem2-/- 6d MD, light blue, n = 25). N = 4 animals per experimental condition. (D) Average mEPSC frequency in wildtype and Rem2-/- mice undergoing 2 days (Left) or 6 days (Right) of monocular deprivation compared to typically reared age-matched controls. (E) Cumulative distribution plot of mEPSC amplitude or (F) Interevent Interval recorded in wildtype and Rem2-/-mice following 2 days (Left) or 6 days (Right) of monocular deprivation. Data is presented as mean ± SEM. Rem2 is necessary for synaptic strengthening and maintenance These data, in agreement with our 2d MD ODI data in Rem2-/- mice (Figure 3C), suggest that in the absence of Rem2, layer 2/3 cortical neurons are sensitive to the decrease in drive that occurs as a result of MD and decrease their excitatory postsynaptic strength as expected (Lambo and Turrigiano, 2013). We next examined the consequence of 6 days of MD in the absence of Rem2 by again assaying mEPSC amplitude in layer 2/3 pyramidal neurons. We hypothesized that if Rem2-/- neurons were able to undergo homeostatic postsynaptic scaling up, we would observe an increase in mEPSC amplitude, as previously reported (Lambo and Turrigiano, 2013). As expected, we found a signifi- cant increase in mEPSC amplitude in neurons in slices obtained from wildtype animals following 6 days of MD (Figure 5B,C and E (right); WT TR = 9.46 ± 0.1 pA; WT 6d MD = 10.31 ± 0.09 pA, p=0.027). The magnitude of the effect (~10% increase following 6d MD) is consistent with previous reports (Lambo and Turrigiano, 2013). However, we failed to observe a significant increase in Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 11 of 34 Research article Research article Neuroscience 1 s 10 pA WT TR WT 2d MD Rem2-/- TR Rem2-/- 2d MD WT TR WT 6d MD Rem2-/- TR Rem2-/- 6d MD 1 s 10 pA B A WT TR WT 2d MD % mEPSCs 0 50 100 E 5 10 15 20 25 5 10 15 20 25 0 0.5 1 1.5 0 0.5 1 1.5 2 2.5 WT TR WT 6d MD % mEPSCs 0 50 100 0 50 100 0 50 100 Amplitude (pA) Interevent Interval (s) F -12 -10 -8 -6 -4 -2 Amplitude (pA) * * 0 WT TR 2d MD Rem2-/- TR 2d MD 0 1 2 3 4 5 Frequency (Hz) * * * TR 6d MD TR 6d MD C D WT Rem2-/- n.s. WT TR 2d MD Rem2-/- TR 2d MD TR 6d MD TR 6d MD WT Rem2-/- 2d MD 6d MD 2d MD 6d MD 2d MD 6d MD 2d MD 6d MD WT TR WT 6d MD n.s. n.s. Rem2-/- 2d MD Rem2-/- TR WT TR WT 2d MD Rem2-/- 2d MD Rem2-/- TR Rem2-/- 6d MD Rem2-/- TR Rem2-/- 6d MD Rem2-/- TR * * Figure 5. Rem2 is required for postsynaptic strengthening following 6 days of monocular deprivation. Rem2 is necessary for synaptic strengthening and maintenance (A) Representative whole-cell voltage clamp recordings of mEPSCs from layer 2/3 pyramidal neurons in binocular visual cortex (V1b) of wildtype typically reared mice at P28 (WT TR), wildtype mice undergoing 2 days of monocular deprivation (WT 2d MD), Rem2-/- typically reared mice at P28 (Rem2-/- TR), or Rem2-/- mice following 2 days of monocular deprivation (Rem2-/- 2d MD). (B) Representative voltage-clamp traces from layer 2/3 pyramidal neurons from V1b of wildtype typically reared mice at P32 (WT TR), wildtype mice undergoing 6 days of monocular deprivation from P26-P32 (WT 6d MD), Rem2-/- typically reared mice at P32 (Rem2-/- TR) or following 6 days of MD (Rem2-/- 6d MD). (C) Average mEPSC amplitude recorded from wildtype or Rem2-/- layer 2/3 pyramidal neurons with normal visual experience at (left) P28 (WT TR, white, n = 25; Rem2-/- TR, dark purple, n = 29), or following 2 days of monocular deprivation (WT DR, light gray, n = 25; Rem2-/- 2d MD, light purple, n = 23) or (right) at P32 with normal visual experience (WT TR, black, n = 24; Rem2-/- TR, dark blue, n = 24) or following 6 days of monocular deprivation (WT 6d MD, gray, n = 25; Rem2-/- 6d MD, light blue, n = 25). N = 4 animals per experimental condition. (D) Average mEPSC frequency in wildtype and Rem2-/- mice undergoing 2 days (Left) or 6 days (Right) of monocular deprivation compared to typically reared age matched controls (E) Cumulative distribution plot of mEPSC amplitude or (F) Interevent Interval recorded in wildtype and 1 s 10 pA WT TR WT 2d MD Rem2-/- TR Rem2-/- 2d MD A -12 -10 -8 -6 -4 -2 Amplitude (pA) * * 0 WT TR 2d MD Rem2-/- TR 2d MD * TR 6d MD TR 6d MD C WT Rem2-/- n.s. 2d MD 6d MD B A WT TR WT 6d MD Rem2-/- TR Rem2-/- 6d MD 1 s 10 pA B 0 1 2 3 4 5 Frequency (Hz) * * D WT TR 2d MD Rem2-/- TR 2d MD TR 6d MD TR 6d MD WT Rem2-/- 2d MD 6d MD n.s. n.s. * * 1 s 1 s -12 -10 -8 -6 -4 -2 Amplitude (pA) * * 0 WT TR 2d MD Rem2-/- TR 2d MD * TR 6d MD TR 6d MD C WT Rem2-/- n.s. Rem2 is necessary for synaptic strengthening and maintenance *p<0.05, by two-way ANOVA and Tukey post-hoc for mEPSC frequency and amplitude mean data plots. DOI: https://doi.org/10.7554/eLife.33092.010 12 of 34 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Research article Neuroscience mEPSC amplitude in neurons from Rem2-/- visual cortex following 6 days of MD (Figure 5B,C and E (right); Rem2-/- TR = 9.64 ± 0.12 pA; Rem2-/- 6d MD = 9.04 ± 0.14 pA, p=0.535). Thus, these data demonstrate that excitatory postsynaptic scaling up is aberrant in Rem2-/- mice. y p y p g p We also examined changes in mEPSC frequency in response to 2 or 6 days of MD. As expected, we found no change in mEPSC frequency in wildtype mice following either 2 days (Figure 5D,F (left); WT TR = 4.69 ± 0.13 Hz; WT 2d MD = 4.12 ± 0.1 Hz, p=0.515) or 6 days of MD (Figure 5D,F (right); WT TR = 3.65 ± 0.13 Hz; WT 6d MD = 3.95 ± 0.1 Hz, p=0.551). Interestingly, both P28 and P32 typically reared Rem2-/- mice displayed a significant decrease in mEPSC frequency when com- pared to their wildtype littermate controls reared under the same conditions (Figure 5D,F; Rem2-/- P28 TR = 4.13 ± 0.1 Hz, p=0.03; Rem2-/- P32 TR = 2.34 ± 0.1 Hz, p=0.0005). The frequency of mEPSC events was still further decreased following both 2 days (Figure 5E,F (left); Rem2-/- 2d MD = 3.19 ± 0.12 Hz, p=0.003) and 6 days of MD (Figure 5E,F (right); Rem2-/- 6d MD = 1.6 ± 0.05 Hz, p=0.008) in cortical neurons isolated from Rem2-/- compared to wildtype animals. These changes in mEPSC frequency could reflect any number of differences between the cortical synaptic connec- tions in the Rem2-/- and wildtype mice in the context of sensory deprivation including changes in excitatory synapse formation, presynaptic neurotransmitter release, or synapse maintenance and pruning mechanisms. In addition to the modulation of excitatory synapses, altered neuronal activity can produce changes in inhibitory synaptic function (Hartman et al., 2006; Kilman et al., 2002; Pribiag et al., 2014). To determine if Rem2 also regulates activity-dependent changes of inhibitory synapses, we assayed miniature inhibitory postsynaptic current (mIPSC) amplitude and frequency in layer 2/3 pyra- midal neurons of Rem2-/- mice (Figure 6). Rem2 is necessary for synaptic strengthening and maintenance We found no change in mIPSC frequency (Figure 6A,B; WT TR = 5.63 ± 0.09 Hz; WT 6d MD = 5.31 ± 0.13 Hz, p=0.931) or amplitude (Figure 6C,D; WT TR = 31.04 ± 1.0 pA; WT 6d MD = 31.92 ± 0.92 pA, p=0.852) in response to 6 days of MD in wildtype neurons. Additionally, mIPSC frequency and amplitude recorded from neurons in Rem2-/- 0 1 2 3 4 5 6 7 Frequency (Hz) -35 -30 -25 -20 -15 -10 -5 Amplitude (pA) WT TR 6dMD Rem2-/- TR 6dMD D WT TR 6dMD Rem2-/- TR 6dMD C 20 40 60 80 100 % mIPSCs 0 50 100 Rem2-/- 6dMD Rem2-/- TR WT TR WT 6dMD B WT WT 6dMD Rem2-/- TR Rem2-/- 6dMD 1 s 40 pA A Amplitude (pA) * * 120 Figure 6. Rem2-/- does not alter inhibition in layer 2/3 pyramidal neurons. (A) Representative whole-cell recordings of mIPSCs from layer 2/3 pyramidal neurons in V1b in wildtype or Rem2-/- that were either typically reared (TR) until P32 or monocularly deprived (from P26-P32) for 6 days (6d MD). Quantification of average mIPSC frequency (B) and amplitude (C) in WT and Rem2-/- cells (WT TR n = 22, WT 6d MD n = 17, Rem2-/-TR n = 22, and Rem2-/- 6d MD n = 17). N = 3 animals per condition. (D) Cumulative distribution plot of mIPSC amplitudes in WT TR, WT 6d MD, Rem2 TR, and Rem2 MD. Data is presented as mean ±SEM. *p<0.05 by two-way ANOVA with Tukey post-hoc. DOI: https://doi.org/10.7554/eLife.33092.011 A WT WT 6dMD Rem2-/- TR Rem2-/- 6dMD 1 s 40 pA A 0 1 2 3 4 5 6 7 Frequency (Hz) -35 -30 -25 -20 -15 -10 -5 Amplitude (pA) WT TR 6dMD Rem2-/- TR 6dMD D WT TR 6dMD Rem2-/- TR 6dMD C 20 40 60 80 100 % mIPSCs 0 50 100 Rem2-/- 6dMD Rem2-/- TR WT TR WT 6dMD B 1 s Amplitude (pA) * * 120 D 10 D 1 B Figure 6. Rem2-/- does not alter inhibition in layer 2/3 pyramidal neurons. (A) Representative whole-cell recordings of mIPSCs from layer 2/3 pyramidal neurons in V1b in wildtype or Rem2-/- that were either typically reared (TR) until P32 or monocularly deprived (from P26-P32) for 6 days (6d MD). Research article Rem2 functions cell-autonomously to regulate intrinsic excitability Rem2 functions cell autonomously to regulate intrinsic excitability While we observed deficits in synaptic scaling and decreased mEPSC frequency (Figure 5) in layer 2/ 3 pyramidal neurons from Rem2-/- mice, these effects seemed contrary to the enhanced responsive- ness observed in Rem2-/- animals by ISI following 6d MD. Specifically, the lack of synaptic scaling up would suggest that the cortex should be less responsive to visual stimulation as opposed to more responsive as observed with ISI (Figure 3C, inset). We therefore turned our focus to intrinsic excit- ability, which is also homeostatically regulated in layer 2/3 pyramidal neurons in response to MD, presumably in order to counteract a perturbation in network drive (Desai et al., 1999; Lambo and Turrigiano, 2013; Maffei and Turrigiano, 2008; Marder and Goaillard, 2006; Turrigiano et al., 1998). To assess changes in intrinsic excitability, we measured the frequency of action potential firing in response to a series of depolarizing current steps (f-I curves) applied in the presence of pharmaco- logical blockers of synaptic transmission (Figure 7). Surprisingly, Rem2-/- mice exhibited a pro- nounced leftward shift of the f-I curve under normal rearing conditions (Figure 7), suggesting that Rem2 normally functions to inhibit the intrinsic excitability of the neuron. This shift occurred in the absence of changes in RIN, Vm or Cm (Table 2) between wildtype and Rem2-/- neurons (Table 2). Fol- lowing 2 days of MD, wildtype neurons displayed no change in their f-I curve (Figure 7A–B, compare WT TR to WT 2d MD), while Rem2-/- neurons displayed decreased firing (Figure 7A–B, compare Rem2-/- TR to Rem2-/- 2d MD), such that the f-I curves obtained from Rem2-/- neurons were indistin- guishable from wildtype (Figure 7B, compare Rem2-/- 2d MD to WT TR). In contrast, when examined after 6 days of MD, wildtype neurons shifted their f-I curve to the left (Figure 7C–D, compare WT TR to WT 6d MD), indicating a homeostatic increase in intrinsic excitability (Lambo and Turrigiano, 2013). However, neurons from Rem2-/- mice failed to further increase their intrinsic excitability in response to 6 days of MD (Figure 7D, compare Rem2-/- TR to Rem2-/- 6d MD). Taken together, these data suggest that Rem2 normally functions to stabilize intrinsic excitability, as removal of Rem2 causes increased intrinsic excitability (Figure 7, TR Rem2-/-). However, short and long-term deprivation (2d vs. Rem2 is necessary for synaptic strengthening and maintenance Quantification of average mIPSC frequency (B) and amplitude (C) in WT and Rem2-/- cells (WT TR n = 22, WT 6d MD n = 17, Rem2-/-TR n = 22, and Rem2-/- 6d MD n = 17). N = 3 animals per condition. (D) Cumulative distribution plot of mIPSC amplitudes in WT TR, WT 6d MD, Rem2 TR, and Rem2 MD. Data is presented as mean ±SEM. *p<0.05 by two-way ANOVA with Tukey post-hoc. DOI: https://doi org/10 7554/eLife 33092 011 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 13 of 34 Research article Neuroscience mice that were typically reared was similar to WT TR neurons, suggesting that deletion of Rem2 does not alter baseline inhibitory synapse formation or transmission (Figure 6, (B) Rem2-/- TR frequency = 5.27 ± 0.13 Hz; (C, D) amplitude = 29.22 ± 1.47 pA, p=0.73 compared to WT TR). We did, however, observe a significant increase in mIPSC frequency, but not amplitude, in Rem2-/- mice with 6 days of MD (Figure 6B–D, Rem2-/- 6d MD frequency = 6.32 ± 0.13 Hz, p=0.03; Rem2-/- 6d MD amplitude = 29.02 ± 1.0 pA, p=0.35 compared to Rem2-/- TR). Interestingly, the increase in mIPSC frequency with 6d MD observed in layer 2/3 neurons obtained from Rem2-/- mice is concur- rent with a decrease in mEPSC frequency at the same experimental time point (Figure 5D), suggest- ing that a change in network excitability has occurred. We explore this possibility further below by investigating spontaneous activity in cortex in Rem2-/- mice. Rem2 functions cell-autonomously to regulate intrinsic excitability (A) Example traces of evoked action potential responses (0.2 nA current D Rem2-/- 6d MD Rem2-/- TR WT TR WT 6d MD C Rem2-/- 6d MD Rem2-/- TR WT TR WT 6d MD 5 15 25 35 Current (nA) 0 0.1 0.2 0.3 0.4 Current (nA) Firing Rate (Hz) D Rem2-/- 6d MD Rem2-/- TR WT TR WT 6d MD C Rem2-/- 6d MD Rem2-/- TR WT TR WT 6d MD 5 15 25 35 Current (nA) 0 0.1 0.2 0.3 0.4 Current (nA) Firing Rate (Hz) Figure 7. Rem2 alters the intrinsic excitability of layer 2/3 pyramidal neurons. (A) Example traces of evoked action potential responses (0.2 nA current injected) of neurons from WT or Rem2-/- mice either typically reared (TR) to P28 or monocularly deprived for 2 days from P26-P28 (2d MD). (B) Average f-I curves for WT TR (black line, n = 25), WT 2d MD (gray line, n = 22), Rem2-/- TR (dark purple line, n = 23) and Rem2-/- 2d MD (light purple line, n = 22 in response to normal visual experience or 2 days of monocular deprivation. N = 4 animals per experimental condition. (C) Examples of evoked responses from neurons of WT or Rem2-/- following at P32 that were either typically reared (WT TR and Rem2-/- TR) or monocularly deprived for 6 days from P26-P32 (WT 6d MD and Rem2-/- 6d MD). (D) Average f-I curves for WT TR (black line, n = 32), WT 6d MD (gray line, n = 22), Rem2-/- TR (dark blu line, n = 24) and Rem2-/- 6d MD (light blue line, n = 22) in response to normal visual experience or after 6 days of monocular deprivation. N = 5 mice f WT TR and 4 mice for all other conditions. D Rem2-/- 6d MD Rem2-/- TR WT TR WT 6d MD 5 15 25 35 Current (nA) 0 0.1 0.2 0.3 0.4 Current (nA) Firing Rate (Hz) C Figure 7. Rem2 alters the intrinsic excitability of layer 2/3 pyramidal neurons. (A) Example traces of evoked action potential responses (0.2 nA current injected) of neurons from WT or Rem2-/- mice either typically reared (TR) to P28 or monocularly deprived for 2 days from P26-P28 (2d MD). Rem2 functions cell-autonomously to regulate intrinsic excitability 6d MD), in the presence or absence of Rem2, has different effects on intrinsic excitability (Figure 7). These data imply the existence of other signaling pathways, in addition to Rem2, which also function to regulate intrinsic excitability in the context of sensory deprivation and further, are responsive to the amount of deprivation that has occurred. f Given the baseline change in intrinsic excitability observed in the absence of Rem2, we next sought to address whether this shift was dependent on circuit level changes in network excitability as a result of synapse loss, or rather reflected a cell-autonomous function of Rem2. To address this question, we performed acute, sparse deletion of Rem2 in layer 2/3 pyramidal neurons in binocular visual cortex in animals that were typically reared in a 12 hr light/12 hr dark cycle, which would allow for some level of Rem2 expression. Rem2flx/flx mice were injected at P18-20 with either a dilute con- trol virus (AAV-GFP) or virus expressing Cre recombinase (AAV-GFP-Cre; Figure 8A). Our injection strategy causes expression of GFP (AAV-GFP), or expression of GFP and deletion of Rem2 (AAV- GFP-Cre), from a few dozen neurons, while leaving the majority of the circuit unaffected. We previ- ously verified using qPCR that 3–5 days of viral infection is sufficient to delete Rem2 exons 2 and 3 (Kenny et al., 2017), Figure 1A). Acute cortical slices were then isolated either 4 days post infection (4 d.p.i., Figure 8A left) or 10–12 d.p.i. (Figure 8A right), and f-I curves constructed from GFP+, layer 2/3 pyramidal neurons to determine if Rem2 regulates neuronal intrinsic excitability in a cell- autonomous manner. Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 14 of 34 Research article Research article Neuroscience D 20 mv 0.1 s A B Rem2-/- 2d MD Rem2-/- TR WT TR WT 2d MD Rem2-/- 6d MD Rem2-/- TR WT TR WT 6d MD Rem2-/- 2d MD Rem2-/- TR WT TR WT 2d MD C Rem2-/- 6d MD Rem2-/- TR WT TR WT 6d MD 5 15 25 35 5 15 25 35 0 0.1 0.2 0.3 0.4 Current (nA) 0 0.1 0.2 0.3 0.4 Current (nA) Firing Rate (Hz) Firing Rate (Hz) Figure 7. Rem2 alters the intrinsic excitability of layer 2/3 pyramidal neurons. Rem2 functions cell-autonomously to regulate intrinsic excitability (A) Example traces of evoked action potential responses (0.2 nA current injected) of neurons from WT or Rem2-/- mice either typically reared (TR) to P28 or monocularly deprived for 2 days from P26-P28 (2d MD). (B) Average f-I curves for WT TR (black line, n = 25), WT 2d MD (gray line, n = 22), Rem2-/- TR (dark purple line, n = 23) and Rem2-/- 2d MD (light purple line, n = 22 in response to normal visual experience or 2 days of monocular deprivation. N = 4 animals per experimental condition. (C) Examples of evoked responses from neurons of WT or Rem2-/- following at P32 that were either typically reared (WT TR and Rem2-/- TR) or monocularly deprived for 6 days from P26-P32 (WT 6d MD and Rem2-/- 6d MD). (D) Average f-I curves for WT TR (black line, n = 32), WT 6d MD (gray line, n = 22), Rem2-/- TR (dark blu line, n = 24) and Rem2-/- 6d MD (light blue line, n = 22) in response to normal visual experience or after 6 days of monocular deprivation. N = 5 mice f WT TR and 4 mice for all other conditions. DOI: https://doi.org/10.7554/eLife.33092.012 20 mv 0.1 s A B Rem2-/- 2d MD Rem2-/- TR WT TR WT 2d MD Rem2-/- 2d MD Rem2-/- TR WT TR WT 2d MD 5 15 25 35 0 0.1 0.2 0.3 0.4 Current (nA) Firing Rate (Hz) A D 20 mv 0.1 s A B Rem2-/- 2d MD Rem2-/- TR WT TR WT 2d MD Rem2-/- 6d MD Rem2-/- TR WT TR WT 6d MD Rem2-/- 2d MD Rem2-/- TR WT TR WT 2d MD C Rem2-/- 6d MD Rem2-/- TR WT TR WT 6d MD 5 15 25 35 5 15 25 35 0 0.1 0.2 0.3 0.4 Current (nA) 0 0.1 0.2 0.3 0.4 Current (nA) Firing Rate (Hz) Firing Rate (Hz) Figure 7. Rem2 alters the intrinsic excitability of layer 2/3 pyramidal neurons. Rem2 functions cell-autonomously to regulate intrinsic excitability Passive membrane properties including resting membrane potential (VR), input resistance (RIN), mem- brane capacitance (CM), and Tau measured in layer 2/3 pyramidal neurons in wildtype and Rem2-/- TR or MD mice for the cells assayed in Figure 7. Passive membrane properties including resting membrane potential (VR), input resistance (RIN), mem- brane capacitance (CM), and Tau measured in layer 2/3 pyramidal neurons in wildtype and Rem2-/- TR or MD mice for the cells assayed in Figure 7. Experimental condition VR (mV) RIN (GW) CM (pF) Tau (ms) WT TR 68.01 ± 0.43 95.09 ± 1.56 113.98 ± 1.70 10.78 ± 0.21 WT 2d MD 66.78 ± 0.38 96.46 ± 2.11 108.84 ± 2.48 10.12 ± 0.15 Rem2-/- TR 64.98 ± 0.26 111.61 ± 1.80 105.50 ± 1.95 11.44 ± 0.16 Rem2-/- 2d MD 68.38 ± 0.38# 100.94 ± 2.25 109.70 ± 2.72 10.79 ± 0.27 WT TR 64.22 ± 0.23 104.15 ± 1.64 118.55 ± 1.97 12.03 ± 0.15 WT 6d MD 64.92 ± 0.19 109.38 ± 1.10 119.94 ± 1.46 10.77 ± 0.10# Rem2-/- TR 63.39 ± 0.43 112.06 ± 1.62 124.80 ± 2.15 13.86 ± 0.29 Rem2-/- 6d MD 64.38 ± 0.19 99.61 ± 1.34 125.31 ± 1.61 11.96 ± 0.15 4 days post infection Rem2flx/flx + AAV-GFP 67.48 ± 0.54 108.88 ± 3.81 101.69 ± 2.35 11.26 ± 0.35 Rem2flx/flx + AAV-GFP-CRE 69.38 ± 0.59 101.26 ± 2.68 96.75 ± 2.59 9.66 ± 0.31 10–12 days post infection Rem2flx/flx + AAV GFP 64.04 ± 0.56 105.87 ± 3.75 111.54 ± 3.62 11.35 ± 0.39 Rem2flx/flx + AAV-GFP-CRE 64.21 ± 0.44 122.07 ± 3.10 102.56 ± 2.42 12.30 ± 0.37 *p0.05 compared to WT TR or #p0.05 compared to Rem2-/- TR by a two-way ANOVA followed by a Tukey test. All other comparisons are not significant. For Rem2flx/flx mice, data is compared using an independent student’s t- test. DOI: https://doi.org/10.7554/eLife.33092.013 preceding change in the number of functional synapses, we also measured mEPSC frequency and amplitude following 4 or 10–12 days of Rem2 deletion. Interestingly, we found that acute deletion of Rem2 measured 4 d.p.i. did not alter mEPSC frequency or amplitude (Figure 8D, (left) frequency: Rem2flx/flx + AAV GFP=5.59 ± 0.22 Hz; Rem2flx/flx + AAV GFP-Cre=5.10 ± 0.24 Hz, p=0.423; (right) amplitude: Rem2flx/flx + AAV GFP=10.28 ± 0.31 pA; Rem2flx/flx + AAV GFP-Cre=9.60 ± 0.24 pA, p=0.386). Conversely, by 10–12 d.p.i. Rem2 functions cell-autonomously to regulate intrinsic excitability a significant decrease in mEPSC frequency (Figure 8E, left; Rem2flx/flx + AAV GFP=4.38 ± 0.15 Hz; Rem2flx/flx + AAV GFP-Cre=2.92 ± 0.19 Hz, p=0.011) with no change in mEPSC amplitude was observed (Figure 8E right; Rem2flx/flx + AAV GFP=9.76 ± 0.22 pA; Rem2flx/flx + AAV GFP-Cre=10.42 ± 0.26 Hz, p=0.38). Additionally, we quantified changes in spine density 10 d.p.i. by utilizing sparse injections of AAV-Cre-GFP into an Ai9 Cre reporter mouse line harboring a loxP-flanked STOP cassette prevent- ing transcription of a CAG promoter-driven tdTomato (Ai9, JAX#007909) crossed to our conditional Rem2flx/flx line. Acute deletion of Rem2 (10 d.p.i.), resulted in decreased spine density and spine head width, as well as a statistically significant decrease in spine neck length (Fig. S3). These results, together with our mEPSC data (Figure 8D–E), suggest that approximately 10 days following Rem2 deletion there is a significant decrease in functional synapses, prior to spine shrinkage and eventual removal. Therefore, we conclude that Rem2 functions in a cell-autonomous manner to regulate intrinsic excitability irrespective of changes in excitatory synaptic density. Taken together, these data suggest that the dramatic decrease in mEPSC frequency observed in layer 2/3 pyramidal neurons in Rem2-/- mice (Figure 5D, right) most likely reflects a combination of both presynaptic and postsyn- aptic effects of Rem2 deletion. Rem2 functions cell-autonomously to regulate intrinsic excitability (B) Average f-I curves for WT TR (black line, n = 25), WT 2d MD (gray line, n = 22), Rem2-/- TR (dark purple line, n = 23) and Rem2-/- 2d MD (light purple line, n = 22) in response to normal visual experience or 2 days of monocular deprivation. N = 4 animals per experimental condition. (C) Examples of evoked responses from neurons of WT or Rem2-/- following at P32 that were either typically reared (WT TR and Rem2-/- TR) or monocularly deprived for 6 days from P26-P32 (WT 6d MD and Rem2-/- 6d MD). (D) Average f-I curves for WT TR (black line, n = 32), WT 6d MD (gray line, n = 22), Rem2-/- TR (dark blue line, n = 24) and Rem2-/- 6d MD (light blue line, n = 22) in response to normal visual experience or after 6 days of monocular deprivation. N = 5 mice for WT TR and 4 mice for all other conditions. DOI htt //d i /10 7554/ Lif 33092 012 DOI: https://doi.org/10.7554/eLife.33092.012 Surprisingly, we found that acute, sparse deletion of Rem2 from layer 2/3 pyramidal neurons 4 d. p.i. led to a significant increase in intrinsic excitability in response to current injection (Figure 8B, Rem2flx/flx + AAV GFP-Cre 4 d.p.i.) compared to those with normal Rem2 expression (Figure 8B, Rem2flx/flx + AAV GFP 4 d.p.i.). Similarly, deletion of Rem2 for 10–12 d.p.i. also resulted in a signifi- cant increase in intrinsic excitability (Figure 8C, Rem2flx/flx + AAV GFP-Cre 10–12 d.p.i.) compared to their wildtype littermate controls (Figure 8C, Rem2flx/flx + AAV GFP 10–12 d.p.i.). These results indicate that a primary function of Rem2 is to regulate intrinsic excitability in a cell-autonomous manner. However, this experiment does not resolve the relationship between altered intrinsic excitability and synapse function observed in the Rem2-/- mice. Are these properties independent, or does one occur before the other? In order to determine whether the shift in intrinsic excitability was due to a 15 of 34 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Research article Research article Neuroscience Table 2. Passive membrane properties of layer 2/3 neurons in visual cortex. Table 2. Passive membrane properties of layer 2/3 neurons in visual cortex. Research article Rem2 regulates spontaneous firing rate A neuron stabilizes firing rate through a combination of both synaptic and intrinsic homeostatic mechanisms leading to an internal firing rate set point around which the neuron operates (Turri- giano, 2011). Thus far, our data implicate Rem2 in regulating synaptic strengthening in the context of monocular deprivation (Figures 5C and 6d MD), mediating excitatory synapse function (Figure 5D, Figure 8E), and cell-autonomously regulating intrinsic excitability independent of Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 16 of 34 Research article Neuroscience Rem2flx/flx+AAV-GFP-Cre Rem2flx/flx+AAV-GFP A 20 mv 0.1 s C 0 1 2 3 4 5 -12 -10 -8 -6 -4 -2 Frequency (Hz) Amplitude (pA) * E Rem2flx/flx+AAV-GFP-Cre Rem2flx/flx+AAV-GFP Frequency (Hz) Amplitude (pA) 0 1 2 3 4 5 -12 -10 -8 -6 -4 -2 0 10-12d Record P0 P30-32 P18-20 V.I. 4d Record P0 P24 P20 V.I. 10-12 d.p.i. 20 mv 0.1 s 10-12 d.p.i. B D 4 d.p.i. Rem2flx/flx AAV GFP AAV Cre 4 d.p.i. Rem2flx/flx AAV GFP AAV Cre Rem2flx/flx AAV GFP AAV Cre Rem2flx/flx AAV GFP AAV Cre 0 0.1 0.2 0.3 0.4 Current (nA) 5 15 25 35 Firing Rate (Hz) 0 0.1 0.2 0.3 0.4 Current (nA) 5 15 25 35 Firing Rate (Hz) Figure 8. Rem2 cell-autonomously regulates intrinsic excitability in vivo. (A) Experimental timeline of acute, viral-mediated Rem2 deletion in Rem2flx/flx mice. V.I., virus injection. (B) Average f-I curves recorded from neurons of Rem2flx/flx mice injected with either a control GFP (Rem2flx/flx + AAV GFP, black, n = 17) or GFP-Cre expressing virus (Rem2flx/flx + AAV GFP-Cre, mauve, n = 19) measured 4 days post infection (d.p.i.). Inset: representative traces of evoked responses measured at 0.2 nA from Rem2flx/flx + AAV GFP and Rem2flx/flx + AAV GFP-Cre neurons 4 d.p.i.. (C) Average f-I curves recorded from neurons of Rem2flx/flx + AAV GFP (black, n = 18) or Rem2flx/flx + AAV GFP-Cre (magenta, n = 20) measured 10–12 days post infection. Inset: representative traces of evoked responses measured at 0.2 nA from Rem2flx/flx + AAV GFP and Rem2flx/flx + AAV GFP-Cre neurons 10–12 d.p.i.. (D) Average mEPSC (left) frequency and (right) amplitude measured in Rem2flx/flx + AAV GFP (black, n = 14) or Rem2flx/flx + AAV GFP-Cre (mauve, n = 17) measured 4 days post infection. Rem2 regulates spontaneous firing rate (E) Average mEPSC (left) frequency and (right) amplitude measured in Rem2flx/flx + AAV GFP (black, n = 22) or Rem2flx/flx + AAV GFP-Cre (magenta, n = 18) measured 10–12 days post infection. N = 3–5 animals per condition. Data is presented as mean ± SEM. *p<0.05, by two-way ANOVA and Tukey post-hoc for mEPSC frequency and amplitude mean data plots. DOI: https://doi.org/10.7554/eLife.33092.014 The following figure supplement is available for figure 8: Rem2flx/flx+AAV-GFP-Cre Rem2flx/flx+AAV-GFP A 20 mv 0.1 s C Rem2flx/flx+AAV-GFP-Cre Rem2flx/flx+AAV-GFP 10-12d Record P0 P30-32 P18-20 V.I. 4d Record P0 P24 P20 V.I. 10-12 d.p.i. 20 mv 0.1 s B 4 d.p.i. 0 0.1 0.2 0.3 0.4 C t ( A) 5 15 25 35 Firing Rate (Hz) 0 0.1 0.2 0.3 0.4 5 15 25 35 Firing Rate (Hz) Rem2flx/flx+AAV-GFP-Cre Rem2flx/flx+AAV-GFP 20 mv 0.1 s C 10-12d Record P0 P30-32 P18-20 V.I. 10-12 d.p.i. 0 0.1 0.2 0.3 0.4 5 15 25 35 Firing Rate (Hz) A Rem2flx/flx+AAV-GFP-Cre Rem2flx/flx+AAV-GFP 4d Record P0 P24 P20 V.I. 20 mv 0.1 s B 4 d.p.i. 0 0.1 0.2 0.3 0.4 5 15 25 35 Firing Rate (Hz) A C 3 B 0 1 2 3 4 5 -12 -10 -8 -6 -4 -2 Frequency (Hz) Amplitude (pA) * E 10-12 d.p.i. Rem2flx/flx AAV GFP AAV Cre Rem2flx/flx AAV GFP AAV Cre Current (nA) Frequency (Hz) Amplitude (pA) 0 1 2 3 4 5 -12 -10 -8 -6 -4 -2 0 D Rem2flx/flx AAV GFP AAV Cre 4 d.p.i. Rem2flx/flx AAV GFP AAV Cre Current (nA) E D D Figure 8. Rem2 cell-autonomously regulates intrinsic excitability in vivo. (A) Experimental timeline of acute, viral-mediated Rem2 deletion in Rem2flx/flx mice. V.I., virus injection. (B) Average f-I curves recorded from neurons of Rem2flx/flx mice injected with either a control GFP (Rem2flx/flx + AAV GFP, black, n = 17) or GFP-Cre expressing virus (Rem2flx/flx + AAV GFP-Cre, mauve, n = 19) measured 4 days post infection (d.p.i.). Inset: representative traces of evoked responses measured at 0.2 nA from Rem2flx/flx + AAV GFP and Rem2flx/flx + AAV GFP-Cre neurons 4 d.p.i.. (C) Average f-I curves recorded from neurons of Rem2flx/flx + AAV GFP (black, n = 18) or Rem2flx/flx + AAV GFP-Cre (magenta, n = 20) measured 10–12 days post infection. Inset: representative traces of evoked responses measured at 0.2 nA from Rem2flx/flx + AAV GFP and Rem2flx/flx + AAV GFP-Cre neurons 10–12 d.p.i.. Figure supplement 1. Brief loss of Rem2 results in a modest decrease in spine density and spine remodeling. DOI: https://doi.org/10.7554/eLife.33092.015 Rem2 regulates spontaneous firing rate (D) Average mEPSC (left) frequency and (right) amplitude measured in Rem2flx/flx + AAV GFP (black, n = 14) or Rem2flx/flx + AAV GFP-Cre (mauve, n = 17) measured 4 days post infection. (E) Average mEPSC (left) frequency and (right) amplitude measured in Rem2flx/flx + AAV GFP (black, n = 22) or Rem2flx/flx + AAV GFP-Cre (magenta, n = 18) measured 10–12 days post infection. N = 3–5 animals per condition. Data is presented as mean ± SEM. *p<0.05, by two-way ANOVA and Tukey post-hoc for mEPSC frequency and amplitude mean data plots. DOI: https://doi.org/10.7554/eLife.33092.014 The following figure supplement is available for figure 8: Figure supplement 1. Brief loss of Rem2 results in a modest decrease in spine density and spine remodeling. DOI: https://doi.org/10.7554/eLife.33092.015 Figure supplement 1. Brief loss of Rem2 results in a modest decrease in spine density and spine remodeling. DOI: https://doi.org/10.7554/eLife.33092.015 17 of 34 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Research article Research article Neuroscience Neuroscience synaptic modification (Figure 8, Figure 8—figure supplement 1). Given these data, we hypothe- sized that Rem2 could also regulate spontaneous firing rates in a cell autonomous manner. Thus, we recorded spontaneous activity from layer 2/3 pyramidal neurons in binocular visual cortex following acute, sparse deletion of Rem2. Rem2flx/flx mice that were reared under 12 hr light/12 hr dark hous- ing conditions were injected at P20 with either a dilute control virus (AAV-GFP) or virus expressing Cre recombinase (AAV-GFP-Cre; Figure 9A) as outlined above. Spontaneous action potential firing was measured by whole-cell current clamp recordings 8–9 d.p.i. from acute cortical slices. We found that deletion of Rem2 leads to a significant increase in spontaneous firing rates in layer 2/3 pyrami- dal neurons (Rem2flx/flx + AAV GFP-Cre=0.52 ± 0.067 Hz, p=0.008, Figure 9B top right) compared to wildtype control neurons (Rem2flx/flx + AAV GFP=0.154 ± 0.029 Hz, Figure 9B top left). Thus, Rem2 functions cell-autonomously to stabilize neuronal firing rates. Given that we observed a significant decrease in intrinsic excitability of layer 2/3 pyramidal neu- rons recorded from Rem2-/- mice following 2d of MD (Figure 7B), we also sought to determine whether spontaneous activity changed significantly with acute Rem2 deletion in the context of a sim- ilar deprivation. To address this question, a subset of Rem2flx/flx mice were subjected to 2d of MD after viral injection of either AAV-GFP or AAV-GFP-Cre (Figure 9A). Rem2 regulates spontaneous firing rate In both Rem2flx/flx + AAV GFP and Rem2flx/flx + AAV GFP-Cre mice, 2d MD had no effect on spontaneous firing rates recorded from GFP + layer 2/3 pyramidal neurons (Rem2flx/flx + AAV GFP 2d MD = 0.029 ± 0.0038 Hz, p=0.8442 compared to Rem2flx/flx + AAV GFP; Rem2flx/flx + AAV GFP Rem2flx/flx + AAV GFP-Cre 2d MD = 0.284 ± 0.0038 Hz, p=0.203 compared to Rem2flx/flx + AAV GFP-Cre). These data suggest that decreased intrinsic excitability observed with 2d MD does not directly translate into changes in spontaneous firing rate in individual neurons (Figure 9C). However, these experiments were per- formed using slightly different genetic manipulations (Rem2 total knockout (Rem2-/- Figure 7) versus sparse Rem2 knockout (Rem2flx/flx + AAV GFP-Cre Figure 9). Thus, it is possible that the decrease in intrinsic excitability observed in the Rem2-/- mouse following 2d MD (Figure 7A,B) implicates addi- tional roles for Rem2. For example, Rem2 may play a role in regulating presynaptic neurotransmitter release, which in turn influences how individual neurons response to circuit-level changes in activity. p g y Given our findings ex vivo, we hypothesized that spontaneous activity could be perturbed in the intact visual cortex of Rem2-/- mice. To this end, we performed in vivo extracellular recordings of spontaneous activity from V1b of anesthetized wildtype and Rem2-/- mice during the critical period and corresponding to our recordings made in acute slices (P28 and P34; Figure 10A–B). Interest- ingly, we observed no significant change in spontaneous firing rate between wildtype and Rem2-/- mice at P28 (Figure 10A–B, left). However, a significant increase in spontaneous firing rate emerges at the P34 time point (Figure 10A–B, right). Thus, in the absence of Rem2, the cortical network is more active. In addition, the increase in spontaneous firing rate recorded in vivo is consistent with the cell-autonomous increase in intrinsic excitability and spontaneous firing rates observed in our ex vivo preparations. These data (Figures 7 and 9 and Figure 10) also provide a parsimonious explana- tion for the intrinsic signal imaging results observed in Rem2-/- animals (Figure 3C), and support the conclusion that Rem2 regulates the absolute responsiveness of the cortex to visual stimulation through regulation of intrinsic excitability. Research article Discussion The present study identifies the activity-regulated gene Rem2 as an important regulator of intrinsic excitability. Our data demonstrate that Rem2 normally functions to stabilize the inherent activity level of a neuron, as intrinsic excitability is increased following Rem2 deletion. Consistent with this finding, we show that spontaneous firing rate is increased in both individual neurons and in the intact cortex in the absence of Rem2 (Figures 9 and 10). Based on the data presented in this study, we favor a model in which Rem2 functions to dampen intrinsic excitability during periods of robust activ- ity. In this model, during periods of low activity, in which we expect little to no Rem2 expression, neurons alter their intrinsic excitability through other signaling pathways. As such, we propose that Rem2 acts as a stabilizer to restrict excitability in high-activity regimes in order to maintain circuit function within an appropriate physiological range. Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 18 of 34 Research article R Research article Research article Neuroscience Rem2flx/flx AAV-GFP 2d MD AAV-Cre AAV-Cre 2d MD AAV-GFP -0.5 0 0.5 1.0 1.5 2.0 * n.s. n.s. Firing Rate (Hz) 8-9d Record P0 P28-29 P20 V.I. 2d MD Rem2flx/flx+AAV-GFP Rem2flx/flx+AAV-GFP 2d MD Rem2flx/flx+AAV-GFP-Cre Rem2flx/flx+AAV-GFP-Cre 2d MD A B C 5 s 40 mV Figure 9. Spontaneous firing rate is regulated by Rem2 in vitro. (A) Experimental timeline of acute, viral Rem2 deletion in Rem2flx/flx mice with 2 days monocular deprivation (MD). V.I., virus injection. (B) Examp spontaneous firing recorded in GFP+ layer 2/3 pyramidal neurons in Rem2flx/flx + AAV GFP (top left, n = Rem2flx/flx + AAV GFP+2 d MD (bottom left, n = 17), Rem2flx/flx + AAV GFP-Cre (top right, n = 17), and R flx + AAV GFP-Cre+2 d MD (bottom right, n = 20). (C) Average firing rate measured in layer 2/3 pyramid Data is presented as individual data points, with the horizontal bar denoting average. N = 4 animals per Error bars represent S.E.M. *p<0.05, by two-way ANOVA with Tukey post-hoc. DOI: https://doi.org/10.7554/eLife.33092.016 Rem2flx/flx 8-9d Record P0 P28-29 P20 V.I. 2d MD Rem2flx/flx+AAV-GFP Rem2flx/flx+AAV-GFP 2d MD Rem2flx/flx+AAV-GFP-Cre Rem2flx/flx+AAV-GFP-Cre 2d MD A B 5 s 40 mV A B AAV-GFP 2d MD AAV-Cre AAV-Cre 2d MD AAV-GFP -0.5 0 0.5 1.0 1.5 2.0 * n.s. n.s. Firing Rate (Hz) C Figure 9. Spontaneous firing rate is regulated by Rem2 in vitro. Discussion (A) Experimental timeline of acute, viral-mediated Rem2 deletion in Rem2flx/flx mice with 2 days monocular deprivation (MD). V.I., virus injection. (B) Examples of spontaneous firing recorded in GFP+ layer 2/3 pyramidal neurons in Rem2flx/flx + AAV GFP (top left, n = 22), Rem2flx/flx + AAV GFP+2 d MD (bottom left, n = 17), Rem2flx/flx + AAV GFP-Cre (top right, n = 17), and Rem2flx/ flx + AAV GFP-Cre+2 d MD (bottom right, n = 20). (C) Average firing rate measured in layer 2/3 pyramidal neurons. Data is presented as individual data points, with the horizontal bar denoting average. N = 4 animals per condition. Error bars represent S.E.M. *p<0.05, by two-way ANOVA with Tukey post-hoc. DOI: https://doi.org/10.7554/eLife.33092.016 19 of 34 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Research article Research article Neuroscience Figure 10. Spontaneous firing rate is regulated by Rem2 in vivo. A) Representative extracellular multi-unit voltage traces from L2/3 neurons in binocular visual cortex (V1b) of wildtype (top) and Rem2-/- (bottom) typically reared mice sampled during the peak (P28, left) and late (P34, right) visual critical period. (B) Average spontaneous multiunit firing rate of L2/3 V1b neurons sampled from anesthetized wildtype and Rem2-/- mice during the peak (Right, P28 WT, black, n = 24 sites recorded from 4 mice; P28 Rem2-/-, purple, n = 29 sites recorded from 5 mice) and late (Left, P34 WT, black, n = 14 sites sampled from 3 mice; P34 Rem2-/-, blue, n = 13 sites sampled from 3 mice) visual critical period. Each small circle represents one recording site. Orange circles and error bars are mean ± SEM. *p<0.0153 by Kruskal-Wallis test. DOI: https://doi.org/10.7554/eLife.33092.017 Figure 10. Spontaneous firing rate is regulated by Rem2 in vivo. A) Representative extracellular multi-unit voltage traces from L2/3 neurons in binocular / Figure 10. Spontaneous firing rate is regulated by Rem2 in vivo. A) Representative extracellular multi-unit voltage traces from L2/3 neurons in binocular visual cortex (V1b) of wildtype (top) and Rem2-/- (bottom) typically reared mice sampled during the peak (P28, left) and late (P34, right) visual critical period. Discussion (B) Average spontaneous multiunit firing rate of L2/3 V1b neurons sampled from anesthetized wildtype and Rem2-/- mice during the peak (Right, P28 WT, black, n = 24 sites recorded from 4 mice; P28 Rem2-/-, purple, n = 29 sites recorded from 5 mice) and late (Left, P34 WT, black, n = 14 sites sampled from 3 mice; P34 Rem2-/-, blue, n = 13 sites sampled from 3 mice) visual critical period. Each small circle represents one recording site. Orange circles and error bars are mean ± SEM. *p<0.0153 by Kruskal-Wallis test. DOI: https://doi.org/10.7554/eLife.33092.017 Rem2 regulates visual system plasticity Rem2 regulates visual system plasticity Our findings demonstrate that Rem2 functions in excitatory cortical neurons to mediate OD plasticity in response to long-term monocular deprivation during the critical period (Figures 3 and 4) in part through regulating intrinsic excitability and synaptic function. Consistent with this result, our electro- physiological studies demonstrate that the activity-regulated gene Rem2 is required for homeostatic synaptic scaling up (Figure 5) and proper regulation of intrinsic excitability in vivo (Figure 7). These data, combined with the observed deficit in late-phase OD plasticity (Figure 3C) and normal adult OD plasticity (Figure 3D) support the premise that Rem2 may be required for proper homeostatic function during the critical period. Further, we suggest the intriguing possibility that Rem2 may be a key Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 20 of 34 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Research article Research article Neuroscience molecule required for establishing and maintaining the firing rate set point during critical period devel- opment in vivo. While several studies have examined the contributions of synaptic scaling and ODP (Hengen et al., 2013; Kaneko et al., 2008b; Mrsic-Flogel et al., 2007; Ranson et al., 2012; Ranson et al., 2013), lit- tle is known of the effects of cell-autonomous regulation of intrinsic excitability on visual circuit func- tion. For example, transgenic mice harboring a deletion of TNFa also display a deficit in late-phase OD plasticity (Kaneko et al., 2008b) and normal adult OD plasticity (Ranson et al., 2012). In this study, the authors demonstrate that impaired homeostatic scaling up results in a failure to increase open eye responsiveness, causing the observed deficit in OD plasticity (Kaneko et al., 2008b). How- ever, this study did not examine a possible role for TNFa in regulation of intrinsic excitability. In con- trast, Rem2-/- mice display both impaired synaptic scaling up (Figure 5) and altered intrinsic excitability (Figure 7), as well as a generalized increase of individual eye responses with 6d MD (Figure 3C). These latter results are similar to those observed following binocular deprivation, which leads to increased cortical responsiveness to both eyes (Mrsic-Flogel et al., 2007). While it may seem counterintuitive to observe impaired synaptic scaling and increased intrinsic excitability as we do in the cortex of Rem2-/- mice, it is apparently this combination of cellular phenotypes that lead to the observed increase in spontaneous firing rates observed in vivo. Rem2 stabilizes intrinsic excitability While a number of molecules have been implicated in regulation of synaptic scaling (Arc (Gao et al., 2010; Shepherd et al., 2006), BDNF (Kaneko et al., 2008a; Rutherford et al., 1998), Homer1a (Hu et al., 2010; Nedivi, 1999), MHCI (Goddard et al., 2007; Syken et al., 2006), and NARP (Chang et al., 2010; Gu et al., 2013), a comparable understanding of the regulation of neuronal intrinsic excitability is lacking. Rem2 is a noncanonical Ras-like GTPase, expressed throughout the cell (Ghiretti and Paradis, 2011) and is unlikely to be regulated by its nucleotide binding state (Correll et al., 2008) in contrast to canonical Ras family members. The mechanism by which Rem2 transduces signals is an open area of investigation, although it has been shown to associate with VGCC subunits (Chen et al., 2005; Finlin et al., 2006; Finlin et al., 2005; Pang et al., 2010) and CaMKII (Flynn et al., 2012; Royer et al., 2017). In addition, our previous studies demonstrated that Rem2 functions in a CaMK signaling pathway to regulate dendritic complexity (Ghiretti et al., 2014). Interestingly, CREB is a known output of CaMK signaling and has also been implicated in reg- ulation of dendritic morphology (Redmond et al., 2002), synaptic scaling (Ibata et al., 2008; Joseph and Turrigiano, 2017), and intrinsic excitability (Dong et al., 2006; Joseph and Turrigiano, 2017). In fact, two of these studies (Dong et al., 2006; Joseph and Turrigiano, 2017) strongly sug- gest that neuronal intrinsic excitability is under transcriptional control. We propose that Rem2 functions as a calcium-sensitive cytoplasmic signal transduction molecule, conveying changes at the membrane (e.g. Ca2+ influx) into changes in gene expression in the nucleus (e.g. CREB) to regulate intrinsic excitability. Consistent with this model, we performed RNA- sequencing to identify downstream targets of Rem2 (Kenny et al., 2017). We found that the expres- sion of a number of ion channels, important for establishing neuronal excitability, are regulated by Rem2 signaling in an activity-dependent manner (Kenny et al., 2017). We also recently demon- strated that Rem2 is a novel inhibitor of CaMKII catalytic activity (Royer et al., 2017). Interestingly, CaMKII has been shown to modulate calcium channel function to alter intrinsic excitability (Sahu et al., 2017; van Welie et al., 2011). Thus, Rem2 signaling may regulate neuronal intrinsic excitability by controlling the composition or function of ion channels at the cell membrane. Rem2 regulates visual system plasticity Thus, while it remains to be deter- mined exactly how these two processes function synergistically to maintain proper circuit function, our discovery of the role of Rem2 in this process provides novel insight into the importance of neuronal regulation of intrinsic excitability to sculpting network output. Research article Rem2 in structural plasticity Hence, our findings that Rem2 functions as a regulator of experience-dependent plasticity at the morphological, cellular and circuit levels provide an important step forward in connecting molec- ular regulators of neuronal morphology with broader circuit function. Rem2 in structural plasticity Our previous findings revealed that Rem2 is also an important regulator of synapse formation and dendritic morphology in cultured neurons and Xenopus optic tectum (Ghiretti et al., 2013; Ghiretti et al., 2014; Ghiretti and Paradis, 2011; Moore et al., 2013). The current study also dem- onstrates that Rem2 regulates dendritic spine morphology in a cell-autonomous manner (Fig. S3), as well as experience-dependent changes in spine density (Figure 5D). Similar to our findings with 21 of 34 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Research article Neuroscience Rem2, other activity signaling pathways also co-regulate experience-dependent circuit plasticity and synapse development (Piochon et al., 2016; Titley et al., 2017). For example, cpg15 has been shown to be an important regulator of synapse formation and dendritic complexity and is required during the critical period for normal OD plasticity (Picard et al., 2014). Conversely, MHCI negatively regulates synapse development and deletion of MHCI or PirB, a MHCI receptor, enhances visual sys- tem plasticity in vivo (Cebria´n et al., 2014; Shatz, 2009). Although the exact contribution of subtle changes in excitatory synapse density or morphology to visual circuit plasticity remains to be deter- mined, Hofer et al., demonstrated that spine formation and turnover is dramatically affected by MD in layer five cortical neurons (Hofer et al., 2009), suggesting that an important functional correlation exists. Hence, our findings that Rem2 functions as a regulator of experience-dependent plasticity at the morphological, cellular and circuit levels provide an important step forward in connecting molec- ular regulators of neuronal morphology with broader circuit function. Rem2, other activity signaling pathways also co-regulate experience-dependent circuit plasticity and synapse development (Piochon et al., 2016; Titley et al., 2017). For example, cpg15 has been shown to be an important regulator of synapse formation and dendritic complexity and is required during the critical period for normal OD plasticity (Picard et al., 2014). Conversely, MHCI negatively regulates synapse development and deletion of MHCI or PirB, a MHCI receptor, enhances visual sys- tem plasticity in vivo (Cebria´n et al., 2014; Shatz, 2009). Although the exact contribution of subtle changes in excitatory synapse density or morphology to visual circuit plasticity remains to be deter- mined, Hofer et al., demonstrated that spine formation and turnover is dramatically affected by MD in layer five cortical neurons (Hofer et al., 2009), suggesting that an important functional correlation exists. Conclusions In conclusion, our in vivo analysis of Rem2 in the visual system reveals that a primary function of Rem2 signaling is to stabilize the intrinsic excitability of cortical neurons in order to maintain proper levels of network activity. In addition to cortex, Rem2 is expressed in other areas of the brain including the hip- pocampus, amygdala, and nucleus accumbens (Ghiretti and Paradis, 2011; Liput et al., 2016), which are critical regions for learning, memory, and addiction. Interestingly, these processes rely heavily on physiological and morphological plasticity at the level of individual neurons (El-Gaby et al., 2015; Lu¨scher and Malenka, 2011; Martin et al., 2000; Yager et al., 2015). Therefore, it is likely that Rem2 acts in other brain regions and throughout the life of the animal, based on transcriptional profiling experiments performed in adult animals (Liput et al., 2016; Mardinly et al., 2016). Our data indicate that Rem2 functions at the nexus of a signaling network that senses and responds to changes in neuro- nal activity in order to preserve proper circuit function in the face of changing sensory experience. In the future, defining these Rem2-dependent signaling mechanisms will elucidate the molecular mecha- nisms that instruct activity-dependent modifications of neural circuitry. Materials and methods Materials and methods Materials and methods Key resources table Reagent type (species) or resource Designation Source or reference Identifiers Additional information Strain, strain background (M. musculus) Rem2 EUCOMM IKMC 92501 Rem2tm1a(EUCOMM)Hmgu Strain, strain background (M. musculus) Flp The Jackson Laboratory RRID:IMSR_JAX009086 B6.129S4-Gt(ROSA)26 Sortm1(FLP1)Dym/RainJ Strain, strain background (M. musculus) Emx1Cre The Jackson Laboratory RRID:IMSR_JAX:005628 B6.129S2-Emx1tm1(cre)Krj/J Strain, strain background (M. musculus) PvalbCre The Jackson Laboratory RRID:IMSR_JAX:017320 B6.129P2-Pvalbtm1(cre)Arbr/J Strain, strain background (M. musculus) VipCre The Jackson Laboratory RRID: IMSR_JAX:010908 STOCK Viptm1(cre)Zjh/J Strain, strain background (M. musculus) TdT Flex The Jackson Laboratory RRID:IMSR_JAX:007909 B6.Cg-Gt(ROSA)26Sortm9(CAG-tdTomato)Hze/J Transfected construct (Adeno-associated virus) AAV-GFP Penn Vector Core, USA AV-1-PV1696 AAV1.hSyn.eGFP.WPRE.bGH Transfected construct (Adeno-associaed virus) AAV-GFP-Cre Penn Vector Core, USA AV-1-PV1848 AAV1.hSyn.HI.e GFP-Cre.WPRE.SV40 Antibody polyclonal Anti-Rem2 Santa Cruz sc160722; RRID: AB_2179340 use 1:500 Antibody monoclonal Anti-Bactin Abcam ab8226; RRID: AB_306371 use 1:5000 Continued on next page Research article Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 22 of 34 Neuroscience Reagent type (species) or resource Designation Source or reference Identifiers Additional information Software, algorithm ImageJ software (Fiji) NIH RRID:SCR_003070 Software, algorithm ClampFit 10.2 pClamp, Molecular Devices RRID:SCR_011323 Software, algorithm Matlab Mathworks RRID:SCR_001622 Software, algorithm Reconstruct Synapse Web RRID:SCR_002716 Software, algorithm Volocity 3D Image Analysis Software Perkin Elmer RRID:SCR_002668 All experimental procedures involving animals were approved by the Institutional Animal Care and Use Committee at Brandeis University. All experimental procedures involving animals were approved by the Institutional Animal Care and Use Committee at Brandeis University. Western blot Rat (developmental time course, Figure 1A) or mouse (Rem2 knockout confirmation, Figure 2D) cor- tices were isolated and homogenized on ice in RIPA buffer +1 x Complete Protease Inhibitor Tab (Roche) using 21, 23 and 30 gage needles attached to a 3 ml syringe. Total protein concentration for each lysate was determined using a Bio-Rad protein assay and equal amounts were loaded on the gel for each condition. Lysates were mixed with homemade 3x sample buffer (6% SDS, 0.1% bromo- phenol blue, 150 mM Tris, pH 6.8, 30% glycerol, and 10% b-mercaptoethanol) and boiled for 7 min. The lysates were run on a 12% SDS-PAGE gel and the proteins were transferred to a nitrocellulose membrane. The membrane was probed using anti-Rem2 (1:500; Santa Cruz cat # sc160722; RRID: AB_2179340) and anti-b-actin (1:5000; Abcam cat # ab 8226; RRID: AB_306371) antibodies as a loading control. Western blots were developed using the Odyssey Infrared Imaging System (Licor). Visual stimulation and gene expression analysis g p y Young mice were reared from postnatal day 9 (P9, prior to eye opening) until P28 in a light-tight dark box (Phenome Technologies, Inc). At P28, one group was left in the dark while a second group was exposed to light for 90 min. Then mice were anesthetized with isoflurane and decapitated. Mice from the dark group were decapitated and brains removed with the use of night vision goggles. The visual and somatosensory cortices were isolated using a customized tissue punch based on age- matched anatomical reference points and RNA was extracted with Trizol Reagent (Invitrogen). DNase-free RNA was prepared and then reverse transcribed using a Random Primer Mix (New Eng- land Biolabs). Quantitative real-time PCR was performed using SYBR green detection (Clontech) on a Rotor Gene thermal cycler (Roche). Primers for Rem2 and Fos were previously verified in Ghiretti et al. (2014). The PCR products were normalized to Actb (b-actin) and presented as fold change over baseline using the DDCT method. ‘n’ represents the number of biological replicates used. Data were compiled from independent experiments each conducted in triplicate. A one-way ANOVA followed by a Dunnett’s test was used to compare experimental conditions to control or stimulation. Generation of Rem2-/- and Rem2flx/flx mice Embryonic stem cell lines harboring a reporter-tagged insertion with conditional potential at the Rem2 locus (referred to as Rem2-/-; Figure 2A) were acquired from the European Conditional Mouse Mutagenesis Program (EUCOMM) from the International Knockout Mouse Consortium (IKMC; Ref ID: 92501). The cassette was inserted into the first intron of the Rem2 locus and contained a mouse En2 splice acceptor sequence (EN2), IRES, a LacZ gene, a SV40 polyadenylation, and a Neo gene flanked by FRT sites and LoxP sites flanking exons 2 and 3 (see Figure 2A; see Skarnes et al. (2011)for details). Insertion of the cassette into the Rem2 locus in the ES lines was verified by exten- sive PCR and sequencing. Embryonic stem cells were injected into C57BL/6 blastocysts using stan- dard conditions. Injected blastocysts were surgically implanted into pseudo-pregnant foster female mice to generate chimeric offspring. Chimeras were mated to C57BL/6 females to obtain germline transmission; genotyping was performed by PCR. Correct insertion of the cassette was verified by Southern blotting (see Figure 2B). Note that for unknown reasons, b-galactosidase protein was not Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 23 of 34 Research article Research article Neuroscience Neuroscience expressed in mice harboring the Rem2 null allele. For routine experimentation, animals were geno- typed using a PCR-based strategy. Animals harboring the Rem2 null allele were genotyped with a forward primer in the intron spanning region of exon 1 (5’- GCTTCTTCTAGCTCCATCGTTG-3’) and a reverse primer in the inserted cassette region (5’- GGACCACCTCATCAGAAGC-3’) or the reverse primer in exon 2 (5’- AGTTGGGAAGCTATATCTTC-3’) (Figure 2A, blue arrows, D). We observed that inbreeding of the Rem2-/- allele to the C75BL/6 strain resulted in mice with small litters and poor viability. To determine if this phenotype was due to deletion of the Rem2 gene, we outcrossed these mice to the 129-Elite mice strain (Charles River) and found a dramatic improvement in viability and litter size. Thus, we continued to outcross the Rem2-/- allele for at least five more generations. All experiments reported in this study for the Rem2-/- allele are on this out- crossed background. We used aged-matched, littermate WT and Rem2-/- mice for all experiments. Note that in a handful of experiments for intrinsic signal imaging, a complete set of age-matched lit- termate controls were not always possible (see below). Generation of Rem2-/- and Rem2flx/flx mice To generate a Rem2 conditional allele, the Rem2-/- mice were crossed with mice expressing Flp recombinase with a ROSA26 promoter region (RRID:IMSR_JAX:009086) resulting in exons 2 and 3 flanked by loxP sites (Figure 2A). Conditional knockout animals were genotyped for the presence of the remaining loxP site, which shifts the size of the PCR product in the Rem2flx/flx animal by 66 bp, with the forward primer (5’-. CATCCTGGCTCCAACCATGG-3’) and reverse primer (5’-CTCCGGTCC TGTCACATCAG-3’) in the intron spanning region between exons 3 and 4 (Figure 2D). These mice were also backcrossed into the 129-Elite mice for more than five generations. To generate lines with Rem2 deleted in defined cell types, Rem2flx/flx mice were crossed to either the Emx1Cre line (Emx1- Cre, RRID:IMSR_JAX:005628), Pvalb-Cre line (PvalbCre, RRID:IMSR_JAX:017320), or VipCre (VipCre, RRID: IMSR_JAX:010908). All mice were maintained as heterozygous mating pairs. Mutant mice were identified by performing PCR on tail genomic DNA (Figure 2D). Southern blot Genomic DNA was isolated from the livers of mice and digested with Sca1 and Asc1 restriction enzymes. The DNA was run on a 0.8% agarose gel and transferred to a nitrocellulose membrane using a vacuum blotter (Qbiogene, TransDNA ExpressTM Vacuum Blotter). The nitrocellulose mem- brane was incubated in pre-hybridization solution (50% Formamide, 5x SSPE,. 1% SDS, 5x Den- hardt’s solution, 1 mg Salmon sperm DNA) at 42˚C for 4 hr. The probes were labeled using a-32P dATP (3000 Ci/mmol; PerkinElmer Life and Analytical Sciences) and the Prime-it II Random Primer labeling kit (Stratagene) according to manufacturer’s instructions. The probes were added to hybrid- ization buffer (50% Formamide, 5x SSPE,. 1% SDS, 1x Denhardt’s solution, 1 mg Salmon sperm DNA) and incubated overnight at 42˚C. The nitrocellulose was washed three times with 2x SSC/0.1% SDS, once with 0.5x SSC/0.1% SDS and once with 0.1x SSC/0.1% SDS. The membrane was exposed overnight in a phosphorImager cassette and imaged using the STORM molecular imaging system (GE Healthcare). The inserted 7.5 kb cassette introduced an AscI site between the LacZ and Neo markers (Figure 2A). Therefore, the predicted band size with the 3’ probe, if the cassette was cor- rectly inserted at the Rem2 locus, is an 11 kb band for the Rem2-/- locus and a 13.8 kb band for the wildtype locus (Figure 2B) using a ScaI/AscI double digest. Research article Cortical thickness and brain weight measurements g Typically reared P7, P21, and P30 WT or Rem2-/- littermates were deeply anesthetized using keta- mine/xylazine cocktail (ketamine 50 mg/kg, xylazine 5 mg/kg) and perfused first with 0.1M PBS fol- lowed by 4% paraformaldehyde in 0.1M sodium phosphate buffer. Brains were carefully extracted and stored in 4% paraformaldehyde in 0.1M sodium phosphate buffer for 24 hr, then transferred to 30% sucrose for at least 24 hr. Sections were cut at 30 mm on a freezing microtome and mounted on slides coated with 2% porcine gelatin. Slides were allowed to dry at room temperature and stored at 4˚C until histology was performed. Briefly, slides were washed with xylenes and then dehydrated with a series of graded ethanols (100%, 95%, and 70%). Slides were then rinsed with ddH20, stained with 0.1% cresyl violet for 1 min, cleared with a grades series of ethanols, and differentiated with gla- cial acetic acid in 95% ethanol. Slides were then dehydrated in a series of graded ethanols, cleared with xylenes, and coverslipped using Permount (Fisher Scientific). Every second section containing visual cortex was imaged at 4X magnification using a Keyence BZX-700 microscope (Keyence). Visual Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 24 of 34 Research article Research article cortex was identified using anatomical landmarks diagramed in the Allen Brain Atlas and cortical layers were identified using changes in cell size and density. Cortical thickness was measured from the deepest extent of layer six to the cortical surface using the ImageJ Measure function. Boundaries of cortical layers were manually drawn using ImageJ. Averages per animal are computed across all measured sections of visual cortex. Resulting measurements from Rem2-/- mice were normalized to the measurements of their WT littermate to account for differences in histology conditions. Brain to body weight ratio was calculated using the weight and brain weight measurements recorded at the time of perfusion. Golgi-Cox labeling Typically reared WT and Rem2-/- littermate mice were housed in a 12 hr light/12 hr dark cycle from birth to P30. Dark reared mice were placed in a light-tight box beginning at P9 until termination of the experiment (P30). At the specified age, the mice were anesthetized with ketamine/xylazine cock- tail (ketamine 50 mg/kg, xylazine 5 mg/kg) and transcardially perfused with 0.9% saline in ddH20. Dark-reared mice were anesthetized in the dark and then shielded from light until after perfusion using light blocking tape (Thor Labs) to cover the eyes. Immediately following perfusion, brains were weighed and submerged in Golgi-Cox solution (FD NeuroTechnologies). Throughout all steps involv- ing Golgi-Cox, brains were protected from light. Golgi-Cox solution was changed 24 hr after initial immersion and brains continued to be stored in Golgi-Cox solution for 7 days. After 7 days, brains were transferred to Solution C (FD Neurotechnologies) for at least 2 days. Sections were cut at 150 mm using a cryostat and immediately mounted on slides coated with 2% porcine gelatin. Histology was carried out according to the protocol supplied by FD Neurotechnologies RapidGolgi Stain Kit. Briefly, slides were washed with ddH2O, developed using FD Neurotechnologies Solutions D and E, rinsed in ddH2O, dehydrated with a graded series of ethanols, and cleared using xylenes. Slides were then coverslipped using Permount (Fisher Scientific). Spine analysis Tissue sections were imaged in brightfield using a Zeiss AxioObserver microscope. For spine density quantification in wildtype and Rem2-/- mice, z-stacks of images were captured using a 60X oil objec- tive. Neurons were sampled from layer 2/3 pyramidal neurons of the visual cortex. Visual cortex was identified using anatomical landmarks diagramed in the Allen Brain Atlas and pyramidal neurons were identified by their well-described somatic and dendritic morphology. Entire terminal apical branches approximately 50–100 mm from the soma were chosen for reconstruction and spine density quantification based on absence of artifact, lack of structural damage, and completeness of staining. Image stacks include the entire branch beginning at the branch point with the apical trunk and con- tinuing to the branch tip. For cortical thickness measurements, single images of each section throughout the anterior-to-posterior extent of visual cortex were captured using brightfield illumina- tion at 4X magnification using a Keyence BZX-700 microscope. All analysis was performed with the experimenter blind to genotype and rearing condition. Dendritic spines were counted manually in FIJI (NIH, RRID:SCR_003070) on z-stack images using the Cell Counter plugin. A dendritic spine was identified as any protrusion from the dendritic segment at least 0.5 mm in length or greater. Den- dritic segment length was measured using the NeuronJ plugin. A total of 1500 mm of dendritic seg- ment was counted for the WT and Rem2-/- TR segments and a total of 2000 mm of dendritic segment was quantified for the WT and Rem2-/- DR images, for an average of 50 mm segment mea- sured per neuron. For spine measurements following acute deletion of Rem2, both Rem2+/+; TdTflex/flex and Rem2flx/flx; TdTflex/flex mice were injected with 50 nL (diluted 1:250) AAV-GFP-Cre. Ten days post infection, animals were anesthetized with ketamine/xylazine cocktail (ketamine 50 mg/kg, xylazine 5 mg/kg) and transcardially perfused with 4% paraformaldehyde. Sections were cut at 50 mm using a freezing microtome and immediately mounted on slides and covered using Fluoromout G media. Tissue sections were imaged using Nikon Eclipse Ti3 microscope and z-stacks of images were cap- tured using a 60X oil objective. Neurons were sampled from layer 2/3 pyramidal neurons of the visual cortex as descripted above. Entire terminal apical branches approximately 50–100 mm from the soma were imaged and 50 mm segments were chosen at random for spine density quantification. Spine analysis Spine density, head width, and neck length from both Rem2+/+; TdTflex/flex + AAV GFP-Cre and Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 25 of 34 Research article Research article Neuroscience Rem2flx/flx; TdTflex/flex + AAV GFP-Cre mice was quantified using Reconstruct (Synapse Web Recon- struct RRID:SCR_002716, Fiala, 2005). Rem2flx/flx; TdTflex/flex + AAV GFP-Cre mice was quantified using Reconstruct (Synapse Web Recon- struct RRID:SCR_002716, Fiala, 2005). Lid suturing Wildtype or Rem2-/- littermates were either not surgerized or monocularly lid sutured between P25- P27 for a duration of either 2 days (2d MD) or 5–7 days (6d MD). Mice were anesthetized using either a ketamine/xylazine cocktail (ketamine 50 mg/kg, xylazine 5 mg/kg) or 2.0% isoflurane deliv- ered using a SomnoSuite vaporizer system (Kent Scientific). The surgical area was cleaned thoroughly using povidone pads (Dynarex), with care taken to avoid contact with the eye. The eye to be suture was rinsed using bacteriostatic saline and coated with a thin film of antibacterial ophthalmic oint- ment prior to suturing. Lid margins were trimmed and the lid was closed with 2–3 mattress sutures using silk suture thread. Additional antibacterial ointment was applied to the sutured lid. Sutures were checked daily and if not intact animals were not used. Lid suture for adult OD plasticity experiments was completed as above, but with suturing occur- ring instead between the ages of P60-74. Calcium imaging Dissociated cortical neurons from embryonic day 16 (E16) mice from a Rem2+/- x Rem2+/- mating were plated on 12 mm glass coverslips at a density of approximately 70,000/cm2 and grown in glia- conditioned Neurobasal media with B27 supplement (Invitrogen). E16 littermates were dissociated side-by-side and plated on individual coverslips and subsequently genotyped by PCR to determine whether the cultured neurons were Rem2+/+, Rem2+/-, or Rem2-/-. Free resting calcium measure- ments were conducted 5 days after plating (DIV 5). Cortical neurons were incubated with 1 mM Fura2-AM (Invitrogen) in Tyrode’s solution containing 0.1% bovine serum albumin for 30 min at 37˚C. The neuronal culture was then washed with Tyrode’s solution and incubated for an additional 30 min at 37˚C in the same solution for de-esterification. After the incubation period, the coverslip was washed once more with Tyrode’s solution and mounted on an imaging chamber containing the same solution. Fura-2 fluorescence images were acquired at 37˚C on an Olympus IX-70 inverted microscope using a 20  0.7 NA objective (Olympus UPlanApo) and a cooled CCD camera (Orca R2, Hamamatsu) controlled by Volocity 3D Image Analysis software (RRID:SCR_002668,Perkin Elmer). Fluorophore excitation was achieved using a mercury lamp and spectral separation for excitation and emission was obtained using a fura-2 filter set (Brightline Fura2-C, Semrock). Fura-2 fluorescence images with excitation centered at 340 nm and 387 (26 and 11 nm bandwidth, respectively) and emission collected at 468–552 nm were acquired sequentially using a motorized filter-wheel (Prior Scientific). Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Intrinsic Signal Imaging Mice aged between P31 and P33 underwent intrinsic signal imaging (ISI) for critical period OD plas- ticity experiments and adult mice (10–12 weeks of age) underwent ISI for adult OD plasticity experi- ments. Experimental protocols did not differ between juvenile and adult groups. The experimenter was blind to genotype until the conclusion of the experiment and data analysis. The genotype of each mouse was confirmed postmortem. Mice were prepared for ISI experiments in littermate cohorts such that littermate controls were used for both experimental factors (deprivation and geno- type). In the event that a littermate was not usable, such as an open eyelid suture or death during an experiment, the remaining littermate was included in our data. Analysis of our results with these mice removed resulted in the same significant relationships between groups that we report in the manuscript. Anesthesia was induced using 4% isoflurane (100 mL/min) in an anesthesia chamber delivered using a SomnoSuite (Kent Scientific) and anesthesia was maintained at 2% isoflurane during surgical procedures. Isoflurane anesthesia was supplemented with a single dose of chlorprothixene (10 mg/ kg). First, mice that had previously undergone lid suture had sutures removed and the eye re- opened. Each sutured eye was closely inspected for health and clarity; any mice with clouding of the eye or infection of the surgical area were euthanized. In preparation for ISI, an incision was made on the scalp and skin resected to expose the sk The skull was cleared of overlying tissue and dried to allow for secure attachment of a sm Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 26 of 34 Research article Research article Neuroscience headpost using adhesive (ZAP Gel, Pacer Technologies). Following placement of the headpost, mice were headfixed and the skull was thinned over a wide area containing visual cortex contralateral to the deprived eye (if applicable) using a scalpel (blade 15) until transparent under saline. The location of visual cortex was estimated as 3.0 mm lateral to the midline and 1 mm anterior to the lambda suture. After thinning, an optical widow was created to stabilize the skull and provide a flat imaging surface by applying 2% agarose to the skull and pressing a 5 mm coverslip into the agarose. This window was sealed and affixed to the skull using cyanoacrylate adhesive. Following surgical procedures, anesthesia was reduced to between 0.7% and 1.0% for imaging. Virus injections The AAV-GFP (AAV1.hSyn.eGFP.WPRE.bGH; AV-1-PV1696) and AAV-GFP-Cre (AAV1.hSyn.HI.eGFP- Cre.WPRE.SV40; AV-1-PV1848) constructs were obtained from the Vector Core facility at the Univer- sity of Pennsylvania. Mice age P18-P20 were anesthetized with a cocktail of ketamine (100 mg/kg) and xylazine (10 mg/kg), mounted on a stereotaxic frame, and the scull exposed. Primary binocular visual cortex was targeted by using the mouse brain atlas after adjusting for the lambda-bregma dis- tance for age. A small 1–2 mm in diameter hole was drilled in the skull and a glass micropipette delivered 50 nL AAV (diluted 1:250) 150 mm below the dural surface. The scalp was sutured and betadine was applied. Animals recovered on a heating pad and were returned to the animal facility until use. Intrinsic Signal Imaging Anesthesia level was kept as low as possible without leading to pain response in the mouse. Before ISI, the brain was imaged using green light (575 nm) to serve as a record of the imaging field’s clarity and health. Intrinsic signal imaging was performed under red light (675 nm) and images were cap- tured at a rate of 30 Hz by a Dalsa 21–01 M60 camera. Mice were shown 20 repetitions of drifting grating stimuli at either 0˚ or 90˚ of 100% contrast at 2 Hz temporal frequency and 0.04 cycles/ degree spatial frequency lasting for 10 s with an inter-stimulus interval of 15 s. A blank control screen of equal average luminance to the drifting gratings was also presented as a control stimulus. Stimuli were presented with stimuli to each eye alternately, with visual input being blocked to the opposing eye using opaque, flexible light-blocking material. All image analysis was performed using custom Matlab (Mathworks) scripts written in the Van Hooser Lab accessible via GitHub (Van Hooser, 2018), https://github.com/VH-Lab/vhlab_vhtools/). Acquired images were mean filtered, blank screen subtracted, and summed across all frames. A region of interest over binocular visual cortex, the area of the cortex responding to stimulation of the ipsilateral eye, was manually drawn. An ocular dominance index (ODI) was calculated as follows: ODI ¼ RC RI ð Þ RCþRI ð Þ where RC is the response to stimulation of the eye contralateral to the imaging win- dow and RI is the response to stimulation of the eye ipsilateral to the imaging window. Individual ani- mal responses are plotted on each graph as well as mean ± SEM. Statistical significance was calculated using a two-way ANOVA with Tukey post-hoc. Significance comparisons for DR/R are listed in Table 1. Research article In vivo extracellular recordings Wildtype and Rem2-/- littermate mice were prepared for in vivo extracellular electrophysiological recordings at either age P28-29 or P34. Anesthesia was induced using 4% isoflurane (100 mL/min) in an anesthesia chamber delivered using a SomnoSuite (Kent Scientific) and maintained at 2% isoflur- ane during surgical procedures. Isoflurane anesthesia was supplemented with a single dose of chlor- prothixene (10 mg/kg). Each mouse also received a single injection of dexamethasone (3 mg/kg) intraperitoneally. In preparation for recording, an incision was made on the scalp and skin resected to expose the skull. The skull was cleared of overlying tissue and dried to allow for secure attachment of a small headpost using adhesive (ZAP Gel, Pacer Technologies). Following placement of the headpost, mice were head-fixed and an approximately 3 mm wide craniotomy was performed over visual cortex (3.0 mm lateral, 1.0 mm anterior to lamda) to expose the brain’s surface and leaving the dura intact. A second small craniotomy was drilled over the frontal cortex of the hemisphere contralateral to the recording site for placement of a cholorided silver wire used as a reference electrode, which was inserted into the brain and anchored in place using ZAPGel adhesive. Following surgical procedures, anesthesia was reduced to between 0.7% and 1.0% for recording. Anesthesia level was kept as low as possible without leading to pain response in the mouse. A single low impedance tungsten electrode (0.1 MW, World Precision Instruments TM33B01) was lowered 50 mm into the brain using a micromanipulator (Sutter Instruments MP-285) and allowed to settle for at least 30 min. Receptive fields were mapped manually using circular patches of drifting gratings. Visually-driven responses to these mapping stimuli in the center-most 20 degrees of the visual field were used to define binocular visual cortex. When binocular visual cortex was located, recordings were made of visual responses to drifting grating stimuli of varying direction of motion (30-degree steps) and spatial frequency (0.02, 0.05, 0.1, 0.2, 0.5, 1.0) as well as a luminance-matched grey screen. Recordings were limited to the first 400 mm of depth to restrict data collection to layer 2/3 of the visual cortex. Each site was at least 50 mm away from the previous site in the Z dimension. All stimuli were presented on a CRT monitor (Sony GDM520) 35 cm away from the mouse’s eyes and all stimuli. In vitro electrophysiology To measure action potential firing rates (f-I curves), a series of step pulses (duration 600 ms) from 200 to 400 pA in 50 pA increments were delivered from rest in the presence of 50 mM APV, 25 mM DNQX, and 50 mM Picrotoxin. A small bias current was injected to maintain Vm at 70 mV in between depolarizations. Measures of mIPSCs were done in the presence of 1 mM TTX, 50 mM APV, and 10 mM DNQX (Sigma Aldrich) to isolate inhibitory postsynaptic currents. Patch pip- ettes (3–5 MW) were filled with intracellular solution containing (in mM) 120 CsCl, 10 HEPES, 1 EGTA, 0.1 CaCl2, 1.5 MgCl2, 4 Na2ATP, and 0.3 Na2GTP (pH 7.3, adjusted with CsOH). Spontaneous action potential firing was measured in the presence of active ACSF containing (in mM) 125 NaCl, 26 NaHCO3, 3.5 KCl, 0.5 MgCl2, 1 NaH2PO4H2O, 0.5 Na+ Ascorbate, 1 CaCl2, and 10 glucose. Data is presented as mean ±S.E.M. Statistical significance was calculated using a two-way ANOVA and Tukey post hoc analysis for averaged data. Kolmogorov-Smirnov test was used to test for compari- son in the cumulative distribution plots. In vitro electrophysiology Whole-cell patch clamp recordings were performed on layer 2/3 pyramidal neurons in binocular pri- mary visual cortex (V1b). Mice were anesthetized with isoflurane, decapitated, and the brains removed with the head immersed in ice-cold, choline-based cutting solution. The choline cutting solution contained (mM) 25 NaHCO3, 1.25 NaH2PO4H2O, 2.5 KCl, 7 MgCl26 H2O, 25 glucose, 0.5 CaCl2, 110 C5H14ClNO, 11.6 ascorbic acid, and 3.1 pyruvic acid. Coronal slices (300 mm) were cut on a vibrating microtome (Leica) and allowed to recover at 37˚C for 29 min followed by an additional 29 min at room temperature before recording. V1b was identified using the mouse brain atlas and the anatomical landmarks of the shape and morphology of the white matter (Lambo and Turrigiano, 2013; Maffei and Turrigiano, 2008). Layer 2/3 pyramidal neurons located in the center of V1b were selected for recordings to avoid boundary regions identified with a 40x immersion lens. Recordings were obtained at 34˚C with a Multiclamp 700B amplifier and a Digidata 1440A digitizer controlled by pClamp10 software. Rs and RIN were monitored throughout experiments using Lab Bench (Clam- pex 10.2, RRID:SCR_011323) and cells that exhibited changes of more than 20% in either of these parameters throughout the course of the recording were discarded. For AMPA-mediated mEPSC recordings the external solution contained (in mM): 125 NaCl, 26 NaHCO3, 2.3 KCl, 1.26 KH2PO4, 2 27 of 34 Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 Research article Research article Neuroscience CaCl2, 2 MgSO4, 10 glucose, 1 mM tetrodotoxin (TTX, Abcam Biochemicals), 50 mM DL-2-Amino-5- phosphonopentanoic acid (APV; Sigma Aldrich), and 50 mM Picrotoxin (Sigma). The internal pipette solution contained (in mM): 135 Potassium gluconate, 10 HEPES, 2 MgCl2, 3 Na2ATP, 0.3 Na2GTP, and 10 Phosphocreatine (pH 7.3, adjusted with KOH). Rhodamine was included in the recording pipette to verify neuronal morphology at the conclusion of the recording period. The membrane potential was held at 70 mV and events were filtered at 1 kHz. Data was recorded in 3 epochs at 100 s each for a total duration of 300 s per cell. mEPSCs were then evaluated offline in Clampfit 10.2 (Molecular Devices). Detection criteria of mEPSC events included amplitudes > 5 pA and rise times < 3 ms. Research article Additional information Additional information Funding Funder Grant reference number Author National Eye Institute EY022122 Stephen D Van Hooser National Institute of Mental Health K01MH101639 Anna R Moore National Institute of Neurolo- gical Disorders and Stroke R01NS065856 Suzanne Paradis National Institute of Neurolo- gical Disorders and Stroke Ruth L Kirschstein NIH Training Grant T32NS007292 Anna R Moore Charles Hood Foundation Stephen D Van Hooser The funders had no role in study design, data collection and interpretation, or the decision to submit the work for publication. In vivo extracellular recordings All recordings were made using an Intan Technologies (Los Angeles, CA) C3100 board with RHD2000 amplifier/digitizer board and custom electrode adaptor. Stimulus on times were recorded using Spike2 (Cambridge Electronic Design, LLC) and custom scripts written by mem- bers of the Van Hooser Lab (Van Hooser, 2018), https://github.com/VH-Lab/vhlab_vhtools/). Stimuli were designed using the Psychophysics Toolbox (Brainard, 1997; Pelli, 1997) and a custom suite of Matlab tools (Van Hooser, 2018), https://github.com/VH-Lab/vhlab_vhtools/). Spontaneous activity was analyzed during all grey screen presentations. Spontaneous firing rate was calculated as the average spikes/sec across all recorded bouts of spontaneous activity. All analyses were performed Moore et al. eLife 2018;7:e33092. DOI: https://doi.org/10.7554/eLife.33092 28 of 34 Research article Research article using custom Matlab functions written by the Van Hooser Lab via GitHub (Van Hooser, 2018), https://github.com/VH-Lab/vhlab_vhtools/; copy archived at https://github.com/elifesciences-publi- cations/vhlab_vhtools). using custom Matlab functions written by the Van Hooser Lab via GitHub (Van Hooser, 2018), https://github.com/VH-Lab/vhlab_vhtools/; copy archived at https://github.com/elifesciences-publi- cations/vhlab_vhtools). Author ORCIDs Author ORCIDs Anna R Moore http://orcid.org/0000-0001-6183-906X Sarah E Richards http://orcid.org/0000-0002-2491-9092 Stephen D Van Hooser https://orcid.org/0000-0002-1112-5832 Suzanne Paradis http://orcid.org/0000-0002-5190-4240 Research article Acknowledgements We thank Drs. Eve Marder, Gina Turrigiano, and Amy Ghiretti for advice and comments on the man- uscript, the Paradis and Van Hooser labs for helpful comments and suggestion throughout the proj- ect and Lyra Hall and Katherine Kimbrell for technical assistance. We would like to thank Dr. Margaret Thompson and acknowledge the IDDRC Mouse Gene Manipulation Core (NIHP30-HD 18655) for their help with generation of the Rem2-/- mice. Author contributions Anna R Moore, Conceptualization, Funding acquisition, Methodology, Writing—original draft, Writ- ing—review and editing; Sarah E Richards, Conceptualization, Methodology, Writing—review and editing; Katelyn Kenny, Leandro Royer, Urann Chan, Kelly Flavahan, Methodology; Stephen D Van Hooser, Conceptualization, Funding acquisition, Writing—review and editing; Suzanne Paradis, Con- ceptualization, Supervision, Funding acquisition, Writing—review and editing Author ORCIDs Additional files Data availability Imaging data is available at http://www.vhlab.org/data. All other data generated or analyzed during this study is included in the manuscript and supporting files. References Aizenman CD, Akerman CJ, Jensen KR, Cline HT. 2003. Visually driven regulation of intrinsic neuronal excitability improves stimulus detection in vivo. Neuron 39:831–842. DOI: https://doi.org/10.1016/S0896-6273(03)00527-0, PMID: 12948449 Aizenman CD, Akerman CJ, Jensen KR, Cline HT. 2003. 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GPR55 in B cells limits atherosclerosis development and regulates plasma cell maturation Raquel Guillamat-Prats  Institute for Cardiovascular Prevention, LMU University Munich Daniel Hering  Institute for Cardiovascular Prevention, LMU University Munich Martina Rami  Institute for Cardiovascular Prevention, LMU University Munich Carmen Haerdner  University of Freiburg, Germany Donato Santovito  Ludwig-Maximilians University (LMU) Munich https://orcid.org/0000-0003-1811-4746 Petteri Rinne  Institute of Biomedicine, University of Turku, Turku, Finland Laura Bindila  University Medical Center of the Johannes Gutenberg University Mainz, Mainz, Germany Michael Hristov  Institute for Cardiovascular Prevention, LMU University Munich Sabrina Pagano  Geneva University Hospitals https://orcid.org/0000-0001-7075-1182 Nicolas Vuilleumier  Geneva University Hospitals, Geneva, Switzerland So¦e Schmid  Technical University Munich Aleksandar Janjic  Anthropology and Human Genomics, Faculty of Biology, Ludwig-Maximilians University, Martinsried, Germany GPR55 in B cells limits atherosclerosis development and regulates plasma cell maturation Raquel Guillamat-Prats  Institute for Cardiovascular Prevention, LMU University Munich Daniel Hering  Institute for Cardiovascular Prevention, LMU University Munich Martina Rami  Institute for Cardiovascular Prevention, LMU University Munich Carmen Haerdner  University of Freiburg, Germany Donato Santovito  Ludwig-Maximilians University (LMU) Munich https://orcid.org/0000-0003-1811-4746 Petteri Rinne  Institute of Biomedicine, University of Turku, Turku, Finland Laura Bindila  University Medical Center of the Johannes Gutenberg University Mainz, Mainz, Germany Michael Hristov  Institute for Cardiovascular Prevention, LMU University Munich Sabrina Pagano  Geneva University Hospitals https://orcid.org/0000-0001-7075-1182 Nicolas Vuilleumier  Geneva University Hospitals, Geneva, Switzerland So¦e Schmid  Technical University Munich Aleksandar Janjic  Anthropology and Human Genomics, Faculty of Biology, Ludwig-Maximilians University, Martinsried, Germany GPR55 in B cells limits atherosclerosis development and regulates plasma cell maturation Raquel Guillamat-Prats  Institute for Cardiovascular Prevention, LMU University Munich Daniel Hering  Institute for Cardiovascular Prevention, LMU University Munich Martina Rami  Institute for Cardiovascular Prevention, LMU University Munich Carmen Haerdner  University of Freiburg, Germany Donato Santovito  Ludwig-Maximilians University (LMU) Munich https://orcid.org/0000-0003-1811-4746 Petteri Rinne  Institute of Biomedicine, University of Turku, Turku, Finland Laura Bindila  University Medical Center of the Johannes Gutenberg University Mainz, Mainz, Germany Michael Hristov  Institute for Cardiovascular Prevention, LMU University Munich Sabrina Pagano  Geneva University Hospitals https://orcid.org/0000-0001-7075-1182 Nicolas Vuilleumier  Geneva University Hospitals, Geneva, Switzerland So¦e Schmid  Technical University Munich Aleksandar Janjic  Anthropology and Human Genomics, Faculty of Biology, Ludwig-Maximilians University, Martinsried, Germany Wolfgang Enard  Anthropology and Human Genomics Faculty of Biology Ludwig-Maximilians University Martinsried PR55 in B cells limits atherosclerosis evelopment and regulates plasma cell maturation Sabrina Pagano  Geneva University Hospitals https://orcid.org/0000-0001-7075-1182 Nicolas Vuilleumier  Geneva University Hospitals, Geneva, Switzerland So¦e Schmid  Technical University Munich Lars Maegdefessel  Technical University Munich Alexander Faussner Institute for Cardiovascular Prevention, LMU University Munich https://orcid.org/0000-0003-1745-428 Ingo Hilgendorf  University of Freiburg, Germany Sabine Steffens  (  sabine.steffens@med.uni-muenchen.de ) Institute for Cardiovascular Prevention, LMU University Munich https://orcid.org/0000-0002-6892-975 Article Keywords: Posted Date: January 12th, 2022 DOI: https://doi.org/10.21203/rs.3.rs-1232278/v1 License:   This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License Additional Declarations: There is NO Competing Interest. Version of Record: A version of this preprint was published at Nature Cardiovascular Research on November 11th 2022 See the published version at https://doi org/10 1038/s44161 022 00155 0 evention, LMU University Munich https://orcid.org/0000-0002-6892-9751 Institute for Cardiovascular Prevention, LMU University Munich https://orcid.org/0000-0002-6892-9751 GPR55 in B cells limits atherosclerosis development and regulates plasma cell maturation GPR55 in B cells limits atherosclerosis development and regulates plasma cell maturation Raquel Guillamat-Prats1, Daniel Hering1, Martina Rami 1, Carmen Härdtner3, Donato Santovito1,2,5, Petteri Rinne6, Laura Bindila7, Michael Hristov1, Sabrina Pagano8, Nicolas Vuilleumier8, Sofie Schmid9, Aleksandar Janjic10, Wolfgang Enard10, Christian Weber1,2,11, 12, Lars Maegdefessel2, 9, Alexander Faussner1, Ingo Hilgendorf3,4, Sabine Steffens1,2, * 1Institute for Cardiovascular Prevention (IPEK), Ludwig-Maximilians-Universität (LMU) Munich, Munich, Germany 2 German Center for Cardiovascular Research (DZHK), Partner Site Munich Heart Alliance (MHA), Munich, Germany 3Department of Cardiology and Angiology I, Heart Center and Faculty of Medicine, University of Freiburg. Freiburg, Germany 4Institute for Experimental Cardiovascular Medicine, Heart Center and Faculty of Medicine, University of Freiburg, Freiburg, Germany 5Institute for Genetic and Biomedical Research, UoS of Milan, National Research Council, Milan, Italy 6Institute of Biomedicine, University of Turku, Turku, Finland 7Institute of Physiological Chemistry, University Medical Center of the Johannes Gutenberg University Mainz, Mainz, Germany 8Division of Laboratory Medicine, Department of Genetics and Laboratory Medicine, Geneva University Hospitals, Geneva, Switzerland 9D t t f V l d E d l S Kli ik ht d I T h i l Raquel Guillamat-Prats1, Daniel Hering1, Martina Rami 1, Carmen Härdtner3, Donato Santovito1,2,5, Petteri Rinne6, Laura Bindila7, Michael Hristov1, Sabrina Pagano8, Nicolas Vuilleumier8, Sofie Schmid9, Aleksandar Janjic10, Wolfgang Enard10, Christian Weber1,2,11, 12, Lars Maegdefessel2, 9, Alexander Faussner1, Ingo Hilgendorf3,4, Sabine Steffens1,2, * Santovito , Petteri Rinne , Laura Bindila , Michael Hristov , Sabrina Pagano , Nicolas Vuilleumier8, Sofie Schmid9, Aleksandar Janjic10, Wolfgang Enard10, Christian Weber1,2,11, 12, Lars Maegdefessel2, 9, Alexander Faussner1, Ingo Hilgendorf3,4, Sabine Steffens1,2, * 1Institute for Cardiovascular Prevention (IPEK), Ludwig-Maximilians-Universität (LMU) Munich, Munich, Germany 2 German Center for Cardiovascular Research (DZHK), Partner Site Munich Heart Alliance (MHA), Munich, Germany 3Department of Cardiology and Angiology I, Heart Center and Faculty of Medicine, University of Freiburg. Keywords: Additional Declarations: There is NO Competing Interest. Additional Declarations: There is NO Competing Interest. Version of Record: A version of this preprint was published at Nature Cardiovascular Research on November 11th, 2022. See the published version at https://doi.org/10.1038/s44161-022-00155-0. Abstract Identifying novel pathways regulating the adaptive immune response in chronic inflammatory diseases such as atherosclerosis is of particular interest in view of developing new therapeutic drugs. Here we report that the lipid receptor GPR55 is highly expressed by splenic B cells and inversely correlates with atheroma plaque size in mice. In human carotid endarterectomy specimen, GPR55 transcript levels were significantly lower in unstable compared to stable carotid plaques. To study the impact of GPR55 deficiency in atherosclerosis, we crossed Gpr55 knockout mice with apolipoprotein E (ApoE) knockout mice and subjected the mice to Western diet for 4 to 16 weeks. Compared to ApoE-/- controls, ApoE-/-Gpr55-/- mice developed larger plaques with increased necrotic core size, associated with elevated circulating and aortic leukocyte counts. Flow cytometry, immunofluorescence and RNA-sequencing analysis of splenic B cells in these mice revealed a hyperactivated B cell phenotype with disturbed plasma cell maturation and immunoglobulin (Ig)G antibody overproduction. The specific contribution of B cell GPR55 in atherosclerosis was further studied in mixed Gpr55-/-/µMT bone marrow chimeras on low density receptor deficiency (Ldlr-/-) background, revealing that B-cell specific depletion of Gpr55 was sufficient to promote plaque development. Conversely, adoptive transfer of wildtype B cells into ApoE-/-Gpr55-/- mice blunted the proatherogenic phenotype. In vitro stimulation of splenocytes with the endogenous GPR55 ligand LPI promoted plasma cell proliferation and enhanced B cell activation marker expression, which was inhibited by the GPR55 antagonist CID16020046. Collectively, these discoveries provide new evidence for GPR55 as key modulator of the adaptive immune response in atherosclerosis. Targeting GPR55 could be useful to limit inflammation and plaque progression in patients suffering from atherosclerosis. Identifying novel pathways regulating the adaptive immune response in chronic inflammatory diseases such as atherosclerosis is of particular interest in view of developing new therapeutic drugs. Here we report that the lipid receptor GPR55 is highly expressed by splenic B cells and inversely correlates with atheroma plaque size in mice. In human carotid endarterectomy specimen, GPR55 transcript levels were significantly lower in unstable compared to stable carotid plaques. To study the impact of GPR55 deficiency in atherosclerosis, we crossed Gpr55 knockout mice with apolipoprotein E (ApoE) knockout mice and subjected the mice to Western diet for 4 to 16 weeks. Compared to ApoE-/- controls, ApoE-/-Gpr55-/- mice developed larger plaques with increased necrotic core size, associated with elevated circulating and aortic leukocyte counts. GPR55 in B cells limits atherosclerosis development and regulates plasma cell maturation Freiburg, Germany 4Institute for Experimental Cardiovascular Medicine, Heart Center and Faculty of Medicine, University of Freiburg, Freiburg, Germany 5Institute for Genetic and Biomedical Research, UoS of Milan, National Research Council, Milan, Italy 6Institute of Biomedicine, University of Turku, Turku, Finland 7Institute of Physiological Chemistry, University Medical Center of the Johannes Gutenberg University Mainz, Mainz, Germany 8Division of Laboratory Medicine, Department of Genetics and Laboratory Medicine, Geneva University Hospitals, Geneva, Switzerland 9Department of Vascular and Endovascular Surgery, Klinikum rechts der Isar - Technical University Munich (TUM), Munich, Germany 10Anthropology and Human Genomics, Faculty of Biology, Ludwig-Maximilians University, Martinsried, Germany 11Department of Biochemistry, Cardiovascular Research Institute Maastricht (CARIM), Maastricht University Medical Centre, 6229 ER Maastricht, The Netherlands. 12Munich Cluster for Systems Neurology (SyNergy), Munich, Germany *Correspondence: Sabine Steffens (sabine.steffens@med.uni-muenchen.de) Address: Pettenkoferstraße 9, 80336 München, Germany phone: +49-89-4400-54674, fax: +49-89-4400-54676 g g g 1Institute for Cardiovascular Prevention (IPEK), Ludwig-Maximilians-Universität (LMU) Munich, Munich, Germany 2 German Center for Cardiovascular Research (DZHK), Partner Site Munich Heart Alliance (MHA), Munich, Germany 3Department of Cardiology and Angiology I, Heart Center and Faculty of Medicine, University of Freiburg. Freiburg, Germany 4Institute for Experimental Cardiovascular Medicine, Heart Center and Faculty of Medicine, University of Freiburg, Freiburg, Germany 5Institute for Genetic and Biomedical Research, UoS of Milan, National Research Council, Milan, Italy 6Institute of Biomedicine, University of Turku, Turku, Finland *Correspondence: Sabine Steffens (sabine.steffens@med.uni-muenchen.de) Address: Pettenkoferstraße 9, 80336 München, Germany phone: +49-89-4400-54674, fax: +49-89-4400-54676 Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Abstract Flow cytometry, immunofluorescence and RNA-sequencing analysis of splenic B cells in these mice revealed a hyperactivated B cell phenotype with disturbed plasma cell maturation and immunoglobulin (Ig)G antibody overproduction. The specific contribution of B cell GPR55 in atherosclerosis was further studied in mixed Gpr55-/-/µMT bone marrow chimeras on low density receptor deficiency (Ldlr-/-) background, revealing that B-cell specific depletion of Gpr55 was sufficient to promote plaque development. Conversely, adoptive transfer of wildtype B cells into ApoE-/-Gpr55-/- mice blunted the proatherogenic phenotype. In vitro stimulation of splenocytes with the endogenous GPR55 ligand LPI promoted plasma cell proliferation and enhanced B cell activation marker expression, which was inhibited by the GPR55 antagonist CID16020046. Collectively, these discoveries provide new evidence for GPR55 as key modulator of the adaptive immune response in atherosclerosis. Targeting GPR55 could be useful to limit inflammation and plaque progression in patients suffering from atherosclerosis. 2 2 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Introduction Cardiovascular diseases (CVDs) related to atherosclerosis are the leading cause of death worldwide. Atherosclerosis is a chronic and multifactorial disease involving both arms of our immune system, the innate and adaptive immunity.1–3 Recent advances in analytical approaches such as single cell sequencing and mass cytometry have deepened our knowledge about the cellular heterogeneity within the atherosclerotic lesions,4 supporting the relevance of B lymphocytes in the pathophysiology of the disease. Diverse subset-specific functions of B cells in atherosclerosis have been described over the last years, reporting both pro- and antiatherogenic properties.5–8 For example, B1a cells are considered as main producers of naturally occurring IgM antibodies arising without antigen- mediated induction. These antibodies recognize oxidation-specific epitopes (OSE) that are present on lipoprotein particles as well as apoptotic cells, thereby limiting atherosclerotic plaque progression.8 The B2 lineage can be separated into marginal zone (MZ) and follicular (FO) cells. While MZ cells are positioned at the splenic red pulp border to scan the blood for circulating antigens, FO cells interact with T follicular helper (TFh) cells to initiate the germinal center (GC) response.9 This culminates in the final stage of B cell maturation, which involves the rapid proliferation of plasmablasts secreting low antibody levels, somatic hypermutations in the B cell receptor (BCR) region and selection of high antigen affinity clones to ultimately differentiate into long-lived plasma cells.9 Plasma cells have a high protein synthesis capacity and secrete large amounts of antibodies into the circulation, which depends on a set of transcription factors, in particular PR domain zinc finger protein 1 (BLIMP1), interferon regulatory factor 4 (IRF4) and X- box binding protein 1 (XBP1). Antigen-specific antibodies of various isotypes, including IgGs, are produced by class-switching of the high affinity B cell clones. In the context of atherosclerosis, IgGs have been reported to form immune complexes with oxLDL and promote macrophage inflammatory responses.10 On the other hand, high-throughput single- cell analysis of the atherosclerosis-associated antibody repertoire recently discovered 3 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. atheroprotective anti-ALDH4A1 autoantibodies directed against a mitochondrial dehydrogenase.11 Moreover, MZ B cells have been shown to negatively control pro-atherogenic Tfh responses to hypercholesterolemia,12 which underlines the complexity of B cell subset-specific functions and autoantibodies in atherosclerosis. B cell activation involves antigen binding to the BCRs, which are membrane- bound immunoglobulins with unique epitope-binding sites expressed by each clone. Introduction The BCRs form a signaling complex with other receptors on the B cell surface, including among other, receptor-type tyrosine-protein phosphatase C (PTPRC, also known as B220).10 Under hypercholesterolemic conditions, B cells may become hyperactivated with deregulation of plasma cell formation, thereby promoting atherosclerosis.10,13 GPR55 is a G protein-coupled orphan receptor expressed by various leukocyte subsets, including B and T cells, but also natural killer cells, monocytes, macrophages, and neutrophils. According to murine immune cell transcriptomic data (Immgen.org),14 GPR55 is highly expressed by splenic plasma cells (PC) and, to a lower extent, MZ B cells. The most potent endogenous GPR55 ligand identified so far is lysophosphatidylinositol (LPI).15–17 Immunological functions for GPR55 have been described, amongst others, in γδT cells residing in intestinal lymphoid organs, where Gpr55 deficiency or short-term antagonist treatment protected mice from nonsteroidal anti-inflammatory drug-induced increases in intestinal permeability.18 In THP1-derived macrophages, GPR55 stimulation promoted the accumulation of oxidized LDL and blocked cholesterol efflux, while GPR55 antagonism counteracted these effects.19 Conversely, in aortic endothelial cells, antagonizing GPR55 with CID16020046 prevented ox-LDL- induced inflammatory stress.20 In vivo treatment of atherosclerosis-prone ApoE-/- mice with CID16020046 reduced neutrophil recruitment and plaque infiltration, while no effects on plaque size were detectable.21 However, the role of GPR55 in regulating adaptive B cell responses in the context of atherosclerosis has not been investigated so far. 4 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Using a global Gpr55 knockout mouse model, B cell specific deletion and gain of function experiments, we report here for the first time that GPR55 plays a role in regulating B cell activation and maturation during hypercholesterolemia, which crucially affects atherosclerotic plaque development. Our findings provide further insight into the complex regulation of humoral immunity and might be of broader relevance beyond atherosclerosis, such as autoimmune disorders. Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. descending aorta, however, the plaque burden was still higher in ApoE-/-Gpr55-/- mice (Supplementary Figure 1C). This might reflect stage dependent effects of GPR55 during atherosclerosis, since plaque development in descending aortas is generally less advanced compared to aortic root plaques in mouse models of atherosclerosis.22 In support of this hypothesis, 16-weeks-plaques of Gpr55-deficient mice exhibited an increased necrotic core and collagen area, but decreased relative plaque content of macrophages and lipids, indicative of a more advanced plaque phenotype (Supplementary Figure 1D to G). To validate the expression and possible modulation of GPR55 in human plaques, we analyzed the transcript levels in stable and unstable carotid artery plaques collected from patients undergoing endarterectomy. The patient’s characteristics of both groups are summarized in Supplementary Table 1. The plaque phenotype was assigned based on the morphology following the American Heart Association (AHA) classification23 with or without a vulnerable fibrous cap according to Redgrave et al.24 (Figure 1H and Supplementary Table 4 with the patient characteristics). The qPCR analysis revealed reduced GPR55 expression in unstable compared to stable plaques (Figure 1I), which might suggest that high expression levels of this receptor may counterbalance the patient´s risk for developing an acute cardiovascular event. Modulation and role of the GPR55-LPI axis in atherosclerosis To address the regulation of the GPR55-LPI axis during hypercholesterolemia, we fed ApoE-/- mice with Western diet (WD) for 4 or 16 weeks, respectively, and measured LPI plasma levels by liquid chromatography-tandem mass spectrometry. Circulating LPI was elevated during the early stage of atherogenesis and returned to baseline concentrations after 16 weeks WD (Figure 1A). Given that GPR55 is highly expressed by splenic B cells, we focused on the spleen to assess a modulation of the receptor and the LPI synthesizing enzyme phospholipase DDHD domain containing 1 (DDHD1) during atherosclerosis onset and progression. In accordance with the modulation of plasma LPI levels, Ddhd1 was upregulated after 4, but not 16 weeks WD (Figure 1B). A similar pattern for the splenic Gpr55 mRNA expression was observed (Figure 1C). At the 4-week time point, the splenic GPR55 expression inversely correlated with aortic root atherosclerotic plaque size (Figure 1D), suggesting that GPR55 signaling may exert an early protective effect on plaque development. The causal implication of GPR55 in atherogenesis was substantiated in ApoE-/-Gpr55-/- mice receiving 4 weeks WD, which developed larger plaques within aortic roots compared to corresponding ApoE-/- controls (Figure 1E-G). These findings suggest that GPR55-signaling counterbalances plaque development, at least in early disease stage. After 16 weeks WD, a difference in aortic lesion area was no longer observed (Supplementary Figure 1A-B). In the 5 Role of B cell GPR55 in atherosclerosis B cell Gpr55 expression and functionality We next assessed the expression profile of Gpr55 in sorted murine blood leukocytes of ApoE-/- mice by digital droplet PCR (ddPCR) and qPCR. The rank order of Gpr55 expression in the different populations was B cells > T cells > neutrophils > monocytes, which was consistently confirmed by both techniques (Figure 2A). By in situ hybridization, we localized Gpr55 expression in the splenic B cell FO and GC areas (Figure 2B). The functional GPR55 signaling response in splenic B cells was subsequently validated by measuring intracellular Calcium (Ca2+) increases in response to stimulation with the endogenous GPR55 ligand LPI. Dose-dependent increases in intracellular Ca2+ were observed in ApoE-/-, but 6 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. not in ApoE-/-Gpr55-/- mice (0,1 µM and 1 µM; Figure 2C-D). Likewise, human peripheral blood B cells showed a dose-dependent Ca2+ response to LPI, indicating a functional LPI-GPR55 signaling pathway in human B cells (1 µM and 10 µM; Figure 2E-F). not in ApoE-/-Gpr55-/- mice (0,1 µM and 1 µM; Figure 2C-D). Likewise, human peripheral blood B cells showed a dose-dependent Ca2+ response to LPI, indicating a functional LPI-GPR55 signaling pathway in human B cells (1 µM and 10 µM; Figure 2E-F). hypercholesterolemia Global Gpr55 deficiency was associated with pronounced metabolic changes, in particular increased body weight compared to aged-matched ApoE-/- animals, which was already notable at baseline and consistently evident after 4 or 16 weeks WD (Supplementary Figure 2A-C). Although plasma cholesterol levels were comparable to ApoE-/- controls at all time points (Supplementary Figure 2D), the liver total cholesterol was slightly increased after 4 weeks WD (Supplementary Figure 2E). The hepatic qPCR gene expression analysis after 4 weeks WD revealed a significant transcriptional upregulation of several metabolic markers, indicating enhanced lipid synthesis, uptake and efflux in Gpr55-deficient mice (Supplementary Figure 2F). Furthermore, the Oil Red O staining analysis of liver sections revealed an enhanced lipid droplet accumulation after 16 weeks WD (Supplementary Figure 2G-H). These findings are in agreement with recent reports on pro- steatotic effects of GPR55.25 We next investigated the effect of global GPR55 deficiency on vascular and systemic inflammation under conditions of hypercholesterolemia. Compared to ApoE-/- controls, ApoE-/-Gpr55-/- mice had a hyper-inflammatory phenotype with an increase in all major circulating and aortic leukocyte subsets (Supplementary Figure 2I-K); accompanied by an amplified aortic gene expression profile of key pro-inflammatory markers (Supplementary Figure 2L). Similar effects on plaque development and metabolic changes, as detailed in female mice, were observed in male Gpr55-deficient mice (Supplementary Figure 3A-C). 7 7 7 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Gpr55 deficiency is associated with enhanced antibody responses during hypercholesterolemia No differences in antibody titers between young ApoE-/- and ApoE-/-Gpr55-/- were detectable, suggesting that pro-atherogenic conditions trigger the hyperactivated phenotype of B cells when functional GPR55 signaling is lacking (Figure 3I). The hyperactivated B cell state was linked to an increased number of splenic follicular T helper (Tfh) cells and circulating plasmablasts in Gpr55-deficient mice (Figure 3 J and K), while long- lived PC counts in the bone marrow were unchanged (Figure 3L). Taken together, these data suggest an unbalanced humoral response in atherosclerotic mice lacking functional GPR55 signaling, possibly due to disturbed checkpoints controlling the B cell differentiation from a highly proliferative into a specialized antibody secreting cell. Gpr55 deficiency is associated with enhanced antibody responses during hypercholesterolemia Gpr55 deficiency is associated with enhanced antibody responses during hypercholesterolemia To seek for a possible underlying reason for the excessive pro-inflammatory phenotype and considering that GPR55 is mostly expressed by splenic B cells (Figure 2A), we performed a detailed flow cytometric profiling of B cell populations. Since splenic GPR55 expression was upregulated after 4 weeks WD, but not at the later stage (Figure 1C), we subsequently focused on this time point for an in-depth profiling of the Gpr55-deficient B cell phenotype. The flow cytometric analysis showed a diminished number of splenic B1a counts in ApoE-/-Gpr55-/- mice compared to ApoE-/- controls, while B2 marginal zone (MZ) cell counts were increased (Figure 3A). The most pronounced changes were reductions of splenic germinal center (GC) B cell and PC counts in Gpr55-deficient mice (Figure 3A). A similar pattern was observed when comparing the relative frequencies among splenic B cell subsets (Figure 3B-C). B1 cells in ApoE-/-Gpr55-/- mice were shifted to a decreased proportion of the anti-atherogenic B1a subset with increased B1b subset (Figure 3B-C). Furthermore, there was a decreased proportion of the follicular (FO) subset and increased proportion of the proatherogenic MZ subset (Figure 3D-E). These flow cytometric data were supported by immunohistological analysis of splenic tissue sections, indicating that B cell follicular and GC areas were less well-defined in mice lacking a functional GPR55 receptor (Figure 3F). Despite the reduced PC counts, Gpr55-deficient mice had elevated titers of IgA antibodies and several IgG subclasses (Fig. 3G). The most pronounced increase was detected in IgG2c antibody titers. Comparable increases of IgG subclass titers were observed in male Gpr55-deficient mice (Supplementary Figure 3D). Moreover, Gpr55-deficient mice had elevated plasma levels of B cell activating factor (BAFF; Figure 3H), which is crucial for B cell survival, altogether indicating a hyperactivated B cell response during atherosclerosis in the absence of GPR55 signaling. To clarify whether Gpr55 deficiency per se affected B cell maturation and antibody secretion, independent of antigens such as OSE arising during hypercholesterolemia, we also quantified 8 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. antibody titers in the plasma of young mice at 4 weeks of age. No differences in antibody titers between young ApoE-/- and ApoE-/-Gpr55-/- were detectable, suggesting that pro-atherogenic conditions trigger the hyperactivated phenotype of B cells when functional GPR55 signaling is lacking (Figure 3I). antibody titers in the plasma of young mice at 4 weeks of age. Bulk RNA-sequencing analysis of splenic B cells To understand in more detail the role of GPR55 signaling in splenic B cells, we sorted splenic CD19+ B cells from 6 ApoE-/- and 6 ApoE-/-Gpr55-/- mice after 4 weeks of WD and performed prime- seq, a bulk RNA-sequencing protocol.26 We found 460 differentially expressed genes (DEGs) between ApoE-/- and ApoE-/-Gpr55-/- mice that were enriched in B and T cell activation, cellular response to stress and intracellular signal transduction (Figure 4A and Supplementary Figure 4A- B). The main DEGs associated to each GO pathway were validated by qPCR, confirming a decrease of Fcer2a/CD23 and Ptprc/LPAP, together with changes in Zbtb20, Xbp1 and Bcl6, which are important transcription factors involved in B cell maturation and PC differentiation10 (Figure 4B). To study in more depth the transcriptomic changes linked to altered PC maturation in Gpr55-deficient mice, we also performed bulk RNA-sequencing of sorted splenic PC, blood plasmablasts and bone marrow long-lived PC from ApoE-/- versus ApoE-/-Gpr55-/- mice. The integration of differentially regulated GO pathways in a chord diagram confirmed that the three populations show overlapping regulated pathways such as B and T cell activation, disrupted Ig production and activated cell stress genes, confirming that B cell maturation and PC function is 9 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. generally affected by Gpr55 deficiency (Figure 4C). In ApoE-/- controls, the total splenic Gpr55 expression directly correlated with Fcer2a/CD23 and Ptcarp/LPAP (Figure 4D-E). B2-FO cells downregulate Fcer2a/CD23 expression on the cell surface when they go into memory B cell differentiation.27 Ptprc/LPAP expression was lower in Gpr55-/- mice, which is in line with previous data reporting that LPAP deficiency is associated with increased MZ B2 cell numbers.28 Evaluation of transcriptional factors involved in B cell biology revealed lower expression of Zbtb20 in spleens of Gpr55-/- mice, while Xbp1 expression was 2-fold increased. Bulk RNA-sequencing analysis of splenic B cells We subsequently performed confocal/STED imaging of unstimulated splenic PCs freshly sorted from ApoE-/- and ApoE-/-GPR55-/- mice, which uncovered a different morphology in Gpr55-deficient cells, with enlarged mitochondria and modified actin cytoskeleton (Supplementary Figure 5C and Supplementary videos). Furthermore, we used flow cytometry to compare the mitochondrial content of splenic GC B cells, PCs and bone marrow long lived PCs between ApoE-/- and ApoE-/-GPR55-/- mice, which confirmed an increased mitochondrial content in all these subsets (Figure 4H-J). We may speculate that disturbed Ca2+ signaling due to the lack of GPR55 leads to ER stress and mitochondrial content.31 In summary, our findings support a crucial requirement for GPR55 signaling in regulating B cell activation and differentiation into PCs. Bulk RNA-sequencing analysis of splenic B cells Zbtb20 is a key player in late B cell differentiation and is highly expressed by GC and PC.29 The decreased levels in Gpr55-deficient mice are in line with the lower numbers of GC B cells and disturbed PC differentiation (Figure 2C).29 Overexpression of Xbp1 promotes long-lived PC differentiation and is crucial for switching into secretory cells, releasing large quantities of antibodies, inducing endoplasmic reticulum (ER) remodeling, autophagic pathways, and the induction of the unfolded protein response (UPR).30 To substantiate these findings, we compared the CD23 protein expression on splenic B cells, confirming reduced surface expression in Gpr55-deficient mice (Figure 4G). In vitro stimulation of splenocytes with the GPR55 agonist LPI upregulated CD23 surface expression levels in B cells, with a maximum effect observed after 30 min (Figure 4F). To further study the role of GPR55 in PC differentiation, we performed additional in vitro experiments. Splenic B cells isolated from ApoE-/- mice were stimulated with a cocktail of LPS, IFN-α, IL2, IL4 and IL5 for 72 h to trigger PC differentiation alone or in the presence of the GPR55- agonist LPI or the antagonist CID16020046, respectively. Co-incubation with LPI resulted in significantly more differentiated PCs compared to cells treated with LPS/IFN-α/IL2/IL4/IL5 alone, while adding the GPR55 antagonist prevented the LPS/IFN-α/IL2/IL4/IL5-induced induction of PC differentiation (Supplementary Figure 5A). This observation suggests that pro-inflammatory stimulation leads to endogenous GPR55 ligand production in splenic B cells, which triggers an autocrine receptor activation. In addition, GPR55 antagonism significantly augmented the mitochondrial content of in vitro differentiated PCs, which may reflect enhanced antibody secretion 10 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. and cell stress (Supplementary Figure 5B). We subsequently performed confocal/STED imaging of unstimulated splenic PCs freshly sorted from ApoE-/- and ApoE-/-GPR55-/- mice, which uncovered a different morphology in Gpr55-deficient cells, with enlarged mitochondria and modified actin cytoskeleton (Supplementary Figure 5C and Supplementary videos). Furthermore, we used flow cytometry to compare the mitochondrial content of splenic GC B cells, PCs and bone marrow long lived PCs between ApoE-/- and ApoE-/-GPR55-/- mice, which confirmed an increased mitochondrial content in all these subsets (Figure 4H-J). We may speculate that disturbed Ca2+ signaling due to the lack of GPR55 leads to ER stress and mitochondrial content.31 In summary, our findings support a crucial requirement for GPR55 signaling in regulating B cell activation and differentiation into PCs. and cell stress (Supplementary Figure 5B). B cell-specific Gpr55 deficiency substantiates the role of GPR55 in modulating OSE antibody responses and atherosclerotic plaque development To further address the specific contribution of B cell GPR55 signaling in atherosclerosis, we subsequently used a mixed bone marrow transplantation strategy, employing µMT as a model for mice lacking functional B cells, Gpr55-deficient bone marrow donors on wildtype (WT) background and Ldlr-/- mice as recipients. Gpr55-/- bone marrow was mixed with µMT bone marrow in a 50/50 ratio before transplantation into lethally irradiated Ldlr-/- recipients (Figure 5A). The B cell-specific deficiency was validated after 6 weeks recovery by qPCR of sorted circulating B cells, while T cells and myeloid cells exhibited normal expression levels of Gpr55 (Figure 5B). At the end point following recovery and 10 weeks WD feeding, the metabolic effects observed in mice with global GPR55 deficiency were lost, as we did not observe changes in body weight between groups and we could observe a slightly decreased plasma cholesterol in B-cell specific Gpr55-deficient mice compared to their respective controls (Figure 5C-D). Mice with B cell specific GPR55 deficiency developed larger plaques compared to control mice transplanted with a mixture of WT/µMT bone marrow (Figure 5E-F), while B cell-specific Gpr55 11 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. deficiency resulted in less splenic B1a cells and FO B2 cells, and PC counts were elevated (Figure 5G). The distinct profile in splenic B cell subsets of B cell-specific compared to global Gpr55- deficient mice indicates that the observed phenotype in global knockouts was not only due to B cell-dependent effects, but also modulated by T cell responses, such as Tfh interactions. Assessment of circulating antibody titers revealed slightly reduced plasma IgM titers, while IgGs were increased in B cells-specific Gpr55-deficient mice (Fig. 5H), which is in line with the proatherogenic phenotype. In particular, we observed significantly increased plasma titers of MDA-LDL-specific IgGs, which points to an involvement of specific responses to OSE under hypercholesterolemic conditions (Figure 5I). Adoptive transfer of WT B cells reverses the proatherogenic phenotype in global ApoE-/- GPR55-/- mice To substantiate the crucial importance of functional B cell GPR55 signaling in atherosclerosis, we performed an adoptive transfer experiment to rescue the proatherogenic phenotype in global ApoE-/-Gpr55-/- mice with WT B cells. We first treated ApoE-/- or ApoE-/-Gpr55-/- mice, respectively, with a B cell depleting antibody cocktail (Figure 6A-B) before transferring WT B cells. The adoptive transfer was sufficient to inhibit the proatherosclerotic phenotype, since ApoE-/-Gpr55-/- mice receiving WT B cells had comparable plaque sizes as observed in corresponding ApoE-/- control mice after 4 weeks WD (Figure 6C-D). However, the WT B cell transfer was not enough to entirely prevent the enhanced IgG response in ApoE-/-Gpr55-/- mice (Figure 6E), most likely because Gpr55-deficient plasmablasts and long-lived PC were not entirely depleted by the antibody cocktail, thereby still abundantly producing IgGs. 12 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Discussion In this study, we investigated the role of GPR55 signaling in atherosclerosis. Our findings show that GPR55 and its endogenous ligand LPI are regulated during atherogenesis. We report that GPR55 expression in mice is inversely correlated with plaque development and down-regulated in human unstable plaques compared to stable plaques, supporting the hypothesis that GPR55 signaling might play an atheroprotective role, both in a murine model and in human pathophysiology. We further provide direct evidence that global GPR55 expression plays a role in atherosclerosis and related metabolic dysregulation, as its general depletion resulted in more advanced plaque development, elevated plasma and liver cholesterol levels, together with increased body weight. Our liver metabolic data are somewhat controversial to recent findings in hepatocytes, where a pro-steatotic function of GPR55 signaling was documented by stimulation with the synthetic agonist O-1602, an effect that was reversed by the GPR55 antagonist CID16020046.25 Likewise, O-1602 increased serum triglyceride levels in vivo, which was prevented by co-administration of CID16020046.25 Moreover, circulating LPI levels and liver expression of GPR55 were up-regulated in patients with steatosis and nonalcoholic steatohepatitis (NASH). In vivo knockdown of Gpr55 improved liver damage in mice fed either a high-fat diet or methionine-choline-deficient diet, and LPI also promoted the initiation of hepatic stellate cell activation by stimulating GPR55.32 A possible explanation might be that GPR55 signaling differentially affects lipid metabolism depending on the dietary condition, which deserves further investigation e.g. in mouse models with hepatocyte specific Gpr55 deficiency. The finding that GPR55 is particularly expressed by splenic B cells supports a central role for this receptor in regulating the homeostatic functions of this immune cell subset. It is well described that an imbalance of B cell homeostasis can cause devastating effects and tissue injury.10,13,33,34 The hyperactivated and dysfunctional B cell state together with an exaggerated antibody production in hypercholesterolemic mice lacking functional GPR55 signaling fits well to the pro- atherogenic phenotype.35–38 B cell maturation and activation is precisely controlled by multiple 13 Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. factors, but begins with the binding of B-cell receptor (BCR) to a specific antigen,39 such as an OSE. The balance of activating and inhibitory signals in B cells is crucial for preventing an exaggerated adaptive immune response.40 Here, we present evidence that GPR55 signaling exerts a protective effect in B cells, while the lack of GPR55 is promoting an uncontrolled T and B cell interaction, leading to increased Tfh and circulating PC counts, together with elevated plasma BAFF levels, thereby cumulating in an excessive IgG production. factors, but begins with the binding of B-cell receptor (BCR) to a specific antigen,39 such as an OSE. The balance of activating and inhibitory signals in B cells is crucial for preventing an exaggerated adaptive immune response.40 Here, we present evidence that GPR55 signaling exerts a protective effect in B cells, while the lack of GPR55 is promoting an uncontrolled T and B cell interaction, leading to increased Tfh and circulating PC counts, together with elevated plasma BAFF levels, thereby cumulating in an excessive IgG production. Having identified the importance of GPR55 in B cell activation, we further sought to identify the transcription factors, effectors or pathways affected by the lack of GPR55 signaling. Using bulk RNA-sequencing and GO enrichment analysis, we found that many genes and pathways involved in B and T cell activation, cellular response to stress and intracellular signal transduction were differentially regulated in Gpr55 deficient B cells. By integrating all these pathways, we focused on the B cell activation- and maturation-related genes. Among the downregulated genes, we confirmed that Fcer2a/CD23 and Ptprc/LPAP are positively correlated with Gpr55 expression. The regulation of CD23 by GPR55 signaling was supported at the protein level by the reduced surface expression on CD19+ B cells of ApoE-/-Gpr55-/- mice and additional in vitro experiments with GPR55 agonists and antagonists. Even though CD23 has been extensively studied, its function is not fully understood. Previous studies using CD23 knockout mouse models suggested that CD23 is not critical for B and T cell maturation, but plays a regulatory function in the adaptive immune response.41 Liu et al. demonstrated that CD23 downregulates BCR signaling by inhibiting actin- mediated BCR clustering and B cell morphological changes.27 Moreover, a link between CD23 expression and IgG antibody response has been proposed.42 In particular, overexpression of CD23 resulted in significantly decreased IgG antibody responses. Role of B cell GPR55 in atherosclerosis Hence, we may speculate that the decreased expression of CD23 in absence of GPR55 and thus lack of inhibitory signal for BCR signaling and IgG responses may contribute to the observed phenotype in our model. So far, not many external and internal signals and upstream signaling mechanisms that regulate the surface expression of CD23 have been identified. Our data suggest that GPR55 signaling represents such Having identified the importance of GPR55 in B cell activation, we further sought to identify the transcription factors, effectors or pathways affected by the lack of GPR55 signaling. Using bulk RNA-sequencing and GO enrichment analysis, we found that many genes and pathways involved in B and T cell activation, cellular response to stress and intracellular signal transduction were differentially regulated in Gpr55 deficient B cells. By integrating all these pathways, we focused on the B cell activation- and maturation-related genes. Among the downregulated genes, we confirmed that Fcer2a/CD23 and Ptprc/LPAP are positively correlated with Gpr55 expression. The regulation of CD23 by GPR55 signaling was supported at the protein level by the reduced surface expression on CD19+ B cells of ApoE-/-Gpr55-/- mice and additional in vitro experiments with GPR55 agonists and antagonists. Even though CD23 has been extensively studied, its function is not fully understood. Previous studies using CD23 knockout mouse models suggested that CD23 is not critical for B and T cell maturation, but plays a regulatory function in the adaptive immune response.41 Liu et al. demonstrated that CD23 downregulates BCR signaling by inhibiting actin- mediated BCR clustering and B cell morphological changes.27 Moreover, a link between CD23 expression and IgG antibody response has been proposed.42 In particular, overexpression of CD23 resulted in significantly decreased IgG antibody responses. Hence, we may speculate that the decreased expression of CD23 in absence of GPR55 and thus lack of inhibitory signal for BCR signaling and IgG responses may contribute to the observed phenotype in our model. So far, not many external and internal signals and upstream signaling mechanisms that regulate the surface expression of CD23 have been identified. Our data suggest that GPR55 signaling represents such 14 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. a B cell-intrinsic factor directly regulating CD23. The precise mechanism how GPR55 signaling is triggering CD23 expression remains to be addressed. Less is known regarding Ptprc/LPAP in B cells. Role of B cell GPR55 in atherosclerosis In vitro stimulation of Ptprc mutant B cells led to normal differentiation to plasmablasts, but the cells failed to downregulate B220 expression, albeit it did not affect their functionality.43 Whether GPR55 signaling directly regulates LPAP and underlying mechanisms still needs to be clarified. To better understand the mechanisms of dysregulated IgG production in mice lacking Gpr55, we focused on PCs, the main producers of antibodies. We present in vitro evidence that LPI directly triggers B cell maturation into PCs. Likewise, we found that the number of PCs was reduced when we antagonized GPR55 signaling. Moreover, PCs maturating in vitro under GPR55 blocking conditions had an increased mitochondrial content, which was supported by STED imaging of splenic PCs from Gpr55-deficient mice, revealing and altered mitochondrial and actin cytoskeleton structure. A link between mitochondrial dynamics, activation and differentiation of B cells has been previously described. Activated B cells exposed to high levels of BAFF increased glucose uptake and their mitochondrial mass, resulting in increased glycolysis and oxidative phosphorylation.44,45 Although the mitochondrial dynamics in PCs have not been studied in detail, it is likely that IgG secretion in these cells is linked to increased metabolic rates and induces cellular stress responses.44,46–48 The minor increase of IgM levels suggests that B cell GPR55 is not a key regulator for natural antibody production by B1 cells. This is contrasted by the role of another GPCR, namely CXCR4 on B1 cells, which controls IgM titers. Genetic deficiency of CXCR4 in B cells markedly exacerbated atherosclerosis, indicating the importance of B1 cell–derived IgM in atheroprotection.49,50 The observed Ca2+ influx in response to LPI stimulation may play an important role in the regulation of cellular responses in PCs. Ca2+ signals affect a variety of intracellular processes that are central to cell-fate decisions in B cells, including mitochondrial physiology, apoptosis, secretion of transcription factors, cell migration, and Ig production.51 We may speculate that the lack of GPR55 15 Role of B cell GPR55 in atherosclerosis Global Gpr55-deficiency mouse model of atherosclerosis Gpr55-/- mice on C57BL/6J wildtype (WT) background were purchased from the European Mouse Mutant Archive (EM:02355), genotyped as previously reported52 and backcrossed with apolipoprotein E-deficient mice (ApoE−/−; strain # 002052, The Jackson Laboratory). Male and female ApoE-/- and ApoE-/-Gpr55-/-mice aged 7 to 9 weeks were fed with Western diet (WD; 0.15% cholesterol, Ssniff, TD88137) for either 4 or 16 weeks. At the end point, mice were anesthetized with ketamine/xylazine, and blood was obtained via cardiac puncture. Heart, aorta, spleen, and livers were harvested after PBS perfusion. All animal experiments were approved by the local Ethics committee (District Government of Upper Bavaria; License Number: 55.2-1-54-2532-111- 13 and 55.2-2532.Vet_ 02-18-114) and conducted in accordance with the institutional and national guidelines. Sample size for the experiments was selected for achieve an a priori 85% statistical power for biologically significant difference (d=0.8). Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. signaling reduces intracellular/ER Ca2+ stores, which might lead to a defective BCR effector pathway activation, triggering a metabolic and biochemical state, that results in severe defects in B cell differentiation and function promoting atherogenesis. This, together with the downregulation of inhibitory signals such as CD23 may explain the unbalanced B cell immune response observed in mice lacking functional GPR55 signaling. The bone marrow chimerism model to deplete GPR55 only in B cells confirmed the B cell- dependent atheroprotective effects of GPR55 signaling in atherosclerosis. However, some differences in the types of antibodies upregulated in mice with global or B cell-specific Gpr55 deficiency exist, which may involve differences in T cell-dependent antibody responses in global Gpr55 deficient mice. In fact, our gene expression analysis of sorted splenic immune cell subsets also indicates a strong GPR55 expression in T cells, which deserves further investigation in subsequent studies. Based on our mixed bone marrow chimera experiments, we can conclude that GPR55 signaling in B cells crucially regulates atherosclerosis. In support of a B cell-intrinsic role for GPR55 in atherogenesis, we could rescue the proatherogenic phenotype in global Gpr55 deficient mice by WT B cell adoptive transfer to restore GPR55-expressing B cells. This strengthens our conclusion that intrinsic GPR55 signaling in B cells is necessary for their proper function and provides a negative regulatory signal to limit atheroprogression. To conclude, our experimental in vivo and in vitro data, together with the confirmation of GPR55 expression and correlation with disease stage in human atherosclerosis, strongly support that targeting the GPR55-LPI axis should be investigated further as a possible strategy for preventing atheroprogression. Moreover, we uncovered a novel role for GPR55-LPI signaling in PC differentiation. The lack of this lipid signaling axis in B cells promotes an increased cellular stress with altered cytoskeleton remodeling, increased mitochondrial content and disturbed IgG production linked to the enhanced plaque formation. Hence, orphan receptors such as GPR55, which are activated by bioactive lipid mediators may represent an interesting novel therapeutic 16 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. target to be further explored in the context of chronic inflammatory diseases such as atherosclerosis and beyond. target to be further explored in the context of chronic inflammatory diseases such as atherosclerosis and beyond. Adoptive transfer of B cells B cells were isolated from spleens of WT female mice and enriched with a B cell isolation kit (Miltenyi Biotec MACS). The purity of isolated B cells was 96±0.8%. B cells were intraperitoneally (i.p.) injected into B cell-depleted female ApoE−/− or ApoE-/-GPR55-/- mice (1×106 cells). Three days prior to the adoptive B cell transfer, recipient mice were treated with a cocktail of the following antibodies: B220 (clone RA3.3A1/6.1, ref: BE0067), CD19 (clone 1D3, Ref: BE0150) and CD22 (clone Cy34.1, BE0011), and 48h later anti-rat kappa (clone TIB216, Ref: BE0122, all antibodies from BioXCell; 150 µg i.p. per antibody). To test the B cell depletion efficiency, some mice were treated with a depletion antibody cocktail or isotype (IgG1, BE0083, BioXCell) and euthanized 72 h after the first injection to measure leukocyte counts in the blood and spleen by flow cytometry. B cell-specific Gpr55-deficient bone marrow chimeras Female Ldlr-/- mice, female Gpr55-/- mice on WT background and B cell-deficient (μMT) female mice (strain # 002288, The Jackson Laboratory) aged 6–8-weeks at the start of experimental regimes were used. Ldlr-/- mice were irradiated with 8 Gy gamma-radiation and reconstituted with 2 × 106 mixed- bone marrow cells consisting of 50% μMT marrow and 50% Gpr55-/- or WT marrow, respectively. After irradiation mice were recovered for 6 weeks and then subjected to WD feeding for 10 weeks. After the 6-week-recovery time point, tail vein blood was collected to assess the transplantation efficiency. At the end point, organs were collected as described above. 17 Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Measurement of LPI by liquid chromatography-tandem mass spectrometry Plasma samples were allowed to thaw on ice water, and 50 μl aliquots were transferred to 1.5 ml centrifugation tubes. After adding 300 μL of ice-cold ethyl acetate/hexane (9:1, v/v) containing the deuterated LPI as internal standards, tubes were vortexed for 30 seconds and immediately centrifuged for 15 minutes at 20 000 x g at 4° C. The upper organic phase was removed, evaporated to dryness under a gentle stream of nitrogen at 37° C, and reconstituted in 50 μl acetonitrile/water (1:1, v/v). Plasma concentrations of LPI were determined by liquid chromatography-multiple reaction monitoring as previously described and normalize to the total volume of supernatant.55 Human material Human carotid artery plaques were harvested during carotid artery endarterectomy (CEA) surgery, transported to the laboratory and snap frozen. Carotid tissue with an unstable/ruptured or stable plaque phenotype (as previously described53,54 was cut in ~50mg pieces on dry ice. The patients’ characteristics are summarized in Supplementary Table 4. The tissue homogenization was performed in 700 µl Qiazol lysis reagent and total RNA was isolated using the miRNeasy Mini Kit (Qiagen, Netherlands) according to manufacturer´s instruction. RNA concentration and purity were assessed using NanoDrop. RIN number was assessed using the RNA Screen Tape (Agilent, USA) in the Agilent TapeStation 4200. Next, first strand cDNA synthesis was performed using the High-Capacity-RNA-to-cDNA Kit (Applied Biosystems, USA), following the manufacturer’s instructions. Quantitative real-time PCR was performed in 96 well plates with a QuantStudio3 Cycler (Applied Biosystems, USA), using TaqMan Gene Expression Assays (ThermoFisher, USA) for detection of the following expressed genes: RPLPO (Hs99999902_m1), GPR55 Hs00271662_s1). 18 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Cholesterol and triglyceride measurement Liver tissue (50-70 mg) was homogenized in 500 μl of 0.1 % NP-40 in PBS using a bead mill Tissue Lyser (Qiagen) and centrifuged for 2 min at 3000 x g to remove the insoluble material. Total plasma cholesterol and triglyceride concentrations were quantified in murine plasma and liver homogenates using colorimetric assays (CHOD-PAP and TAG-PAP Roche) according to the manufacturer’s protocol. Histological studies Digital images were acquired using a three-dimensional confocal laser scanning microscope (CLSM; Leica SP8 3X) equipped with a 100xNA1.40 oil immersion objective (Leica). Splenic cryosections of 10-μm thickness were fixed for 5 min with 4% formalin and blocked for 1 h at RT with blocking buffer, then stained with directly conjugated antibodies overnight at 4º C. PNA- FITC (1:100) was used for identifying germinal center B cells, IgM-AF647 (1:250) for identifying MZ B cells and memory B cells, CD23-AF594 (1:100) for FO B cells, and Hoechst33342 for the nuclei staining. Digital images were acquired using a three-dimensional confocal laser scanning microscope (CLSM; Leica SP8 3X) equipped with a 100xNA1.40 oil immersion objective (Leica). Histological studies Mouse hearts were isolated after perfusion with PBS and frozen in Tissue-tek (Sakura Finetek). Aortic roots were cut in 5-μm thick serial cryosections. The sections were stained with Oil-Red O for total plaque and lipid analysis and Masson´s trichrome for collagen in accordance with the guidelines for experimental atherosclerosis studies by the American Heart Association.56 Lesion size was analyzed in a blinded manner and quantified in 8 sections per heart, separated by 100 μm from each other, to cover the entire aortic root. Liver was embedded and frozen in Tissue-tek (Sakura Finetek). Pieces of liver tissue were cut in 5-μm thick serial cryosections. The sections were stained with Oil-Red O and we quantified the lipid deposition in liver using Image J. 19 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. For conventional immunofluorescence, aortic root sections were fixed for 5 min with 4% formalin and blocked for 1 h at room temperature (RT) with blocking buffer (PBS with 1% bovine serum albumin). Then the slides were incubated with Mac2 primary antibody overnight at 4° C for macrophage staining followed by anti-rat-AF488 for 2 h at RT and nuclear staining (Hoechst33342) for 5 min. Images were acquired using a Leica DM6000B fluorescence microscope equipped with a digital camera (DFC365, Leica). The percentage of macrophage plaque area was calculated with the Leica Application Suite LAS V4.3 software. For conventional immunofluorescence, aortic root sections were fixed for 5 min with 4% formalin and blocked for 1 h at room temperature (RT) with blocking buffer (PBS with 1% bovine serum albumin). Then the slides were incubated with Mac2 primary antibody overnight at 4° C for macrophage staining followed by anti-rat-AF488 for 2 h at RT and nuclear staining (Hoechst33342) for 5 min. Images were acquired using a Leica DM6000B fluorescence microscope equipped with a digital camera (DFC365, Leica). The percentage of macrophage plaque area was calculated with the Leica Application Suite LAS V4.3 software. Splenic cryosections of 10-μm thickness were fixed for 5 min with 4% formalin and blocked for 1 h at RT with blocking buffer, then stained with directly conjugated antibodies overnight at 4º C. PNA- FITC (1:100) was used for identifying germinal center B cells, IgM-AF647 (1:250) for identifying MZ B cells and memory B cells, CD23-AF594 (1:100) for FO B cells, and Hoechst33342 for the nuclei staining. Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. by incubating with the pre-amplifier mix for 30 min at 40° C, washing and incubating with the amplifier mix for 1 h at 40º C. After washing, the sections were incubated for 1 h at 40º C with the working label probe mix. Following the in-situ hybridization for the Gpr55-probe, the sections were washed, incubated with blocking buffer at RT for 1 h and stained with PNA-FITC, IgM-AF647 and CD23-AF594 antibodies as described above. In situ hybridization for Gpr55 To determine the presence of GPR55 in B cells we performed fluorescent in situ hybridization (FISH) by using a murine Gpr55-probe (VB6-3216575, Affymetrix). The splenic sections were cut and collected in RNAse free slides (slides cleaned with RNAse ZAP). RNase-free requirements were maintained up to post-hybridization steps. The sections were prefixed in 4% PFA for 5 min at RT and washed 3 times with PBS for 5 min. The tissue sections were treated with pre-warmed 10 μg/ml proteinase K (diluted in PBS) for 5 min at RT, followed by post-fixing with 100% ethanol for 1 min. Then, the sections were washed 3 times for 10 min with PBS and transferred to an RNAse free chamber. The ViewRNA™ Cell Plus Assay-Kit (Invitrogen) was used for target probe hybridization by incubating the sections at 40° C for 2 h. The hybridization probe was mixed with probe set diluent to a final concentration of 5 μg/ml. Following the hybridization step, the sections were washed three times with the wash buffer at RT for 5 min. Signal amplification was performed 20 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Flow cytometry Splenic single cell suspensions were obtained by mashing the spleens through a 70-µm cell strainer. Femurs were centrifuged at 10,000 x g for 1 min after exposure of the distal metaphysis to collect the bone marrow cells. Splenic, bone marrow and blood erythrocytes were lysed with ammonium-chloride-potassium (ACK, NH4Cl (8,024 mg/l), KHCO3 (1,001 mg/l) EDTA.Na2·2H2O (3.722 mg/l) buffer for 10 min at RT. For staining of leukocytes infiltrated into the aorta, the vessels were excised from the aortic arch to iliac bifurcation, and digested with collagenase IV and DNase I at 37° C at 750 rpm for 40 min as previously described57 and filtered through a 30-µm cell strainer. Blood, splenic, bone marrow, and aortic single cells were blocked for 5 min with Fc-CD16/CD32 antibody and then stained for 30 min in the dark at 4° C with antibodies (Supplementary Table 1) to identify myeloid and lymphoid cell subsets. After gating for living singlets and CD45+, the CD11b+ myeloid subsets were further gated as following: CD115+Ly6G- (monocytes), F4/80+ (macrophages), CD115-Ly6G+ (neutrophils). The CD11b- lymphoid population was divided into CD3+ (T cells) and CD19+ (B cells). B cell subsets were further identified as B220lowCD23-CD5+ (B1a), B220lowCD23-CD5- (B1b), B220highCD23-IgM+ (MZ), B220highCD23-IgMintIgD+ (FO), B220highCD23+IgMintPNA+GL7+ (GC). PCs were gated as CD19-CD138+CD23-IgM-IgD- and splenic Tfh were gated as CD3+CD19-CXCR5+PD1+. The circulating plasmablasts were identified as CD19+CD38+CD138+ and long-lived bone marrow PCs as CD19-CD138+. For mitochondrial staining in splenic and bone marrow B cells, the cells were incubated with prewarmed (37° C) staining solution containing MitoTracker (ThermoFisher) at a concentration of 50 nM for 30 min. 21 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. After removing the mitochondrial staining solution by centrifugation, the cells were stained with specific antibodies to identify the different B cell subpopulations. Flow cytometry data were acquired on a BD FACSCanto II flow cytometer (BD Biosciences) or Fortessa LSR (BD Biosciences) and analyzed with FlowJo v10.2 software (Tree Star, Inc). Flow cytometric sorting of splenic B cells Single cell suspensions obtained from ApoE-/- and ApoE-/-Gpr55-/- spleens were sorted (FACs ARIA) as CD19+ total B cells or B220highCD23+IgMintPNA+GL7+ GC cells. Circulating plasmablasts were gated asCD19+CD38+CD138+, and bone marrow long-lived PCs asCD19-CD138+. The sorted cells were deep frozen in 2x TCL buffer plus (Qiagen) plus 1% beta-mercaptoethanol. Quantitative real-time polymerase chain reaction Aortas were homogenized and lysed for extraction of total RNA (peqGold Trifast and Total RNA kit, Peqlab). RNA from sorted splenic B cells was also isolated using the same kit. After reverse transcription (PrimeScript RT reagent kit, Clontech), real-time polymerase chain reaction was performed with the 7900HT Sequence Detection System (Applied Biosystems) using the KAPA PROBE FAST Universal qPCR kit (Peqlab). Primers and probes were purchased from Life Technologies. Target gene expression was normalized to Hprt (hypoxanthine-guanine phosphoribosyltransferase) and presented as relative transcript level (2−ΔΔCt). For comparison of Gpr55 expression, Gapdh (glyceraldehyde-3-phosphate dehydrogenase) was used as additional housekeeping control for normalization (Supplementary Table 2). Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Illumina Hiseq 1500 at an average depth of 12.7 million reads per sample. The reads were demultiplexed using deML and then filtered, mapped to the mouse genome (mm10, GRCm38), and counted using zUMIs (version 2.5.5) with STAR.58 Differential gene expression analysis was performed using DESeq2 and then the characterization of the molecular functions or pathways in which differentially expressed genes (DEGs) are involved was performed using gene set enrichment analysis (GSEA). Resources used were Gene Ontology, Bioconductor, Gorilla and DAVID. Illumina Hiseq 1500 at an average depth of 12.7 million reads per sample. The reads were demultiplexed using deML and then filtered, mapped to the mouse genome (mm10, GRCm38), and counted using zUMIs (version 2.5.5) with STAR.58 Differential gene expression analysis was performed using DESeq2 and then the characterization of the molecular functions or pathways in which differentially expressed genes (DEGs) are involved was performed using gene set enrichment analysis (GSEA). Resources used were Gene Ontology, Bioconductor, Gorilla and DAVID. RNA-sequencing and analysis Splenic PC, bone marrow long lived PCs, and circulating plasmablasts from 6 donor mice per group (ApoE-/- versus ApoE-/-Gpr55-/- mice) were sorted using a BD FACSAria III Cell Sorter (BD Biosciences) as described above and bulk RNA-sequencing was performed using the prime-seq protocol.26 A step-by-step protocol can be found on protocols.io (dx.doi.org/10.17504/protocols.io.s9veh66). Briefly, 10,000 sorted cells were lysed in 100 µL of RLT+, 1% beta-mercaptoethanol and 50 µL of lysate was used for RNA-sequencing. In case that less than 10,000 cells could not be obtained, all sorted cells were used. The samples were proteinase K and DNase I digested and then cDNA synthesis was performed using uniquely barcoded oligodT primers. Samples destined for the same library were pooled and pre- amplification was then performed using 11-14 cycles, depending on the initial input per library. The cDNA was quantified using the PicoGreen dsDNA assay kit (Thermo Fisher, P11496) and qualified using the Bioanalyzer HS DNA chip (Agilent, 5067-4626). Libraries were then constructed with the NEB Next Ultra II FS kit (E6177S, NEB) using the prime-seq specifications. The libraries were quantified and qualified using the HS DNA chip on the Bioanalyzer and sequenced on an 22 Role of B cell GPR55 in atherosclerosis Digital droplet PCR For performing the digital droplet-PCR (ddPCR) we prepared the reaction mixture by combining a 2× ddPCR Mastermix (Bio-Rad), 20× primer, and probes (final concentrations of 900 and 250 nM, respectively; Integrated Data Technologies) and template in a final volume of 20 μl (Supplementary Table 3). Then, each ddPCR reaction mixture was loaded into the sample well of an eight-channel disposable droplet generator cartridge (Bio-Rad). A volume of 60 μl of droplet generation oil (Bio-Rad) was loaded into the oil well for each channel. The cartridge was placed 23 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. into the droplet generator (Bio-Rad), and the droplets were collected and transferred to a 96-well PCR plate. The plate was heat-sealed with a foil seal, placed on the thermal cycler and amplified to the end-point (40 cycles). After PCR, the 96-well PCR plate was loaded on the droplet reader (Bio-Rad). Analysis of the ddPCR data was performed with QuantaSoft analysis software (Bio- Rad). into the droplet generator (Bio-Rad), and the droplets were collected and transferred to a 96-well PCR plate. The plate was heat-sealed with a foil seal, placed on the thermal cycler and amplified to the end-point (40 cycles). After PCR, the 96-well PCR plate was loaded on the droplet reader (Bio-Rad). Analysis of the ddPCR data was performed with QuantaSoft analysis software (Bio- Rad). Immunoglobulin measurement in plasma To measure Ig isotypes and subclasses in plasma, the Antibody Isotyping 7-Plex Mouse ProcartaPlex™ Panel was performed with a MAGPIX luminex reader (ThermoFisher). For total IgG and IgM quantification, single ELISA kits were used (ThermoFisher). Anti-MDA specific IgGs were measured by coating MaxiSorp plates (NuncTM, city, Roskilde, Denmark) with purified, mouse-derived delipidated apolipoprotein MDA for 1 h at 37° C. After being washed, all wells were blocked for 1 h with 2% bovine serum albumin (BSA) in a phosphate- buffered solution (PBS) at 37° C. Mouse samples were also added to a non-coated well in order to assess individual non-specific binding. After six washing cycles, 50 µl/well of the alkaline phosphatase-conjugated anti-mouse IgG was added (Sigma-Aldrich, St Louis, MO), it was diluted at 1:1000 in a PBS/BSA 2% solution, and this was added and incubated for 1 h at 37° C. After washing six more times, phosphatase substrate p-nitrophanylphosphate disodium (Sigma-Aldrich) dissolved in a diethanolamine buffer (pH 9.8) was added and incubated for 30 min at 37° C. Optical density (OD) was determined at 405 nm (Filtermax 3, Molecular DevicesTM, San Jose, CA) and each sample was tested in duplicate. Corresponding non-specific binding was subtracted from mean OD for each sample. In vitro PC differentiation Splenic B cells were isolated from ApoE-/- mice by meshing the spleen and subsequent entrichment for CD19+ cells using a Miltenyi kit. For PC in vitro differentiation, the isolated B cells 24 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. were seeded in 24-well plates and treated with a cocktail of LPS (0,5 ng/ml), IFN-α (2 ng/ml), IL2 (5 ng/ml), IL-4 (5 ng/ml), and IL5 (2 ng/ml) for 7 days, adding fresh medium with the stimulation cocktail every second day, based on an optimized protocol according to previous publications.59,60 In some conditions, the stimulation cocktail was combined with LPI or CID16020046. After 7 days, cells were collected and used for flow cytometric analysis of the total number of PCs, gated as viable single CD45+CD11b-CD19+CD138+ cells. were seeded in 24-well plates and treated with a cocktail of LPS (0,5 ng/ml), IFN-α (2 ng/ml), IL2 (5 ng/ml), IL-4 (5 ng/ml), and IL5 (2 ng/ml) for 7 days, adding fresh medium with the stimulation cocktail every second day, based on an optimized protocol according to previous publications.59,60 In some conditions, the stimulation cocktail was combined with LPI or CID16020046. After 7 days, cells were collected and used for flow cytometric analysis of the total number of PCs, gated as viable single CD45+CD11b-CD19+CD138+ cells. Statistical Analysis Statistical analyses were performed using GraphPad Prism 7 software. To test for Gaussian distribution, D’Agostino Pearson omnibus or Shapiro–Wilk normality test was applied. Outliers were determined by Grubbs' test (alpha 0.05). After testing homogeneity of variances via F test, Student’s t test was used for normally distributed data with equal variances. For heteroscedastic data, Welch correction was applied. Mann–Whitney U test was performed if normality test failed. Bivariate correlations involving Gpr55 expression were analyzed by Spearman’s rank correlation test, to avoid assumptions on data distribution. All data are shown as mean ± SEM. A 2-tailed p<0.05 was considered statistically significant. Ca2+ assay Ca2+ responses and CD23 surface expression was measured in murine blood after cell stimulation with LPI for 30 s. Briefly, the cells were stained with an antibody cocktail to identify cell subpopulations, washed and then incubated with FLIPR, Calcium 5 Assay Kit (Molecular devices) for 1 h at 37º C. The samples were subsequently measured by flow cytometry to determine the mean fluorescence intensity (MFI) of intracellular Ca2+ or surface CD23 expression, respectively. Confocal/STED imaging of splenic PCs Splenic B cells were isolated from ApoE-/- and ApoE-/-Gpr55-/- mice, seeded into glass-bottom chamber 8-well slides (Ibidi) and differentiated into PCs as described above. The differentiated cells were incubated with mitotracker (Invitrogen) for 30 min at 37º C and afterwards washed, fixed in 2% paraformaldehyde (PFA) for 10 min and permeabilized with 0.1% Triton X-100 in PBS/BSA 1% for 30 min at RT. The slides were subsequently stained with F-actin for 30 min at RT, followed by incubation for 5 min with Hoechst33342 (ThermoFisher Scientific) and embedded with ProLong Diamond Antifade Mountant (ThermoFisher). Digital images were acquired using a three- dimensional CLSM combined with STED (Leica SP8 3X) equipped with a 100xNA1.40 oil immersion objective (Leica). Optical zoom was used where applicable. For fluorescence excitation, a UV laser (405 nm) was used for excitation of Hoechst and a tunable white light laser for selective excitation of other fluorochromes (Alexa488, Alexa594 and Alexa647). Depletion was performed at 592 nm and 775 nm for AlexaFluor488 and AlexaFluor594, respectively. Images were collected in a sequential scanning mode using hybrid diode detectors to maximize the signal collection and reduce the background noise and overlap between the channels. All data were acquired in three dimensions and voxel size was determined according to Nyquist sampling criterion. Image reconstructions were performed using the LAS X software package v.3.0.2 (Leica) and deconvolution was applied in combination with the Huygens Professional software package v.19.10 (Scientific Volume) using the unsupervised CMLE (for CLSM) algorithm. Visualization of 25 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. 3D images is provided as a video showing the merged fluorescent channels from different visual perspectives (Supplemental videos). To this end, 3D rendering was performed using the LAS X 3D software and visual perspective was automatically selected by the software to provide the best visualization. Author contributions R. Guillamat-Prats, D. Hering and M. Rami designed and performed experiments and analyzed and interpreted data under S. Steffens´ supervision. C. Härdtner and I. Hilgendorf designed the B-cell bone marrow transplant experiment, and I. Hilgendorf gave critical input for the entire study design. D. Santovito provided expertise for confocal/STED imaging and statistical analysis. P. Rinne contributed to the histological analysis. L. Bindila performed lipidomic measurements. S. Pagano and N. Vuilleumier determined MDA-oxLDL antibodies in plasma. M. Hristov conducted cell sorting. A. Janjic and W. Enard performed the bulk RNA-sequencing and the clean-up of the obtained data. S. Schmid and L. Maegdefessel determined GPR55 expression in human plaques. A. Faussner guided the Ca2+ assays and provided critical input to the study. C. Weber provided scientific infrastructure and advice for the study design. R. Guillamat-Prats and S. Steffens designed the study and wrote the manuscript. All authors contributed to the final manuscript editing and approved the submitted version. Funding The authors received funds from the Deutsche Forschungsgemeinschaft (STE1053/6-1, STE1053/8-1 to S.S. and SFB1123 to S.S., C.W. and L.M.), the German Ministry of Research and Education (DZHK FKZ 81Z0600205 to S.S.) and the LMU Medical Faculty FöFoLe program (1061 to R.G.P.). I.H. is supported by the DFG (HI1573/2 and CRC1425 #422681845). 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(A-D) Plasma, spleens and aortic roots were collected from ApoE -/- mice at baseline or after 4 and 16 weeks WD to determine (A) lysophosphatidylinositol (LPI) plasma concentrations or (B-C) relative splenic mRNA expression of the gene encoding the LPI-synthesizing enzyme DDHD1 and the LPI receptor GPR55. (D) Splenic Gpr55 mRNA expression values were correlated to the aortic root plaque areas of the same mice. (E) Plaque area per aortic root section of female ApoE -/- and ApoE -/-Gpr55 -/- mice after 4 weeks WD (n=12 per group). The dotted square indicates the sections used for calculating the average plaque area per animal shown in (F). (G) Representative Oil-Red- O stains of aortic roots after 4 weeks WD. (H) Representative pictures of human stable and unstable plaques (FC=fibrous cap, NC=necrotic core, M=media) obtained from the Munich Vascular Biobank. (I) Human GPR55 mRNA expression evaluated by qPCR in stable vs. unstable/ruptured carotid artery plaque corrected by RPLPO used as housekeeping control. Each dot represents one patient from the same Biobank. Mouse data shown in A-F were combined from 3 independent experiments (mean ± SEM; each point represents one animal). Unpaired Student's t-test was used to determine the significant differences *p < 0.05 vs the indicated group. Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. a post-hoc Newman–Keuls multiple-comparison test was used to evaluate the significant differences *p < 0.05, ** p < 0.01, *** p < 0.001 vs the indicated group. a post-hoc Newman–Keuls multiple-comparison test was used to evaluate the significant differences *p < 0.05, ** p < 0.01, *** p < 0.001 vs the indicated group. Figure 3: B cell immunoprofiling of global Gpr55-deficient mice after 4 weeks WD. (A) Splenic B cell subsets quantified by flow cytometry. (B, C) Representative gating strategy and relative proportion of B1 cell subsets. (D, E) Representative gating strategy and relative proportion of B2 cell subsets. (F) Confocal imaging of spleen sections stained for B cell markers PNA (GC, green), IgM (MZ or memory B cells, red), CD23 (FO B cells, pink) and nuclei (blue). (G) Plasma Ig titers and (H) B cell activating factor (BAAF) concentrations after 4 weeks WD. (I) Plasma Ig titers in young 4-week-old mice. (J) Number of splenic T follicular helper (Tfh) cells, (K) circulating plasmablasts and (L) long lived plasma cells (LLPC) in bone marrow assessed by flow cytometry after 4 weeks WD. Data were combined from 2 independent experiments (mean ± SEM; A- G, n=15-16; H- L, n=6-8 per group). Unpaired Student’s t-test was used to determine the significant differences *p < 0.05 and ***p < 0.001 vs ApoE-/-. Figure 2: GPR55 expression and GPR55-dependent Ca2+ responses in murine and human B cells. (A) Gpr55 mRNA expression determined by digital droplet PCR (left) and qPCR (right) in sorted circulating leukocyte subsets. (B) In situ hybridization to detect Gpr55 (red) in splenic GC areas (PNA+, green; nuclei, blue). (C) Representative histogram and (D) average mean fluorescence intensity (MFI) of intracellular Ca2+ sensor for 30 seconds in circulating B cells of ApoE -/- and ApoE -/-Gpr55-/-.mice in response to LPI stimulation. (E) Representative histogram and (F) average MFI of intracellular Ca2+ sensor in human B cells at baseline conditions and after addition of vehicle or LPI. Data were combined from 2 independent experiments (mean ± SEM; each point represents one mouse or human donor, respectively). One-Way-ANOVA followed by 33 Role of B cell GPR55 in atherosclerosis Figure 5: Impact of B cell-specific Gpr55 deficiency on atherosclerotic plaque development Figure 5: Impact of B cell-specific Gpr55 deficiency on atherosclerotic plaque development and B cell responses during hypercholesterolemia. expression and mitochondrial content (A) Volcano plot showing differentially expressed genes (DEGs) in sorted splenic CD19+ cells of ApoE-/- and ApoE-/-Gpr55-/- mice after 4 weeks WD (adjusted p value 0.05, fold change ≥ log2 1.5- fold change). (B) Confirmation by qPCR of the main DEGs in splenic B cells of ApoE-/- and ApoE- /-Gpr55-/- mice after 4 weeks WD. (C) Chord diagram showing the main regulated genes and pathways in splenic B cells, splenic PCs and circulatory plasmablasts, based on RNA-sequencing. (D) Splenic B cell Gpr55 mRNA expression (qPCR) correlated with Fcer2a (CD23 encoding gene) mRNA expression. (E) Splenic B cell Gpr55 mRNA expression (qPCR) correlated with Ptcarpc (LPAP encoding gene) mRNA expression. (F) Mean fluorescence intensity (MFI) of CD23 on splenic B cells measured by flow cytometry after LPI treatment (1 µM). (G) Flow cytometric 34 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. analysis of CD23 MFI on splenic B cells of ApoE-/- and ApoE-/-Gpr55-/- mice after 4 weeks WD. (H) Mitochondrial content of splenic GC B cells. (I) Mitochondrial content of splenic PCs. (J) Mitochondrial content of bone marrow long lived PCs. Bulk RNA-sequencing analysis and qPCR validations (A-E) were performed with sorted cell from n=6 mice per group. Data shown in F-J were combined from 2 independent experiments (mean ± SEM; n=5-7 per group). Unpaired Student’s t-test was used to determine the significant differences *p < 0.05 and ***p < 0.001 vs the ApoE-/- group. and B cell responses during hypercholesterolemia. (A) Experimental design of the bone marrow transplantation to generate mixed bone marrow chimeras with B cell-specific Gpr55 deficiency. Lethally irradiated Ldlr -/- mice received a 50/50 mixture of μMT marrow and Gpr55-/- or WT marrow cells. (B) Following 6 weeks recovery after the bone marrow transplantation, Gpr55 expression was measured by qPCR in sorted blood myeloid cells (Cd11b +), T cells (CD3 +) and B cells (B220 +) to determine the B cell Gpr55 depletion efficiency in Gpr55 -/-/µMT  Ldlr-/- mice. (C) Body weight and (D) total plasma cholesterol concentration after 10 weeks WD. (E) Plaque area in aortic roots of bone marrow chimeric mice after 10 weeks WD. (F) Representative Oil-Red-O stained aortic root sections used for plaque quantification. (G) Splenic B cell subsets assessed by flow cytometry. (H) Plasma Ig titers at the end of the experiment. (I) IgG antibodies against MDA-oxLDL in plasma after 10 weeks WD. Data were obtained in one bone marrow transplantation experiment (mean ± SEM; each point represents one animal; n=6-9). Unpaired Student’s t-test was used to determine the significant differences *p < 0.05 and ***p < 0.001 vs the indicated group 35 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Figure 6: Impact of WT adoptive B cell transfer into global Gpr55-deficient mice on atherosclerotic plaque formation Figure 6: Impact of WT adoptive B cell transfer into global Gpr55-deficient mice on atherosclerotic plaque formation (A) Circulating and (B) splenic leukocyte counts in ApoE-/-Gpr55-/- mice treated with the B cell depletion cocktail or control animals treated with the respective isotype antibodies (n=3 per group). (C) Aortic root plaque size and (D) representative oil red O-stained sections of B cell-depleted ApoE -/- or ApoE -/-Gpr55 -/- mice receiving WT B cell adoptive transfer and subsequent WD feeding for 4 weeks. (E) Total plasma IgG levels after 4 weeks WD. Data were obtained in one experiment (mean ± SEM; n=5-7 per group). Unpaired Student’s t-test was used to determine the significant differences ***p < 0.001 vs indicated group. 36 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Supplementary Figure 1: Impact of global GPR55 deficiency on advanced stage of atherosclerosis. Supplementary Figure 1: Impact of global GPR55 deficiency on advanced stage of atherosclerosis. (A) Plaque area per section and (B) average plaque area (calculated from sections 80-240 µm distance of the aortic root origin) after 16 weeks WD. (C) Plaque area within descending thoraco- abdominal aortas after 16 weeks WD, determined by en face preparations stained with Oil-red-O, and calculated as percentage of plaque per total vessel area. (D) Representative aortic root plaque images stained with Oil-red-O (upper) and Masson staining’s (middle and lower images) for lipid or collagen content, respectively, and quantification of the necrotic core area after 16 weeks WD. (E) Necrotic core and (F) collagen content per total plaque area were calculated on 4 middle aortic root sections per mouse heart. (G) Relative plaque composition of main components in advanced plaques after 16 weeks WD. Data were combined from 3 independent experiments (A-C, n=12- 15 female mice per group and E-G, n=6-8 female mice per group; mean ± SEM). Unpaired Student’s t-test was used to determine the significant differences **p < 0.01 vs the indicated group. Role of B cell GPR55 in atherosclerosis Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. involved in cholesterol metabolism for ApoE -/- vs ApoE -/-Gpr55 -/-after 4 weeks WD. Each column represents one mouse (n= 8-9 per group). (G) Histological liver sections stained with oil-Red-O for lipid droplet quantification (H), calculated per tissue area, after 4 and 16 weeks WD in ApoE -/- vs ApoE -/-Gpr55 -/- mice (n=5-6 mice per group). (I) Circulating leukocyte subsets per ml of blood in ApoE -/- vs ApoE -/-Gpr55 -/- after 4 weeks WD were determined by flow cytometry. (J) Aortic leukocyte subsets in ApoE -/- vs ApoE -/-Gpr55 -/- mice after 4 weeks WD (I-J, n=10-12). (K) Flow Cytometry gating strategy used for identification of aortic leukocyte subsets (L) Aortic mRNA expression of representative key pro- and anti-inflammatory genes in ApoE -/- vs ApoE -/-Gpr55 -/- mice after 4 weeks WD (n=9-10). Data were combined from 2 independent experiments (mean ± SEM; data from female mice are shown). One way-ANOVA followed by post-hoc Newman–Keuls multiple-comparison test was used to evaluate the significant differences *p<0.05, ** p<0.01, ***p<0.001 vs the indicated group. involved in cholesterol metabolism for ApoE -/- vs ApoE -/-Gpr55 -/-after 4 weeks WD. Each column represents one mouse (n= 8-9 per group). (G) Histological liver sections stained with oil-Red-O for lipid droplet quantification (H), calculated per tissue area, after 4 and 16 weeks WD in ApoE -/- vs ApoE -/-Gpr55 -/- mice (n=5-6 mice per group). (I) Circulating leukocyte subsets per ml of blood in ApoE -/- vs ApoE -/-Gpr55 -/- after 4 weeks WD were determined by flow cytometry. (J) Aortic leukocyte subsets in ApoE -/- vs ApoE -/-Gpr55 -/- mice after 4 weeks WD (I-J, n=10-12). (K) Flow Cytometry gating strategy used for identification of aortic leukocyte subsets (L) Aortic mRNA expression of representative key pro- and anti-inflammatory genes in ApoE -/- vs ApoE -/-Gpr55 -/- mice after 4 weeks WD (n=9-10). Data were combined from 2 independent experiments (mean ± SEM; data from female mice are shown). One way-ANOVA followed by post-hoc Newman–Keuls multiple-comparison test was used to evaluate the significant differences *p<0.05, ** p<0.01, ***p<0.001 vs the indicated group. Supplementary Figure 2: Global Gpr55 deficiency leads to increased metabolic dysfunction and inflammation during hypercholesterolemia. (A) Experimental scheme of the WD treatment and color code for ApoE -/- and ApoE -/-Gpr55 -/- groups. (B) Average body weight of ApoE -/- vs ApoE -/-Gpr55 -/- female mice (n=12 for baseline, n=14-18 for 4 and 16 weeks WD) from different experimental end points (baseline, 4 or 16 weeks WD). (C) The body weight gain per mouse was followed for the entire duration of a 16 weeks WD experiment, and calculated as percentage of the starting body weight. (D) Total plasma cholesterol concentrations at baseline, 4 and 16 weeks WD from ApoE -/- and ApoE -/-Gpr55 -/- female mice. (E) Liver cholesterol concentrations, normalized to the total protein content per lysate, in ApoE-/- and ApoE -/-Gpr55 -/- mice at baseline, 4 and 16 weeks WD (D-E, n= 6 for baseline, n=10-12 for 4 and 16 weeks WD). (F) Heatmap showing the relative liver mRNA expression of several genes 37 Supplementary Figure 4: RNA-sequencing of total splenic B cells from ApoE -/- vs ApoE -/- Gpr55 -/- mice. Supplementary Figure 4: RNA-sequencing of total splenic B cells from ApoE -/- vs ApoE -/- Gpr55 -/- mice. (A) Heatmap of the differentially expressed genes between splenic B cells (CD19 +) isolated from ApoE -/- and ApoE -/-Gpr55 -/- mice after for 4 weeks WD (adjusted p value 0.05, fold change ≥ log2 1.5 fold change). (B) Main regulated pathways based on gene ontology (GO) enrichment analysis, bars represent the p value significance; numbers in brackets indicate the number of genes regulated in each pathway. Supplementary Figure 3: Effects of global Gpr55 deficiency in male mice (A) Average body weight of ApoE -/- vs ApoE -/-Gpr55 -/- mice from different experimental end points (baseline, 4 or 16 weeks WD). (B) Total plasma cholesterol concentrations at different time points (Baseline, 4 weeks WD, and 16 weeks WD) from ApoE -/- and ApoE -/-Gpr55 -/- mice. (C) Average plaque area in Oil-red-O-stained aortic root sections (calculated from sections 80-240 µm) after 4 weeks WD in mice. (D) Plasma Ig titers after 4 weeks WD. Data are mean ± SEM; A-D, n= 10-12 male mice per group. For panels A and B, one way-ANOVA followed by post-hoc Newman–Keuls multiple-comparison test was used to evaluate the significant differences *p<0.05, ***p<0.001 vs the indicated group. In panel C and D, unpaired Student’s t-test was used to determine the significant differences **p < 0.01 vs ApoE -/-. 38 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Supplementary Figure 5: Plasma B cell differentiation and characterization (A, B) In vitro differentiation of splenic B cells into PCs alone or in presence of GPR55 ligand LPI or GPR55 antagonist CID16020046. After 7 days, PCs were quantified by flow cytometry gating for CD45+CD11b-CD19+CD138+ cells. (B) Mitochondrial content of differentiated PCs was determined by flow cytometry using Mitotracker, data are expressed as MFI (each dot represents a separate ApoE-/- mouse used for B cell in vitro differentiation). (C) Representative confocal/STED images of differentiated PC from an ApoE -/- or ApoE -/-Gpr55 -/- stained with Mitotracker (mitochondria, green), F-actin (red) and nuclei (blue). One way-ANOVA followed by post-hoc Newman–Keuls multiple-comparison test was used to evaluate the significant differences *p<0.05, ** p<0.01, ***p<0.001 vs the indicated group. 39 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Supplementary Table 1: antibodies used for flow cytometry and immunofluorescence Supplementary Table 1: antibodies used for flow cytometry and immunofluorescence ntary Table 1: antibodies used for flow cytometry and immunofluorescence Supplementary Table 1: antibodies used for flow cytometry and immunofluor Supplementary Table 1: antibodies used for flow cytometry and immunofl Antibody Fluorochrome Company Reference CD3 FITC BD 555274 CD3 PE BD 555275 CD3 PercpCy5 Invitrogen 4341614 CD3 PB Biolegend 100214 CD4 FITC BD 553650 CD4 APC-H7 BD 560181 CD4 PercpCy5 BD 553052 CD5 FITC BioLegend 100605 CD5 APC BioLegend 100626 CD8a PE BD 553032 CD8a PE-Cy7 eBioscience 25-0081-81 CD11b PerCP BioLegend 101230 CD11b PB BioLegend 101223 CD11b AF700 BioLegend 101222 CD11b PEDazzle BioLegend 101256 CD16/32 APC-Cy7 BioLegend 101327 CD19 PE eBioscience 12-0193-82 CD19 FITC Biolegend 152404 CD19 PE-Dazzle594 Biolegend 115554 CD23 PE BioLegend 101608 CD23 AF700 Biolegend 101631 CD24 APC BioLegend 101814 CD25 BV510 BioLegend 101831 CD38 PE Cy7 BioLegend 102717 CD38 PercpCy5 BioLegend 102721 CD45.1 FITC eBioscience 11-0453-82 CD45.2 APC BD 561875/558702 CD45.2 BV510 Biolegend 109837 CD45.2 BV711 Biolegend 109847 CD45R/B220 PE BD 553089 40 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. CD45R/B220 PB Biolgend 103230 CD45R/B220 BUV395 BD Horizon 563793 CD45R/B220 BV510 Biolegend 103247 CD115 PE Biolegend 135505 CD115 APC eBioscience 17-1152-82 CD127 (IL-7Rα) PE-Dazzle594 Biolegend 135032 CD138 AlexaFluor647 BioLegend 142525 CD138 PE-Dazzle594 BioLegend 142527 CXCR5 (CD185) PE Biolegend 145513 CCR6 (CD196) PercpCy5 BioLegend 129809 F4/80 PE BioLegend 123110 IgM PE/Cy7 BioLegend 406514 IgM AlexaFlour647 BioLegend 406525 IgD BV605 BioLegend 405727 Ly6C FITC BD 553104 Ly6C PE-Cy7 BD 560593 Ly6C BV421 Biolegend 128031 Ly6G FITC Biolegend 127605 Ly6G APC/Cy7 Biolegend 127623 Ly6G BUV395 BD Horizont 563978 PNA FITC Vector FL-1071 yd TCR APC Biolegend 17-5711 41 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Supplementary Table 1: antibodies used for flow cytometry and immunofluorescence Supplementary Table 2: TaqMan Gene Expression Assays used for real time PCR Gene Reference Bach2 Mm00464379_m1 Bcl6 Mm00477633_m1 Cd36 Mm01135198_m1 Ddhd1 Mm00616337_m1 Fcer2 Mm00442792_m1 Gapdh Mm99999915_g1 Gpr55 Mm02621622_s1 Ifnγ Mm01168134_m1 Inos Mm00440502_m1 Il1β Mm00434228_m1 Il6 Mm00446190_m1 Il10 Mm01288386_m1 Irf4 Mm00516431_m1 Hprt Mm03024075_m1 Pax5 Mm0043550_m1 Pdia4 Mm00437958_m1 Prdm1 Mm00476128_m1 Ptcarp Mm01236556_m1 Srb1 Mm00450234_m1 Tgfβ1 Mm01178820_m1 Tnfα Mm00443258_m1 Xbp1 Mm00457357_m1 Zbtb20 Mm00457764_m1 Supplementary Table 2: TaqMan Gene Expression Assays used for real time PCR Gene Reference Bach2 Mm00464379_m1 Bcl6 Mm00477633_m1 Cd36 Mm01135198_m1 Ddhd1 Mm00616337_m1 Fcer2 Mm00442792_m1 Gapdh Mm99999915_g1 Gpr55 Mm02621622_s1 Ifnγ Mm01168134_m1 Inos Mm00440502_m1 Il1β Mm00434228_m1 Il6 Mm00446190_m1 Il10 Mm01288386_m1 Irf4 Mm00516431_m1 Hprt Mm03024075_m1 Pax5 Mm0043550_m1 Pdia4 Mm00437958_m1 Prdm1 Mm00476128_m1 Ptcarp Mm01236556_m1 Srb1 Mm00450234_m1 Tgfβ1 Mm01178820_m1 Tnfα Mm00443258_m1 Xbp1 Mm00457357_m1 Zbtb20 Mm00457764_m1 Supplementary Table 2: TaqMan Gene Expression Assays used for real time PCR Supplementary Table 2: TaqMan Gene Expression Assays used for real time PCR Supplementary Table 2: TaqMan Gene Expression Assays used for real time PCR Supplementary Table 2: TaqMan Gene Expression Assays used for real time PCR ementary Table 2: TaqMan Gene Expression Assays used for real time PCR Gene Reference Bach2 Mm00464379_m1 Bcl6 Mm00477633_m1 Cd36 Mm01135198_m1 Ddhd1 Mm00616337_m1 Fcer2 Mm00442792_m1 Gapdh Mm99999915_g1 Gpr55 Mm02621622_s1 Ifnγ Mm01168134_m1 Inos Mm00440502_m1 Il1β Mm00434228_m1 Il6 Mm00446190_m1 Il10 Mm01288386_m1 Irf4 Mm00516431_m1 Hprt Mm03024075_m1 Pax5 Mm0043550_m1 Pdia4 Mm00437958_m1 Prdm1 Mm00476128_m1 Ptcarp Mm01236556_m1 Srb1 Mm00450234_m1 Tgfβ1 Mm01178820_m1 Tnfα Mm00443258_m1 Xbp1 Mm00457357_m1 Zbtb20 Mm00457764_m1 42 Guillamat-Prats et al. Role of B cell GPR55 in atherosclerosis Supplementary Table 3: Digital droplet PCR primers and probes (Integrated Data Technologies) Gene Forward Reverse Probe Hprt 5’GACCGGTCCCGT CATGC3’ 5’TCATAACCTGGT TCATCATCGC3’ 5’HEX-ACCCG*CAGT/ZEN/ CCCAGCGTCGTG-3’IABkFQ Gpr55 5’GTCCATATCCC CACCTTCCT3’ 5’CATCTTGAATGG GAGGGAGA3’ 5’6-FAM-TCTCAACCT/ZEN/ ACTGGCCATCC-3’IABkFQ Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Supplementary Table 3: Digital droplet PCR primers and probes (Integrated Data Technologies) Gene Forward Reverse Probe Hprt 5’GACCGGTCCCGT CATGC3’ 5’TCATAACCTGGT TCATCATCGC3’ 5’HEX-ACCCG*CAGT/ZEN/ CCCAGCGTCGTG-3’IABkFQ Gpr55 5’GTCCATATCCC CACCTTCCT3’ 5’CATCTTGAATGG GAGGGAGA3’ 5’6-FAM-TCTCAACCT/ZEN/ ACTGGCCATCC-3’IABkFQ Supplementary Table 3: Digital droplet PCR primers and probes (Integrated Data Technologies) Supplementary Table 4: Patient characteristics Stable plaque Unstable/ruptured plaque Number of patients 8 8 Age (median) 73 78 BMI (median) 26.2 26.4 Diabetes mellitus (absolute numbers) 2/8 1/8 Sex 2 female / 6 male 3 female / 5 male Arterial hypertension (absolute numbers) 6/8 6/8 Coronary artery disease (absolute numbers) 4/4 4/4 Hyperlipidemia (absolute numbers) 6/8 7/8 Smoking 5/8 5/8 Symptomatic (stroke, TIA, amaurosis fugax; absolute numbers) 3/8 2/8 Supplementary Table 4: Patient characteristics 43 Figure 1 Figure 2 Figure 3 Figure 3 Figure 4 Figure 4 Figure 6 Supplementary Figure 1 Supplementary Figure 1 ry Supplementary Figure 2 Supplementary Files This is a list of supplementary ¦les associated with this preprint. Click to download. Wildtypeplasmacell.mp4 GPR55KOplasmacell.mp4
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Codévelopper des stratégies pour réduire l’utilisation des antibiotiques : le cas des élevages de poulets au Viêt Nam. Santé publique et épidémiologie. Université de Montpellier, 2023. Français. &#x27E8;NNT : 2023UMONG002&#x27E9;. &#x27E8;tel-04299443&#x27E9;
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Categories that are over-represented within each group figure in bold and under Variables KNOWLEDGE AB definition Correct Partially correct Incorrect Source of training Public Private Both No training Record information on treatment Yes No USAGE Reason Treatment Treatment and prevention Growth promotion AB in the feed Yes No ADVICE First source of advice Company Drugstore Local veterinarian Own experience Second source of advice Company Drugstore Local veterinarian Other farmers Own experience No PRACTICES Source of AB Company Retailers Drug cost <3% 3-5% 5-10% >10% Don’t know Dosage More Follow advice Less Duration More Follow advice Less AB farms Group 1 (n=25) (n=111) Group 2 (n=57) 6 (5.4%) 66 (59.5%) 39 (35.1%) 1 (4.0%) 14 (56.0%) 10 (40.0%) 4 (7.0%) 28 (49.1%) 25 (43.9%) 10 (9.0%) 38 (34.2%) 10 (9.0%) 53 (47.8%) 0 (0.0%) 10 (40.0%) 4 (16.0%) 11 (44.0%) 1 (1.8%) 22 (38.6%) 5 (8.8%) 29 (50.9%) ** * 9 (31.0%) 6 (20.7%) 1 (3.4%) 13 (44.8%) 29 (26.1%) 82 (73.9%) 18 (72.0%) 7 (28.0%) *** *** 2 (3.5%) 55 (96.5%) *** *** 9 (31.0%) 20 (69.0%) 52 (46.9%) 7 (28.0%) * 40 (70.2%) *** 5 (17.2%) *** 59 (53.1%) 18 (72.0%) * 17 (29.8%) *** 24 (82.8%) *** 0 (0.0%) 0 (0.0%) 0 (0.0%) 12 (10.8%) 99 (89.2%) 2 (8.0%) 23 (92.0%) 3 (5.3%) 54 (95.7%) 7 (24.1%) 22 (75.9%) * * 27 (24.3%) 34 (30.6%) 15 (13.5%) 35 (31.5%) 23 (92.0%) 1 (4.0%) 0 (0.0%) 1 (4.0%) *** *** * *** 3 (5.3%) 28 (49.1%) 14 (24.6%) 12 (21.1%) 1 (3.4%) 5 (17.2%) 1 (3.4%) 22 (75.9%) ** 14 (12.6%) 16 (14.4%) 7 (6.3%) 9 (8.1%) 11 (9.9%) 54 (48.6%) 6 (24.0%) 1 (4.0%) 1 (4.0%) 0 (0.0%) 0 (0.0%) No * * 5 (8.8%) 2 (3.5%) 14 (24.6%) 5 .8%) 12 (21.1%) 35 (61.4%) 21 (18.9%) 90 (81.1%) 20 (80.0%) 5 (20.0%) *** *** 15 (13.5%) 11 (9.9%) 30 (27.0%) 18 (16.2%) 37 (33.3%) Group 3 (n=29) * *** *** *** * 1 (3.4%) 24 (82.8%) 4 (13.8%) ** ** *** *** ** 3 (10.3%) 13 (44.8%) 2 (6.9%) 4 (13.8%) 5 (17.2%) 2 (6.9%) 0 (0.0%) 57 (100.0%) *** *** 1 (3.4%) 28 (96.5%) ** ** 2 (8.0%) 1 (4.0%) 7 (28.0%) 5 (20.0%) 10 (40.0%) 12 (21.1%) 8 (14.0%) 4 (7.0%) 8 (14.0%) 25 (43.9%) * 1 (3.4%) 2 (6.9%) 19 (65.5%) 5 (17.2%) 2 (6.9%) *** 27 (24.3%) 79 (70.3%) 6 (5.4%) 2 (8.0%) 20 (80.0%) 3 (12.0%) 5 (8.8%) 51 (89.5%) 1 (1.8%) *** *** 9 (8.1%) 83 (74.8%) 5 (4.5%) 0 (0.0%) 21 (84.0%) 0 (0.0%) 3 (5.3%) 48 (84.2%) 0 (0.0%) *** *** * * * *** *** *** 20 (69.0%) 7 (24.1%) 2 (6.9%) *** *** 6 (20.7%) 14 (48.3%) 5 (17.2%) * *** *** 90 Chapitre 2 Until recover Administer all chickens Yes No Measure not cured Ask for advice Cull Change AB Don’t have the case Withdrawal time Veterinarian or product instruction Own experience Don’t know Leftover Keep Throw away No leftover SUPPLEMENTARY VARIABLES Farm type Backyard Semi-intensive Intensive family Contract ClusterTypo A B C 14 (12.6%) 4 (16.0%) 6 (10.5%) 4 (13.8%) 89 (80.2%) 22 (19.8%) 19 (76.0%) 6 (24.0%) 43 (75.4%) 14 (24.6%) 27 (93.1%) 2 (6.9%) * * 21 (18.9%) 5 (4,5%) 79 (71.2%) 6 (5.4%) 4 (16.0%) 1 (4.0%) 19 (76.0%) 1 (4.0%) 7 (12.3%) 2 (3.5%) 43 (75.4%) 5 (8.8%) 10 (34.5%) 2 (6.9%) 17 (58.6%) 0 (0.0%) * 15 (13.5%) 10 (40.0%) *** 2 (3.5%) 81 (73.0%) 15 (13.5%) 11 (44.0%) 4 (16.0%) *** 45 (79.0%) 10 (17.5%) 25 (86.2%) 1 (3.4%) 38 (34.2%) 13 (11.7%) 60 (54.0%) 4 (16.0%) 2 (8.0%) 19 (76.0%) * * 16 (28.1%) 5 (8.8%) 36 (63.2%) 18 (62.1%) 6 (20.7%) 5 (17.2%) 22 (19.8%) 28 (25.2%) 37 (33.3%) 24 (21.6%) 0 (0.0%) 2 (8.0%) 3 (12.0%) 20 (80.0%) ** * ** *** 18 (31.6%) 17 (29.8%) 19 (33.3%) 3 (5.3%) ** 26 (23.4%) 68 (61.3%) 17 (15.3%) 22 (88.0%) 3 (12.0%) 0 (0.0%) *** *** ** 3 (5.3%) 40 (70.2%) 14 (24.6%) *** * *** ** 3 (10.3%) 4 (13.8%) 9 (31.0%) 15 (51.7%) 1 (3.4%) 1 (3.4%) 25 (86.2%) 3 (10.3%) *** *** * ** ** We then tested the association between the pattern of ABU and the farming practice variables including socio-demographic variables. Chapitre 2 Table 3. Association between categories of farming practice variables and the three ABU patterns that are statistically (p < 0.05) significant. Group Category of farming practices 1 variable DOC/pullet supplier_chicken company Technical Record_Yes Employees_Yes Protocol of biosecurity_Yes p.value Breed_foreign Automatic water_Yes Entering in the farm_ vet and staff only Investment source_company Housing_inside Deworming_No Hire land_Yes Age_<30 3.4x10-9 1.8x10-8 6.1x10-7 Main activity_poultry Scavenging feed_No Cereals feed_No Anticoccidial drugs_No Income from poultry activity_don’t know Start working on the farm_<5 Education_College/higher Productive crop_No 2.6x10-4 4.7x10-4 6.6x10-4 8.0x10-4 Pest control_Yes 9.9x10-3 Fallowing period_2 weeks Borrow money_No 1.0x10-2 2.0x10-2 1.1 x10-12 3.2x10-12 1.9x10-10 6.0x10-10 2.4x1-6 5.6x10-6 6.3x10-5 1.7x10-4 1.7x10-4 3.2x10-3 4.3x10-3 5.6x10-3 7.7x10-3 Feed cost_51-65% 2.1x10-2 Experience of farming_<5 2.2x10-2 Income from poultry activity_76100% 2.9x10-2 Other animals_Yes 4x10-2 Give an alternative to sick 5.0x10-2 animals_vitamins electrolytes or probiotics Group Category of farming practices 2 variable p.value Technical record_No Automatic water_No Province_Hanoi Protocol of biosecurity_No Income from poultry activity_<25% Pest control_No Employees_No 4.6x10-8 1.4x10-6 3.2x10-6 3.9x10-5 Hire land_No Education_secondaryschool Cereals_Yes Productive crop_Yes Main activity_agriculture Entering in the farm_different visitors Main outlet_own consumption Chicken breed_cross breed Fallowing tim_<2 weeks 7.2x10-4 8.1x10-4 1.1x10-3 2.0x10-3 4.9x10-3 Family worker_Yes Investment source_own money Deworming_Yes Main outlet_direct selling DOC/pullet supplier_trader/market Investment source_own money and bank 3.1x10-2 3.3x10-2 3.9x10-2 4.0x10-2 2.1x10-4 4.5x10-4 6.7x10-4 5.4x10-3 7.8x10-3 2.3x10-2 2.7x10-2 4.0x10-2 x10-2 Group Category of farming practices 3 variable p.value Province_Long An Main outlet_middle men 5.2x10-8 2.9x10-6 Feed cost_65-80% Breed_local Employee_No Scavenging feed_Yes Alternative product in feed_probiotic Vitamin electrolyte detox Anticoccidial drugs_Yes Housing_in and out 3.3x10-4 1.6x10-3 1.7x10-3 1.2x10-2 1.4x10-2 2.1x10-2 3.6x10-2 92 Chapitre 2 4. Discussion In this study, we identified three chicken production systems associated with three different ABU patterns. This exploratory approach allowed us to anticipate an ABU pattern based on the production system adopted by the farms in northern and southern Vietnam. The relationship between the production system and ABU in Vietnam has been explored before (Kim et al., 2013; Luu et al., 2021). But to our knowledge, this is the first study to explore the association between farming practices (as a group or by individual variables) and patterns (which group several variables associated with each other) of ABU in northern and southern Vietnam. From the multivariate analysis, we identified three contrasting chicken production systems. Group A represents a very distinct group of contract farms comprising of a vertical integration by foreign multinationals (Duc and Long, 2008). The company provides all supplies to the integrated farm including AB and sells the meat and eggs to supermarkets or catering facilities. Group B consists of family commercial farms that have developed a market-oriented production of hundreds to thousands of hybrid chickens, sold on the local market, raised in a semi-confined system and fed with commercial feed. Group C is made of backyard farms characterised by a few dozen local breed chickens raised in an extensive system for the household’s own consumption. Our results are in line with those found in the literature (Burgos et al., 2007; Delabouglise, 2015; Desvaux et al., 2008b; Duc and Long, 2008). It is noteworthy that the respondents from the semi-structured interviews divided group B into two production systems: intensive and semi-intensive family commercial farms. The combination of these two groups into a single group suggested that they shared similar characteristics and that intensification is not necessarily synonymous with industrialisation (Robinson et al., 2011). The use of antibiotics for preventive purposes in livestock production is common in Vietnam (CarriqueMas et al., 2015; Luu et al., 2021; Truong et al., 2019) and was, in the present study, found to be associated with contract and commercial farms (group A and B). The AB misuses (improper dosage, no professional advice) of group 3 were found to be associated with the family and commercially oriented production system (group B) that use more antibiotics than backyard farms (group C). Our findings are concordant with previous results that have shown that intensive farms use higher levels of antibiotics than backyard (Luu et al., 2021). Farmers who consume their own products tend to use fewer antibiotics for prevention (Kim et al., 2013) than commercially oriented systems. In our study, no farmers reported the use of antibiotics as growth promoters, which was also found in other studies conducted after the implementation of the law (Luu et al., 2021; Pham-Duc et al., 2019) compared to previous studies (Kim et al., 2013). As using AB for growth promotion and prevention may be difficult to distinguish and may be under reported by farmers (Coyne et al., 2020a), these results should be taken with caution. From semi-structured interviews, the addition of AB for growth promotions is still reported by respondents and more than half of the farmers (53,1%) reported using AB for both treatment and prevention. Eleven farms reported mixing AB into the feed and 10 used it after the 21 days allowed by the government (Government of the Socialist Republic of Vietnam, 2020). These practices are associated with the group B. With a total ban of AB in feed for prophylaxis purposes planned for 2025, there is an urgent need to raise awareness among farmers and specifically target commercial family farmers. Chapitre 2 Group C was associated with a pattern of ABU where farmers comply with the dosage instructions provided by retailers and better ABU (group 2), while group B was associated with a pattern where farmers do not follow the recommended dosage and use higher amounts of antibiotics (group 3). Another study reported that semi-industrial farms (that shared common characteristics with group B) have higher compliance with dosage than backyard (related to group C) (Luu et al., 2021). Our findings can be explained because group B is a large group that might include some farms that lie at the limit between backyard and family commercial farms. Increasing the biosecurity protocol of commercial farm could be a way to reduce the usage of antibiotic in commercial farm. In group A, the antimicrobial-decisionmaking system is driven by the company’s orientation. When facing to a disease, farmers must call the veterinarian or the technician of the company, that will decide to give AB or not. Farmers also have a precise husbandry protocol with the vaccination and AB (in prevention) schedule. Targeting these companies is therefore an approach that can help to reduce ABU in integrated farms. We identified an association between the ABU pattern of group 2 with Long An province and of group 3 with Hanoi province. This difference between provinces can be explained by the fact that data collection was conducted by two different teams using different tools (paper version and tablet). However, no differences were identified between provinces regarding the typology of farming practices. We can hypothesise that the higher dosages of antibiotic observed in Long An province can be explained by a lower quality of the drug, as it has been found in the Mekong delta in south Vietnam (Yen et al., 2019a). There is also a greater weather variation in the north which was associated with seasonal variation of outbreaks of highly pathogenic avian influenza while it was not the case in the south (Delabouglise et al., 2017). It has also been shown that the higher proportion of large-scale farms in the south was associated with the presence of more drugstores (Delabouglise, 2015). However, those differences don’t correspond to our findings. It suggests that other factors could have an impact on the antibiotic usage such as political factors in relation with the organisation of the Vietnamese government. The high proportion of farmers using antibiotics on the basis of their own experience has been widely documented in Vietnam (Kim et al., 2013; Pham-Duc et al., 2019; Truong et al., 2019). This practise is facilitated by the availability of cheap drugs (Carrique-Mas et al., 2019) over the counter (Carrique-Mas et al., 2015) as in other countries in Southeast Asia (Lekagul et al., 2020; Om and McLaws, 2016) and in the human health sector (McKinn et al., 2021). Drugstores have already been shown to be the main source of advice and supply for small-scale farms (Phu et al., 2019). But advice must progress towards more prudent ABU to efficiently reduce ABU. Drugstores must also to be included in the process of reducing antibiotic usage in Vietnam by improving their awareness and knowledge. Indeed, a three-year intervention study has demonstrated that providing professional advice to farmers on small-scale farms leads to a reduction in ABU (Phu et al., 2021). Currently, there is no surveillance system for ABU and ABR in Vietnam, developing it, is one of the objectives of the NAP. As experienced in a recent study, AB monitoring at drugstores level is a way to develop ABU surveillance in Vietnam (Le Thi Thu et al., 2021). The new circular on prevention may also be a way of surveillance but further studies on the level of compliance of drug sellers in issuing prescriptions should be conducted. Our study presents some limitations. As antibiotic usage can be a sensitive subject, especially when farmers do not comply with recommendations or regulations, answers related to the misuse or overuse of antibiotics may be biased. Moreover, a misunderstanding of the definition of antibiotics can also lead to erroneous answers. We limited this bias by adding farm observations and an explanation of the definition of antibiotics. Chapitre 2 5. Conclusions This study showed different ABU across various chicken production systems in Vietnam, suggesting that the ABU pattern can be associated with socio-economic and technical factors. Considering the urgency to reduce and improve ABU in Vietnam, the findings from this study may contribute to developing targeted communication strategies. In the context of the implementation of new legislation, this study can provide evidence of antibiotic usage practices that are necessary to develop targeted interventions to increase the compliance of farmers in reducing their antibiotic use. Family commercial farms should be targeted to emphasise the need to seek professional advice, which is associated with better ABU. The other target population could be drugstores, private veterinary practitioners or corporate veterinarians that provide direct advice to farmers and could act as information relays and provide leverage to foster better ABU on chicken farms in Vietnam. Data statement Dataset and script used to produce the analysis and figures of this publication are available at: https://github.com/loire/AMU_ChloeBatie2022. Acknowledgments We are grateful to all the participants of the study. We thank the staff of the province of Hanoi and Long An for their support for the sampling of the farms. We also thank Thi Le Quyen and Nguyen Cong Dinh from the National Institute of Animal Sciences (NIAS) for the data collection in Hanoi province and Nguyen Thi Kieu Trinh and Nguyen Thi Phuong Trang from Nong Lam University (NLU) for the data collection in Long An province and Marion Bordier for her help to conduct the semi-structured interviews in Hanoi. We also thank Anita Saxena for the professional English proof reading. This study is part of the ROADMAP (Rethinking of Antimicrobial Decision-Systems in the Management of Animal Production) project and has received funding from the European Union’s Horizon 2020 research and innovation program under Grant Agreement No. 817626. This work was also funded in part by the GREASE platform in partnership (www. grease-network.org). We would also like to thank the InterRisk Program at Kasetsart University (Bangkok) for providing the scholarship of Dr Hà Thi Thu Le. Preliminary results were presented at the One Health Antimicrobial Stewardship Conference, online, 10–11 March 2021, as a pre-recorded video presentation and at the SVEPM Conference, online, 24–26 March 2021 as a poster presentation. Chapitre 2 Implication pour le travail de recherche Cette étude nous a permis de confirmer les résultats obtenus lors de l’étude exploratoire ainsi que de compléter la caractérisation des systèmes de production de poulets. Notre étude confirme ainsi que l’utilisation d’approches participatives et statistiques sont des méthodes complémentaires pour évaluer l’hétérogénéité des systèmes de production de poulets au Viêt Nam. La typologie à dire d’expert nous est apparu comme une étape nécessaire pour sélectionner les variables actives et supplémentaires lors de l’analyse factorielle. De plus, cela permet de valider la typologie obtenue statistiquement et d’obtenir une classification ayant du sens selon une perspective locale (Kuivanen et al., 2016). Ainsi, suite à l’analyse multifactorielle, trois systèmes de productions semblables à ceux déterminés dans le chapitre 1 ont été identifiés. Ces systèmes de production ont été décrits selon des facteurs socioéconomiques, techniques, de gestion de la santé et de leur utilisation des antibiotiques. Notre étude a montré une association entre utilisation des antibiotiques et système d’élevage montrant une influence des facteurs techniques, sociaux et économiques sur l’utilisation des antibiotiques. Le processus de décision d’utiliser des antibiotiques est ainsi fortement lié au système auquel l’éleveur appartient. Ainsi dans le cas des élevages intégrées, décisions semblent être prises par la compagnie intégratrice. Les élevages familiaux commerciaux utilisent des antibiotiques selon leur propre expérience. Les élevages de basse-cour utilisent des antibiotiques selon les recommandations des vendeur·ses de médicaments. Cette étude montre ainsi la nécessité d’aborder la question de l’UAB selon les systèmes de production. Notre étude montre aussi le lien entre la chaine de production de poulets et la chaine de distribution du médicament vétérinaire. Celle-ci a été partiellement présentée lors du chapitre 1 mais nécessite d’être complétée. De plus, l’étude exploratoire a révélé la mise en place de nouvelles réglementations dans le cadre d’adoption du plan d’action national 2017-2021 modifiant les conditions d’utilisation des antibiotiques mais aussi de vente. On peut donc ainsi se demander comment la chaine de distribution du médicament vétérinaire est organisée et quels sont les facteurs influençant la mise en œuvre de ces nouvelles réglementations. Chapitre 3 Chapitre 3 : Etude de la mise en œuvre de réglementations pour réduire l’utilisation des antibiotiques Préambule chapitre 3 Lors de l’étude exploratoire nous avions identifié diverses stratégies pour diminuer l’utilisation d’antibiotiques. La mise en place de nouvelles réglementations via l’adoption du plan d’action national de lutte contre la RAB par le gouvernement a ainsi été citée plusieurs fois. Ces réglementations doivent permettre la réduction de l’utilisation des AB, mais selon les expert·es interrogé·es, elles seraient difficilement applicables en raison de certains facteurs culturels et socio-économiques. Afin de mieux comprendre ces facteurs nous avons réalisé une cartographie et une analyse des parties prenantes de la chaine de distribution du médicament vétérinaire, incluant les antibiotiques et les additifs alimentaires alternatifs (AAA). Grace à ce travail nous avons pu détailler comment la chaine de distribution du médicament vétérinaire est organisée, comprendre la position des parties prenantes de cette chaine vis-à-vis des réglementations, identifier les facteurs qui influencent la mise en œuvre de celles-ci. Et finalement, nous avons pu décrire comment les nouvelles réglementations sont comprises, acceptées, appliquées par les parties prenantes de cette chaine. La principale réglementation entourant le médicament vétérinaire au Vietnam est la loi sur la médecine vétérinaire ou la loi sur la santé animale (National Assembly, 2015). Cette loi promulguée en 2015 définit le médicament vétérinaire, ainsi que les conditions d’importation, de production, de distribution, de vente et de prescription. Cette loi a ensuite été complétée par des décrets et circulaires pour en spécifier les conditions d’application. Une autre loi d’importance concerne la loi sur l’élevage promulguée en 2018 (National Assembly, 2018). En effet, dans l’article 12, il est énoncé l’interdiction d’utiliser des antibiotiques en tant que promoteurs de croissance dans l’alimentation. Cette loi a été complétée par un décret publié en 2020, visant à interdire progressivement l’utilisation des antibiotiques dans l’alimentation à usage prophylactique (Government of the Socialist Republic of Vietnam, 2020). Enfin, une autre régulation majeure a été publiée en 2020 également, afin de rendre obligatoire les prescriptions sur la vente des antibiotiques (MARD, 2020). En effet, les conditions de prescriptions étaient détaillées dans la loi sur la médecine vétérinaire mais les conditions n’étaient pas clairement définies comme cela a été soulevée dans un rapport visant à répertorier et analyser les différentes réglementations entourant le médicament vétérinaire au Viêt Nam. Les autres manquements soulevés par le rapport incluaient entre autres le manque de contrôle de l’alimentation par le gouvernement. Les recommandations de ce rapport étaient aussi de faire une mise à jour des lois et régulations, d’améliorer la coopération entre les acteurs, et de renforcer l’application des régulations (Nguyen Ngoc et al., 2019). Le manque d’application des réglementations a également été pointé du doigt dans différents rapports incluant la sécurité alimentaire (Stark-Ewing, ). Le tableau récapitulatif non exhaustif de ces réglementations est présenté en annexe 4 et une version chronologique simplifiée des principaux textes déjà présentés en introduction. Dans la suite de ce chapitre, nous avons décidé de nous focaliser sur le décret 13/2020/ND-CD promulgué en 2020 portant sur l’interdiction progressive d’utilisation des antibiotiques dans l’alimentation à des fins prophylactiques d’ici 2025 et sur la circulaire 12-2020-TT-BNNPTNT 97 Chapitre 3 promulgué également en 2020 sur l’obligation progressive pour tous les élevages d’avoir une ordonnance basée sur un examen clinique ou des tests diagnostiques d’ici 2025. Les personnes qualifiées pour établir une ordonnance sont celles autorisées à effectuer des examens médicaux, des traitements et des opérations chirurgicales sur les animaux et les vétérinaires ou titulaires d’un diplôme universitaire en médecine vétérinaire ou vétérinaire-élevages et titulaire d’un certificat de pratique. Nous justifions ce choix par la mise en place récente de ces réglementations et de l’intérêt qu’elles offrent en matière de lutte contre la résistance aux antibiotiques. Le matériel supplémentaire de l’article 3 est présenté en annexe 5. Un résumé pratique a aussi été réalisé dans le cadre du projet ROADMAP et est disponible en annexe 6. 98 Chapitre 3 Article 3. Analyse cartographique des parties prenantes de la chaine de distribution du médicament vétérinaire Les résultats de ce travail sont en cours de révision dans la revue BMC Public Health Understanding antimicrobial resistance policies implementation in Vietnam: a multilayer analysis of the veterinary drug value chain Chlo é B âtie1* , Nguyen Van Duy2, Nguyen Thi Minh Khue3, Marisa Peyre1, Marion Bordier1,4,5, Nguyen Thi Dien3, Vu Dinh Ton2, Flavie Goutard1,6,7,8 1 ASTRE, CIRAD, INRAE, Univ. Montpellier, Montpellier, France, Centre for Interdisciplinary Research on Rural Development, Vietnam National University of Agriculture, Hanoi, Vietnam, 3 Faculty of Social Sciences, Vietnam National University of Agriculture, Hanoi, Vietnam, 4 CIRAD, UMR ASTRE, Dakar, Senegal 5 Senegalese Agricultural Research Institute, Dakar, Senegal 6 CIRAD, UMR ASTRE, Hanoi, Vietnam, 7 National Institute of Animal Science, Hanoi, Vietnam, 8 National Institute of Veterinary Sciences, Hanoi, Vietnam * : corresponding author 2 Abstract Background: Reducing antibiotic use in livestock production has been the target of national action plans worldwide. The Vietnamese plan implemented in 2017 aimed, among others, to strengthen the regulatory network. While a progressive ban of prophylactic antibiotics in feed and the introduction of mandatory prescription have been introduced, the level of implementation remains unknown. This study explores the understanding, acceptance, and application of these regulations among veterinary drug value chain stakeholders and issues recommendations for enhanced implementation. Methods: An iterative stakeholder mapping and analysis of the veterinary drug value chain was conducted in north and south Vietnam. We organized one focus group discussion in Hanoi with 12 participants and conducted 39 semi-structured interviews with governmental authorities, national research centers, foreign partners, and private stakeholders (from importers to users). The discourses were analyzed to (1) map the veterinary drug value chain and interactions among stakeholders, (2) analyze stakeholder posture regarding regulations and (3) identify factors influencing their implementation. 99 Chapitre 3 Results: From the map of the veterinary drug value chain, we identified 30 categories of stakeholders who expressed different postures on the regulations. Based on the map, the posture, and the analysis of the discourse, we identified 10 factors that could influence their implementation. These factors included stakeholder’s perception of the new regulations, gap in knowledge, lack of technical guidance, conflict of economic interest between stakeholders, scale-related management discrepancies, lack of technical and financial capacities to implement the regulations, the presence of an informal distribution channel, international influence, consumer demand for food safety, and the willingness to reduce the burden of antibiotic resistance. Conclusions: It was clearly identified that new regulations are a necessary step to reducing antibiotic usage in Vietnam, but that the lack of local stakeholder involvement combined with technical constraints were barriers to their implementation. The major levers for implementation were identified as working with drug sellers, stricter punishment, and a transition from family production systems to intensive production. Local stakeholders, especially drug sellers, must be more involved in the development of regulations. Small producers, however, have developed innovations that should be mainstreamed. Keywords: Antibiotic resistance, Livestock production, Stakeholder analysis, Regulations, Participatory Approaches 1. Introduction A reduction in antibiotic (AB) usage in human, animal, and environmental sectors is urgently needed worldwide to ensure access to treatment and prevent unnecessary deaths due to antibiotic resistance (ABR) (O’Neill, 2016). This is a complex issue that must be addressed from a One Health perspective (McEwen and Collignon, 2018b). In this regard, the Tripartite Organization (World Health Organization, World Health Animal Organization, and Food and Agriculture Organization) have established a Global Action Plan calling member states to take action (OMS, 2015). In this context, countries have developed and adopted their own National Action Plan (NAP) for the human and agricultural sectors. The Vietnamese NAP against antimicrobial resistance was approved in 2013 and was followed by the NAP for livestock and aquaculture for the period 2017-2020. This was achieved through collaboration between the Ministries of Health and of Agriculture and Rural Development (MARD) (MARD, 2017). Vietnam was the first Southeast Asian country to create a national plan, followed by the Philippines in 2015 (Chua et al., 2021). The main objective of the NAP was to “tackle the human health risk related to ABR by better controlling the usage of antibiotics in livestock and aquaculture”. A new NAP with similar objectives was adopted in 2021 (MARD, 2021) for the period 2021–2025 based on five priorities: raising awareness of ABR, promoting good farming practices and prudent ABU, monitoring ABU and ABR, strengthening international and cross-sectoral collaboration around ABR control, and lastly - the focus of our study - the reviewing and enforcement of new regulations for the improved management of ABU. Several actions were undertaken to support the latter. The Law on Veterinary medicine, voted by the National Assembly in 2015, was followed by further laws and regulations developed to improve legislation around ABU management. Antibiotic growth promoters (AGPs), that are widely used by 100 Chapitre 3 Vietnamese farmers (Kim et al., 2013) and contribute to antibiotic resistance (McEwen and Collignon, 2018b), were banned in 2018 by the Law on Animal Husbandry (National Assembly, 2018). Decree n°13/2020/ND-CP, including specific articles, was designed to progressively ban the usage of AB in the feed for prevention (Government of the Socialist Republic of Vietnam, 2020). A roadmap was developed in 2020, starting with high priority critically important antibiotics, followed by the other AB on the WHO list of critical classes, and finally for all AB classes. The circular n°122020TT-BNNPTNT, published in 2020, defined the prescription conditions (MARD, 2020). A preliminary study conducted in 2020, demonstrated the importance of these two interrelated regulations (Bâtie et al., 2022a). These regulations also apply to chicken production. The latter is a growing sector in Vietnam (J.D. Cesaro et al., 2019) due to ease of production, little investment required, and high consumer demand. Also, the outbreak of African Swine Fever in 2019 led to a 20% loss in the pig population and the government encouraged the conversion from pig to cattle or poultry production (Nguyen-Thi et al., 2021). Three kinds of chicken production systems exist, integrated farms, family commercial farms and household farms (Bâtie et al., 2022a) with a predominance of small-scale farms (GSOV, 2016). Interestingly, it was found that the different production systems were strongly associated with the antibiotics and alternative feed additives value chain (Bâtie et al., 2022a) Integrated farms were using AB in prevention and treatment according to the advice of veterinarians employed by the integrator and supplied by them, family commercial was using AB in prevention and treatment with higher dosage and according to their own experience, and household used AB in treatment following the advice of drugstores. Both family commercial and household farms bought their AB at the drugstores. Different solutions exist to reduce antibiotic usage, including the development of new regulations. However, we know that policy implementation is subject to internal and external factors (Brugha, 2000), and that adaptation to the local context is required for effectiveness. The antibiotics value chain and the organisation of policy development has already been described for some projects in Vietnam (Brunton et al., 2019; Pham-Thanh et al., 2020). But interactions between stakeholders have not been explored yet within the context of new regulation implementation. Yet these interactions can have an impact on implementation and must be studied. A systems approach provides a comprehensive understanding and identifies which part of the system is likely to be impacted by the change. Moreover, each stakeholder has their own barriers and motivations to implementing new regulations which must be explored to identify levers for activation. Stakeholder mapping and analysis (SMA) is a methodology that can be used to understand the policy context of a country and to assess the feasibility in term of implementation and enforcement for future policy decisions (Zimmermann and Maennling, 2007). This has already been applied to the veterinary value chain in Laos, leading to the identification of barriers to the implementation of new policies (Poupaud et al., 2021), and to the development of a One Health ABR surveillance system in Vietnam where seven factors preventing its implementation were identified (Bordier et al., 2018). The purpose of this study is to understand how the progressive ban of AB in feed (n°13/2020/ND-CP) and mandatory prescription (n°122020TT-BNNPTNT) are understood, accepted, and applied by the different stakeholders of the antibiotic and alternative feed additives value chain and to provide recommendations to improve its implementation while reducing the impact on the most vulnerable members of the community. Chapitre 3 2. Material and methods We conducted an iterative SMA involving the stakeholders of the antibiotics and alternative feed additives value chain and regulations to reduce antibiotic use in livestock production in Vietnam. We focused on two new regulations that took effect in 2020: the progressive ban of antibiotics in feed (n°13/2020/ND-CP) and mandatory prescription to buy drugs (n°122020TT-BNNPTNT). These regulations were chosen based on a preliminary study (Bâtie et al., 2022a) because of their recent implementation and potential impact on the reduction of antibiotic usage in Vietnam. The SMA was conducted in three steps (Bordier et al., 2018; Poupaud et al., 2021; Zimmermann and Maennling, 2007): (1) Mapping of the antibiotics and alternative feed additives value chain to determine the position of the stakeholders within the chain; (2) posture of the identified stakeholders regarding the regulations to reduce antibiotic use; and (3) factors influencing the implementation of the new regulations. 2.1. Data collection We first organized a focus group discussion in December 2020 with 12 stakeholders from the antibiotics and alternative feed additives value chain and governmental authorities that control the chain, identified through semi-structured interviews in a preliminary study (Bâtie et al., 2022a). The objectives were to map the antibiotics and alternative feed additives value chain and identify key stakeholders. The discussion was organized around three topics: (1) identification of the stakeholders of the chain and their roles, (2) drawing of the chain and interactions between stakeholders, and (3) identification of existing legislation related to antibiotic use [see Additional file 1]. The three hour in-person focus group was led in Vietnamese by four researchers from the Vietnam National University of Agriculture (VNUA) using participatory epidemiology tools including focus group discussion (FGD) and flow-chart building to obtain information (Catley et al., 2012). The primary researcher (PR) was present remotely and one team member provided simultaneous translation from Vietnamese to English for the PR. The focus group was recorded, the minutes were transcribed and translated into English and the value chain drawn by the participant was translated and copied into a word document. From March to October 2021, we then conducted semi-structured interviews in north and south Vietnam with the categories of stakeholders identified during the FGD. The interview guide was organized into five main topics: (1) position and role within the antibiotics and alternative feed additives chain, (2) interactions with other stakeholders and the nature of interactions, (3) knowledge and opinions on antibiotic resistance in Vietnam and on the NAP, and (4) barriers and motivations to the application of the two new regulations identified and their expected impacts on the chain [see Additional file 2]. Four interviews were conducted in person and the remaining on line. To identify the respondents’ structural positions on the value chain and map their interactions, we reproduced the map obtained from the FGD in PADLET software(www.padlet.com). During the interviews, the screen was shared with the participants and they were asked to locate themselves on the map and describe their interactions with the other stakeholders. The map was updated three times during the data collection. The interviews were audio-recorded and lasted between 60 and 90 minutes. They were conducted in English or French by the PR and another researcher involved in the project translated them into Vietnamese where necessary. Notes were also taken by another researcher and then transcribed and translated into English. Discussion 102 Chapitre 3 between the team was done to understand the drug value chain and if necessary, the researchers contacted again the respondents to check uncertain points. The objectives of the study were explained to the participants prior to the interviews and consent to participate in the study was obtained. Ethical approval was granted from the Ethics Review Board for biomedical research at Hanoi University of Public Health with the application number 020-419/DDYTCC. 2.2. Data analysis The maps derived from FGD and semi-structured interviews were compiled and reproduced using a flowchart maker and online diagram software (diagrams.net). The semi-structured interviews were then coded using the qualitative software package NVivo (V.12,2, QSR International). We conducted a deductive, inductive analysis based on predetermined themes which enabled us to identify new themes and sub-codes (Castleberry and Nolen, 2018). The coding was conducted by the primary researcher and the code matrix was validated by the team. The thematic analysis allowed us to first confirm and improve the map of the antibiotics and alternative feed additives value chain and interactions between stakeholders. Second, each stakeholder interviewed was classified according to their level of legitimacy, resources, and connections to other stakeholders in the chain to determine their posture regarding regulations (Poupaud et al., 2021; Zimmermann and Maennling, 2007). The classification was done by the primary and secondary authors based on the structural position of the stakeholders, and the analysis of the content of the interviews. Third, we identified the factors influencing the implementation of the new regulations using the chain map, stakeholder classification, and semi-structured interview coding (knowledge and opinion of ABR, governmental strategy, barriers and motivations to implement the new regulations). To validate our data, we used multiple sources of information (different respondents, flow chart), observation when possible, and team discussion. 3. Results 3.1. Description of focus group and semi-structured interview participants Twelve respondents participated in the focus group discussion at the Vietnamese National University of Agriculture (VNUA) in Hanoi, north Vietnam, in December 2020. Four participants were from the public sector (3 from the Sub-department of Animal Health (SubDAH), 1 from the veterinary district station) and 8 from the private sector (3 drug companies, 1 feed and drug company, 2 feed companies, 1 private veterinarian, 1 drug agency level 1). Thirty-nine interviews were conducted from March 2021 to October 2021 with participants from 4 provinces (Hanoi, Hung Yen, Hai Phuong, and Bac Ninh) in north Vietnam and 3 provinces (Hô Chi Minh, Long An, and Dong Thap) in south Vietnam. Participants were from governmental authorities (n=12), private sector (n=18) and foreign partners (n=4). Participants are described in Table 1. Chapitre 3 Table 1. Socio-demographic characteristics of the respondents of the semi-structured interviews (n=39) in Vietnam in 2021. Characteristics Number (n=39) Characteristics Gender Number (n=39) Category of stakeholders Male 27 DAH 1 Female 12 DLP 2 Sub-DAHLP 5 Location North 28 DARD 1 South 11 Veterinary district station 1 Communal veterinarian 2 Sector Public sector 13 National research center 1 Private sector 22 Feed company 3 International partner 4 Alternative feed additives company3 Territorial level Technician 1 Supra-national 8 Importer/Producer 3 National 10 Distributor 2 Provincial 10 Agencies level 1 and 2 5 District/communal 11 Veterinarian 1 Integrated farm 1 Family commercial farm 2 Household farm 1 International organization 1 International research center 2 International collaboration 1 MARD: Ministry of Agriculture and Rural Development; DAH: Department of Animal Health; DLP: Department of Livestock Production; SubDAHLP: Sub-Department of Animal Health and Livestock Production; DARD: Department of Agriculture and Rural Development, agencies level 1 and 2: local drugstores 3.2. Position of the stakeholders within the veterinary drug value chain The veterinary drug value chain, resulting from the mapping conducted during the FGD and semistructured interviews, is shown in Figure 1. No difference in the structure of the chain was observed between respondents in north and south Vietnam. Finished products are imported or manufactured in Vietnam from imported components. They are then distributed directly to farmers or through agencies. An agency was defined by the participants as a shop selling drugs but also equipment or animal feed and owned by a veterinarian. Agencies 1 and 2 differ in size and source of supply (level-1 agencies is directly connected to drug companies and supply level-2 agencies), and target consumers. A third level was sometimes reported by participants, but as this was inconsistent between the interviews, it was not included in the figure. Based on a previous study (Bâtie et al., 2022a), three kinds of farms with different 104 Chapitre 3 sources of inputs and outputs were identified as being the end users. By veterinarians we meant a veterinarian working in an agency or independent, that provided direct advice and drugs to farmers. Technicians were veterinarians employed by a company. These are defined in Table 2. The interactions between the identified stakeholders varied. The agencies sell drugs, feed, and materials for a fee, but they also provide free advice to farmers. These interactions can take place through a contract between farmers or agencies and distributors. In this case, they get preferential prices and goodies if they buy or sell a certain number of drugs. The interactions can also take place across a network of farms, in which a technician employed by an integrator provides the farm with drugs and advice. Figure 1. Organization of the antibiotics and alternative feed additives value chain from focus group discussion (n=12) and semi-structured interviews (n=39) in Vietnam in 2020 and 2021. In bold: sell and give advice; VietGAHP: Vietnamese Good Animal Husbandry Practices. This chain is controlled by government authorities at different territorial levels as depicted in Figure 2. The Department of Animal Health (DAH) is responsible for controlling the importation, production, and distribution of antibiotics as well as feed mills that produce medicated feed. Feed mills are controlled with the Department of Livestock Production (DLP). The DAH is also responsible for delivering practice certificates to veterinarians. They supervise the Sub-Department of Animal Health (Sub-DAH) at the provincial level which was recently merged with the Sub-Department of Livestock Production 105 Chapitre 3 (Sub-DLP) to form the Sub-Department of Animal Health and Livestock Production (Sub-DAHLP). They provide them with information and guidelines on legislation implementation. In return, they receive reports on the situation within each province. The two last administrative level includes veterinary station and communal veterinarian that are operating respectively at the district and communal level. Finally, international organizations, international collaborators, national and international research centers work together, and with the governmental authorities, to provide evidence to develop new policies and technical advice . Figure 2. Chain of control of the antibiotics and alternative feed additives value chain and chain of command between governmental authorities from focus group discussion (n=12) and semi-structured interviews (n=39) in Vietnam in 2021. MARD: Ministry of Agriculture and Rural Development; DAH: Department of Animal Health; DLP: Department of Livestock Production; Sub-DAHLP: Subdepartment of Animal Health and Livestock Production; DARD: Department of Agriculture and Rural Development 3.3. Posture of the stakeholders regarding the regulations From the focus group discussion and individual interviews, we identified 30 categories of stakeholders who were concerned by the regulations. They belonged to three groups: the public sector, which included governmental bodies and national research centers (n=9), the private sector, which included stakeholders from importation to final antibiotic users (n=15), and foreign partners(n=6) (Figure 3). The posture of the identified categories of stakeholders according to their level of legitimacy, resources and connections and their role regarding the regulations are summarized in Table 2 and represented in the Figure 4. 106 Chapitre 3 Figure 3. Categories of stakeholders (n=30) involved in the veterinary antibiotics and alternative feed additives value chain in Vietnam in 2021 from focus group discussion (n=12) and semi-structured interviews (n=39), 2020-2021, Vietnam. Actors belonged to public sector (orange), foreign partners (green), and private sector (blue). 107 Chapitre 3 Table 2. Classification of the stakeholders of the veterinary drug value chain interviewed according to their level of legitimacy, resources, connections, and their role in the implementation of the new regulations on the progressive ban of AB in the feed (n°13/2020/ND-CP) and mandatory prescription (n°122020TTBNNPTNT) from focus group discussion (n=12) semi-structured interviews (n=39) and analysis of the National Action Plan (NAP), 2021, Vietnam. Legitimacy: Defined by the institutional position (acquired by law or perceived by the public to be legitimate) of the stakeholders and their involvement in the law design and/or by the type of antibiotics flow formal (flow monitored by the government) or informal. Resources: Defined by stakeholders’ knowledge of ABU, ABR, and the legislation, and by the technical (financial, human, material) resources to apply the new regulations. Connections: Number and quality of stakeholder’s relationships with other veterinary drug value chain stakeholders (trust, frequency, formal). +++ strong, ++ medium, + weak, – absent,? indetermined. * Stakeholders not interviewed, NA: not assessed. Definitions adapted from GTZ, 2007; Poupaud et al., 2021; Bordier et al.,2018 (Bordier et al., 2018; Poupaud et al., 2021; Zimmermann and Maennling, 2007)) Stakeholder Legitimacy Resources Connections Role in the regulations Governmental authorities Ministry of Agriculture and Rural Development NA (MARD)* NA NA The MARD (Ministry of Agricultural and Rural Development) is divided into several institutions at the central level including among others the Department of Animal Health (DAH), the Department of Livestock Production (DLP), and the National Institute of Veterinary Research (NIVR). They are the final decisionmakers in law enforcement.
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Characterizing Exoplanetary Atmospheres at High Resolution with SPIRou: Detection of Water on HD 189733 b. The Astronomical Journal, 2021, 162 (6), pp.233. &#x27E8;10.3847/1538-3881/ac1f8e&#x27E9;. &#x27E8;hal-03433089&#x27E9;
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Characterizing Exoplanetary Atmospheres at High Resolution with SPIRou: Detection of Water on HD 189733 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. 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. Antoine Darveau-Bernier,1 Stefan Pelletier,1 David Lafrenière,1 Étienne Artigau,1 Neil J. Cook,1 Romain Allart,1, ∗ Michael Radica,1 René Doyon,1 Björn Benneke,1 Luc Arnold,2 Xavier Bonfils,3 Vincent Bourrier,4 Ryan Cloutier,5, † João Gomes da Silva,6 Emily Deibert,7 Xavier Delfosse,3 Jean-François Donati,8 David Ehrenreich,4 Pedro Figueira,9, 6 Thierry Forveille,3 Pascal Fouqué , 8, 2 Jonathan Gagné , 10 , 1 Eric Ga idos, 11 Guillaume Hébr ard, 12 Ray Jaya wardhana,13 Baptiste Klein , 14 Christophe Lovis,4 Jorge H. C. Martins,6 Eder Martioli,12, 15 Claire Moutou,8 and Nuno C. Santos 6, 16 1 Institut de Recherche sur les Exoplanètes, Université de Montréal, Département de Physique, C.P. 6128 Succ. Centre-ville, Montréal, QC H3C 3J7, Canada. 2 CFHT Corporation; 65-1238 Mamalahoa Hwy; Kamuela, Hawaii 96743; USA 3 CNRS, IPAG, Université Grenoble Alpes, 38000 Grenoble, France 4 Observatoire Astronomique de l’Université de Genève, Chemin Pegasi 51b, CH-1290 Versoix, Switzerland 5 Center for Astrophysics | Harvard & Smithsonian, 60 Garden Street, Cambridge, MA, 02138, USA 6 Instituto de Astrofı́sica e Ciências do Espaço, Universidade do Porto, CAUP, Rua das Estrelas, 4150-762 Porto, Portugal 7 David A. Dunlap Department of Astronomy & Astrophysics, University of Toronto, 50 St. George Street, ON M5S 3H4, Canada 8 Université de Toulouse, CNRS, IRAP, 14 av. Belin, 31400 Toulouse, France 9 European Southern Observatory, Alonso de Cordova 3107, Vitacura, Santiago, Chile 10 Planétarium Rio Tinto Alcan, Espace pour la Vie, 4801 av. Pierre de Coubertin, Montréal, QC, Canada. 11 Department of Earth Sciences, University of Hawai’i at Manoa, Honolulu, HI 96822 USA 12 Sorbonne Université, CNRS, UMR 7095, Institut d’Astrophysique de Paris, 98 bis bd Arago, 75014 Paris, France 13 Department of Astronomy, Cornell University, Ithaca, New York 14853, USA 14 Sub-department of Astrophysics, Department of Physics, University of Oxford, Oxford OX1 3RH, UK 15 Laboratório Nacional de Astrofı́sica, Rua Estados Unidos 154, 37504-364, Itajubá - MG, Brazil 16 Departamento de Fı́sica e Astronomia, Faculdade de Ciências, Universidade do Porto, Rua do Campo Alegre, 4169-007 Porto, Portugal ABSTRACT We present the first exoplanet atmosphere detection made as part of the SPIRou Legacy Survey, a Large Observing Program of 300 nights exploiting the capabilities of SPIRou, the new near-infrared high-resolution (R ∼ 70 000) spectro-polarimeter installed on the Canada-France-Hawaii Telescope (CFHT; 3.6-m). We observed two transits of HD 189733 b, an extensively studied hot Jupiter that is known to show prominent water vapor absorption in its transmission spectrum. When combining the two transits, we successfully detect the planet’s water vapor absorption at 5.9σ using a cross-correlation t-test, or with a ∆BIC> 10 using a log-likelihood calculation. Using a Bayesian retrieval framework assuming a parametrized T-P profile atmosphere models, we constrain the planet atmosphere parameters, in the region probed by our transmission spectrum, to the following values: log10 VMR[H2 O]= −4.4+0.4 −0.4, and Pcloud & 0.2 bar (grey clouds), both of which are consistent with previous studies of this planet. Our retrieved water volume mixing ratio is slightly sub-solar although, combining it with the previously retrieved super-solar CO abundances from other studies would imply super-solar C/O ratio. We furthermore measure a net blue shift of the planet signal of +0.46 −4.62−0.44 km s−1, which is somewhat larger than many previous measurements and unlikely to result solely from winds in the planet’s atmosphere, although it could possibly be explained by a transit signal dominated by the trailing limb of the planet. This large blue shift is observed in all the different detection/retrieval methods that were performed and in each of the two transits independently. Corresponding author: Anne Boucher anne.boucher.3@umontreal.ca 2 Boucher et al. Keywords: Planets and satellites: atmospheres — Planets and satellites: individual (HD 189733 b) — Methods: data analysis – Techniques: spectroscopic 1. INTRODUCTION The characterization of exoplanet atmospheres using transmission or emission spectroscopy has grown considerably since it was proposed by Seager & Sasselov (2000). The spectra that such techniques yield can be used to probe the state and composition of an exoplanet’s atmosphere. This provides insight into physical and chemical processes at play, which can then be interpreted through different formation pathways and evolutionary histories of the planet, usually by measuring the metallicity and the C/O ratio via their molecular abundances (e.g., Öberg et al. (2011); Pelletier et al. (2021)). The most successful observations to date have typically been obtained from space (e.g., Madhusudhan et al. 2014; Sing et al. 2016; Barstow et al. 2017; Pinhas et al. 2019; Welbanks et al. 2019), with the frequent use of the Hubble Space Telescope Wide Field Camera 3 (HST/WFC3) spectrometric and Spitzer Space Telescope photometric capabilities. The exquisite image and instrument stability enable the detection of subtle spectral differences induced by the planet’s atmosphere during its transit or eclipse and phase curve (which can be on the order of only a few tens of parts-per-million, ppm, e.g., Kreidberg et al. 2014). One caveat, however, is that these instruments usually have a limited wavelength coverage, which limits the simultaneous detection of water and carbon-bearing molecules (which prevents the computation of an accurate C/O ratio) and can sometimes lead to mixed results, e.g. the unclear nature of the strong spectral feature in the 4.5 μm Spitzer band in WASP-127 b atmosphere, which could come from CO and/or CO2 (Spake et al. 2021). Ground-based high dispersion spectroscopy (HDS) can achieve similar precision by resolving each line independently. The change in orbital radial velocity of the planet can be exploited to disentangle the signal of the planet from that of stellar and telluric signals (e.g. Snellen et al. 2010). In that case, the transit/emission spectrum is probed by looking for a signal (from either atomic or molecular species) that follows the planet radial velocity, which can be orders of magnitudes smaller than that of its star. Compared to low-resolution spectroscopy, HDS has the added benefit of being able to disentangle absorption by different molecules with overlapping bands (but non∗ Trottier Fellow † Banting Fellow overlapping lines, e.g. Giacobbe et al. 2021) and from different origins (e.g., stellar, planetary, and telluric) because the individual lines are resolved. Moreover, wind speeds and global dynamics of the planet’s atmosphere can be measured (through the Doppler shift and broadening of the planet’s absorption lines; e.g., Wyttenbach et al. 2015; Louden & Wheatley 2015; Flowers et al. 2019). The firsts successful atmospheric characterizations from the ground were detections of sodium in the optical on HD 189733 b (Redfield et al. 2008; with the High Resolution Spectrograph, R ∼ 60 000, on the HobbyEberly Telescope) and HD 209458 b (Snellen et al. 2008; with the High Dispersion Spectrograph, R ∼ 45 000, on the Subaru Telescope; even though these results are inconsistent with the more recent ones from CasasayasBarris et al. (2020)). The first near-infrared (NIR) HDS study was presented by Snellen et al. (2010), with the detection of carbon monoxide (CO) in the atmosphere of HD 209458 b via transmission spectroscopy using CRIRES (R ∼ 100 000; Kaeufl et al. 2004) installed at the VLT (8.2-m telescope). Many more such detections followed: H2 O and CO for several transiting and non-transiting exoplanets (Brogi et al. 2012; Birkby et al. 2013; Brogi et al. 2016; Birkby et al. 2017; Webb et al. 2020), HCN for HD 209458 b (Hawker et al. 2018), and the effects of global atmospheric dynamics, such as day-to-night winds and/or eastward winds (jet streams) on HD 209458 b and HD 189733 b (Snellen et al. 2010; Brogi al. 2016; Flowers et al. 2019; Beltz et al. 2021). Multiple other high-resolution instruments have enabled additional interesting results again for transiting and non-transiting targets. A lot of them came from optical instruments (a non-exhaustive list includes HARPS, e.g., sodium detection on WASP-76 b, Seidel et al. 2019; HARPS-North, e.g., neutral Fe and Ti on the atmosphere of KELT-9 b, Hoeijmakers et al. 2018, ESPRESSO, e.g., the iron condensation on the nightside of WASP-76 b, Ehrenreich et al. 2020, and CARMENES VIS-channel, e.g., extended Hα envelope detected on KELT-9 b Yan & Henning 2018), but the following list highlights some of the near-infrared ones. The NIRSPEC spectrograph (0.95–5.4 μm, R'25 000; McLean et al. 1998) on the Keck II telescope led to the detection of several species, such as CO, H2 O (e.g., Rodler et al. 2013; Lockwood et al. 2014; Piskorz et al. 2016, 2017, 2018; Buzard et al. 2020), and more recently metastable helium (He, at 1083 nm; e.g., Kirk 3 et al. 2020). CARMENES (NIR-channel, 0.96–1.71 μm, R = 80 400, Calar Alto Observatory, 3.5-m; Quirrenbach et al. 2014) has also been very prolific in recent years. He absorption was detected on multiple targets (Allart et al. 2018, 2019; Salz et al. 2018; Alonso-Floriano et al. 2019; Palle et al. 2020), as well as H2 O absorption in both HD 189733 b and HD 209458 b (Alonso-Floriano et al. 2019; Sánchez-López et al. 2019, 2020). Also, GIANO (0.95–2.45 μm, R = 50 000, Telescopio Nazionale Galileo, 3.6-m; Oliva et al. 2006) was able to confirm the HD 189733 b detection of H2 O (Brogi et al. 2018) and of metastable He (Guilluy et al. 2020). Moreover, Guilluy et al. (2019) also detected H2 O absorption in the atmosphere of the non-transiting HD 102195 b planet, and found evidence for the presence of methane (CH4 ) as well. The Spectro-Polarimètre InfraRouge (SPIRou; Donati et al. 2020) is a new fiber-fed échelle spectro-polarimeter operating in the NIR domain installed on the CFHT. SPIRou was primarily designed to detect and characterize Earth-like planets in the habitable zone of low-mass stars via precise radial velocity (RV), down to ∼1 m s−1, and to study the stellar magnetic fields using its polarimetry capabilities (e.g., Martioli et al. 2020; Klein et al. 2021). SPIRou saw its first light April 2018, and is the first instrument to have both a high spectral resolution (R ∼ 70 000) as well as such a broad continuous NIR spectral range (∼0.95–2.50 μm), which provides an unparalleled richness of spectral information. Its wider spectral range gives access to more individual absorption features, thus making SPIRou well suited for exoplanet atmospheric characterization via the cross-correlation technique (see Deibert et al. 2021, Pelletier et al., 2021, submitted). SPIRou also has a higher throughput than many slit spectrographs and its design provides a more stable line spread function In this paper we report the first results of the SPIRou Legacy Survey (SLS) on exoplanet atmosphere characterization for the planet HD 189733 b (Bouchy et al. 2005). Initiated at the start of SPIRou operations, the SLS is a CFHT Large Program of 300 telescope nights (PI: Jean-François Donati) whose main goals are to search for planets around M dwarfs using precision RV measurement, characterize the magnetic fields of young low-mass stars and their impact on star and planet formation, and probe the atmosphere of exoplanets using HDS. The planet targeted here, HD 189733 b, is one of the most studied hot Jupiters to date, and due to the brightness of its active host star (K2V; H = 5.59 mag), it offers great opportunities for in-depth analyses. The study of the orbital motion, Rossiter-McLaughlin effect (RME; Rossiter 1924; McLaughlin 1924) and mag- netic field made with these SPIRou SLS observations of HD 189733 b are presented in Moutou et al. (2020). Its atmosphere has been studied many times and its transmission spectrum has revealed water (e.g., Brogi et al. 2016, 2018; Alonso-Floriano et al. 2019), CO (de Kok et al. 2013, and references therein), hydrogen (Lecavelier des Etangs et al. 2012; Bourrier & Lecavelier des Etangs 2013; Bourrier et al. 2020), metastable helium (Salz et al. 2018; Guilluy et al. 2020), and sodium (Redfield et al. 2008; Jensen et al. 2011; Huitson et al. 2012; Wyttenbach et al. 2015). The rotation of the planet, consistent with being tidally locked, and evidence of winds have also been detected (e.g., Wyttenbach et al. 2015; Louden & Wheatley 2015; Brogi et al. 2016; Flowers et al. 2019). Furthermore, Barstow (2020) studied the properties and location of clouds in its atmosphere, which have a substantial effect on retrieved abundances. Their results pointed toward an heterogeneous atmosphere, with small-particle aerosols covering at least 60% of the terminator region, reaching to low pressures, but no grey cloud. This paper is organized as follows. In Section 2, we present the observational setup and describe the observational data along with the details of the reduction. In Section 3 we explain the telluric and stellar signal removal process, and also present the atmospheric models that are used for the cross-correlation analysis. Section 4 details the methods that we used to extract the planet’s atmosphere signal and present the associated results. In Section 5 we discuss our findings, and summarize our main results in Section 6. 2. OBSERVATIONS AND DATA REDUCTION All data presented here were obtained with SPIRou (Donati et al. 2020). The spectrograph covers the Y, J, H, and Ks bands (∼0.95–2.50 μm) simultaneously at a nominal resolving power of R = λ/∆λ ∼ 70 000 (with a sampling precision of ∼ 2.3 km s−1 per pixel), over 50 spectral orders. The fiber-fed spectrograph is benchmounted in a vacuum tank to maximize its stability and radial velocity precision. This further gives a much more stable line-spread function, greatly reducing the level of systematic errors (Artigau et al. 2014). SPIRou has a 4096 × 4096-pixel H4RG detector, with 15 μm-wide pixels. The overall throughput is around 4 to 8% in the Y and J bands, while it increases to 10–12% in the H and K bands. There are two science fibers that monitor the object and one calibration fiber that can track a FabryPérot etalon for simultaneous wavelength calibration. Two transits of HD 189733 b were observed as part of the SLS. The first transit (hereafter Tr1) was observed on UT September 22, 2018, as part of SPIRou commis- 4 Boucher et al. Table 1. SPIRou observations of HD 189733 2018-09-22 2458383.77 250 0.79 259 2019-06-15 2458649.95 250 0.85 224 0 21 15 36 2.50 12 24 14 50 3.47 Airmass 1.15 1.10 1.05 1.00 0.02 100 1.2 1.4 1.6 1.8 2.0 2.2 Wavelength ( m) 2.4 240 220 200 180 160 Ingress/Egress Total Transit 0.03 0.02 0.01 0.00 0.01 Orbital phase ( ) 0.02 0.03 0.04 Figure 2. Temporal mean of the SNR per order (top panel; the shaded area highlights the orders in the H-band) and spectral mean of the SNR for H-band per exposure (bottom panel; the shaded area shows the span of the transit event) during SPIRou observations (light blue diamonds for Tr1 and dark blue circles for Tr2). Transit 1 Transit 2 Ingress/Egress Total Transit 0.03 150 1.0 sequence ; b Exposure time of a single exposure; c Mean value of the seeing during the transit; d Mean SNR per pixel, per exposure, at 1.7 μm; e Total observing time in hours. 1.20 200 50 Note— a Barycentric Julian date at the start of the transit 1.25 Transit 1 Transit 2 H-band 250 Mean SNR per order Transit 2 Mean H-band SNR per exposure UT Date BJD (d) a Texp (s) b Seeing (”) c SNR d Number of exposures : Before ingress During transit After egress Total Tot. observ. time (h) e Transit 1 0.01 0.00 0.01 Orbital phase ( ) 0.02 0.03 0.04 Figure 1. Airmass variation during the two SPIRou transit observations (light blue diamonds for Tr1 and dark blue circles for Tr2; the shaded area shows the span of the transit event). sioning observations (later combined to SLS data), and the second (hereafter Tr2) on UT June 15, 2019. Both sets of observations were taken without moving the polarimeter optics (rhombs) to ensure the highest possible instrument stability, with the Fabry-Pérot in the calibration channel, and both with an exposure time of 250 s per individual exposure . Table 1 lists the parameters of the observations. The first data set consists of 2.5 h, divided into 36 exposures, where the first 21 are in-transit and the remaining 15 are out-of-transit. Technical operations during this night prevented the start of the sequence early enough to observe the star before ingress. The second data set consists of 50 exposures in total, where 24 are in-transit, 12 before, and 14 after transit, for a total of ∼ 3.5 h. Conditions were photo- metric for both transit sequences, with an average seeing of around 0.8200 as estimated from the guiding images. The airmass remained under 1.3 for the total duration of both observations (see Figure 1). The water column density was more stable during the second night with a range of 2.5–3.0 vs 2.6–3.6 mm H2 O for the first night. The signal-to-noise ratio (SNR) temporal mean per order and the spectral mean (over the H-band only) per exposure for both transits are shown in Figure 2. The Tr2 SNR is much more variable, but has out-of-transit observations on both sides. The data were reduced using APERO (A PipelinE to Reduce Observations; version 0.6.131; Cook et al., in prep.), the SPIRou data reduction software. The first step is to pre-process the raw data. This removes certain detector effects (correcting for the top and bottom reference pixels, median filtering against the dark amplifiers and the 1/f noise; Artigau et al. 2018). APERO then calibrates observations, correcting for the dark, flagging bad pixels (from a bad pixel map created from calibration flats and darks), removing background scattered light (both locally and globally), and cleaning hot pixels (via interpolating over high-sigma outliers compared to their immediate neighbors). The order positions are found and fit with polynomials and pixels are registered onto a common reference 5 grid (using a master Fabry-Pérot, FP). In addition, the order geometry and the geometry of the detector (slicer shape, slicer tilt and other optics) are separated into changes across-order, along-order and an affine transformation matrix (essentially being characterized by a shift in dx, dy and an A-B-C-D matrix, which can describe a translation, reflection, scale, rotation and or shear in the detector). These geometric changes are applied, along with the order polynomial fits in order to straighten the image. The straightened image is then optimally extracted (Horne 1986) and cosmic ray correction is applied. This produces an extracted 2D spectrum; E2DS of dimensions 4088 (4096 minus 8 reference pixels) by 49 orders (corresponding to physical orders of #79 in the blue to #31 in the red). The E2DS are flat and blaze corrected (the blaze is fitted with a simple sinc model) and a wavelength solution is available for each night (the wave calibration is done using both a hollow-cathode UNe lamp and the FP; Hobson et al. 2021). Thermal background is corrected with a dark calibration, scaled in amplitude to match the thermal background of the reddest orders. As a final step, when the FP is used simultaneously in the calibration fiber, the contamination from the simultaneous FP is corrected for (using a set of calibrations with dark in the science fiber and the FP in the reference fiber to correct the contamination from the reference fiber into the science fiber). While the E2DS are produced for the two science fibers (A and B) and for the combined flux in the science fibers (AB), we only used the AB extraction as this is the relevant data product for non-polarimetric observations. 3. ANALYSIS 3.1. Telluric absorption correction A large portion of the NIR domain that SPIRou covers is affected by absorption in the Earth’s atmosphere (telluric absorption), which is resolved into thousands of individual narrow molecular lines at SPIRou’s resolution. This absorption is strongest and line densities are highest in between the Y JHK photometric bandpasses, but many lines are nevertheless present with various strengths throughout the domain. It is crucial that these telluric absorption lines be precisely corrected for or masked out prior to seeking the subtle spectral signature of an exoplanet atmosphere seen in transit, especially as they arise from molecules also expected to be present in exoplanet atmospheres. The spectra are corrected for telluric line contamination within APERO in a two-step process. First, the blaze normalized E2DS spectra are pre-cleaned by removing the best-fitting TAPAS atmospheric transmission spec- trum (Bertaux et al. 2014). This best-fit model is found by minimizing the cross-correlation signal between the TAPAS model and the telluric residuals, i.e. the data from which this same model was removed. Second, the telluric line residuals are corrected using the Principal Component Analysis (PCA) approach developed by Artigau et al. (2014) and implemented in APERO (Artigau et al., in prep.). The approach exploits the fact that the absorbance spectrum of Earth’s atmosphere can be expressed, in log-space, as a linear combination of absorbance spectra from different chemical species (chiefly H2 O, O2, CO2 with minor O3, CH4 and N2 O features). As part of SPIRou night time calibrations, rapidly rotating A stars are observed and the derived telluric absorption from these observations is added to a library. The telluric correction spectrum is constructed through a linear combination (in log space) of the first 7 principal components (PCs) of the library of telluric absorptions, for each observed spectrum. The most opaque regions in Earth’s atmosphere (saturated lines, or lines with transmission smaller than 10%) will let little to no light through, resulting in a poorly constrained/unreliable correction. The APERO pipeline performs the telluric absorption correction for lines with a transmission down to ∼ 10%, and deeper lines are masked out. The total reconstructed Earth transmission spectrum calculated by the pipeline (the product of the best-fit TAPAS model and the PCA reconstruction of the residuals) is one of the data product, allowing further masking if desired. An example of the telluric absorption reconstruction and correction is shown in Figure 3, panels A to C. Sky emission lines are also removed by the APERO pipeline as part of the telluric correction process. The pipeline draws from a library of sky spectra taken at various times through the life of SPIRou and constructs a linear combination of the first 9 PCs of this library, again for every exposure individually, to reconstruct and subtract the sky emission lines in the observed spectrum. The final telluric corrected spectra are re-multiplied by the blaze to keep the level proportional to the photon counts. In our analysis below, we found that further masking of deep telluric lines (i.e. further masking parts of the previously telluric corrected regions) improved the results, possibly because low-level telluric absorption residuals remain in the spectra. Using the reconstructed telluric spectrum to define our mask, we masked all telluric lines for which the transmission in the core is below 30% in Tr1 and 35% in Tr2, and for those lines, we also mask the wings by extending the mask until the transmission reaches 97% (Figure 3 E); these limits were et al. 1.5 1.0 B) Uncorrected Flux (Earth Rest Frame) 80000 60000 40000 Flux 0.0 0.03 0.02 0.01 0.00 0.01 Orbital phase ( ) Uncorrected Flux Telluric transmission Corrected Flux 0.5 20000 0.03 0.02 0.01 0.00 0.01 C) Telluric-Corrected Flux 0.03 0.02 0.01 0.00 0.01 D) Normalized Flux (Shifted to Pseudo SRF) 0.03 0.02 0.01 0.00 0.01 E) Normalized to the Continuum Flux 0.03 0.02 0.01 0.00 0.01 F) Transmission Spectrum 80000 60000 40000 1.05 1.00 0.95 0.90 0.85 1.05 1.00 0.95 0.90 0.85 1.02 1.00 0.98 0.96 0.03 G) PCA-Corrected Transmission Spectrum (3 PCs) 0.02 0.01 0.00 0.01 1.68 Normalized flux Normalized Flux 2.0 0.02 0.00 0.02 1.69 1.70 1.71 Wavelength ( m) 1.72 1.73 0.04 Figure 3. Analysis steps that are applied to the observed spectral time series of the first transit. Here the full order spanning 1.6797 to 1.7327 μm is shown. Panel A: The uncorrected (black), the telluric-corrected (green) observed spectra and the reconstructed telluric transmission spectrum (blue) are shown with an offset to facilitate visibility. Panel B : Uncorrected spectra (counts normalized by the blaze function). Panel C : Telluric-corrected spectra. The masked pixels are shown in red; here the masking is done by APERO. Panel D: The high variance columns of the mean normalized spectra are masked, and then the spectra are co-aligned (shifted) in the pseudo-stellar rest frame. Panel E : The regions with deep telluric lines are masked. Every spectrum is normalized to the continuum level of the Master-Out spectrum. Panel F : Planetary transmission spectra, where each spectrum was divided by the Master-Out spectrum. Panel G: Final planetary transmission spectra corrected for the vertical residual structures using PCA. The blue line in panels B-G shows the egress position (mid-transit is at phase 0). Table 2. Adopted parameters for the system HD 189733 Parameter Symbol Value Unit Reference Stellar mass Stellar radius Planet mass Planet radius Semi-amplitude Orbital semi-major axis Orbital period Orbital eccentricity Orbital inclination Epoch of transit Transit duration Systemic velocity Tr1 Systemic velocity Tr2 M? R? Mp Rp K a Porb e iP T0 T14 0.806 ± 0.048 0.756 ± 0.018 1.123 ± 0.045 1.138 ± 0.027 0.205 ± 0.006 0.03099+0.00060 −0.00063 2.218575123 ± 0.000000057 0.0028 ± 0.0038 85.712 ± 0.036 2453968.837031 ± 0.000020 1.8012 ± 0.0016 −2.59 ± 0.21 −2.76 ± 0.21 M R MJ RJ km s−1 AU d T08, B19 T08 T08 T08 T08 T08 B19 B19 B19 B19 B19 This work This work vsys,Tr1 vsys,Tr2 Note—(T08) Torres et al. 2008 and (B19) Baluev et al. 2019. ◦ (deg) BJD h km s−1 km s−1 8 Boucher et al. pirically determined, based on an injection-recovery test. This step removes a total 8.6% and 10.6% of the spectral domain in Tr1 and Tr2, respectively. This masking is applied at step 3 in the following section. 3.2. Transmission spectrum construction Starting from the telluric-corrected E2DS spectra, after division by the normalized blaze function to flatten them, we applied the following operations to construct the planet’s transmission spectra. These operations were applied on each order individually and separately for each transit sequence. 1) To remove bad pixels, the spectra are first normalized by dividing them by their median value (over wavelengths). Then, spectral pixels with a time variance (over the different spectra) more than 4σ above the mean variance are masked. In total, this removes 0.6% and 0.5% of the pixels in Tr1 and Tr2, respectively. 2) All the spectra are Doppler shifted (via cubic spline interpolation that handles masked arrays) from the observer to a pseudo-stellar rest frame (SRF) by the opposite of the stellar radial velocity variation relative to the middle of the sequence, ∆vS (t). The stellar radial velocity vS (t) is itself defined as, vS (t) = vbary (t) + vsys + vreflex (t), (1) where vbary is the barycentric velocity of the observer (and in our case it is the barycentric Earth radial velocity, BERV), vsys is the systemic radial velocity, and vreflex (t) = K sin[2π(φ(t) + 0.5)] is the radial component of the reflex motion of the star induced by the planet (Keplerian), where K is the stellar radial velocity semiamplitude (which we fixed; see Table 2), and φ is the planet orbital phase (φ = 0 at mid-transit). We then define ∆vS (t) as follows: vS (t ) = ∆vba ry (t ) + ∆vreflex ( t ), (2) where ∆vbary (t) = vbary (t) − vbary (tmid.exp. ), the difference between the barycentric velocity during the sequence (vbary (t)) and its value at the middle of the sequence (vbary (tmid.exp. )), and equivalently for the reflex motion term. This aligns the stellar lines across all spectra (see Figure 3 D), even though they are not exactly in the SRF, while minimizing the shifts applied to the data, hence minimizing the associated interpolation errors (the first half of the exposures are thus shifted by roughly the same amount as the second half, but in the opposite direction). In our case, the shifts applied are at most ∼ 5% and ∼ 7% of a SPIRou spectral pixel, for Tr1 and Tr2 respectively. Many of the HD 189733 system and orbital parameters are well known and the values that were used here are listed in Table 2. We measured vsys directly from our data by computing the CCF of the telluric corrected spectra with a synthetic spectrum from a PHOENIX atmosphere model (Husser et al. 2013) with Teff = 5100 K, log g = 4.5, and Z = 0. We computed this CCF for all orders across the H band, measured the peak position, subtracted vbary (t) and vreflex (t), then calculated the mean value by weighting by the SNR of the orders, and finally computed the mean over all spectra for each transit. We obtained values of −2.22 ± 0.04 km s−1 for Tr1, and −2.39 ± 0.04 km s−1 for Tr2. Then to determine the heliocentric radial velocity of the HD 189733 system from our observations, we subtracted 0.67 ± 0.04 km s−1 to compensate for the gravitational redshift and −0.3 ± 0.2 km s−1 for the convective blueshift of a K2 star (Leão et al. 2019). The final vsys values are reported in Table 2. 3) The additional telluric masking mentioned above is applied; this was not done earlier to limit interpolations on masked pixels (Figure 3 D to E). 4) The stellar spectral features are removed following the technique of Allart et al. (2017): (a) A “MasterOut” spectrum is built by taking the mean of all the out-of-transit spectra (full-disk stellar spectrum). (b) All spectra are divided by a low-pass-filtered1 version of their ratio with the Master-Out; this flattens out the continuum and removes the modal noise, thus reducing the correlation noise due to slopes in the spectra (Figure 3 E). (c) A second iteration of the Master-Out spectrum is calculated using the normalized out-of-transit spectra. (d) The normalized spectra are divided by this final Master-Out spectrum, which yields the planetary transmission spectra (see Figure 3 F), and sigma clipped at 6 σ, to prevent outliers to be included in the next step. 5) At this stage, we can see residual vertical features in the spectral time series 2D representation (Figure 3 F); these seem to appear because of the Master-Out is built with a subset of spectra and better represents the spectra closest to it in time (the out-of-transit spectra, in this case), and the residuals could be linked to systematic effects that vary with time. To remove these residual features, we use a PCA approach. The PCs are built from the logarithm of the flux in the time dimension using each spectral pixel time series as a sample point (which is the transpose equivalent to building the PCs basis in the spectral space and having each exposure as a sample point). Each sample (spectral pixel time series) is then divided by the exponential of their reconstruction based 1 Median filter of width 51 pixels followed by convolution with a Gaussian kernel of width 5 pixels. 9 on the firsts n chosen PCs. To determine the number of PCs to use, we performed an injection-recovery test for both analysis methods presented below, the crosscorrelation function (CCF) and the log-likelihood. We injected the model at -KP and the known vsys + vrad. This test indicates that removing 2 and 3 PCs yields the best detection significance of the injected signals for Tr1 and Tr2, respectively, and this is what we adopted for all analyses. The higher telluric fraction to be masked and the number of PCs to remove in the second transit could be linked to its lower data quality compared to Tr1. 6) Finally, any remaining outlier pixels are masked using sigma clipping (at 3σ) in the time dimension, and the mean of each spectrum is subtracted out, to keep a zero mean for the cross-correlation. This yields the final spectral planetary transmission values fi (where i indexes over both time and wavelength), shown in Figure 3 G, that are used for the cross-correlation/loglikelihood mapping in Section 4. During the analysis of the Tr2 data set, it was found that a significant change in systematic spectral noise occurred around passage of the target through the meridian, near airmass of 1. Similar noise patterns, always occurring as the target passes near the zenith, were also found in other SPIRou data sets (e.g. Pelletier et al. 2021). The cause of this is still being investigated, but is thought to be related to the azimuth angle of the telescope (TelAz). This effect is most important when the variation (or gradient) of the TelAz is maximal. See Pelletier et al. (2021) for a longer discussion of this effect. In our case, this effect had no impact on Tr1, as all data were taken after meridian crossing. For Tr2, we managed to work around this problem by splitting the data set in two subsets: before (27 exposures) and after (23 exposures) the meridian crossing. We applied all the analysis steps above to both subsets independently, and then we merged them back into a single sequence at the end. 3.3. Atmospheric Model Obtaining information about the molecular content in the planet’s atmosphere requires the use of the cross-correlation method/log-likelihood mapping with high spectral resolution synthetic planetary transmission spectra. The models of HD 189733 b and associated transmission spectra that were used here were generated using the SCARLET framework (Self-Consistent Atmospheric RetrievaL framework for ExoplaneTs; Benneke & Seager 2012, 2013; Benneke 2015; Benneke et al. 2019). SCARLET generates transmission spectra for a simulated planetary atmosphere in hydrostatic equi- librium by considering the molecular opacities at each pressure layer. Included in the opacities are contributions from H2 O, H2 broadening following Burrows & Volobuyev (2003), and collision-induced broadening from H2 /H2 as well as H2 /He collisions from Borysow (2002). The models are generated at a resolving power of R = 250 000 using line-by-line radiative transfer and are later convolved to match the instrumental resolution of SPIRou. The resulting output is the transit depth as a function of wavelength, i.e. Rp2 (λ)/R?2, which corresponds to the observed transmission spectrum calculated above, pending normalization by the continuum level. The choice of the water lines list used in the models is important, given the preponderance of this molecule in the atmosphere and throughout the transmission spectrum of HD 189733 b. In this work, we adopted the POKAZATEL (Polyansky et al. 2018) water line list from Exomol (Tennyson et al. 2016). Most previous analyses used the HITEMP 2010 line list, but Gandhi et al. (2020) explicitly compared the two with HD 189733 b CRIRES data from Birkby et al. (2013) (thermal emission) and reported a strong agreement between the two, with a slightly higher signal from POKAZATEL. Similarly, Nugroho et al. (2021) observed a better detection significance for H2 O in WASP33 b when using the POKAZATEL line list than when using HITEMP 2010, even though the signal is found at the same location. Webb et al. (2020) also compared these line lists in their study of the non-transiting HD 179949 b’s atmosphere and found consistent results, although their data favored HITEMP 2010 models. In principle, any temperature-pressure (T-P) profile can be used to generate the atmospheric models, but here we adopted an analytical atmospheric T-P profile from Guillot (2010). For simplicity, we fixed three of the four parameters of the profile, namely κIR the atmospheric opacity in the IR wavelengths, γ the ratio between the optical and IR opacity, and Tint the planetary internal temperature, while keeping Teq, the atmospheric equilibrium temperature, as a free parameter. We fixed the values to κIR = 10−1.5, γ = 10−0.85 and Tint = 100 so that the shape of the resulting profile would roughly resemble those found in the literature for HD 189733 b, more specifically from Sing et al. (2016); Brogi & Line (2019). Both hazes and a grey cloud deck can be included in the models, but here we neglected the hazes contribution given the NIR wavelength range of SPIRou. We did, however, include a grey cloud deck contribution, characterized by its cloud top pressure Pcloud (bar), as this can have a large effect on the contrasts/depths of spectral lines. Rayleigh 10 Boucher et al. scattering is included by default even though its contribution is not significant in the NIR. The models considered in our study are thus described by 3 free parameters: the water VMR, the temperature TP (K) of the isothermal atmosphere profile, and the cloud top pressure Pcloud (bar). Once a model is generated, we convolve it to the resolving power of SPIRou, 70 000, and bin it to match the observed data pixel sampling. 4. ATMOSPHERIC SIGNAL EXTRACTION: METHODS AND RESULTS Even with a high SNR SPIRou spectrum, individual planetary absorption lines are often weak and buried in the noise. To maximize the signal and the detection strength, we combine the signal from many lines via the cross-correlation and log-likelihood mapping techniques. This is why a maximum number of spectral lines is desired, which then justifies the need for a wide spectral range. In this work, we tested three specific approaches for detecting HD 189733 b’s signal and constraining its atmospheric parameters, but the models first need to be processed to better represent the data. In this section, we present how we process the models followed by the three approaches, i.e. the cross-correlation (and t-test), the log-likelihood mapping and MCMC retrieval. 4.1. Model processing At this point in the analysis, the planetary atmosphere signal was affected by all the processing steps that were applied to the data. This mostly concerns the subtraction of the PCs, which are generally not orthogonal to the planet transmission spectra. Their subtraction (step 5 from Section 3.2) may remove part of the actual planet signal and introduce artefacts in the spectral time series, which can then bias the determination of the best parameters (velocities, abundances, temperature, etc.). We thus need to apply the same treatment to the model before comparing it to the data to ensure a better representation. So instead of using the models directly for the cross-correlation, we use a processed model transit sequence. We proceed as follows: we generate full synthetic transit sequences by injecting the model spectrum (described in Section 3.3) in a reconstruction of the observed data. This reconstructed signal is built by multiplying together (i) the spectral median of every spectrum (for every order; same as step 1 from Section 3.2), (ii) the master-out spectrum and (iii) the PCA reconstructed version of the transmission spectrum, all of which are (mostly) planet signal free. We inject the model at vP (t), the total planet radial velocity, vP (t) = vbary (t)+vsys +vreflex,P (t)−vreflex (t)+vrad, (3) where vreflex,P (t) = KP sin[2π(φ(t))] is the radial part of orbital velocity of the planet and KP is the planet’s radial velocity semi-amplitude, and vrad is a constant additional velocity term to account for potential shifts. Since the spectra are in the pseudo-SRF (from step 2), here vbary (t) = vbary (tmid.exp. ). We can inject the models at different combinations of KP and vrad. Then, the relevant steps of the analysis are reapplied on the modeled transit sequence, i.e. 1, 5 and 6; step 2 is ignored since the reconstructed signal is already in the pseudo-SRF, so no additional shifts are needed; step 3 is ignored since the spectra are already masked (from the reconstructed spectra) so no additional masks are applied (this also excludes the sigma clipping parts in steps 1 and 6); and step 4 is ignored since the spectra are already normalized to the Master-Out continuum, and the Master-Out stays the same. For step 5, we project the PCs obtained with the real observations onto the synthetic transit sequence, and remove this reconstruction from the synthetic sequence. The effect of this process is to replicate in the model spectra, to the extent possible, the subtraction of the planet signal that occurs when subtracting the PCs from the actual data. After this PCs subtraction, we then remove the mean light curve for each order, as was done on the observed data. This synthetic, PCsand mean-subtracted time series (mi ) is then used to calculate the cross-correlation and log-likelihood. 4.2. Cross-Correlation The transmission model of the planet’s atmosphere can be cross-correlated with the observed planetary transmission spectra. If the model is adequate and the molecules in the model are present in the planet’s atmosphere, then there should be a peak in the crosscorrelation function (CCF) at the expected radial velocity of the planet, and, in subsequent exposures that peak should shift according to the orbital velocity of the planet. From a sequence of several exposures in transit, we can then isolate the signal from the planet by combining the correlation signal that comes only from the right radial velocity in each exposure. 4.2.1. Algorithm 11 Based on the equations in Gibson et al. (2020) (and also used in Nugroho et al. 2021), the CCF can be written as, 5.0 2000 1800, 1600 (4) which is equivalent to a weighted CCF, where fi are the observed values of the planetary transmission spectrum (described in Section 3.2) with associated uncertainties σi, mi are the model values (described in Sections 3.3 and 4.1), and θ is the model parameter vector, which includes the atmospheric model parameters and the applied orbital and systemic velocities (i.e. the Doppler shift at velocity vP (t)). The index i represents both time and wavelength, and the summation is done over N data points (number of unmasked pixels, N = 4 564 944 for Tr1 and N = 6 656 359 for Tr2). In practice, we first sum over wavelengths for each order, then over all orders, then over time. When summing over time, we apply a weighing to each spectrum according to a transit model of HD 189733 b, which takes into account that the planet’s signal is present only during the transit, while also being weaker during the ingress and egress. To build the transit model (transit depth at a given time), we use the equations from Mandel & Agol (2002), assuming a 4-parameters non-linear limb-darkening law (Claret 2000) with theoretical coefficients u1 = 0.9488, u2 = −0.5850, u3 = 0.3856, and u4 = −0.1318, based on 3D models of HD 189733 taken in Hayek et al. (2012) and valid for the H-band2. We note that using a variable limb-darkening law for the different parts of the spectrum would be more precise, but refrain from doing so for simplicity. In fact, going from a simple linear law to a non-linear one only had a minimal impact on the results. We used the ephemeris and system parameters listed in Table 2.
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Cross-Cultural Adaptation, Reliability, and Psychophysical Validation of the Pain and Sleep Questionnaire Three-Item Index in Finnish
Jani Mikkonen
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Cross-Cultural Adaptation, Reliability, and Psychophysical Validation of the Pain and Sleep Questionnaire Three-Item Index in Finnish Jani Mikkonen 1,2,* , Ville Leinonen 3,4 , Hannu Luomajoki 5, Diego Kaski 6, Saana Kupari 7, Mika Tarvainen 7,8, Tuomas Selander 9 and Olavi Airaksinen 2,10 1 Private Practice, Helsinki, Finland 2 Department of Surgery (Incl. Physiatry), Institute of Clinical Medicine, University of Eastern Finlan 70211 Kuopio, Finland; Olavi.Airaksinen@kuh.fi 2 Department of Surgery (Incl. Physiatry), Institute of Clinical Medicine, University of Eastern Finland, 70211 Kuopio, Finland; Olavi.Airaksinen@kuh.fi 3 Institute of Clinical Medicine-Neurosurgery, University of Eastern Finland, 70211 Kuopio, Finland; ville.leinonen@kuh.fi 4 3 Institute of Clinical Medicine-Neurosurgery, University of Eastern Finland, 70211 Kuopio, Finland; ville.leinonen@kuh.fi 4 Department of Neurosurgery, Kuopio University Hospital, 70211 Kuopio, Finland 5 ZHAW School of Health Professions, Zurich University of Applied Sciences, CH-8401 Winterthur, Switzerland; luom@zhaw.ch 6 Department of Clinical and Movement Neurosciences, University College London, London WC1E 6BT, UK; d.kaski@ucl.ac.uk 6 Department of Clinical and Movement Neurosciences, University College London, London WC1E 6BT, UK; d.kaski@ucl.ac.uk 7 Department of Applied Physics, University of Eastern Finland, 70211 Kuopio, Finland; saanaku@uef.fi(S.K.); mika.tarvainen@uef.fi(M.T.)   Citation: Mikkonen, J.; Leinonen, V.; Luomajoki, H.; Kaski, D.; Kupari, S.; Tarvainen, M.; Selander, T.; Airaksinen, O. Cross-Cultural Adaptation, Reliability, and Psychophysical Validation of the Pain and Sleep Questionnaire Three-Item Index in Finnish. J. Clin. Med. 2021, 10, 4887. https://doi.org/10.3390/ jcm10214887 Academic Editor: Jo Nijs Received: 6 September 2021 Accepted: 20 October 2021 Published: 23 October 2021 8 Department of Clinical Physiology and Nuclear Medicine, Kuopio University Hospital, 70211 Kuopio, Finland Journal of Clinical Medicine Journal of Clinical Medicine Journal of Clinical Medicine Journal of Clinical Medicine 1. Introduction Chronic low back pain (CLBP) is the leading disability globally [1]. More than half of patients with CLBP experience various sleep disturbances, such as problems falling asleep and staying asleep, waking up because of pain, difficulties getting back to sleep after awakening, restless sleep, fatigue after sleeping, insomnia, and/or restless legs syndrome [2,3]. Sleep disturbances have a fundamental effect on health and are associated with mental disorders such as anxiety; depression; numerous chronic systemic metabolic, cardiovascular, respiratory, and neurological diseases; and increased risk of certain types of cancer [4–6], as well as negative effects on short-term, day-to-day function, and well- being [7,8]. Reciprocal relationships between sleep disturbances and different chronic musculoskeletal pain conditions have also been well-established [9–11]; thus, there is a need for a concise, reliable, and valid patient-reported outcome measure (PROM) for clinical assessments and research to measure the direct effects of pain on sleep. The Pain and Sleep Questionnaire three-item index (PSQ-3), a three-question ques- tionnaire, was developed in 2012 [12] to directly assess the impact of pain on sleep during a one-week period. The three items are “1. How often have you had trouble falling asleep because of pain?”, “2. How often have you been awakened by pain during the night?”, and “3. How often have you been awakened by pain in the morning?”. The possible answers range on a scale from 0 indicating “never” to 100 representing “always”. Previous valida- tion of the PSQ-3 demonstrated good internal consistency and good structural validity for a one-factor model, but doubtful convergence validity [12,13]. A 2018 systematic review of PROMs for clinical assessment of sleep quality among patients with chronic pain reviewed twelve different questionnaires assessing sleep on six different pain populations [13]. The PSQ-3 has been validated for the CLBP population [12] and the Chronic Pain Sleep Inventory for patients with hip osteoarthritis [14]. Interestingly, these PROMs appear essentially identical, as the Chronic Pain Sleep Inventory includes three questions that are the same as the questions in the PSQ-3. There have been no previous cross-cultural validations of the PSQ-3 or Chronic Pain Sleep Inventory. Overall, only one cross-cultural validation has previously been performed for the twelve PROMs for the effect of pain on sleep [13]. Sleep quality and disturbances have several significant effects on daytime functions, such as increased postural control instability [15–17] and subjective symptoms such as dizziness [18].   9 Science Service Center, Kuopio University Hospital, 70211 Kuopio, Finland; tuomas.selander@kuh.fi 10 Department of Physical and Rehabilitation Medicine, Kuopio University Hospital, 70211 Kuopio, Finland * Correspondence: jani@selkakuntoutus.fi 9 Science Service Center, Kuopio University Hospital, 70211 Kuopio, Finland; tuomas.selander@kuh.fi 10 Department of Physical and Rehabilitation Medicine, Kuopio University Hospital, 70211 Kuopio, Finland * Correspondence: jani@selkakuntoutus.fi Abstract: Reciprocal relationships between chronic musculoskeletal pain and various sleep distur- bances are well established. The Pain and Sleep Questionnaire three-item index (PSQ-3) is a concise, valid, and reliable patient-reported outcome measure (PROM) that directly evaluates how sleep is affected by chronic low back pain (CLBP). Translation and cross-cultural validation of The Pain and Sleep Questionnaire three-item index Finnish version (PSQ-3-FI) were conducted according to established guidelines. The validation sample was 229 subjects, including 42 pain-free controls and 187 subjects with chronic musculoskeletal pain. Our aims were to evaluate internal consistency, test–retest reliability, measurement error, structural validity, convergent validity, and discriminative validity and, furthermore, to study the relationships between dizziness, postural control on a force plate, and objective sleep quality metrics and total PSQ-3-FI score. The PSQ-3-FI demonstrated good internal consistency, excellent test–retest reliability, and small measurement error. Confirmatory factor analysis confirmed acceptable fit indices to a one-factor model. Convergent validity indicated fair to good correlation with pain history and well-established pain-related PROMs. The PSQ-3-FI total score successfully distinguished between the groups with no pain, single-site pain, and multisite pain. A higher prevalence of dizziness, more impaired postural control, and a general trend towards poorer sleep quality were observed among subjects with higher PSQ-3-FI scores. Postural control instability was more evident in eyes-open tests. The Finnish PSQ-3 translation was successfully cross-culturally adapted and validated. The PSQ-3-FI appears to be a valid and reliable PROM for the Finnish-speaking CLBP population. More widespread implementation of PSQ-3 would lead to better understanding of the direct effects of pain on sleep. Publisher’s Note: MDPI stays neutral with regard to jurisdictional claims in published maps and institutional affil- iations. Copyright: © 2021 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (https:// creativecommons.org/licenses/by/ Keywords: pain; chronic low back pain; sleep; questionnaire; cross-cultural validation; patient-reported outcome measure; postural control; dizziness; actigraphy; sleep quality creativecommons.org/licenses/by/ J. Clin. Med. 2021, 10, 4887. https://doi.org/10.3390/jcm10214887 https://www.mdpi.com/journal/jcm J. Clin. Med. 2021, 10, 4887 2 of 21 2. Materials and Methods Ethical approval for this study was obtained from the Research Ethics Committee of the Northern Savo Hospital District (identification number, 1106/13.02.00/2018). Written informed consent was obtained from all subjects before the study began, and the study was conducted in accordance with the Declaration of Helsinki. This validation study adhered, where applicable, to the Consensus-based Standards for the selection of health Measurement Instruments (COSMIN) checklist to ensure the methodological quality of studies on measurement instruments [27,28]. 2.1. Study Subjects The subjects for this study were recruited via advertisements on the website of the private chiropractic practice where this study was performed, as well as the websites and social media accounts of a variety of national Finnish musculoskeletal pain and spine- related organizations and colleagues involved in healthcare. All subjects from the general population who met the study inclusion criteria were invited to participate, regardless of whether they experienced pain or not. The inclusion criteria were: (1) age 18 to 65 years old and (2) proficient in written and spoken Finnish. The exclusion criteria were: (1) a history of cancer or (2) a history of trauma or conditions involving the central nervous system, including dementia, Alzheimer’s disease, and multiple sclerosis. A total of 257 subjects provided informed consent to participate in the study and booked a clinical appointment using the online booking system. 1. Introduction Postural control instability can be objectively studied using a force plate, which is a mechanical sensing system designed to measure the ground reaction forces and moments involved in postural control [19]. Diagnosis of dizziness is mostly based on patient-reported symptoms, and there is no single objective clinical test to diagnose or classify dizziness into different subtypes [20,21]. Due to previous studies showing associations between sleep disturbances and postural control instability and dizziness, we hypothesized that there may be potential relationships between higher PSQ-3 scores and postural instability and an increased prevalence of subjective dizziness. Despite the known effects of poor sleep on balance and vestibular function, the relationships between PSQ-3 scores and postural stability and subjective dizziness have never been formally explored. Objective sleep quality can be directly assessed via actigraphy, which monitors activity and rest cycles based on movement (accelerometer) data [22]. Sleep-wake patterns are evaluated by determining activity counts using scoring algorithms [22,23]. Frequently used measures of the continuity of sleep in various conditions include the total sleep time, sleep efficiency, and amount and duration of awakenings [24]. Previous studies have reported associations between various other pain–sleep questionnaires and actigraphy measurements among subjects with chronic musculoskeletal pain [2,25,26]; however, the relationship between actigraphy measurements and the PSQ-3 has not yet been studied. Hence, actigraphy measurements were also included in this study. The study aimed to translate and cross-culturally adapt the PSQ-3 into Finnish (PSQ-3-FI) and to evaluate its reliability (internal consistency, test–retest reliability, and measurement error), structural validity for a one-factor model, convergence validity (based J. Clin. Med. 2021, 10, 4887 3 of 21 on its correlation with pain history, prevalence of dizziness history, The Central Sensiti- zation Inventory (CSI), The Tampa Scale of Kinesiophobia (TSK), The Depression Scale (DEPS), the 5-level EQ-5D version of the EuroQol (EQ-5D-5L), and The Roland–Morris Disability Questionnaire (RMDQ)), and discriminative validity. We also investigated the relationships between the PSQ-3-FI and subjective dizziness, postural control on a force plate and objective sleep quality. 2.2. Translation and Cross-Cultural Adaptation of the PSQ-3 Translation and cross-cultural validation of the Finnish CSI were conducted following standard guidelines and included forward–backward translation [29]. Permission to trans- late the PSQ-3 into Finnish was granted by the first author of the study, who identified the one-factor structure of the PSQ-3 [12]. The PSQ-3 was initially translated from English into Finnish by the first author (JM; completed undergraduate and postgraduate degrees in English-speaking countries) and a professional translator specializing in medical and healthcare texts, both of whom are native Finnish speakers and were blinded to the other’s translations. Then, an expert panel composed of the second (VL) and third (HL) authors independently reviewed the initial translations, selected the most appropriate translations, and suggested and discussed changes for one item with the first author. A small number of minor changes in wording were made. Next, the translated version was back-translated by another native English-speaking professional translator who is fluent in Finnish; this translator was naïve to the purpose of this study and the PSQ-3. The backtranslation was assessed and approved by the author of the original English version of the PSQ-3, who is a native English speaker, and some final changes in the wording of the content were made. F ll h f l d f h l PSQ FI d Finally, the face validity of the provisional PSQ-3-FI was assessed among twenty subjects with chronic musculoskeletal pain, who were informed of the purpose of this study and were requested to provide non-structured verbal or written feedback on each item on the provisional PSQ-3-FI. All subjects provided positive feedback on their comprehension of each of the items of the PSQ-3-FI and completed the questionnaire without difficulties. The Finnish version of PSQ-3 can be found in Appendix A. J. Clin. Med. 2021, 10, 4887 4 of 21 2.3.1. Subject-Reported Pain History Questions 2.3.1. Subject-Reported Pain History Questions Each subject completed a structured web-based pain history, which asked dichoto- mous (yes/no) questions related to the presence of chronic low back pain, referred pain to leg or leg pain (if “yes” to chronic low back), presence of other chronic musculoskeletal pain, chronic headaches, and history of a rheumatic disease previously diagnosed by a physician. Subjects who reported pain were also asked to rate the severity of their pain on a numerical pain scale ranging from 0–10 and to indicate the duration of pain in months. 2.3. Data Collection 2.3. Data Collection Data were collected from May 2019 until March 2020 at a single private chiroprac- tic practice. During each individual’s clinical visit, objective clinical measurements of postural control were obtained using a force plate. After returning home, subjects were instructed to complete an online web-based form to collect demographic information (age, gender, weight, height, and pain history) and to fill in clinical questionnaires, including the PSQ-3-FI. During the data analysis phase, body mass index was calculated for each subject based on their self-reported height and weight. The total sample size for PSQ-3-FI validation was determined by the ratio of the number of items in each measure, which was 76.7 and hence exceeded recommended range from 2 to 20 items in each measure [30]. To assess test–retest reliability, the subjects were emailed and invited to complete the PSQ-3-FI again 7 ± 1 days after completing the initial questionnaires. The email invitations were stopped after 104 subjects had completed the PSQ-3-FI twice. The ratio of the number of items in each measure to the sample size for evaluating test–retest reliability was 1:34.7. Therefore, the recommended 1:5 ratio was satisfied [31]. All test–retest participants were asked to avoid starting any new types of pain medication and/or physical treatment, when ethically possible, during the 7 ± 1-day gap between administration of the tests. Actigraphy data were collected between December 2019 to March 2020 and August 2020 to November 2020; 24 h actigraphy data were always collected from a Tuesday afternoon until the next Wednesday. The break in actigraphy data collection was due to the COVID-19 outbreak in Finland. 2.3.2. Patient-Reported Clinical Outcome Measures The three-item PSQ-3 sleep questionnaire was designed to measure the impact of chronic pain on sleep over the previous seven days [12]. The three questions are “1. How often have you had trouble falling asleep because of pain?”, “2. How often have you been awakened by pain during the night?”, and “3. How often have you been awakened by pain in the morning?”. We translated these items into Finnish for this study. The original PSQ-3 employed a visual analog scale that ranges from 0 to 100 mm. However, due to the difficulty of representing a visual analog scale in a universal digital format, we adopted a numerical eleven-point rating scale (NRPS) from 0 to 10 for the Finnish version. In both the original and Finnish versions, 0 indicates “never” and 100 mm or 10 on the numerical scale represents “always.” Thus, the final score for the PSQ-3-FI ranges from 0 to 30 rather than 0 to 300. The eleven-point numerical pain scale (NPRS) assesses pain on a scale ranging from 0 (no pain at all) to 10 (worst pain imaginable) [32]. Chronic pain was defined as more than three days of pain every week for more than three months. The Central Sensitization Inventory (CSI) questionnaire contains two parts [33]. Part A is composed of 25 questions in which the frequency of CS-related symptomology is rated on a Likert-like scale from 0 (never) to 4 (always). The total score ranges from 0 to 100; higher scores indicate a higher frequency and number of CS-related symptoms. [34]. Part B includes “No/Yes” and “year diagnosed” questions about previous diagnoses of ten central sensitization syndromes or related diagnoses; Part B is not scored [35]. The CSI was previously translated into Finnish and validated in the Finnish population [36]. The 17-item Tampa Scale of Kinesiophobia (TSK) is used to assess subjective kine- siophobia (fear of movement). Each item is rated as: 1 = strongly disagree, 2 = disagree, J. Clin. Med. 2021, 10, 4887 5 of 21 3 = agree, or 4 = strongly agree. The possible scores range from 17 to 68; higher scores indicate more severe kinesiophobia [37]. The TSK was previously translated into Finnish and validated in the Finnish population [38]. The 10-item Depression Scale (DEPS) was designed to assess depressive symptoms. 2.3.2. Patient-Reported Clinical Outcome Measures Each item response is rated on a four-point Likert scale as: 0 = not at all, 1 = a little, 2 = quite a lot, or 3 = extremely. Higher scores (range, 0 and 30) indicate a higher possibility of a diagnosis of a major depressive disorder [39]. The DEPS has been validated for patients with CLBP [40]. Health-related quality of life was assessed using the Finnish translation of the 5-level EQ-5D version of the EuroQol (EQ-5D-5L) questionnaire [41], which provides a simple descriptive profile of a respondent’s health status over five dimensions: mobility, self-care, usual activities, pain/discomfort, and anxiety/depression. Each dimension is rated as: 0 = no problems, 1 = slight problems, 2 = moderate problems, 3 = severe problems, or 4 = unable to/extreme problems. The EQ-5D-5L also includes the EQ visual analog scale (EQ VAS), which assesses the respondent’s current overall health status using a visual, vertical analog scale that ranges from 0 (dead) to 1 (full health) [41]. The index value between 0 and 1 is calculated. A standard value set has not yet been defined for the Finnish population; therefore, as recommended by the EuroQol EQ-5D-5L User Guide, the index values for this study were calculated using a Danish value set [42]. y g The 24-item Roland–Morris Disability Questionnaire (RMDQ) is an extensively val- idated questionnaire of disability among patients with chronic low back pain [43]. The RMDQ score is obtained by summing up the number of low-back-pain-related daily activity disabilities to which the respondents check “yes”. A higher total score (range, 0 to 24) suggests a higher extent of low back pain related-disability [44]. 2.3.3. Subjective Dizziness Structured Interview 2.3.3. Subjective Dizziness Structured Interview In agreement with the literature, where dizziness is based on symptoms rather than a clinical diagnosis of a specific vestibular or neuromusculoskeletal condition [45], structured interviews were conducted during the clinical visit to assess the subject’s history of dizzi- ness in the previous year. The questions were “Do you suffer dizziness at the moment? Have you suffered dizziness during the last 12 months? Dizziness means an abnormal sensation causing disability for more than one day, which is not the same as normal brief light-headedness when standing up quickly”. We asked further questions to all subjects who had experienced dizziness resulting in disability that had persisted for more than 24 h (n = 52; 23%) to classify the symptoms of dizziness into seven categories: 1. off balance or unsteadiness, 2. Light-headedness, 3. feeling as if passing out, 4. spinning or vertigo, 5. floating or tilting sensation, 6. blurring of vision when moving the head, or 7. other types. This classification was based on recent dizziness subtype research [45]. 2.3.4. Clinical Tests of Postural Control Using a Force Plate 2.3.4. Clinical Tests of Postural Control Using a Force Plate The cohort of subjects who reported pain was divided into two groups according to their PSQ-3-FI score. As there are no established PSQ-3 cut-off scores for different severity classes of the effect of pain on sleep, we classified the subjects on two groups based on a PSQ-3-FI score of 4 or less (cumulative 48%; n = 110) or a score of 5 or more (cumulative 52%; n = 119). Postural stability was measured with a four-channel portable computerized force plate (BT4; HUR Labs Oy, Tampere, Finland). As the subjects completed the questionnaires after their clinical visit, the assessor was blinded to the participants’ pain history and questionnaire scores. Postural control measurements included length, area, and velocity of center of pressure (COP) displacement, which are the most commonly used parameters for postural control in previous quality of sleep and postural control-related studies [15,16]. Various postural control parameters describe the neuromuscular response to shifts in the body’s center of mass measured on the force plate [19]. J. Clin. Med. 2021, 10, 4887 6 of 21 The postural control tests were carried out in the same room under identical conditions for all subjects, including the distance to the opposite wall and lighting. The force plate was calibrated before each individual’s measurement. All subjects were instructed to stand barefoot, with their feet as close together as comfortably possible. If the subjects found this stance unnatural, they were instructed to place their feet farther apart to create a more stable and natural-feeling standing stance. Small variations in foot stance should not affect the results of bipedal balance tests [46]. The subjects were instructed to look straight ahead and try to maintain a steady posture in a relaxed manner, with their arms at their sides in a relaxed position. There was no clear fixation point for gaze, and the opposite wall was more than three meters away. Four postural control tests were carried out in the same non-randomized order: eyes open on a stable surface (EOS), eyes closed on a stable surface (ECS), eyes open on an unstable foam surface (EOU), and eyes closed on an unstable foam surface (ECU). The protocol for the bipedal standing tests was similar to the Modified Clinical Test of Sensory Interaction in balance (CTSIB-M) protocol, except each test lasted 60 s and was conducted once. 2.3.4. Clinical Tests of Postural Control Using a Force Plate Sixty seconds is the most commonly used measurement time for the bipedal standing test for the CLBP population [47]. The CTSIB-M has been shown to be a reliable, valid test in adults with vestibular disorders [48]. No similar protocol has been recommended or validated for the CLBP population [49]. A five-second pre-phase period was employed before the actual COP measurement of 60 s. Additionally, there was a short designated resting period between each test, when the instructions for the next test were repeated, and the subjects had to step off the postural plate between the second and third tests to allow the balance pad to be placed on the plate. The sampling frequency was set to 50 Hz, as recommended by the manufacturer, to obtain a balance between consistent data acquisition and manageable data size. A rectangular, high-density (50 kg/m3) closed-cell Airex Balance Pad (delivered by the manufacturer with the force plate) was used in all tests requiring a foam surface to provide an unstable surface. 2.3.5. Sleep Quality Recordings Sleep activity was measured with a ActiGraph GT9X link research-grade activity bracelet (ActiGraph LLC., Pensacola, FL, USA) over 24 h and the data were analyzed with Actilife 6.0 analysis software (ActiGraph LLC., USA). The following five parameters were selected to represent sleep quality: 1. total sleep time, 2. sleep efficiency, i.e., the ratio between the total sleep time and time spent in bed, 3. the number of awakenings lasting more than one minute, 4. average awakening length, and 5. the number of awakenings greater than or equal to five minutes. PSQ-3 validation data were collected simultaneously with data for validation of the Finnish version of the CSI. The subjects with the lowest and highest CSI and PSQ-3-FI scores were also invited to participate in this study. The recruitment process was stopped when the required 40 subjects were recruited and both groups included an almost equal number of subjects. The recruited subjects were divided into two groups based on their PSQ-3 scores: (1) a group with PSQ-3 scores ≤4 (n = 19) and (2) a group with scores ≥5 (n = 21). Similar numbers of subjects were assessed in previous studies of comparable subject cohorts to compare activity measures between two groups [50,51]. 3.2. Reliability Internal consistency (Cronbach’s alpha) was good (0.83 and ICC 0.61; 95% CI 0.55–0.68) and the ICC indicated test–retest reliability was excellent (0.91 and ICC 0.62; 95% CI 0.54–0.70). The inter-item correlation was 0.56 between items one and two, 0.73 between items two and three, and 0.53 between items one and three. The SEM for the change in PSQ-3 score between baseline and the second administration was calculated to be 1.28 and the SDC was 2.56. Details of the PSQ-3 scores and reliability data are presented in Table 1. 3.1. Total Sample There were no missing items in the data, as the electronic questionnaires automatically reminded the respondents if any items were missing. Three subjects were excluded because they did not complete the study questionnaires as instructed during the clinical appointments. Five additional subjects were excluded as they had clear signs and symptoms of undiagnosed neurological pathological conditions affecting the central nervous system. Thus, the total number of participants included in this study was 249 (67 males and 162 females). Twenty of these participants only provided feedback on the face validity of the Finnish translation of the PSQ-3, and 229 subjects completed the psychometric validation portion of the study. The age range of the subjects was 20 to 65 years old (mean ± SD; 44.5 ± 11.7), and body mass index ranged from 25.6 to 45.2 (mean ± SD; 25.6 ± 4.8). The total cohort was divided into different subsamples for various analyses to test discriminative ability, postural control on the force plate, and sleep quality via actigraphy. The flow chart of subject recruitment and assessment is shown in Figure 1. 2.4. Statistical Methods Statistical analysis was performed using SPSS version 25 (IBM SPSS Statistics for Windows, Version 25.0. IBM Corp., Armonk, NY, USA), R statistical software version 4.0.4 was used for factor analysis, and sleep quality analysis was conducted using MATLAB (R2019b, MathWorks, Natick, MA, USA). Statistical significance was defined as p < 0.05. Data are reported as percentages or means with standard deviations (mean ± SD). Cron- bach’s alpha was used to assess internal consistency; an alpha value between 0.70 and 0.90 was considered good, and higher than 0.90 was considered excellent. Test–retest reliability was calculated by determining the intraclass correlation coefficient (ICC) for the second J. Clin. Med. 2021, 10, 4887 7 of 21 PSQ-3-FI administration 7 ± 1 days later. ICC values ≤0.40 are considered to indicate fair reliability; 0.41–0.60, moderate reliability; 0.61–0.80, substantial reliability; and ≥0.81, excellent reliability. ICCs are reported with 95% confidence intervals (CI). Standard error of measurement (SEM) was calculated using the formula standard deviation × square root (1-ICC), where SD = the standard deviation for the change in PSQ-3 score from baseline to second administration. The smallest detectable change (SDC) was calculated using the formula SEM × 2. Confirmatory factor analysis (CFA) with ordinal variables in a one-factor model was used to investigate the validity of five variables with appropriate goodness-of-fit indices. Spearman’s correlation coefficients were used to investigate the convergent validity of the PSQ-3-FI by calculating the associations between total PSQ-3-FI scores and the scores on the CSI, TSK, DEPS, EQ-5D-5L, RMDQ, and pain history questions. The strengths of the correlations were interpreted as little or no correlation (Rs < 0.25), fair (0.25 > Rs ≤0.50), moderate to good (0.50 > Rs ≤0.75), or good to excellent (Rs > 0.75). The normality of the data was assessed using the Shapiro–Wilks and Kolmogorov–Smirnov tests. Group comparisons for normally distributed variables were performed using two-sample t-tests or repeated-measures ANOVA followed by the post hoc least significant difference (LSD) test. Categorical variables were compared using Fisher’s exact tests. The minimum required sample size for postural control comparison between groups was calculated with average means and estimated standard deviation from the review comparing pain-free controls and subjects with low back pain [47]. The two-tailed hypothesis was calculated on two independent study groups with 0.05 probability of type I error, 0.80 effect size, and 0.8 statistical power. 2.4. Statistical Methods The calculation revealed that at least 25 subjects had to be included in each group. 3.3. Structure Validation 8 of 21 Agreed to participate in the study N = 257 Participated in data collection, including postural control tests and study questionnaires N = 237 Final sample used for the psychometric evaluation of the PSQ-3-FI N = 229 Subjects divided into three subgroups for assessment of discriminant validity: Pain free control subjects N = 42 Single body area chronic pain N = 79 Multisite chronic pain N = 108 Used only for assessment of face validity of the CSI- FI N = 20 Excluded N = 8 5 undiagnosed central nervous system conditions 3 did not complete all the study questionnaires Subjects divided in two subgroups based on PSQ-3- FI total scores for the purpose of postural control assessment: PSQ-3-FI ≤4 N = 110 PSQ-3-FI ≥5 group N = 119 Subgroup (N=40) subjects divided in two subgroups based on PSQ-3-FI total scores for the objective sleep quality assessment: PSQ-3-FI ≤4 N = 21 PSQ-3-FI ≥5 group N = 19 Agreed to participate in the study N = 257 Used only for assessment of face validity of the CSI- FI N = 20 Participated in data collection, including postural control tests and study questionnaires N = 237 Subjects divided into three subgroups for assessment of discriminant validity: Pain free control subjects N = 42 Single body area chronic pain N = 79 Multisite chronic pain N = 108 Subjects divided in two subgroups based on PSQ-3- FI total scores for the purpose of postural control assessment: PSQ-3-FI ≤4 N = 110 PSQ-3-FI ≥5 group N = 119 Subgroup (N=40) subjects divided in two subgroups based on PSQ-3-FI total scores for the objective sleep quality assessment: PSQ-3-FI ≤4 N = 21 PSQ-3-FI ≥5 group N = 19 1. Flow chart of subjects. Figure 1. Flow chart of subjects. eliability nternal consistency (Cronbach’s alpha) was good (0.83 and ICC 0.61; 95% CI 0.55– and the ICC indicated test–retest reliability was excellent (0.91 and ICC 0.62; 95% CI 0.70). The inter-item correlation was 0.56 between items one and two, 0.73 between two and three, and 0.53 between items one and three. The SEM for the change in 3 score between baseline and the second administration was calculated to be 1.28 and DC was 2.56. Details of the PSQ-3 scores and reliability data are presented in Table 1. Mean Pain and Sleep Questionnaire three-item index (PSQ-3-FI) scores. 3.3. Structure Validation The Kaiser–Meyer–Olkin measure (0.68) and Bartlett’s test of sphericity (p < 0.001) indicated that factor analysis was appropriate for this study sample. CFA analysis was carried out with ordinal variables to evaluate the fit of the indices to a one-factor model. As the PSQ-3 is a three-item PROM, the minimum number of items required for a one-factor J. Clin. Med. 2021, 10, 4887 8 of 21 model, no other factor model was considered. Additionally, the ratio of items per subject (1:76) exceeded the minimum ratio required (1:10) [52,53]. The recommended values for the fit indices and the CFA values for the one-factor model are presented in Table 2. 8 of 21 model, no other factor model was considered. Additionally, the ratio of items per subject (1:76) exceeded the minimum ratio required (1:10) [52,53]. The recommended values for the fit indices and the CFA values for the one-factor model are presented in Table 2. estion Item Confidence interval (CI); Intraclass correlation (ICC). 3.3. Structure Validation ti It M (95% CI) R ICC Table 1. Mean Pain and Sleep Questionnaire three-item index (PSQ-3-FI) scores. Question Item Mean (95% CI) Range ICC 1 How often have you had trouble falling asleep because of pain? 2.5 (2.1–2.8) 0–9 0.55 2 How often have you been awakened by pain during the night? 2.4 (2.0–2.8) 0–10 0.52 3 How often have you been awakened by pain in the morning? 2.0 (1.7–2.4) 0–10 0.74 Total 6.9 (6.0–7.8) 0–32 0.61 Confidence interval (CI); Intraclass correlation (ICC). liability Table 1. Mean Pain and Sleep Questionnaire three-item index (PSQ-3-FI) scores. J. Clin. Med. 2021, 10, 4887 9 of 21 Table 2. Confirmatory factor analysis fit indices for the one-factor model. Fit Index Recommended Value Value Not Acceptable/ Acceptable Chi-Square >0.05 p-value, 0.041 Not acceptable CFI >0.95 0.985 Acceptable TLI >0.95 0.978 Acceptable RMSEA <0.05 ICC 0.098; 95% CI 0.017–0.188; p-value 0.127 Acceptable SRMR <0.08 0.07 Acceptable Comparative fit index (CFI); Tucker–Lewis index (TLI); Root mean square error of approximation (RMSEA); Standardized Root Mean Square Residual (SRMR). Table 2. Confirmatory factor analysis fit indices for the one-factor model. 3.5. Discriminative Validity of the PSQ-3-FI Of the total of 229 subjects, 42 (18.7%) reported no pain and were categorized as a control group. Specifically, the pain-free control subjects reported no CLBP, no radicular pain, a score of 0/10 on the pain scale, 0 months of pain history, no other chronic mus- culoskeletal pain, and no chronic headaches. The remainder of the subjects (187; 81.3%) reported chronic pain, of whom 161 (86%) reported CLBP. No subjects reported acute or subacute pain. Of the 187 subjects with chronic pain, 79 (34%) reported pain in a single body area only (CLBP group without leg referral or other chronic musculoskeletal pain or chronic headaches), and 108 (47%) reported multisite chronic pain (two or more of the following: CLBP with or without radiculopathy, other chronic musculoskeletal pain, and/or chronic headaches). The comparisons of the demographics and clinical features of the groups presented in Table 4 revealed statistically significant differences in the PSQ-3-FI score between the pain-free control group, single chronic pain group, and multisite chronic pain group. Table 4. Demographics and discriminative validity of the PSQ-3 among the three subgroups (n = 229). Pain-Free Control Group (n = 42) Chronic Pain in a Single Body Area (n = 79) Multisite Pain (Two or More Chronic Pain Locations) (n = 108) p-Value One-Way ANOVA Comparison between Three Groups; Post Hoc LSD Age (years) 40.2 ± 10.6 44.5 ± 11.6 46.1 ± 12.0 0.02 * b (0.005 *) Male/female (n/n) 13/29 31/48 23/85 0.03 * c (0.008 *) Height (cm) 171.3 ± 8.2 172.6 ± 9.9 170.1 ± 9.2 0.18 Weight (kg) 76.6 ± 15.9 76.1 ± 19.3 74.4 ± 15.4 0.71 BMI 26.0 ± 4.8 25.2 ± 4.8 25.8 ± 4.9 0.66 PSQ-3-FI 2.0 ± 3.6 6.2 ± 6.6 9.3 ± 7.4 <0.001 * a (0.01 *) b (<0.001 *) c (0.01 *) One-Way ANOVA post hoc comparison based on Fisher’s Least Significant Difference (LSD). Statistical significance, p < 0.05 *. Comparison between control group without pain and single body area pain (a), between the control group without pain and multisite pain (b), and between single body area pain and multisite pain (c). Body mass index (BMI). Table 4. Demographics and discriminative validity of the PSQ-3 among the three subgroups (n = 229). Table 4. Demographics and discriminative validity of the PSQ-3 among the three sub cs and discriminative validity of the PSQ-3 among the three subgroups (n = 229). 3.4. Convergent Validity of the PSQ-3-FI As shown in Table 3, fair to good correlations were observed between the PSQ-3-FI and the Tampa Scale of Kinesiophobia, the Depression scale, and the 5-level EQ-5D. Moderate to good correlations were obtained between the PSQ-3-FI and the Roland–Morris disability questionnaire and Central Sensitization Inventory. Table 3. Correlations between total PSQ-3-FI scores and subject-reported outcome measures, history, and postural control test parameters (n = 229). Table 3. Correlations between total PSQ-3-FI scores and subject-reported outcome measures, history, and postural control test parameters (n = 229). Table 3. Correlations between total PSQ-3-FI scores and subject-reported outcome measures, history, and postural control test parameters (n = 229). Clinical Variables Correlation (ρ) with PSQ-3 Total Score Subject-reported outcome measures Tampa scale of kinesiophobia (TSK) 0.41 * Depression scale (DEPS) 0.305 * The Roland–Morris disability questionnaire (RMDQ) 0.54 ** The Central Sensitization Inventory (CSI) 0.51 ** EuroQol The 5-level EQ-5D version (EQ-5D-5L) −0.44 * History Chronic low back pain 0.39 * Pain referral to leg 0.32 * Other chronic musculoskeletal pain 0.31 * Numerical pain scale 0.50 * Pain duration in months 0.33 * Chronic headache 0.18 Dizziness in past 12 months 0.16 Postural control EOS Length of sway 0.13 Area of sway 0.13 Velocity of sway 0.13 Postural control ECS Length of sway 0.08 Area of sway 0.20 Velocity of sway 0.08 J. Clin. Med. 2021, 10, 4887 10 of 21 Table 3. Cont. Clinical Variables Correlation (ρ) with PSQ-3 Total Score Postural control EOU Length of sway 0.12 Area of sway 0.19 Velocity of sway 0.12 Postural control ECU Length of sway 0.02 Area of sway 0.14 Velocity of sway 0.02 The Spearman’s rank correlation coefficient (ρ). Little or no correlation (ρ < 0.25), fair correlation (0.25 > ρ ≤0.50) *, moderate to good correlation (0.50 > ρ ≤0.75) **. Eyes open on a stable surface (EOS); eyes closed on a stable surface (ECS); eyes open on an unstable foam surface (EOU); eyes closed on an unstable foam surface (ECU). Table 3. Cont. Table 3. Cont. 3.5. Discriminative Validity of the PSQ-3-FI 3.5. Discriminative Validity of the PSQ-3-FI One-Way ANOVA post hoc comparison based on Fisher’s Least Significant Difference (LSD). Statistical significance, p < 0.05 *. Comparison between control group without pain and single body area pain (a), between the control group without pain and multisite pain (b), and between single body area pain and multisite pain (c). Body mass index (BMI). The total cohort was divided into two subgroups according to PSQ-3-FI score, namely ≤4 (48%; n = 110) or ≥5 (52%; n = 119). The only significant demographic difference between these groups was age, with the ≥5 subgroup being older (mean ± SD; 42.6 ± 10.9 vs. mean ± SD; 46.2 ± 12.2; p = 0.03). None of the subjects reported dizziness at the same time the postural control tests were carried out. J. Clin. Med. 2021, 10, 4887 11 of 21 11 of 21 In the PSQ-3-FI score ≤4 group, 18 subjects reported dizziness and 92 reported no dizziness (dizziness:no dizziness ratio: 1:5.1) over the previous 12 months. In the PSQ-3-FI score ≥5 group, 34 subjects reported dizziness and 84 reported no dizziness (ratio: 1:2.4) over the previous 12 months. Group comparisons showed the prevalence of dizziness was significantly higher (p = 0.03) in the higher PSQ-3-FI score group. The subtypes of dizziness were classified into seven classifications (Table 5). Table 5. Comparison of the PSQ-3-FI score ≤4 and ≥5 groups (n = 229). PSQ-3-FI ≤4 (n = 110) PSQ-3-FI ≥5 (n = 119) p-Value Age (years) 42.6 ± 11.0 46.2 ± 12.2 0.02 * Height (cm) 171.1 ± 8.8 171.3 ± 9.8 0.85 Weight (kg) 74.3 ± 15.3 76.4 ± 18.3 0.34 BMI 25.3 ± 4.7 25.9 ± 5.0 0.33 PSQ-3-FI 1.22 ± 1.4 12.1 ± 6.1 0.001 * Male/female (n/n) 35/75 32/87 0.47 Dizziness in past 12 months, no/yes 92/18 85/34 0.03 * Dizziness subtypes, n (%) 1. Off balance or unsteadiness 4 (22%) 2 (6%) 2. Light-headedness 7 (40%) 5 (15%) 3. Feeling as if passing out 0 8 (24%) 4. Spinning or vertigo 2 (10%) 4 (12%) 5. Floating or tilting sensation 5 (28%) 12 (34%) 6. Blurring of vision when moving the head 0 3 (9%) 7. Other 0 0 One-Way ANOVA and Fisher’s exact tests; statistical significance, p < 0.05 *. Body mass index (BMI). Table 5. Comparison of the PSQ-3-FI score ≤4 and ≥5 groups (n = 229). 3.5. Discriminative Validity of the PSQ-3-FI The results of postural control tests on the force plate for the PSQ-3-FI score ≤4 or ≥5 groups are compared in Table 6. The higher-score PSQ-3-FI group consistently exhibited (in 12 out of 12 tests) greater postural control impairment, with significant differences observed between the two PSQ-3 groups in the majority (7/12; 58%) of tests. Significant differences were observed between groups for all tests performed with eyes open (6/6; 100%). The only significant difference between groups in eyes-closed tests was observed on the stable surface (Figure 2). Table 6. Postural control on the force plate for the PSQ-3-FI score ≤4 and ≥5 groups (n = 229). Test PSQ-3 Group Mean ± SD p-Value Length of sway (mm) EOS ≤4 547 ± 150 0.048 * ≥5 592 ± 186 ECS ≤4 891 ± 452 0.34 ≥5 940 ± 349 EOU ≤4 826 ± 220 0.04 * ≥5 860 ± 240 ECU ≤4 1794 ± 645 0.80 ≥5 1805 ± 638 Table 6. Postural control on the force plate for the PSQ-3-FI score ≤4 and ≥5 groups (n = 229). 12 of 21 J. Clin. Med. 2021, 10, 4887 Table 6. Cont. Test PSQ-3 Group Mean ± SD p-Value Area of sway (mm2) EOS ≤4 258 ± 138 0.04 * ≥5 303 ± 178 ECS ≤4 364 ± 253 0.002 * ≥5 503 ± 383 EOU ≤4 438 ± 218 0.012 * ≥5 518 ± 260 ECU ≤4 1029 ± 540 0.08 ≥5 1170 ± 659 Velocity of sway (mm/s) EOS ≤4 9.1 ± 2.5 0.048 * ≥5 9.9 ± 3.1 ECS ≤4 14.9 ± 7.5 0.35 ≥5 15.7 ± 5.8 EOU ≤4 13.8 ± 3.7 0.036 * ≥5 14.9 ± 4.2 ECU ≤4 29.9 ± 10.7 0.802 ≥5 30.3 ± 10.6 Eyes open on a stable surface (EOS); eyes closed on a stable surface (ECS); eyes open on an unstable foam surface (EOU); eyes closed on an unstable foam surface (ECU). Repeated measures ANOVA and post hoc Least Significant Difference (LSD); statistical significance p < 0 05 * 13 of 21 Table 6. Cont. al control on PSQ-3-FI gro 3.7. Objective Sleep Quality leep Quality meters representing sleep quality are presented in Table 7 for the lower and FI score groups. The average awakening length was longer in the group SQ-3-FI score (PSQ-3-FI ≥ 5) compared to the group with lower PSQ-3-FI her four sleep quality parameters total sleep time sleep efficiency and The parameters representing sleep quality are presented in Table 7 for the lower and higher PSQ-3-FI score groups. The average awakening length was longer in the group with higher PSQ-3-FI score (PSQ-3-FI ≥5) compared to the group with lower PSQ-3-FI score. The other four sleep quality parameters, total sleep time, sleep efficiency, and number of awakenings lasting more than one of five minutes, were not significantly different between the groups with higher and lower PSQ-3 scores. wakenings lasting more than one of five minutes, were not significantly Table 7. Sleep quality measures based on actigraphy for the PSQ-3-FI score ≤4 and ≥5 groups (n = 40). wakenings lasting more than one of five minutes, were not significantly ween the groups with higher and lower PSQ-3 scores. quality measures based on actigraphy for the PSQ-3-FI score ≤ 4 and ≥ 5 groups (n = PSQ-3-FI ≤ 4 (n = 21) PSQ-3-FI ≥ 5 (n = 19) p-Value Age (years) 41.6 ± 12.2 51.9 ± 10.8 0.008 * Height (cm) 170.5 ± 8.23 169.7 ± 7.6 0.77 Table 7. Sleep quality measures based on actigraphy for the PSQ-3-FI score ≤4 and ≥5 groups (n = 40). PSQ-3-FI ≤4 (n = 21) PSQ-3-FI ≥5 (n = 19) p-Value Age (years) 41.6 ± 12.2 51.9 ± 10.8 0.008 * Height (cm) 170.5 ± 8.23 169.7 ± 7.6 0.77 Weight (kg) 74.6 ± 14.1 74.2 ± 12.5 0.93 BMI 25.6 ± 3.8 25.8 ± 4.2 0.87 PSQ-3-FI 1.6 ± 1.9 12.6 ± 7.1 0.001 * Male/female (n/n) 6/15 0/19 0.02 * Total sleep time (min) 401.8 ± 58.7 393.4 ± 77.7 0.70 Sleep efficiency (%) 86.1 ± 4.1 83.5 ± 7.4 0.18 Number of Awakenings > 1 min 22.8 ± 8.0 22.6 ± 10.6 0.94 Average awakening length (min) 2.6 ± 0.7 3.3 ± 1.2 0.03 * Number of awakenings > 5 min 4.3 ± 3.0 5.8 ± 3.6 0.16 Statistical significance, p < 0.05 *. 3.5. Discriminative Validity of the PSQ-3-FI Test PSQ-3 Group Mean ± SD p-Value Area of sway (mm2) EOS ≤4 258 ± 138 0.04 * ≥5 303 ± 178 ECS ≤4 364 ± 253 0.002 * ≥5 503 ± 383 EOU ≤4 438 ± 218 0.012 * ≥5 518 ± 260 ECU ≤4 1029 ± 540 0.08 ≥5 1170 ± 659 Velocity of sway (mm/s) EOS ≤4 9.1 ± 2.5 0.048 * ≥5 9.9 ± 3.1 ECS ≤4 14.9 ± 7.5 0.35 ≥5 15.7 ± 5.8 EOU ≤4 13.8 ± 3.7 0.036 * ≥5 14.9 ± 4.2 ECU ≤4 29.9 ± 10.7 0.802 ≥5 30.3 ± 10.6 Eyes open on a stable surface (EOS); eyes closed on a stable surface (ECS); eyes open on an unstable foam surface (EOU); eyes closed on an unstable foam surface (ECU). Repeated measures ANOVA and post hoc Least Significant Difference (LSD); statistical significance, p < 0.05 *. 13 of 21 Figure 2. Cont. Table 6. Cont. Eyes open on a stable surface (EOS); eyes closed on a stable surface (ECS); eyes open on an unstable foam surface (EOU); eyes closed on an unstable foam surface (ECU). Repeated measures ANOVA and post hoc Least Significant Difference (LSD); statistical significance, p < 0.05 *. Eyes open on a stable surface (EOS); eyes closed on a stable surface (ECS); eyes open on an unstable foam surface (EOU); eyes closed on an unstable foam surface (ECU). Repeated measures ANOVA and post hoc Least Significant Difference (LSD); statistical significance, p < 0.05 *. Figure 2. Cont. Figure 2. Cont. 13 of 21 J. Clin. Med. 2021, 10, 4887 Figure 2. Postural control on PSQ-3-FI groups score ≤4 or ≥5 groups (n = 229). Figure 2. Postural control on PSQ-3-FI groups score ≤4 or ≥5 groups (n = 229). Figure 2. Postural control on PSQ-3-FI groups score ≤4 or ≥5 groups (n = 229). 4.2. Structure Validation Model fit indices with CFA can be used for test to accept or refute the proposed factor model [57]. Chi-Square, CFI, TLI, RMSEA, and SRMR are the most commonly reported fit indices of CFA [58]. In our results, model fit indices showed acceptable fit indices for a one-factor model, except for the Chi-Square test. However, it is well known that the larger the sample size, the greater the chances of obtaining a statistically significant Chi-square result [59]. Hence, rejection of the Chi-Square is probably due to the Chi-Square test being insensitive to larger sample sizes as in this study. Overall, fit indices indicated an acceptable fit for the one-factor model. CFI and TLI indicated a perfect fit compared to the PSQ-3 English version, though the Chi-Square and RMSEA tests showed non-acceptable fits. Overall, one-factor model also represented the best fit for the original version, where the PSQ-3 was shortened to only include three items [12]. 4. Discussion The reciprocal relationship between pain affecting sleep—and disturbances to sleep affecting pain—is well-established [2–5,9–11]. However, the PSQ-3 is the only PROM for directly assessing pain–sleep interactions in the CLBP population [13]. It appears that the study of the direct sleep–pain interaction is neglected in almost all clinical musculoskeletal chronic pain studies, and the short, reliable, valid PSQ-3 has not been widely used in clinical assessment or research. This might be because there are quite a large number of similar, but improperly validated pain–sleep PROMs [13]. Additionally, clinical studies J. Clin. Med. 2021, 10, 4887 14 of 21 14 of 21 on CLBP over the last decades have paid little attention to the assessment and outcome measurements for sleep [54,55]. on CLBP over the last decades have paid little attention to the assessment and outcome measurements for sleep [54,55]. The results of this validation reveal the acceptable measurement properties of the PSQ-3 for the CLBP population; therefore, we propose a more widespread implementation of the PSQ-3 for clinical assessments, and research will enable the measurement of the direct effect of pain on sleep. Moreover, a meta-analysis published in 2018 lends further clinical validity to the items of the PSQ-3, as gold-standard objective polysomnographic measures of sleep among a population with chronic musculoskeletal pain syndromes concluded these individuals “experience significant sleep disturbances, particularly concerning sleep initiation and maintenance” [3], which are the exact features measured by the PSQ-3 [12]. 4.1. Reliability Internal consistency (Cronbach’s alpha) indicates how well PROM items correlate with and predict each other. The total inter-item correlation and prediction for the PSQ-3-FI were rated as good (0.83) and single inter-item correlations were moderate to good. The highest correlation was observed between items “2. How often have you been awakened by pain during the night?” and “3. How often have you been awakened by pain in the morning?”. Moreover, test–retest reliability was excellent (0.91). Interestingly, the PSQ-3 questions consider symptoms over the previous week, which is identical to the test–retest evaluation timeframe (7 ± 1 days). Hence, we conclude that symptom recall over one week appears to be a reliable timeframe for the majority of the subjects in this study. The inter-item correlation between items one and two was 0.56, 0.73 between items two and three, and 0.53 between items one and three; these values compare well with the English version, for which the inter-item correlations were 0.65, 0.73, and 0.58, respectively [12]. The SEM value indicates the likelihood of a “true” score that represents a reliable score without any fluctuations due to systematic and random factors related to the measurement process. The general rule is that lower SEM values indicate higher reliability and more confidence that the score has been measured accurately. The SDC is defined as the change in the instrument’s score beyond measurement error [56]. The SEM value of 1.28 and SDC value of 2.56 indicate that the results were measured fairly accurately, without fluctuations due to systemic or random factors related to the measurement process. Based on the SDC, we can be confident that the observed change is real, as a minimum change of 2.56 on a scale from 0 to 10 needs to be observed. Internal consistency was 0.87 in the previous PSQ-3 validation [12], in line with our value of 0.83. Test–retest reliability, SEM, and SDC were not calculated in the previous validation [12]; hence, comparison of these values is not possible. 4.3. Convergent Validity The relationship of PSQ-3-FI total score with PROMs showed a fair correlation of TSK, EQ-5D-5L, and DEPS and moderate to good correlation with RMDQ and CSI. The DEPS and CSI include questions that directly assess the quality of sleep [32,38]. In the previous J. Clin. Med. 2021, 10, 4887 15 of 21 15 of 21 validation of the PSQ-3, the Pain and Disability Index, Pain Intensity Questionnaire, and SF- 36 Short Form Health Survey pain-related questionnaires exhibited very similar correlations with the total PSQ-3 score [12]. The total PSQ-3-FI scores showed a fair correlation with pain duration in months and dichotomous yes/no answers on chronic low back pain, pain referring to leg, other chronic musculoskeletal pain, and pain duration in months. Chronic headache and dizziness in the past 12 months showed little or no correlation with PSQ-3-FI total score. The numerical pain scale was the only dichotomous variable that showed moderate to good correlation with the total PSQ-3 score. The tight correlation between sleep quality and next-day pain intensity is well established, with previous studies showing a clear relationship between poorer sleep and short-term increases in pain intensity in patients with chronic pain [60,61]. The correlations with pain and disability PROMs were generally at the same level in this study and the English version; however, quality of life was better in this study. It must be noted that such comparisons are not reliable due to the variability across the measurement properties of different PROMs. 4.4. Discriminative Validity There are no previous studies of the discriminative validity of any PROMs that assess the effect of pain on sleep [13]. However, the total PSQ-3-FI score could distinguish pain- free controls, subjects with chronic pain in a single body area, and subjects with multisite chronic pain. The factors leading to chronic pain are complex, with multiple contributors leading to persistent symptoms [1]. Sleep quality and disturbances are one of the main contributors to chronic musculoskeletal pain [10,11]. The significant discriminative ability of the total PSQ-3-FI score to identify controls with no pain and the -ite and multisite chronic pain groups is in line with previous research that showed clear relationships between multisite pain and various sleep disturbances [62,63]. 4.5. Relationships of PSQ-3-FI Score with Subjective Dizziness, Postural Control, and Sleep Quality We observed a higher prevalence of dizziness in the higher PSQ-3-FI score group. A single study that explored the relationship between sleep disturbances and dizziness reported an increase in the prevalence of dizziness symptoms among subjects with a variety of sleep disturbances (16). p ( ) We also found little total sample correlation but consistent relationships between the PSQ-3-FI score and a range of postural control parameters, indicating poorer postural control among the group with higher PSQ-3-FI score. Overall, greater postural instability was observed during the more challenging eyes-closed rather than eyes-open conditions, and more so on an unstable surface. These statistically significant intergroup differences (PSQ-3-FI ≤4 vs. PSQ-3-FI ≥5) were observed in the majority of tests. Perhaps surprisingly, significant differences between groups were observed for all eyes open tests, but in only one of the six eyes-closed tests. This is especially surprising, as the majority of subjects in our study were suffering from CLBP. Previous studies of the CLBP population have shown a clear relationship between postural control impairments that are most marked when the subject’s eyes are closed [64–66]. This clinical phenomenon is explained by the sensory weighting theory of postural control, which suggests that somatosensory, vestibular, and visual sensory information have mutual effects on postural control and are weighted as a sum of parts [67]. Subjects with CLBP exhibit impaired somatosensory information processing (the ability to feel through muscle, joint, and fascia-based sensory receptors) and hence this sensory channel is “down-weighted” due to pain and associated physical disabilities. Moreover, this altered sensory weighting causes increased postural sway in eyes-closed tests due to an inability to compensate for impaired somatosensory information using visual cues. Naturally, postural control is not simply just the sum of the weighting of sensory information. Sensorimotor integration in the central nervous system acts in conjunction with these raw sensory signals to ultimately govern postural control in a context-dependent manner [68,69]. Sleep disturbances, such as sleep deprivation, are well-known to negatively influence central nervous system processes across multiple J. Clin. Med. 2021, 10, 4887 16 of 21 cognitive [8], emotional [6], and motor functions [7], and in turn, vestibular pathologies can induce sleep disturbances [17]. The reciprocal effect of sleep disturbances upon such motor and cognitive processes may be one explanation for this seemingly paradoxical finding. In contrast, there was just one significant difference between groups out of the six parameters assessed under eyes-closed conditions. 4.5. Relationships of PSQ-3-FI Score with Subjective Dizziness, Postural Control, and Sleep Quality The fact that the higher PSQ-3 score group reported significantly more dizziness symptoms argues in favor of such a reciprocal relationship between vestibular dysfunction and sleep disturbances. Unfortunately, the mixed results obtained after subgrouping dizziness into seven subtypes did not help to further elaborate our findings. g Regarding sleep quality, the average awakening length was longer in the higher total PSQ-3 score group than the lower total PSQ-3 score group. Only minor differences were observed for the other sleep quality measurements, though there was a general trend towards poorer sleep quality among the higher PSQ-3 score group. These differences between groups (PSQ-3-FI ≤4 vs. PSQ-3-FI ≥5) may be affected to at least some degree by the long administration period between the PSQ-3 and actigraphy, which could have been up to 18 months. This was partly due to the COVID-19 outbreak in Finland, when data collection was stopped for five months. PSQ-3 test–retest reliability was excellent over one week; however, reliability may obviously vary after more than one year. Gender differences may also evidently affect the group comparisons, as females generally exhibit better sleep parameters in actigraphy [70]. The lower PSQ-3 score group contained 40% males and the higher PSQ-3 score group did not include any males. Moreover, the group with higher PSQ- 3 score was, on average, more than ten years older than the lower-score group, which can be theorized to have a counter-intergroup effect on the results, as sleep quality parameters generally correlate negatively with aging [71]. Despite some limitations in relation to the long administration time and gender differences between groups, actigraphy may represent a relevant component of future pain–sleep PROM validations. Indeed, previous studies reported similar general trends between higher PROM scores and poorer sleep quality with other pain–sleep-related questionnaires (25, 26). We therefore conclude that there is an evident trend towards poorer sleep quality among individuals with higher PSQ-3-FI scores. 4.6.1. Strengths Some strengths of this study include the very thorough validation of different mea- surement properties of the PSQ-3, including cross-cultural validity, face validity, internal consistency, test–retest reliability, measurement error, discriminant validity, and convergent validity, as well as the adequate size of the subject cohort and control group. Furthermore, the relationships between three novel measurements and PSQ-3 scores were investigated: subjective symptoms of dizziness, postural control testing, and sleep quality by actigraphy. Moreover, this is the first study to assess the exact effect of pain on sleep in relation to postural control between two groups of subjects. As far as we are aware, this study is the most comprehensive validation of any of the existing twelve PROMs that assess the effect of pain on sleep [13]. 4.6.2. Limitations As with other studies of this kind, our results are based on a single cohort assessed at a single clinic, so generalization to other subject populations should be made with caution. All symptoms were self-reported, and pain reporting was limited by the items on a single questionnaire. Actual medical diagnoses by a trained clinician were lacking. However, the self-reported data from our subject sample showed no discrepancies or illogical patterns of answers to suggest the results were invalid or had any considerable negative effects on our findings. Furthermore, it should also be noted that diagnoses of different types of musculoskeletal pain by trained clinicians are mostly based on patient self-reporting [72]. J. Clin. Med. 2021, 10, 4887 17 of 21 17 of 21 The most notable data collection limitation was the rather long time period between PSQ-3 administration and actigraphy. 4.6.3. Suggestions for Further Research Future studies could validate the PSQ-3 in different musculoskeletal pain populations, such as individuals with neck pain and central sensitization syndromes such as fibromyal- gia. Due to the high acceptable objective reliability of actigraphy for sleep parameters, actigraphy could be more extensively implemented in future validations of the PSQ-3 among larger cohorts of subjects and over longer time periods. Naturally, the only path towards more universal use of PSQ-3 is following cross-cultural validations. 5. Conclusions The Finnish translation of the PSQ-3 was successfully cross-culturally adapted and validated. The measurement properties of the PSQ-3-FI were all acceptable for the Finnish- speaking CLBP population. Additional studies that implement the PSQ-3 as a short, valid, reliable instrument for screening assessments and outcome measurements could lead to the development of a better understanding of the direct effect of multifactorial musculoskeletal pain on sleep. Author Contributions: Conceptualization and methodology, J.M., V.L., H.L, S.K., M.T. and O.A.; software and validation, J.M., V.L., H.L., S.K., M.T., T.S. and O.A.; formal analysis, J.M., V.L., D.K., S.K., M.T. and T.S.; investigation, J.M., V.L.; resources, and data curation, J.M., V.L. and O.A; writing— original draft preparation, J.M. and V.L.; writing—review and editing, J.M., V.L., H.L., D.K, S.K., M.T., T.S. and O.A.; visualization, J.M. and V.L.; supervision, V.L., H.L. and O.A.; project administration, J.M., V.L. and O.A.; All authors have read and agreed to the published version of the manuscript. Funding: This research received no external funding. Institutional Review Board Statement: Ethical approval for this study was obtained from the Re- search Ethics Committee of the Northern Savo Hospital District (identification number, 1106/13.02.00/ 2018). The study was conducted in accordance with the Declaration of Helsinki. Institutional Review Board Statement: Ethical approval for this study was obtained from the Re- search Ethics Committee of the Northern Savo Hospital District (identification number, 1106/13.02.00/ 2018). The study was conducted in accordance with the Declaration of Helsinki. Informed Consent Statement: Written informed consent was obtained from all subjects before study entry. Data Availability Statement: The data presented in this study are available on request from the corresponding author. The data are not publicly available due to containing information that could compromise the privacy of research participants. Acknowledgments: The authors would like to thank all of the study participants who volunteered to participate in this study. Moreover, the authors would like to thank Lindsay Ayearst for help with backtranslation and data analysis, Nicole Oliver for advice on postural control analysis, and Pauli Ohukainen, Jon Haglund, Tuomo Ahola, Kristian Ekström, Mia Jokiniva and Emma Honkonen for their contributions to data collection. Conflicts of Interest: The authors declare no conflict of interest. 18 of 21 mma Hon J. Clin. Med. 2021, 10, 4887 18 of 21 mma Hon Appendix A. Finnish Version of the Pain and Sleep Questionnaire Three-Item Index (PSQ-3-FI) Appendix A. 5. Conclusions Finnish Version of the Pain and Sleep Questionnaire Three-Item Index (PSQ-3-FI) Appendix A. Finnish Version of the Pain and Sleep Questionnaire Three-Item Index (PSQ-3-FI) Appendix A. Finnish Version of the Pain and Sleep Questionnaire Three-Item Ind (PSQ-3-FI) 1. Har References 1. 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Kocevska, D.; Lysen, T.S.; Dotinga, A.; Koopman-Verhoeff, M.E.; Luijk, M.P.C.M.; Antypa, N.; Biermasz, N.R.; Blokstra, A.; Brug, J.; Burk, W.J.; et al. Sleep characteristics across the lifespan in 1.1 million people from the Netherlands, United Kingdom and United States: A systematic review and meta-analysis. Nat. Hum. Behav. 2021, 5, 113–122. [CrossRef] 71. Ohayon, M.M.; Carskadon, M.A.; Guilleminault, C.; Vitiello, M.V. Meta-analysis of quantitative sleep parameters from childhood to old age in healthy individuals: Developing normative sleep values across the human lifespan. Sleep 2004, 27, 1255–1273. [CrossRef] [PubMed] 72. Breivik, H.; Borchgrevink, P.C.; Allen, S.M.; Rosseland, L.A.; Romundstad, L.; Hals, E.K.; Kvarstein, G.; Stubhaug, A. Assessment of pain. Br. J. Anaesth. 2008, 101, 17–24. [CrossRef] [PubMed]
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The common ground of genomics and systems biology
Ana Conesa
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Abstract The rise of systems biology is intertwined with that of genomics, yet their primordial relationship to one another is ill-defined. We discuss how the growth of genomics provided a critical boost to the popularity of systems biology. We describe the parts of genomics that share common areas of interest with systems biology today in the areas of gene expression, network inference, chromatin state analysis, pathway analysis, personalized medicine, and upcoming areas of synergy as genomics continues to expand its scope across all biomedical fields. The modern history of biological and medical sciences can be summarized in three words: ever-increasing spe- cialization. As biologists have methodically surveyed the characteristics of living systems at the multiple scales of molecular, cellular, organismal, and ecological organiza- tion, seminal discoveries and technical advances have spawned entirely new fields of research that quickly develop their own themes, vocabularies, and research culture. Whether intended or not, this specialization usually involves reducing the scope of the problem to focus research and ease the burden of tracking too many variables and concepts. This reductionist approach is widespread to all sciences and no biologist or other biomedical scientist can claim deep knowledge of the state-of-the-art in more than a few of the hundreds sub- fields of biology. Running counter to this natural balka- nization are the handful of organizing principles that span across all of biology such as natural selection and the central dogma of molecular biology. Why would anyone look for an alternative to reductionist biology after one hundred fifty years of unrelenting success? individual parts in detail did not give them a good under- standing of the emergent properties of the interactions of many parts within a whole system. Neuroscience, physiol- ogy, and ecology all converged independently on the idea that it was as important to study and model the system of parts and their interactions as to fully analyze the individual parts alone. While system-centric studies in specific subfields of biology can be traced back to the 1950s and 1960s, it was not until the mid-1990s that sys- tems biology developed into a major counter-movement that would grow to challenge the reductionist approach. © 2014 Conesa and Mortazavi 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. 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. REVIEW REVIEW Open Access * Correspondence: aconesa@cipf.es; ali.mortazavi@uci.edu 1Genomics of Gene Expression Lab, Centro de Investigaciones Príncipe Felipe, Valencia, Spain 2Department of Developmental and Cell Biology, University of California, Irvine, CA 92697, USA Full list of author information is available at the end of the article The common ground of genomics and systems biology Ana Conesa1*, Ali Mortazavi2,3* From High-Throughput Omics and Data Integration Workshop Barcelona, Spain. 13-15 February 2013 Powered by the California Digital Library University of California Powered by the California Digital Library University of California eScholarship.org Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Abstract As gene expression and other functional data have accumulated through ever- larger scale projects such as ENCODE [3], significant efforts have been invested in integratively analyzing data to build gene regulatory networks [4,5]. Most models built from high-throughput genomics data tend to be correla- tive with relatively limited predictive power. This version of systems biology that emphasizes parts (a)-(c) of the defi- nition above is barely recognizable to other biologists who associate systems biology with a more mathematical mod- eling driven approach that attempts to explain biological phenomena of a system with a limited number of parts using differential equations, which emphasizes part (d) of the definition. This difference of opinion leads to passio- nate discussions of whether genomic analyses qualify as systems biology or do not. We believe that, in the broadest sense, many parts of genomics do fall within the purview of systems biology. We do not attempt to give here an exhaustive review of genomics or systems biology because of the vast literature of each field. Instead, this review delineates explicit areas of overlap between genomics and systems biology related to transcriptomics, metabolomics, and gene regulatory network inference as well as outlines some of the genomic challenges that will likely drive the field forward. D fi i th l b t i d t genomic experiments generate thousands to billions of data points that require quantitative, bioinformatic meth- ods for analysis. However, there are bioinformatic tasks that provide little direct insight into a system without further analysis. For example, the mapping of reads and the assembly of genomes are two critical, foundational activities of genomics that pose some of the greatest algorithmic challenges and are very active areas of research. Yet the resulting assembly or the location of reads onto a genome are not informative on their own about the system, but require further analysis with addi- tional tools. We can use the operational definition of sys- tems biology as the study of interactions between parts of the system to identify areas of genomics that are clearly systems-centric and others that are more dependent on the goals of the experiment. Abstract A common definition of systems biology is the study of a given biological system by (a) the perturbation of a property of that system, (b) the measurement of resulting gene, protein, and pathway responses, (c) the integration of these data, and (d) the ultimate modeling of these data to describe the system as well as its response to perturbation [1]. We refer the reader to a review of the common ground of computational neuroscience with systems biology for a brief historical overview of the emergence of modern systems biology from pre-existing biological fields [2]. Fundamentally, the essence of systems biology is the study of interactions between parts of the system using experi- mental and computational methods. Several subfields of biology have discovered indepen- dently that detailed studies of the structure and function of The tremendous growth of interest in systems biology was driven by the simultaneous rise of genomics [1,2], which is the field dedicated to the large-scale analysis of the properties of genomes. As the international human genome sequencing project ramped up, the scientific Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Page 2 of 10 community in concert with funding agencies devoted increasing efforts to the development of computational methods for genome assembly, annotation, and analysis. The concurrent development of microarrays as the first platform for large-scale gene expression measurements led to the birth of the new field of functional genomics, which quickly expanded to include other biomolecules, namely proteomics and metabolomics for the measurements of protein levels and metabolic intermediates respectively. A hallmark of this functional data is that they represent global measurements of thousands of molecular features where no one feature has an a priori higher importance than others. In this review we consider genomics in the broadest sense to include both structural and functional genome-wide measurements. In the context of transcrip- tomics, the mapping of transcripts onto exons on the gen- ome is a structural measurement, whereas the expression levels of transcripts are functional measurements. The transformation of biology by genomics from a relatively data-poor into a data-intensive field has motivated the development of novel computational, machine-learning and other quantitative methods for genomic analysis that attracted a large number of engineers, physicists, and mathematicians into biology. Abstract This version of systems biology that emphasizes parts (a)-(c) of the defi- nition above is barely recognizable to other biologists who associate systems biology with a more mathematical mod- eling driven approach that attempts to explain biological phenomena of a system with a limited number of parts using differential equations, which emphasizes part (d) of the definition. This difference of opinion leads to passio- nate discussions of whether genomic analyses qualify as systems biology or do not. We believe that, in the broadest sense, many parts of genomics do fall within the purview of systems biology. We do not attempt to give here an exhaustive review of genomics or systems biology because of the vast literature of each field. Instead, this review delineates explicit areas of overlap between genomics and systems biology related to transcriptomics, metabolomics, and gene regulatory network inference as well as outlines some of the genomic challenges that will likely drive the field forward. y y We can broadly describe the many subfields of genomics as falling under three over-arching categories based on their relationship with the genome under study on a continuum of “pure” to “applied” genomics: global, general, and specific (Figure 1). Sub-fields of genomics that focus on a global view are those that provide a single answer that is essentially identical for all individuals from that species. This would include the reference genome assembly and annotation as well as comparative genomics (Figure 1). While algorithmically challenging, these analyses do not shed light on the behavior of the system per-se, but represent more a catalog of the parts, which can later serve as a starting point for systems-level ana- lyses. The second category encompasses fields of genomics that are interested in analyzing specific aspects of the gen- ome “in action” such as transcriptome discovery in a specific cell-type, or tissue, or the analysis of the encoding of the transcriptional logic of gene regulatory networks underlying development. These problems can be generally reframed within a systems framework to get insights into their function and behavior. For example, the study of the dynamics of gene regulatory networks represents one of the primary problems in the field of transcriptional Abstract For example, while sequen- cing a transcriptome solely for discovery of novel tran- scripts would not fall within the realm of systems biology, the analysis of the change of gene expression in existing and newly-discovered transcripts during a developmental time course or after a perturbation such as an siRNA certainly would qualify. Similarly, the identification of SNPs in an individual genome would not qualify as sys- tems biology, but the quantification of their effect on the expression of associated genes and the identification of gene expression Quantitative Trait Loci (eQTL) [6,7] definitely does. The sequencing of cancer genomes to identify the mutations driving the cancer represents a third such systems approach of how changes in one part of the system affects the behavior of the whole system. community in concert with funding agencies devoted increasing efforts to the development of computational methods for genome assembly, annotation, and analysis. The concurrent development of microarrays as the first platform for large-scale gene expression measurements led to the birth of the new field of functional genomics, which quickly expanded to include other biomolecules, namely proteomics and metabolomics for the measurements of protein levels and metabolic intermediates respectively. A hallmark of this functional data is that they represent global measurements of thousands of molecular features where no one feature has an a priori higher importance than others. In this review we consider genomics in the broadest sense to include both structural and functional genome-wide measurements. In the context of transcrip- tomics, the mapping of transcripts onto exons on the gen- ome is a structural measurement, whereas the expression levels of transcripts are functional measurements. The transformation of biology by genomics from a relatively data-poor into a data-intensive field has motivated the development of novel computational, machine-learning and other quantitative methods for genomic analysis that attracted a large number of engineers, physicists, and mathematicians into biology. As gene expression and other functional data have accumulated through ever- larger scale projects such as ENCODE [3], significant efforts have been invested in integratively analyzing data to build gene regulatory networks [4,5]. Most models built from high-throughput genomics data tend to be correla- tive with relatively limited predictive power. Defining the overlap between genomics and systems biology While these methods incorporate parameterizations to account for the high dimensional nature of genomics data, such as pooled variance estimates [22] or multiple testing correction [26], they completely ignore the interactions of genes as parts of large-scale biological pathways and sys- tems [27]. A first step in this direction is the application of multivariate methodologies to transcriptome analysis that exploits the covariance structure of the expression data matrix to infer patterns of gene expression and select genes for their relevance in those patterns [28,29]. The underlying hypothesis here is that covariance is a proxy of co-expression and that relevant processes (and genes) of the system can be identified for their co-expressing char- acteristic. Approaches that come closer to a systems dri- ven analysis of differential expression have used gene network data to guide the multivariate analysis under the assumption that genes for which an interaction exist are correlated in their differential expression states [30,31] or have taken an Empirical Bayes approach by modeling networks as a Markov random field (MRF) to identify genes and sub-networks that are related to Defining the overlap between genomics and systems biology The underlying hypothesis here is that covariance is a proxy of co-expression and that relevant processes (and genes) of the system can be identified for their co-expressing char- acteristic. Approaches that come closer to a systems dri- ven analysis of differential expression have used gene network data to guide the multivariate analysis under the assumption that genes for which an interaction exist are correlated in their differential expression states [30,31] or have taken an Empirical Bayes approach by modeling networks as a Markov random field (MRF) to identify genes and sub-networks that are related to regulation that is also a classical example of systems biol- ogy [1]. Finally, there are a multitude of genomic experi- ments that are specific to the factor, or cell type, or individual under study (Figure 1). This includes examples such as transcription factor interactomes measured using ChIP-seq [8], transcriptome quantitation using RNA-seq [9], and genome variation analysis in individual genomes [6,7]. A characteristic of these problems is that they typi- cally require associating called peaks, expression levels, or variants to specific genes and inferring functional enrich- ment in pathways using tools such as pathway analysis [10,11] and Gene Ontology [12], which fall under our defi- nition of systems biology. In our post-Sanger-sequencing world, another characteristic of genomic problems suited for systems biology is that their starting data typically comes in the form of millions of data points such as short reads that enable statistically analyzable counting assays. While global problems such as genome assembly will always benefit from ever longer reads, counting assays benefit primarily from additional reads rather than longer read length (Figure 1), as discussed in a separate review [13]. We now turn to a more detailed analysis of individual genomic fields and their relationship to systems biology (Figure 2). regulation that is also a classical example of systems biol- ogy [1]. Finally, there are a multitude of genomic experi- ments that are specific to the factor, or cell type, or individual under study (Figure 1). This includes examples such as transcription factor interactomes measured using ChIP-seq [8], transcriptome quantitation using RNA-seq [9], and genome variation analysis in individual genomes [6,7]. Defining the overlap between genomics and systems biology A characteristic of these problems is that they typi- cally require associating called peaks, expression levels, or variants to specific genes and inferring functional enrich- ment in pathways using tools such as pathway analysis [10,11] and Gene Ontology [12], which fall under our defi- nition of systems biology. In our post-Sanger-sequencing world, another characteristic of genomic problems suited for systems biology is that their starting data typically comes in the form of millions of data points such as short reads that enable statistically analyzable counting assays. While global problems such as genome assembly will always benefit from ever longer reads, counting assays benefit primarily from additional reads rather than longer read length (Figure 1), as discussed in a separate review [13]. We now turn to a more detailed analysis of individual genomic fields and their relationship to systems biology (Figure 2). The development of genome-wide gene expression profil- ing technologies, using microarrays first and sequencing since, has brought the analysis of gene expression into the realm of systems biology. There exist a variety of techni- ques such as arrays, SAGE, CAGE, and RNA-seq that allow for different combinations of quantitative (transcript expression levels and differential expression) and/or dis- covery (splicing events and transcript intron/exon organi- zation) analyses of transcriptomes. While the measurement of expression genome-wide is only the first step in deriving system-level knowledge, it presents analy- tical challenges to this day. The main reason is that geno- mic experimental techniques measure individual parts of the system in parallel but cannot directly measure the sys- tem structure, which needs to be inferred. This inference is complicated by the high variable to observation ratio of genomics, which causes the intrinsic and heavily underde- termined nature of the genomics/systems biology mar- riage. Experimental designs involving time courses and or perturbation can provide significantly more, but rarely enough, information on the underlying system structure. Computational biologists address this high underdetermi- nation problem using strategies such as variable selection [14-17], model constraints by additional data [18] or exhaustive search of the results space to reach local opti- mal solutions [19-21]. However, there are still methodolo- gical and conceptual limitations that must be overcome to bridge the gap between simple gene expression analysis and the inference of molecular systems. For example, most of the popular differential gene expression methods that are used for variable selection provide single gene-based assessments of differential expression [22-25]. Defining the overlap between genomics and systems biology Why not consider all of genomics or at least all of bioin- formatics to be part of systems biology? After all, most Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Page 3 of 10 The development of genome-wide gene expression profil- ing technologies, using microarrays first and sequencing since, has brought the analysis of gene expression into the realm of systems biology. There exist a variety of techni- ques such as arrays, SAGE, CAGE, and RNA-seq that allow for different combinations of quantitative (transcript expression levels and differential expression) and/or dis- covery (splicing events and transcript intron/exon organi- zation) analyses of transcriptomes. While the measurement of expression genome-wide is only the first step in deriving system-level knowledge, it presents analy- tical challenges to this day. The main reason is that geno- mic experimental techniques measure individual parts of the system in parallel but cannot directly measure the sys- tem structure, which needs to be inferred. This inference is complicated by the high variable to observation ratio of genomics, which causes the intrinsic and heavily underde- termined nature of the genomics/systems biology mar- riage. Experimental designs involving time courses and or perturbation can provide significantly more, but rarely enough, information on the underlying system structure. Computational biologists address this high underdetermi- nation problem using strategies such as variable selection [14-17], model constraints by additional data [18] or exhaustive search of the results space to reach local opti- mal solutions [19-21]. However, there are still methodolo- gical and conceptual limitations that must be overcome to bridge the gap between simple gene expression analysis and the inference of molecular systems. For example, most of the popular differential gene expression methods that are used for variable selection provide single gene-based assessments of differential expression [22-25]. While these methods incorporate parameterizations to account for the high dimensional nature of genomics data, such as pooled variance estimates [22] or multiple testing correction [26], they completely ignore the interactions of genes as parts of large-scale biological pathways and sys- tems [27]. A first step in this direction is the application of multivariate methodologies to transcriptome analysis that exploits the covariance structure of the expression data matrix to infer patterns of gene expression and select genes for their relevance in those patterns [28,29]. Gene expression Whereas the elements that make up the genetic defini- tion of living organisms are encoded into the genome, it is the ensemble of expressed genes that are the actual manifestation of the biological system. Regardless of how gene expression is regulated, expressed transcripts are prerequisite, primary components of cell physiology. Figure 1 The continuum of genomics problems. Representative areas of genomics are arranged along a continuum of pure to more applied genomic research problems that can be grouped into three overall categories of global, general, and specific problems with respect to the genome under study. In this schema, genomic problems that can benefit from a systems biology approach generally fall under the general and specific columns and typically rely on counting assays that leverage the large number of reads or datapoints generated by modern high-throughput platforms. Figure 1 The continuum of genomics problems. Representative areas of genomics are arranged along a continuum of pure to more applied genomic research problems that can be grouped into three overall categories of global, general, and specific problems with respect to the genome under study. In this schema, genomic problems that can benefit from a systems biology approach generally fall under the general and specific columns and typically rely on counting assays that leverage the large number of reads or datapoints generated by modern high-throughput platforms. Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Page 4 of 10 Figure 2 Relationships between systems biology and genomics. Functional genomics assays like gene expression profiling, metabolomics and proteomics are used as input data by different systems-level analysis approaches such as Gene Regulatory Network (GRN) inference, Pathway Analysis (PA) and Flux Balance Analysis (FBA). Functional annotation, a core activity of genomics, is a prerequisite in PA and FBA, and helps in the interpretation of GRNs. GRN and FBA generate models of the biological system based on genomics data and can also use pathway databases as a priori information to help building models of the system. Alternatively, PA can be directly employed as an interpretative tool of the system. Systems Medicine relies on GRNs and pathways to develop personalized genomic diagnosis tools. Metagenomics expands the system under study to a supraorganismal level, whereas novel systems-level annotation paradigms such as transcript annotation expand the scope of functional annotations. Figure 2 Relationships between systems biology and genomics. Gene expression Functional genomics assays like gene expression profiling, metabolomics and proteomics are used as input data by different systems-level analysis approaches such as Gene Regulatory Network (GRN) inference, Pathway Analysis (PA) and Flux Balance Analysis (FBA). Functional annotation, a core activity of genomics, is a prerequisite in PA and FBA, and helps in the interpretation of GRNs. GRN and FBA generate models of the biological system based on genomics data and can also use pathway databases as a priori information to help building models of the system. Alternatively, PA can be directly employed as an interpretative tool of the system. Systems Medicine relies on GRNs and pathways to develop personalized genomic diagnosis tools. Metagenomics expands the system under study to a supraorganismal level, whereas novel systems-level annotation paradigms such as transcript annotation expand the scope of functional annotations. Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 While there is no a priori defined number of states that we can safely expect in the genome, smaller numbers of states (prefer- ably less than 20) are often preferred for the sake of inter- pretability. However, the combinatorial nature of gene regulation points to another extreme, where we are inter- ested in identifying relatively small cohorts of genomic regions that show similar coordinated changes of chroma- tin marks and transcription factor binding across many data sets and multiple cell types. In such cases, we would like to interrogate the genome with a much larger number of potential micro-states and then apply some form of dimension reduction to identify related micro-states that form larger coherent groups of “meta-states”. A Self-Orga- nizing Map (SOM) is another unsupervised machine learning clustering technique that has been used in two recent publications to analyze a large number of ChIP-seq (and DNase-seq) datasets using maps with potentially at least a thousand such micro-states [39,40]. The maps con- sist of thousands of units (or “neurons”) that are arranged in a two dimensional grid. In order to avoid boundary effects, the maps are often laid on the surface of a toroid that can be unwrapped for visualization. Each unit of the map has an associated vector that is originally initialized randomly. The map is trained using the vectorized signal from the datasets (either binarized [40] or using RPKM signal density [39]) for each segment until the map con- verges. Every segment is then assigned to the best match- ing unit on the map. The resulting map is mined for relationships between training dataset enrichments in spe- cific units and can be interpreted further by laying addi- tional data on the map not used during the training. These maps typically reveal very distinct colocalization patterns between particular datasets in specific cell-types. While the results from the hidden-state-based or SOM-based approaches are global, they can both be mined to identify the actual, underlying regulatory elements encoding the GRNs and will presumably be used for further automated attempts to derive networks from functional The combination of metabolic modeling and gene expression analysis is not only relevant for drug target discovery, but is also of major importance for targeted metabolic engineering and synthesis of economically relevant compounds, energy production or waste treat- ment [47,48]. Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Page 5 of 10 However the concept of molecular networks extends beyond gene regulatory networks. In fact, much of the early research in systems biology focused on flux balance analysis (FBA), which is a genome-wide analysis of metabolic regulation [41,42]. FBA relies on simple stoichiometry rather than difficult to measure enzyme kinetics to analyze the behavior of metabolomics net- works. FBA employs a linear programming (LP) strategy to generate a flux distribution that is optimized toward a particular ‘objective’, normally maximal cell growth, subject to a set of underlying physicochemical and thermodynamic constraints fitting experimental data on changes at nutritional and metabolic levels [43]. FBA can be integratively analyzed with genome-wide data by incorporating gene expression measurements into meta- bolic modeling (Figure 2). This combination enables the characterization of the regulatory modalities governing metabolism and for the identification of metabolic hubs [44-46]. For example, an analysis of yeast strains grown in different nutritional conditions combined Z-scores of metabolic fluxes obtained by either metabolic or gene expression measurements to classify the regulation level of metabolic circuits as transcriptionally, post-transcrip- tionally, or metabolically controlled [46]. In another study, FBA and gene expression were combined to pre- dict the impact of 75 different drugs, drug combinations, and nutrient conditions on mycolic acid biosynthesis capacity in M. tuberculosis, using a public compendium of over 400 expression arrays [44]. The authors showed that e-Flux (expression and flux) analysis can be used to correctly predict the modulators of metabolite biosynth- esis and the metabolic state under specific nutritional or treatment conditions. development of a new set of tools to analyze the data integratively in order to learn more about the global orga- nization of the genome. Two very different approaches have been used to analyze such data, which is typically preprocessed into genomic segments with boundaries derived from the data signal. The first approach uses the chromatin data on the segments for training of Hidden Markov Models [37] or Dynamic Bayesian Networks [38] to learn the smallest number of states that can recapitulate the major processes of transcriptional regulation and effec- tively annotate the genome de novo. The hidden states from these models are learned from the data and their chromatin signatures are interpreted post-training to associate particular states with promoters, enhancers, transcribed regions, or repressed regions. Network inference as the common core of genomics and systems biology variety of biological settings to identify modules of tightly co-expressed genes in cases such as single-cell human and mouse RNA-seq time-courses of early pre-implantation embryonic development [36]. Recent efforts to build gen- ome-wide GRNs from transcription factor ChIP-seq [4] and DNase-hypersensitivity data [5] from multiple cell types have heavily focused on the regulation of the regula- tors such as transcription factors and other signaling- related genes. These regulatory proteins form the core of GRNs with complex, intertwined feedback loops between regulators at the transcriptional and often post-transcrip- tional level. Systems-based techniques play a key role in the analysis of GRNs as it is nearly impossible to under- stand the behavior of a moderately complex GRN that incorporates feedback loops without modeling. As it becomes increasingly practical to map the regulatory linkages in GRNs from large-scale functional sequencing data, the challenge of modeling and predicting the dynamics of GRNs becomes ever more pressing. When considering the interplay between systems biology and genomics, two major paradigms stand out: one is the use of gene expression measurements to obtain the structure of the system and infer Gene Regulatory Net- works (GRNs), while the other is the leveraging of sys- tem properties to interpret observed gene expression patterns using pathway enrichment methods (Figure 2). The systems biology of gene expression is frequently understood as a problem of gene regulatory network inference, where gene networks capture how the expres- sion profile of individual genes interacts with each other [1]. The encoding and dynamics of transcriptional regula- tion have fascinated scientists ever since the seminal work of Jacob and Monod on the lac operon in E. coli [34]. The last fifty years have clearly shown that the transcriptional regulation is encoded in GRNs that robustly control spa- tiotemporal expression of genes to enable proper develop- ment and function from the simplest bacteria to the most complex animals and plants [35]. Popular systems-based approaches such as Weighted Gene Correlation Network Analysis (WGCNA) have been applied successfully to a The rapid increase in the amount of multiple, comple- mentary chromatin-related data in the same sample such as ChIP-seq of different histone modifications and transcription factors as well as DNase-seq has led to the Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Pathway analysis as the interpretative tool of systems The inference of gene and molecular networks is focused on mapping the mechanistic and structural properties of the system. Genome-wide gene network analyses typically produce large networks that involve hundreds of gene interactions. Such networks might have interesting topological properties that are biologi- cally meaningful, but are normally difficult to interpret in terms of cellular functionality. Functional enrichment analysis methods (also referred to as pathway or gene set enrichment) are methodologies that allow us to ana- lyze gene expression data for the biological meaning of particular expression patterns in order to gain additional insight into the actual biology of the system [52-54] (Figure 2). These functional assessment methodologies rely on the premise that the expressed components of cellular systems are likely to be functionally coordinated and that genes belonging to the same functional unit should show similar expression profiles. The first func- tional enrichment analysis methods identified pathways that were overrepresented within a list of differentially expressed genes [52] and were rapidly followed by the gene set enrichment approach [53] where a ranked, rather than a selected, list of genes was used to find associations between phenotypes and cellular functions. There are now a multitude of implementations based on this concept that introduce additional functional data such as protein interaction data [55,56], gene regulatory networks [57], pathway topology information [58], meta- bolic changes [59,60] or expression kinetics [61]. These methods have been applied not only to understand gene expression changes but also in Genome-Wide Associa- tion Studies (GWAS) [62], comparative genomics [63] and gene prioritization [64]. A particularly compelling set of use cases for the applica- tion of systems biology to understand the genomics of disease can be found in cancer. Efforts to characterize the most prevalent mutations of various cancers by The Cancer Genome Atlas (TCGA) Research Network have revealed recurrent mutations in specific pathways. The recent TCGA Lung Squamous Cell Carcinoma (LSQCC) study [68] represents a particularly nice example of what can be accomplished by combining genome and transcriptome sequencing with systems-level pathway analysis. The sequencing of 178 patient samples found that in addition to universal mutations to TP53, each cancer carried higher-order combinations of multiple reoccurring muta- tions. LSQCC was divided into four subtypes based on a combination of expression, copy number variation, and methylation. Most promisingly, the authors found recurring mutations within targetable oncogenic pathways such as PI (3) kinase, RAS, and Receptor Tyrosine Kinases. Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 This economic potential, together with the development of cost-effective sequencing technologies, has boosted the sequencing of the genomes of novel microorganisms for biotechnology applications. A key element of the success of these approaches is the avail- ability of efficient genome and annotation algorithms that characterize the metabolic potential of the newly sequenced genomes (Figure 2). Reference functional databases such as KEGG [49] and AraCyc [50] are fre- quently used as the backbone for metabolic reconstruc- tion, which needs to be further complemented by algorithms that build the genome-wide metabolic net- work, fill in reaction gaps and validate predictions [51]. In this sense genome (functional) annotation, a core activity of genomics, is a necessary prerequisite for the computation-based reconstruction of the metabolome of Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Page 6 of 10 often not even certain of the association of the variant with an actual gene. Parallel efforts by projects such as ENCODE [3] to annotate the functional parts of the genome have highlighted the functional complexities of the genome beyond coding sequences. A recent study found that 76% of non-coding GWAS SNPs associated with various phenotypes or diseases are found within or in perfect linkage disequilibrium with DNase hypersensi- tive sites called within ENCODE and the NIH Epige- nomic Roadmap Project, which suggests that they are associated with functional regulatory elements [66]. While this is highly encouraging, we are still unable to assess the contribution of these changes in functional elements to what are often complex phenotypes that arise from these combinatorial interactions between multiple variants occurring jointly at genes, let alone their interactions with the environment. Adopting meth- ods from systems biology to marshall the data into tractable, predictive models can shed light on the contri- butions of these individual variants to the phenotypes under study. For example, an interesting application of system biology to personalized medicine was the appli- cation of a flux balance analysis (mostly used in prokar- yote metabolic reconstruction) for modeling the metabolism of a single Hereditary Hemorrhagic Telan- giectasia patient to identify altered metabolic fluxes and to devise a personalized treatment that eventually improved patient condition [67] (Figure 2). novel species and hence serves as a substrate for sys- tems-level analyses of genomic data (Figure 2). Pathway analysis as the interpretative tool of systems In particular, the analysis of the functional consequences of alternative-splicing within a systems framework, such as the analysis of the exonic targets of the neuronal splicing factor NOVA1 [77], remains a relatively unexplored area that seems destined for advances with more accurate tran- script reconstruction methods from RNA-seq data. Inter- estingly, as system biologists and bioinformaticians build widely used tools for pathway analysis and differential gene expression, their end users do not necessarily con- sider themselves to be doing systems biology explicitly, even though they publish system-level analyses in their publications. For example, the pathway analysis tool PARADIGM is designed to find pathway-level changes in cancers using graphical models that clearly fall within the scope of systems biology [78], yet its users in TCGA (such as in [68]) do not claim to take explicit systems approaches. We take this to be a sign of the success of system-level analyses. Another area of great promise for mutual reinforce- ment between systems biology and genomics is in the study of the composition and interactions of bacterial communities with their environment (Figure 2). A vari- ety of sequencing projects have revealed that large num- bers of uncharacterized microbial species cooperatively interact in the environment in every imaginable ecologi- cal niche. This includes the microbial communities that are associated with specific human body niches and are characteristic of several human conditions such as Inflammatory Bowel Disease (IBD) and obesity [71]. While we are accumulating large metagenomic datasets and cataloguing bacterial genomes that make up the dif- ferent parts of the human microbiome in normal and diseased individuals, it is still very difficult to connect the presence or change in frequency of specific bacterial species with the associated phenotypes. An early exam- ple of metagenomic systems biology beyond simple comparative studies treats the entire metagenome as a single system and analyzes the changes in metabolic networks inferred from topological models of healthy and diseased metagenomes in IBD and obesity [72]. The ultimate challenge will be to model the interactions of the microbiome community with the host. Functional annotation is, as pointed earlier, a fundamen- tal substrate of systems biology. Functional annotation provides a priori knowledge, interaction constraints and an interpretative framework for systems biology (Figure 2). More effective methods for functional annotation are necessary to leverage further genomic data for system- level analyses. Pathway analysis as the interpretative tool of systems Just as in the case of cancer genomics, we need to use sys- tems biology approaches if we are to capitalize on the patient’s genome to identify how variants interact with drugs and predict what the ultimate effectiveness of these drugs might be in a specific patient rather than averaged over the whole population. of non-coding transcripts [75] might help to speed up functional characterization but are still at their infancy and far from being generally applicable. Moreover, the systems-oriented analysis of gene expression still has much to evolve both methodologically and conceptually. For example, pathway methods rely on existing annotation data that points to which genes are involved with specific cellular roles, but most annotation databases are static and do not incorporate tissue or development specific informa- tion. Moreover, the assignment of genes to functions is still a largely unfinished task and the boundaries of path- way definitions are arbitrary: one database might include a set of genes within a specific signaling pathway while another would split this into two separate pathways. The best way to reconcile different pathway views and to cap- ture the plasticity of signaling and metabolomic pathways is still an open question in genomics research. Addition- ally, functional enrichment methods typically consider all genes in the gene set as equally contributing to the func- tional capacity of the set, thereby ignoring the stronger regulatory role of some pathway components and hence their differential impact on the pathway functionality. Relevant pathway genes could be identified by their net- work properties as it is done in systems medicine [68] or by being highly regulated in Pathway Network Analysis [76]. This strategy is predicated on the concept of driving genes that account for most of the variability in the coordinated expression of the pathway and are major con- tributors to changes in pathway activity [76]. However, there is still a need for accurate systematic approaches to dissect the differential relevance of genes within pathways. As gene expression analysis continues the transition to high-throughput sequencing, transcripts rather than genes become the fundamental feature measured and will require the update of functional profiling methods to sup- port transcript-level functional analyses of enrichment. Pathway analysis as the interpretative tool of systems While it is rare that cataloguing mutations in cancer alone will reveal both mechanisms of disease progression and potential drugable targets, we are left with the greater challenge of understanding how some cancers can relapse after treatment. One possible solution is the use of network con- cepts to identify groups of genes that when perturbed give the same phenotype and hence form a disease module [69]. If systems biology can rise to the challenge of predicting Personalized medicine and other upcoming challenges The rapid availability of ubiquitous sequencing holds great promise for medicine to the extent that genomics empowers the analysis of patient genomes to guide per- sonalized treatment. While we can now sequence an individual’s genome and transcriptomes, it remains extremely difficult to use that data to inform treatment. We currently lack the capability to evaluate the impact of most sequence variants found and what their func- tional consequences are. A decade of GWAS studies have revealed a multitude of common variants asso- ciated with various traits and diseases, each of which seems to contribute to or at least to increase the prob- ability of a phenotype by a small amount [65]. Yet most of these variants are in non-coding regions and we are Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Page 7 of 10 the mutations that are most likely to allow a cancer to relapse, we may be able to design multi-drug treatments that will prevent cancers from evading conventional drug treatments. More generally, systems biology holds the pro- mise of helping to decrease the time and costs of develop- ing new drugs and also helping to provide more targeted and safe candidate drugs by leveraging pathway analysis. At the same time, the new field of pharmacogenomics seeks to understand the interactions between drugs and individuals’ genotype. For example about 14% of the population carry the *2 allele of the cytochrome P450 CYP2C19 that pre- vents the proper processing of the anti-clotting drug clopi- dogrel (Plavix) and thus renders the drug ineffective [70]. Declarations The publication costs for this article were funded by MINECO grant BIO2012- 40244 and FP7 STATegra number 306000. This article has been published as part of BMC Systems Biology Volume 8 Supplement 2, 2014: Selected articles from the High-Throughput Omics and Data Integration Workshop. The full contents of the supplement are available online at http://www.biomedcentral.com/bmcsystbiol/supplements/ 8/S2. 20. Gomez-Cabrero D, Compte A, Tegner J: Workflow for generating competing hypothesis from models with parameter uncertainty. Interface Focus 2011, 1(3):438-449. 21. Trevino V, Falciani F: GALGO: an R package for multivariate variable selection using genetic algorithms. Bioinformatics 2006, 22(9):1154-6. 21. 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Proc Natl Acad Sci USA 2001, 98(9):5116-21. 1Genomics of Gene Expression Lab, Centro de Investigaciones Príncipe Felipe, Valencia, Spain. 2Department of Developmental and Cell Biology, University of California, Irvine, CA 92697, USA. 3Center for Complex Biological Systems, University of California, Irvine, CA 92697, USA. 24. Robinson Mark D, McCarthy Davis J, Smyth Gordon K: edgeR: a Bioconductor package for differential expression analysis of digital gene expression data. Bioinformatics 2010, 26(1):139-140. Acknowledgements We would like to acknowledge the members of the Conesa and Mortazavi labs for helpful discussions. AC and AM were supported by EU FP7 306000 STATegra and AM was also supported by NIH grants U54HG006998 and P50GM076516. This work was partially supported by COST-BMBS, Action BM1006 “Next Generation Sequencing Data Analysis Network”, SeqAhead. 18. 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Lee KE, Sha N, Dougherty ER, Vannucci M, Mallick BK: Gene selection: a Bayesian variable selection approach. Bioinformatics 2003, 19(1):90-7. Competing interests The authors declare that they have no competing interests. 15. Díaz-Uriarte R, Alvarez de Andrés S: Gene selection and classification of microarray data using random forest. BMC Bioinformatics 2006, 7:3. Authors’ contributions Both authors contributed equally to the manuscript. Pathway analysis as the interpretative tool of systems For example, nearly half the genes of higher eukaryotes are proteins of unknown function or non-cod- ing genes that await functional characterization. High throughput screening methods for protein-coding genes [73,74] or computational predictive approaches in the case Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Page 8 of 10 Although genomics and systems biology have started to reshape a multitude of areas in biology, new subfields evolve with ever more specialization. Ironically, we suspect that systems biology and genomics are in fact contributing to a new era of specialization by creating entire new subfields such as developmental systems biology or pharmacogenomics. However, as genomics continues to expand and to mature by addressing nearly every imaginable biological question, it is increasingly clear that the primary analysis of the resulting data alone is no longer sufficient for extracting new biologi- cal insights. Instead, we need to leverage the ideas and techniques of systems biology to understand the behavior of the system and its multitude of parts. Simi- larly, the challenges that genomics is now tackling by integratively analyzing ever higher-dimensional, multi- species systems will likely require the development of more sophisticated hierarchical models by the systems biology community to enable meaningful joint compara- tive analyses. Last but not least, genomics will need to leverage systems biology by building predictive models from personal genome data to produce actionable results for patient care that delivers on the promise of precision medicine. Thus there is much more work to be done jointly by genome and systems biologists. 3. 3. ENCODE Project Consortium: An integrated encyclopedia of DNA elements in the human genome. Nature 2012, 489(7414):57-74. 4. 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Conesa A, Bro R, García-García F, Prats JM, Götz S, Kjeldahl K, Montaner D, Dopazo J: Direct functional assessment of the composite phenotype through multivariate projection strategies. Genomics 2008, 92(6):373-83. 56. Cowley MJ, Pinese M, Kassahn KS, Waddell N, Pearson JV, Grimmond SM, Biankin AV, Hautaniemi S, Wu J: PINA v2.0: mining interactome modules. Nucleic Acids Res 2012, 40(Database):D862-5. 31. Antczak P, Ortega F, Chipman JK, Falciani F: Mapping drug physico- chemical features to pathway activity reveals molecular networks linked to toxicity outcome. PLoS One 2010, 5(8):e12385. 57. Glaab E, Baudot A, Krasnogor N, Schneider R, Valencia A: EnrichNet: network-based gene set enrichment analysis. Bioinformatics 2012, 28(18): i451-i457. 32. Wei Z, Li H: A Markov random field model for network-based analysis of genomic data. Bioinformatics 2007, 23:1537-1544. g 33. Zhi W, Minturn J, Rappaport E, Brodeur G, Li H: Network-based analysis of multivariate gene expression data. Methods Mol Biol 2013, 972:121-39. 58. Tarca AL, Draghici S, Khatri P, Hassan SS, Mittal P, Kim JS, Kim CJ, Kusanovic JP, Romero R: A novel signaling pathway impact analysis. Bioinformatics 2009, 25(1):75-82. 34. Jacob F, Monod J: Genetic regulatory mechanisms in the synthesis of proteins. J Mol Biol 1961, 3:318-56. 59. García-Alcalde F, García-López F, Dopazo J, Conesa A: Paintomics: a web based tool for the joint visualization of transcriptomics and metabolomics data. Bioinformatics 2011, 27(1):137-9. 35. Davidson EH: The regulatory genome: gene regulatory networks in development and evolution. Academic Press; 2006. 60. References 26. Reiner A, Yekutieli D, Benjamini Y: Identifying differentially expressed genes using false discovery rate controlling procedures. Bioinformatics 2003, 19(3):368-75. 26. Reiner A, Yekutieli D, Benjamini Y: Identifying differentially expressed genes using false discovery rate controlling procedures. Bioinformatics 2003, 19(3):368-75. 2. De Schutter E: Why are computational neuroscience and systems biology so separate? PLoS Comput Biol 2008, 4(5):e1000078. 27. Malley JD, Dasgupta , Moore JH: The limits of p-values for biological data mining. BioData Mining 2013, 6:10. 27. Malley JD, Dasgupta , Moore JH: The limits of p-values for biological data mining. BioData Mining 2013, 6:10. Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Kankainen M, Gopalacharyulu P, Holm L, Oresic M: MPEA–metabolite pathway enrichment analysis. Bioinformatics 2011, 27(13):1878-9. 36. Xue Z, Huang K, Cai C, Cai L, Jiang C, Feng Y, Liu Z, Zeng Q, Cheng L, Sun YE, Liu J, Horvath S, Guoping Fan G: Genetic programs in human and mouse early embryos revealed by single-cell RNA sequencing. Nature 2013, 500(7464):593-597. 61. Nueda MJ, Sebastián P, Tarazona S, García-García F, Dopazo J, Ferrer A, Conesa A: Functional assessment of time course microarray data. BMC Bioinformatics 2009, 10(Suppl 6):S9. 37. Ernst J, Kellis M: Discovery and characterization of chromatin states for systematic annotation of the human genome. Nat Biotechnol 2010, 28(8):817-25. 62. Wang K, Li M, Hakonarson H: Analyzing biological pathways in genome- wide association studies. Nat Rev Genet 2010, 11(12):843-54. 38. Hoffman MM, Buske OJ, Wang J, Weng Z, Bilmes JA, Noble WS: Unsupervised pattern discovery in human chromatin structure through genomic segmentation. Nat Methods 2013, 9(5):473-6. 63. Serra F, Arbiza L, Dopazo J, Dopazo H: Natural selection on functional modules, a genome-wide analysis. PLoS Comput Biol 2011, 7(3):e1001093. 64. Peterson TA, Nehrt NL, Park D, Kann MG: Incorporating molecular and functional context into the analysis and prioritization of human variants associated with cancer. 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Maurano MT, Humbert R, Rynes E, Thurman RE, Haugen E, Wang H, Stamatoyannopoulos JA: Systematic localization of common disease- associated variation in regulatory DNA. Science 2012, 337(6099):1190-1195. Factor Colocalization in Human Cells. Cell 2013, 155(3):713-24. 41. Raman K, Chandra N: Flux balance analysis of biological systems: applications and challenges. Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Meier M, Sit RV, Quake SR: Proteome-wide protein interaction measurements of bacterial proteins of unknown function. Proc Natl Acad Sci USA 2013, 110(2):477-82. 49. Kanehisa M, Goto S: KEGG: Kyoto Encyclopedia of Genes and Genomes. Nucleic Acids Res 2000, 28:27-30. 74. Kato K, Iwata H: High-throughput analyses of gene functions on a cell chip by electroporation. Methods Mol Biol 2011, 706:181-90. 50. Zhang P, Foerster H, Tissier CP, Mueller L, Paley S, Karp PD, Rhee SY, MetaCyc AraCyc: Metabolic pathway databases for plant research. Plant Physiol 2005, 138(1):27-37. 75. Liao Q, Xiao H, Bu D, Xie C, Miao R, Luo H, Zhao G, Yu K, Zhao H, Skogerbø G, Chen R, Wu Z, Liu C, Zhao Y: ncFANs: a web server for functional annotation of long non-coding RNAs. Nucleic Acids Res 2011, 39(Web Server):W118-24. 51. DeJongh M, Formsma K, Boillot P, Gould J, Rycenga M, Best A: Toward the automated generation of genome-scale metabolic networks in the SEED. BMC Bioinformatics 2007, 8:139. 52. Al-Shahrour F, Díaz-Uriarte R, Dopazo J: FatiGO: a web tool for finding significant associations of Gene Ontology terms with groups of genes. Bioinformatics 2004, 20(4):578-80. 76. Ponzoni O, Tarazona S, Götz S, Montaner D, Dussaut JS, Dopazo J, Conesa A:, Pathway network inference from gene expression data.This issue. 77. Zhang C, Frias MA, Mele A, Ruggiu M, Eom T, Marney CB, Wang H, Licatalosi DD, Fak JJ, Darnell RB: Integrative modeling defines the Nova splicing-regulatory network and its combinatorial controls. Science 2010, 329(5990):439-43. 53. Subramanian A, Tamayo P, Mootha VK, Mukherjee S, Ebert BL, Gillette MA, Paulovich A, Pomeroy SL, Golub TR, Lander ES, Mesirov JP: Gene set enrichment analysis: a knowledge-based approach for interpreting Page 10 of 10 Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 Conesa and Mortazavi BMC Systems Biology 2014, 8(Suppl 2):S1 http://www.biomedcentral.com/1752-0509/8/S2/S1 78. Vaske CJ, Benz SC, Sanborn JZ, Earl D, Szeto C, Zhu J, Haussler D, Stuart JM: Inference of patient-specific pathway activities from multi-dimensional cancer genomics data using PARADIGM. Bionformatics 2010, 26(12):i237-45. doi:10.1186/1752-0509-8-S2-S1 Cite this article as: Conesa and Mortazavi: The common ground of genomics and systems biology. BMC Systems Biology 2014 8(Suppl 2):S1. 78. Vaske CJ, Benz SC, Sanborn JZ, Earl D, Szeto C, Zhu J, Haussler D, Stuart JM: Inference of patient-specific pathway activities from multi-dimensional cancer genomics data using PARADIGM. Bionformatics 2010, 26(12):i237-45. doi:10.1186/1752-0509-8-S2-S1 Cite this article as: Conesa and Mortazavi: The common ground of genomics and systems biology. BMC Systems Biology 2014 8(Suppl 2):S1. Submit your next manuscript to BioMed Central and take full advantage of: • Convenient online submission • Thorough peer review • No space constraints or color figure charges • Immediate publication on acceptance • Inclusion in PubMed, CAS, Scopus and Google Scholar • Research which is freely available for redistribution Submit your manuscript at www.biomedcentral.com/submit
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La evolución conceptual de la ciudadanía: de Aristóteles a Hegel
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Una de las formas para obtener ese trabajo era la esclavitud. No obstante, no era la única forma de trabajo social, como lo ha señalado Finley; pues junto con la esclavitud coexistieron otras formas de trabajo involuntario y voluntario como fue: el caso de los 42 trabajadores asalariados y pequeños agricultores. Sin embargo, el trabajo de la esclavitud se caracterizó porque promovía la generación de la riqueza de las élites. Finley nos explica que el trabajo involuntario y el trabajo libre prácticamente coexistieron en las sociedades griegas y romanas clásicas. Mientras los “hombres libres dominaban la labor de escala reducida, en gran medida agricultura de subsistencia, así como la pequeña producción mercantil y el pequeño comercio urbano; los esclavos dominaban y prácticamente monopolizaban, la producción a gran escala tanto en el campo como en los sectores urbanos. De donde se sigue que los esclavos constituían el principal volumen de los ingresos inmediatos de la propiedad...de las élites, la económica, la social y la política” (Finley, 1982:104). Es decir, la esclavitud provocó la disparidad social entre los elementos que conforman una formación humana. En ello, coincide Naquet : “El esclavo hace posible el juego social, no porque garantice la totalidad del trabajo material (que nunca será cierto), sino por su condición de no-ciudadano, de extranjero absoluto que permite que la condición de ciudadano se desarrolle, porque el comercio de esclavos y el comercio en absoluto, la economía monetaria, permiten a un número muy excepcional de atenienses ser los ciudadanos” (Naquet,1988:89). La particularidad de la conciencia histórica que reduce la libertad a unos pocos, permite la diferenciación entre ciudadanos y esclavos, pero también la disparidad entre ciudadanos; pues la existencia de la esclavitud es la que origina la diferenciación social entre ellos. Puesto que el trabajo de los esclavos generó la diferencia económica que benefició a sus dueños, con lo que se generó la diferenciación social y el inicio de los conflictos sociales. Esto nos aclara un poco la insistencia de Aristóteles de que el trabajo productivo sea realizado por los esclavos. Sin el trabajo de los esclavos no habría sido posible la existencia de una élite social y política, puesto que la producción económica de los esclavos es la que permitió que una clase política y económica se liberara del trabajo productivo directo. De ahí que había que caracterizar al esclavo: ¿Cuál era su condición principal? Aristóteles es claro al respecto: el esclavo es una mercancía cuya función es 43 5 ser un instrumento animado para la producción . El esclavo, como mercancía, estaba sujeto al comercio, ya sea que lo vendieran como prisionero de guerra o en tiempos de paz. Si el esclavo era un instrumento para la producción, entonces la posesión de esta mercancía posibilitaba el incremento del patrimonio de su poseedor; pues como explica Vernant: la esclavitud no era cualquier modo de producción, sino el modo de producción asociado con los grandes latifundios, que beneficiaba principalmente a las élites; los pequeños propietarios, los agricultores independientes hacían escaso o nulo empleo de los esclavos. Los esclavos constituían la base económica a partir de la cual se diferenciaban las funciones sociales. Por ello, Aristóteles subraya, con tanto empeño, la diferencia entre la vida productiva, activa y contemplativa. La esfera de la producción era para satisfacer las necesidades básicas de la ciudad-estado; la activa para las cuestiones políticas, y la contemplativa para las cuestiones intelectuales. Aquí tenemos el origen de la diferencia que establece Marx entre trabajo manual e intelectual. Tanto la esfera activa como la contemplativa descansan sobre la base económica de la producción, de la que se encargaban los esclavos y las demás formas de trabajo involuntario y voluntario. De ahí que en estas sociedades, el ciudadano es el que está libre de vincularse con las actividades productivas. Sabemos que Aristóteles excluía de la ciudadanía también a los asalariados (Aristóteles, Pol. 1329 a 7); es decir, a los 6 asociados con la vida productiva, que estaban excluidos de la ciudadanía . Sin embargo, algunos políticos, obviamente, ligados al bando democrático, extendían la ciudadanía a los pequeños agricultores, artesanos y trabajadores asalariados. Algunas de las reformas que se introdujeron en Atenas, como el mismo Aristóteles explica en la Constitución de los Atenienses, ampliaron los derechos del estrato más bajo de los 5 Aristóteles, Pol.1253 b 30. 6 No obstante, Arendt argumenta que la esclavitud tenía su origen en la mentalidad antigua de la desvalorización del trabajo asociado al mantenimiento básico de la vida. “ La opinión de que labor y trabajo eran despreciados en la antigüedad debido a que sólo incumbían a los esclavos, es un principio de los historiadores modernos. Los antiguos razonaban de manera totalmente distinta; creían que era necesario tener esclavos debido a la servil naturaleza de todas las ocupaciones útiles para el mantenimiento de la vida” ( Arendt, 2005:109). 44 7 8 ciudadanos, los zeugitas y los tetes (Aristóteles CA. 26). A estos podemos ubicarlos en la categoría de trabajo voluntario puesto que eran ciudadanos, y por tanto libres. Pero si la libertad política consistía en la posibilidad de la participación política a través del acceso al ejercicio de las funciones públicas, y que se estableciera una relación de igualdad ante otros ciudadanos, ¿por qué Aristóteles excluía a los trabajadores de la ciudadanía? Una de las causas se debía a que las revueltas en las ciudades-Estados se originaban a partir de las luchas entre los grandes propietarios (oligarcas) y la multitud de pobres que estaban asociados al trabajo productivo, y que poseían escasas o nulas riquezas (Aristóteles Pol.1302 a 15). Porque, a fin de cuentas, como sostiene Vernant: “ se puede definir de manera breve a la ciudad como el sistema de instituciones que permite a una minoría privilegiada (los ciudadanos) que se reservan el acceso a la propiedad de la tierra en un territorio determinado. En este sentido, la base económica de la Polis se encuentra en una particular forma de propiedad de la tierra” (Vernant, 1988:66). Respecto a nuestra investigación para definir la condición del ciudadano, observamos, como Aristóteles ha definido a la ciudadanía, que sólo es ciudadano el que es libre de 9 cualquier tipo de dominación despótica , como era el caso los esclavos, lo cual era común en las ciudades griegas. Aristóteles no sólo dejó fuera de la ciudadanía a los esclavos, sino también a los artesanos, comerciantes y trabajadores agrícolas, es decir, a los trabajadores asalariados libres. Aunque sabemos que esto no era común, ya que muchas ciudades de tipo democrático extendían la ciudadanía a los trabajadores asalariados. Aunque el esclavo se encontraba en los extremos de la relación con el ciudadano; en medio se encuentran los trabajadores en general, que estaban vinculados con las 7 Los pequeños agricultores que poseen al menos una yunta de bueyes, son la tercera clase de ciudadanos en tiempos de Solón, no tienen acceso a las magistraturas superiores hasta la reforma de Efialtes. Aristóteles CA 73(2008:67). 8 Los ciudadanos más humildes eran los obreros y jornaleros; no tenían acceso a las magistraturas, sólo podían formar parte de la asamblea y los tribunales. Aumentó su influencia durante la guerra del Peloponeso. Aristóteles CA 27(2008:119). 9 “Laborar significaba estar esclavizado por la necesidad, y esta servidumbre era inherente a las condiciones de la vida humana. Debido a que los hombres estaban dominados por las necesidades de la vida, sólo podían ganar su libertad mediante la dominación de esos a quienes sujetaban a la necesidad por la fuerza” ( Arendt, 2005:109) 45 actividades productivas. El señor (déspota) podía tenía derechos absolutos sobre el esclavo, pero no sobre los trabajadores que poseían la libertad sobre sus personas. De ahí que la libertad política para Aristóteles sea distinta a la de muchos de los políticos democráticos. Él consideraba que la libertad política era un ejercicio real de mandar y obedecer en los asuntos de la ciudad. Y si la clase de los trabajadores asociados a la producción no podían mandar, sino sólo obedecer, entonces tendrían que ser considerados como esclavos. El esclavo, por lo tanto, estaba fuera de la comunidad política, su lugar era el de ser un forastero, como explica Finley: “Este absolutismo de los derechos del propietario lo facilitaba el hecho de que el esclavo era siempre un foráneo desarraigado: un foráneo, primero, en el sentido de que procedía de fuera de la sociedad en que se introducía como esclavo, segundo en el sentido de que se le negaban los más elementales vínculos sociales de parentela” (Finley, 1982:95). 10 Estos autores coinciden en que el origen de la esclavitud está asociado con los foráneos, extraños o extranjeros a los que se les obligó a trabajar por la fuerza. “El esclavo es un marginado: esto no sólo permite su desarraigo sino también la reducción de una persona a una cosa que puede ser apropiada. Los miembros en masa no pueden ser totalmente transformados; ninguna comunidad puede sobrevivir a eso” (Finley, 1982:6). El concepto de ciudadanía ha determinado el ámbito de lo político a lo largo de la historia, pero este concepto se ha delimitado a partir de otros conceptos que han definido al sujeto político en la historia de las definiciones políticas; tales conceptos son: el esclavo y el súbdito. Por ejemplo, el concepto de esclavo tiene una relación de contradicción con el concepto de ciudadano. Durante siglos, la condición de ciudadano se determinó a partir de este concepto contradictorio, porque la ciudadanía nunca fue un concepto universal, sino particular. Existían los ciudadanos y los no-ciudadanos; éstos últimos podían ser extranjeros, mujeres y niños y, por supuesto, los esclavos. La categoría de la esclavitud ha sido uno de los referentes históricos para definir el 10 El problema contemporáneo de la inmigración en las sociedades industriales consiste en el reconocimiento de la ciudadanía a los extranjeros, que realizan el trabajo más básico de las sociedades; se les acepta como trabajadores, pero no como ciudadanos con los mismos derechos, a pesar de que su trabajo contribuye a la riqueza social. 46 concepto de ciudadano. Como sabemos, la institución de la esclavitud perdura hasta el presente en muchas sociedades. Los movimientos abolicionistas que iniciaron en el siglo XVIII a partir de las ideas políticas de la Ilustración, la Declaración de los derechos del Hombre y del Ciudadano, así como el inicio de la tecnificación de la producción a partir de la Revolución Industrial, socavaron la institución de la esclavitud a partir de 11 argumentos morales, políticos y económicos. La práctica de la esclavitud se remonta a milenios, pero fue en las ciudades-Estados griegas donde se elaboraron teorías para explicarlas. A los griegos les debemos el origen de muchos de nuestros actuales conceptos políticos, pero también la justificación racional de la práctica de la esclavitud. Los ideales de la democracia, el concepto de ciudadanía, las ideas sobre las formas de gobierno son fruto del pensamiento griego, pero también su idea de esclavitud. El filósofo que más analizó la idea de ciudadano, también, fue el que más caracterizó la idea del esclavo. Nos referimos a Aristóteles. 2.2 El ciudadano y sus exclusiones en la “Política” de Aristóteles. Los antecedentes para la elaboración de la teoría política de Aristóteles fueron los análisis sociológicos e históricos, que el Estagirita realizó a partir del estudio de las distintas formas de gobierno, que existieron en las ciudades-Estados griegas. A partir del análisis de las distintas formas de gobierno, encontró un elemento común que había en todas ellas: la existencia de ciudadanos y esclavos. Por lo que había que determinar ¿quién era el ciudadano? Desde una perspectiva cuantitativa, esto dependía de la forma de gobierno. Según fuera una monarquía, una aristocracia o una democracia, los ciudadanos podían ser pocos o muchos; pero desde un criterio cualitativo, la ciudadanía descansaba en una gran masa de seres humanos que no podían ser ciudadanos: los esclavos. 11 Sin embargo, en algunas regiones del África, aún, continúan con la práctica de la esclavitud, como Sudán y Mauritania que ha impuesto una ley en su contra en septiembre del 2007. La esclavitud es una actividad que permanece en aquellas regiones que económicamente se encuentra subdesarrolladas. En los países desarrollados, las distintas segregaciones que han permanecido se deben más bien a costumbres arraigadas que se nutrieron de una experiencia de siglos de exclusión. Hoy nos escandalizamos de la existencia de personas que son tratadas como esclavos, pero durante siglos fue una actividad completamente normal; y en algunos lugares lo continúa siendo. 47 Con ello, Aristóteles determinó las esferas en que se dividía la vida de las polis: la activa , la productiva y la contemplativa. La activa estaba reservada a los ciudadanos; y la productiva era labor de los esclavos, artesanos, campesinos y comerciantes. La vida activa de la ciudadanía podía tener un perfil distinto en cada ciudad, como fue el caso de Esparta, que fue una ciudad-estado orientada para la guerra. Los ciudadanos espartanos eran educados para ser ciudadanos-guerreros, y como tal, tenían que ser eximidos de la vida productiva; pues como Heater comenta: “ la ciudadanía espartana estaba asociada a los hoplitas-guerreros, que estaban excluidos de las cuestiones manuales. El ciudadano tenía que haber pasado por una serie de pruebas en donde demostrara su fortaleza y valentía; sólo él era considerado un igual”. (Heater, 2004: 8-9) La vida productiva estaba permanentemente excluida de la vida activa de la ciudadanía. Aristóteles criticaba el modelo comunitarista de los espartanos, que provocó una polarización entre la población, pues menciona que la institución de las comidas en común, en la práctica, excluía a los ciudadanos pobres que no podían pagar el impuesto, con lo que se conseguía lo contrario de lo que se pretendía. Aristóteles hace una larga crítica a las instituciones espartanas y, de manera indirecta, al modelo utópico de Platón, indicando que una de sus fallas centrales era que la ciudadanía espartana estaba diseñada para una situación bélica permanente, al ser una ciudadanía orientada a la guerra; pero no para la paz (Aristóteles, Pol. 1271 b). Platón, en su modelo de república, retoma muchas de las costumbres espartanas: la obediencia la autoridad, la estabilidad y el orden; con la diferencia de que el régimen diseñado por Platón tiene tres clases: los guardianes que gobiernan; los soldados que defienden; y los productores, que es el componente más amplio que contiene a todas las profesiones: comerciantes y trabajadores; y que, no obstante, son ciudadanos; ellos pertenecen a una numerosa segunda clase de ciudadanos, de tipo pasivo, que no tienen expectativas de participar en los asuntos públicos. (Heater, 2004:14-15) Como sabemos, Platón propuso un modelo puramente conceptual, que tenía como objetivo eliminar los conflictos políticos que asolaban a las comunidades políticas; para ello propone tres clases sólidamente diferenciadas, a las que les atribuye una ciudadanía distinta. De hecho, las dos primeras participarían de la vida política, en cuanto tal: los 48 guardianes-gobernantes y los guardianes-guerreros se encargarían de preservar la unidad y permanencia de la polis; mientras que los vinculados a la vida productiva no están excluidos de la ciudadanía, pues como sostuvo: “Falta todavía, en mi opinión, otra especie de auxiliares cuya cooperación no resulta ciertamente muy estimable en lo que toca a la inteligencia, pero que gozan de suficientemente fuerza física para realizar trabajos penosos. Venden, pues, el empleo de su fuerza física y, como llaman salario al precio que se les paga, reciben según creo el nombre de asalariados....Estos asalariados son, pues, una especie de complemento de la ciudad” ( Platón, República 371e). Estos ciudadanos asalariados están excluidos de la participación política, porque Platón no concibe la polis como un espacio de conflicto de intereses entre las partes, sino como una unidad inquebrantable que suministra un bien común para todos. La política para Platón no es un lugar para conciliar conflictos, sino que es la desaparición del conflicto como tal. Platón propone desaparecer la política como espacio para el conflicto, para presentar un principio unitario inquebrantable, al que sólo se pueda acceder mediante la razón. Los guardianes-filósofos indicarán los caminos racionales para preservar la estabilidad y armonía de la polis. En un universo ordenado, cada uno sabe su lugar y su función. La tercera clase, asociada a la vida productiva, no es esclava, porque participa de la justicia colectiva de la polis. No requiere participar, porque disfruta de la estabilidad racional que proporcionan los guardianes y los guerreros, por lo que se puede dedicar tranquilamente a lo que mejor hace: producir. El aristócrata revolucionario pensó que no se requerían esclavos, sino trabajadores que aceptaran su condición de ciudadanos subordinados, por lo que sólo se necesitaría un mito para convencerlos, ya que la propaganda es más efectiva que la violencia. Su discípulo Aristóteles, más realista e hijo de su tiempo, no eliminó la necesidad de esclavos, sino que formuló una idea de ciudadanía que descansará en ellos. Sin embargo, los argumentos para justificar la superioridad racional del amo sobre el esclavo, en gran parte, provienen de Platón. Por lo que nuestra evolución política siguió los lineamientos del maestro y su discípulo. La idea de la ciudadanía se ha extendido a gran parte del mundo y la necesidad de los esclavos como institución política ha desaparecido, aunque no sabemos si el sueño de un poder ilustrado y racional se corresponda con la tecnocracia de nuestras sociedades actuales. Lo que 49 sabemos es que las semillas de los pensamientos de Platón y Aristóteles han dado una innumerable variedad de frutos a lo largo de nuestra historia. 2.3 La ciudadanía como dominación La determinación del concepto de ciudadano limita el espacio de lo político en la obra de Aristóteles, como lo explica Werner Jaeger: “Aristóteles pretendía desarrollar en la introducción las condiciones naturales fundamentales de toda existencia política, con el fin de construir el Estado partiendo de la naturaleza o sacándolo de sus supuesto más simples. Estos supuestos son los tres elementos fundamentales de toda vida social, el amo y el esclavo, el hombre y la mujer, el padre y el hijo”. (Jaeger, 1995:312) Estas separaciones de la vida social corresponden a los que pueden ser parte de la vida pública de la ciudad: el hombre, el padre y el amo que es el ciudadano (polites); mientras que la mujer, el niño y el esclavo están fuera de la ciudadanía y pertenecen al ámbito doméstico de la familia: el oikos. Aristóteles analiza la parte básica y fundamental de la ciudad: la familia, en la que distingue dos categorías: los esclavos y los libres, y las relaciones de subordinación entre: el señor y el esclavo, el marido y la mujer, el padre y los hijos. Sin embargo, la relación entre el señor de la casa y su mujer no es la misma que la que se ejerce sobre el esclavo. La relación sobre la mujer y los hijos es sobre seres libres. Explica que a la mujer hay que considerarla un ciudadano y a los hijos hay que gobernarlos monárquicamente. Aristóteles explica la relación de servidumbre entre el señor y el esclavo , como una relación de dominio justificado en la ciencia o el conocimiento, que tiene el señor sobre los esclavos. El que posee el saber y la técnica, de las cosas útiles, establece una relación de dominio (señorío) sobre los que carecen de ellas. Esta posición la contrasta con los sofistas, que sostienen que la relación de señorío o dominio entre los hombres es una relación antinatural; porque para ellos, la dominación es una convención que se basa en la fuerza y que por naturaleza es injusta( Aristóteles, Pol. 1253 b 15). De esta forma distingue las dos posiciones antagónicas: la naturaleza (physis) y la convención (nomos). Las posiciones esencialistas que postulan un orden natural y las 50 posiciones que afirman que la sociedad es producto de una convención, ya que toda diferenciación social es convencional. No es de extrañar que esta posición sea la de los sofistas, que eran unos sujetos que enseñaban y cobraban por su saber, que eran ambulantes y no estaban constreñidos a una polis particular. Los sofistas fueron los primeros cosmopolitas, pues pensaron la naturaleza humana más allá de las fronteras de cada ciudad, y explicaron la práctica del esclavismo como una convención que se basaba en la fuerza. Además, como ha señalado Hegel, son los portadores del principio de la particularidad, de ahí la justificada desconfianza que suscitaban entre los ciudadanos. En cambio, Aristóteles piensa que el hombre es un animal político (zoon politikon), un ser humano que, por naturaleza, busca asociarse con otros para poder satisfacer sus necesidades, pero no cualquier necesidad; sino la necesidad natural de ser un hombre completo para que desarrolle su fin. Como explica Luis Salazar: “el fin (telos) constitutivo de la naturaleza humana, la vida buena, la felicidad, sólo puede realizarse dentro de una comunidad política, es decir, convirtiéndose en ciudadanos, y participando en el gobierno de la polis” (Salazar, 2004:79). La ciudad es el producto de una evolución natural que hace posible el auténtico desarrollo de los seres humanos; pues, como afirma Aristóteles, no se trata sólo de que vivan, sino de que vivan bien. Por ello, la ciudad en cuanto un organismo que ha crecido precede a sus partes. La ciudad (polis) nos dice Aristóteles, es el todo ontológico, que precede a sus partes, por lo que es anterior a la familia en cuanto totalidad orgánica. Aristóteles nos explica la preeminencia ontológica de la comunidad, de la ciudad como un todo que contiene a sus elementos. El impulso de los individuos es formar parte de esta comunidad o totalidad, pues su substrato y formación depende de ella. Este es el principio, a partir 12 del cual, Hegel elaborará su noción ontológica del Estado como totalidad. “La ciudad es asimismo por naturaleza anterior a la familia y a cada uno de nosotros. El 12 Hegel retoma esta separación entre el ámbito económico de la sociedad civil y el ámbito político del Estado, sólo que bajo la condición moderna de la subjetividad. Las partes en que divide a la eticidad: familia, sociedad civil y Estado, rememoran el ámbito de la producción: la sociedad civil, el universo económico, y el ámbito de la acción: el Estado, el universo político. 51 todo, en efecto, es necesariamente anterior a la parte. (....)Es pues manifiesto que la ciudad es por naturaleza anterior al individuo, pues si el individuo no puede de por sí bastarse a sí mismo, deberá estar con el todo político en la misma relación que las otras partes lo están con su respectivo todo. El que sea incapaz de entrar en esta participación común, o que, a causa de su propia suficiencia (autárquico), no necesite de ella, no es más parte de la ciudad, sino que es una bestia o un dios”( Aristóteles, Pol.1253 a 15-30 ). Aristóteles explica que la ciudad es la totalidad política que contiene a sus partes, que aisladas no son políticas, porque no conforman la totalidad política de la ciudad. Sin 13 embargo, la totalidad no puede existir sin sus partes elementales: las familias (oikos). Por ello, siempre habrá una complementaria oposición entre la ciudad y la familia. Cabe recordar que la familia (oikos) griega es la unidad de la reproducción material de la vida (mujeres, niños y bienes). La familia está integrada por las mujeres y los niños, pero es fundamentalmente el lugar de los esclavos. La familia es un lugar de 14 dominación , ahí el ciudadano cumple la función de señor (déspota) para sus esclavos, y de rey para su mujer e hijos. Mientras que en el espacio político de la ciudad se establece una relación de igualdad entre los ciudadanos. La política se reduce a los iguales y corresponde al régimen político, mientras que la familia establece una relación entre desiguales donde impera el régimen despótico. Para el Estagirita, la familia cumple una función fundamental, porque es el ámbito de la generación de bienes, cuyo principal instrumento son los esclavos. El ciudadano (polites), entonces, se debe determinar a partir de su contrario, el esclavo 15 (doulos) , este al no ser libre (eleutheros) es parte de su señor. No obstante, es 13 El oikos: la casa, la vivienda, es el lugar de la reproducción material de la vida. Es el espacio reservado a las mujeres, niños y esclavos. Era como una hacienda, porque estaba ligada a la posesión de la tierra. Obviamente, el término oikos no corresponde al sentido estrecho de la familia nuclear de nuestros días. El oikos, la casa, es una unidad material y natural en las que se asentaba la ciudad. 14 El dominio tiene una herencia etimológica que procede de los griegos. El dominio es el que ejerce el Dominus, palabra latina que significa señor, dueño, propietario y que corresponde a la palabra griega despótes, es decir, el señor. 15 Sin embargo, el termino doulos en sus orígenes no se refería directamente al esclavo como instrumento de 52 revelador como Aristóteles explica esta relación de servidumbre no bajo una relación ontológica, sino mediante una relación operacional. Comienza explicando que la casa (oikos) necesita bienes económicos para la buena vida. Para ello, se requieren instrumentos que pueden ser animados e inanimados. Comenta que “la posesión de un artículo es un instrumento para la vida; la propiedad en general es una colección de instrumentos, y el esclavo una posesión animada. Todo servidor es como un instrumento que antecede a otros instrumentos y los coordina” ( Aristóteles, Pol. 1253 b 30). Es decir, el señor para mantener la subsistencia de su casa y su relación de dominio requiere de instrumentos para conservar su economía (administración de la casa) y bienestar. Los instrumentos inanimados, tejedoras, arados, etc., requieren de operadores (instrumentos animados) para que generen bienes que aumenten el patrimonio del señor. Si los instrumentos inanimados pudieran ser como autómatas, “Si cada instrumento pudiera llevar a cabo la obra que le incumbe con sólo recibir la orden, o incluso adivinándola, como se cuenta de las estatuas de Dédalo o de los trípodes de Hefestos (...); si de este modo pudieran tejer las lanzaderas y los plectros tañer las cítaras, ni los maestros de las obras tendrían necesidad de obreros ni los señores de esclavos” 1252 b 30 Pol. 16 El señor sólo necesita al esclavo como medio de producción de sus bienes, si pudiera sustituirlos con autómatas y máquinas lo haría. Aristóteles pone de relieve que la producción, sino que podía tener diferentes connotaciones, como explica Naquet: “En griego, esclavo es el doulos y la palabra se desprende de las tabletas micénicas en la forma doero, pero la palabra no significa que, de hecho, en la sociedad micénica haya experimentado una fuerte oposición, decisiva entre esclavos y hombres libres. De hecho, la palabra doero parece tener muchos sentidos. Se distingue al doero caza clientes del tribunal, el doero de los dioses. Se presentan sutiles diferencias: por ejemplo, decirle a una mujer ella es la hija de un doero y de una mujer pertenecientes a la clase de alfareros” (Naquet, 1988:85). 16 No obstante, como señala Vidal-Naquet los esclavos no estaban solos en la base de la estructura productiva, sino que los acompañaban los trabajadores agrícolas que no tenían una vinculación directa con el oikos, sólo eran asalariados que vendían su fuerza de trabajo. (Vidal-Naquet,1988:85) Obviamente, cuando nos referimos a la condición de esclavo no lo situamos en una condición de marginalidad extrema, pues el esclavo podía desempeñar diferentes funciones en el oikos. La condición de esclavo se determinaba por un botín de guerra, por deudas, por ser hijo de esclavos y hasta por venganza, como le sucedió a Platón con el tirano Dionisio. Sin embargo, sea la baja o alta marginación de los esclavos, éstos para todos los fines eran instrumentos de sus amos, fuesen de lujo o básicos. 53 función de los esclavos está ligada a la producción de los bienes, externos, necesarios para la autosuficiencia de la familia, si éstos pudiesen ser sustituidos por máquinas, entonces la necesidad de esclavos sería inútil; como sostiene Mosterin: “si hoy hemos podido eliminar esas lacras sociales, ello se ha debido más al progreso técnico que al moral”. (Mosterin, 1984: 293) Pero, aun así, Aristóteles distingue entre instrumentos para la producción e instrumentos para la acción. “Pero la vida es acción y no producción; y por tanto el esclavo es un servidor que entra en la categoría de instrumentos para la acción” ( Aristóteles, Pol.1254 a.5). Por lo que la importancia de los esclavos radica en que éstos generan los medios materiales para que el ciudadano se ocupe de los asuntos de la ciudad, de la acción. Como explica Mosterin: “El fin de la producción es algo extrínseco a ella misma, el producto. El fin de la acción es ella misma. La vida es acción. Y el dueño de la casa necesita instrumentos para la acción”. (Mosterin, 1984:291) La familia es el lugar de la producción de los bienes materiales para la buena vida; mientras que la ciudad es el lugar para la acción política que sólo está reservado para los ciudadanos. El señor posee a sus esclavos para que se encarguen de la producción de sus bienes, pues como explica Aristóteles: una de las condiciones para la felicidad es la posesión de bienes exteriores( Aristóteles, EN. 1101a) . Esta posesión de bienes, que le genera su oikos, le permite al señor dedicarse a un modo de vida más elevado: la política, “puesto que el fin de la política no es el conocimiento, sino la acción” (Aristóteles, EN, 1095 a 5). 54 Vida Contemplativa Conocimiento Filosófico Ciudadanos Vida Activa-Política Mujeres y niños Vida Productiva Oikos-Economía Metecos (Extranjeros) Esclavos Figura 1. Estructura social griega. Como podemos apreciar en la estructura piramidal griega, los ciudadanos constituían una pequeña minoría que estaban dedicados a la vida política y contemplativa; mientras que la mayoría de la población estaba vinculada a la vida productiva: mujeres, niños, metecos; y los esclavos que eran los instrumentos animados de la acción. La punta de la pirámide, constituida sólo por los ciudadanos, podía ser aún más estrecha si el régimen en cuestión tenía una orientación oligárquica, o más amplia si era democrática; pero en ambos casos, los integrantes de la ciudadanía siempre fueron reducidos en comparación con los otros integrantes de la ciudad. Será hasta el siglo XVIII donde las demandas de la ampliación de la ciudadanía tomarán fuerza. Y es también, donde se mostrará con mayor fuerza la inversión de la importancia de la vida activa sobre la vida productiva. 2.4 La ciudadanía como participación política. 17 De los tres niveles de vida: producción, acción y contemplación (a la que Aristóteles 17 Lo que posibilita el ejercicio de la vida activa y contemplativa es el ocio, el tiempo libre que puede dedicarse a la vida política o la vida intelectual; ambas requieren que otros desarrollen la vida productiva para que se pueda 55 considera la más elevada de todas por ser filosófica); es la acción la que corresponde a la vida política, pero ¿cuáles son las funciones que debe desempeñar el ciudadano? Si el ciudadano al estar libre de las necesidades materiales de la vida, de su producción, entonces se puede dedicar a la vida de acción de la política, pues como explica Arendt: “La forma de vida política escapaba a este veredicto debido al modo de entender los griegos la vida de la polis, que para ellos indicaba una forma muy especial y libremente elegida de organización política, y en modo alguno sólo una manera de acción necesaria para mantener unidos a los hombres dentro de un orden” (Arendt, 1993:26). ¿Pero quién es el ciudadano? Aristóteles explica que uno de los rasgos de la ciudadanía es participar en las funciones judiciales y de gobierno; es decir, que se tenga la posibilidad de acceder a las magistraturas. Pero de inmediato aclara que la ciudadanía puede variar dependiendo de las formas de gobierno y el ejercicio de poder, porque las características de la participación en el gobierno y el ejercicio de las funciones judiciales son un rasgo de la ciudadanía de tipo democrático. De ahí que tenga que encontrar un elemento común que distinga al ciudadano. Tal elemento es la capacidad de deliberación sobre algunas o todas las cosas que se refieren a la comunidad. “quien tiene la posibilidad de participar en la función Por lo que a 18 deliberativa o judicial , a ése lo llamamos ciudadano de esa ciudad, y llamamos ciudad, (...) al conjunto de tales ciudadanos suficiente para vivir con autarquía” (Aristóteles, Pol. 275b 15). Es decir, la ciudadanía, funcionalmente, consiste en el ejercicio de la capacidad 19 deliberativa y judicial que implique el posible desempeño de las magistraturas. Y la ciudad es el conjunto de ciudadanos (numerosos o pocos) que son suficiente para desarrollar esta clase de vida. 18 “Junto con la libertad los ciudadanos tenían la obligación de participar en las deliberaciones públicas en el ágora, y desempeñar diversas funciones administrativas y judiciales. Esta participación se establecía a partir de una relación de igualdad y libertad con los otros ciudadanos, a pesar de la división de clases establecida por Solón” ( Heater, 2004: 25). 19 “El segundo aspecto se refiere a la libertad para hablar (parrhesia) a partir de las reformas de Clistenes, y que fue esencial en las asambleas para participar de manera abierta y sin temor, lo cual fue determinante para el desarrollo de una ciudadanía de tipo democrático” (Heater, 2004:25). 56 garantizar la independencia de la ciudad. Si Aristóteles define la ciudad de manera funcional, respecto a la participación de los poderes deliberativos y judiciales, entonces todos aquellos que no participan de estas funciones no son ciudadanos de la ciudad, sino habitantes de ella, como los metecos y los esclavos, o los niños y las mujeres como ciudadanos imperfectos. 2.5 Ciudadanía como ejercicio del poder Aristóteles menciona que la identidad de una ciudad depende del tipo de régimen que posee; cuando el régimen cambia, la identidad de la ciudad también, porque lo que cambia es la relación de poder existente. El régimen político determina la naturaleza del poder y la relación que existe entre los ciudadanos. Aristóteles menciona que el dominio político es sobre hombres libres e iguales( Aristóteles, Pol. 1255 b), a diferencia del dominio despótico que el señor ejerce como un monarca en su casa. El poder político que aceptan los ciudadanos es una subordinación entre iguales que implica saber mandar y obedecer entre ellos, mientras que el dominio despótico es un mandato sobre desiguales. De ahí que la virtud del ciudadano esté en relación con el régimen político. Cada régimen desarrolla y exige un tipo determinado de virtud ciudadana. La virtud ciudadana son los deberes y derechos que posee el ciudadano respecto a su ciudad, la cual es distinta de la virtud perfecta o virtud moral que puede tener un ciudadano. Aristóteles para determinar el tipo de virtud emplea dos análisis, uno fáctico y otro normativo. En el primero, explica que puede haber diferentes tipos de regímenes políticos, y que cada uno determina la virtud política de su régimen, sin importar la virtud moral de sus integrantes; mientras que éstos cumplan con los deberes que les exige la virtud cívica. Es decir, ser un buen ciudadano no necesariamente implica ser un buen hombre. Explica que la ciudad no necesita que todos los hombres sean necesariamente buenos; sino que todos realicen de manera eficaz su actividad conforme a la virtud. De ahí que la virtud ciudadana sea distinta que la del hombre de bien. Sin embargo, es necesario que todos posean la virtud ciudadana (realización de ciertos deberes hacia la ciudad); aunque no es necesario que todos sean necesariamente buenos( Aristóteles, Pol.1277a), porque puede haber hombres buenos 57 que no eran buenos ciudadanos, como fue el caso de Sócrates. Como la ciudad se compone de varios elementos, no es necesario que todos posean la misma virtud. Aristóteles se pregunta si puede ser igual la virtud del buen ciudadano y la del hombre de bien. Menciona que ambos son ciudadanos; pero si uno es el que gobierna y el otro el gobernado, entonces no puede ser la misma virtud. Explica que un ciudadano digno se caracteriza porque sabe mandar y obedecer bien( Aristóteles, Pol. 20 1276a 10). La virtud del hombre de bien es la de mando y la del ciudadano la de mandar y obedecer. Pero este mandato y obediencia, señala Aristóteles, no es del tipo de gobierno del amo sobre los esclavos, porque el esclavo realiza una actividad para uso y servicio de su señor. El mando que se da entre ciudadanos de la misma clase y entre seres libres, lo llama Aristóteles dominio político( Aristóteles, Pol. 1277 b). De ahí que la virtud del buen ciudadano es: “la de saber y ser capaz de obedecer y mandar” (Aristóteles, Pol.1277 b9). Y la “virtud del ciudadano conocer el gobierno de los hombre libres bajo sus dos aspectos a la vez”. El elemento normativo, simplemente, consiste en la exigencia de que los ciudadanos cumplan los deberes cívicos. En Aristóteles no hay una exigencia absoluta de que los ciudadanos deban seguir la misma virtud; sino que cada uno encuentre la suya( Aristóteles, EN,109 b20). Por ello, el gobernante debe ser un hombre de bien y conducirse con prudencia, mientras que el gobernado debe conducirse con opinión verdadera. Es decir, el gobierno político no puede darse bajo un poder despótico. La política es el ámbito de la libertad; y el despotismo el de la violencia, por eso está destinado al espacio pre-político del oikos. Entonces, el ciudadano es el que está libre de la dominación arbitraría; de ahí nace el ideal republicano de la libertad como ausencia de dominación, mas no de gobierno. Como hemos visto, la virtud del ciudadano consiste en saber mandar y obedecer, pero bajo un gobierno sujeto a leyes. Cuando un ciudadano es tratado despóticamente, no se le está considerando un ciudadano, sino un esclavo. La libertad del ciudadano en 20 Esta idea de la virtud del hombre bueno como el que sabe mandar será retomada por los humanistas del cuatrocento que forjarán la idea de la virtud como saber gobernar. 58 Aristóteles consiste no sólo en estar libre de la dominación, sino que éste debía participar activamente en los asuntos de la polis, para que previniera, precisamente, cualquier tipo de dominación. La posibilidad de la participación era la garantía de que no fuera dominado por otros, y de esa manera garantizar su propia libertad política. De ahí que el acceso a la ciudadanía fuera prioritario para los que buscaban la preservación de su libertad política. Muchos de los conflictos que narra Aristóteles, con una estupenda visión sociológica, consistían en artimañas, trucos y engaños para evitar que los grupos antagónicos que se disputaban el poder de la ciudad, accedieran a la ciudadanía. Cada grupo trataba de imponer el régimen político más favorable a sus intereses; y a partir de sus características, establecía el tipo de ciudadanía que era conveniente para ese régimen. Por ello, cuando Aristóteles realiza el análisis fáctico, comenta que los tipos de ciudadanía dependen de los regímenes políticos y de los criterios de selección que éstos establezcan; así la aristocracia pondrá como criterio, las cualidades y los méritos; las oligarquías, los ingresos. En otros, se admitirán a los artesanos o ,en algunos casos, a los extranjeros. Esto se debía a que las comunidades requerían la incorporación de ciudadanos cuando eran pocos, pero cuando la población se estabilizaba o se hacía numerosa la ciudadanía se limitaba. Los criterios de la ciudadanía se hacían selectivos. Esta observación de Aristóteles perdura hasta nuestros días. De ahí que la virtud ciudadana y la virtud del hombre de bien se modifiquen a partir del tipo de régimen. 2.6 Regímenes políticos. Cuando Aristóteles habla de los regímenes define que “ un régimen político es una ordenación de las diversas magistratura de la ciudad y especialmente de la que tiene el poder soberano. Y en todas partes es soberano el gobierno de la ciudad, y ese gobierno es el régimen” (Aristóteles, Pol. 1278b10). Un régimen político es un sistema de relaciones de poder, de dominio (arjé), que constituyen un tipo de gobierno. La legitimidad de ese poder se justifica por la forma de gobierno, donde reside la soberanía. Si es una democracia reside en el pueblo o ciudadanos que integran el pueblo; si es una oligarquía, en unos cuantos, si es una monarquía en el monarca, etc. 59 Aristóteles identifica el régimen (politeia ) con el tipo de gobierno, porque este ejerce la soberanía en las ciudades; de ahí que la soberanía pueda residir en uno, varios o la mayoría. Si el gobierno se ejerce en función del bien común, el régimen será justo o recto; pero si es por el interés particular de uno, algunos o de la masa serán desviaciones. De ahí la clásica diferenciación que propone: Monarquía (uno que gobierna), Aristocracia (el gobierno de los mejores (aristos) y República (politeia). La república o politeia recibe el nombre genérico de todos los regímenes rectos. Formas justas y sus desviaciones. Rectos-justos---------------------------Bien Común Desviados-injustos--------Bien particular Monarquía-Gobierno de uno. El mejor.+++ Tiranía-Despotismo de uno. - - - Aristocracia-Gobierno de los mejores.++ Oligarquía- Despotismo de los ricos.- - República-Politeía-gobierno de la mayoría.+ Democracia-Despotismo de los pobres.- Las desviaciones a cada uno son: Monarquía- Tiranía, Aristocracia-Oligarquía, República-Democracia. Porque el interés está dirigido al interés de uno, de los ricos o de los pobres, pero sin ver por el bien común de la comunidad. Obviamente, Aristóteles no pretende criticar la diferenciación social de la comunidad, pues justifica en cierta medida la desigualdad. Pero, ante una comunidad diferenciada entre ricos y pobres se suscitan muchos conflictos, ya que un régimen que sólo vela por el interés de un segmento de la polis es injusto y una forma desviada de lo recto. El criterio de legitimación es la búsqueda del bien común, que consiste en la posibilidad de que todos puedan participar en una vida más amplia: la política, y a la vez puedan disfrutar de su felicidad (eudemonia). Cuando no se consigue este bien común se abre el camino a la lucha entre las partes. Aristóteles reconoce que el auténtico motivo de las disputas políticas es un conflicto para acceder a los recursos y los bienes de la ciudad. La oposición que subyace en esta dinámica conflictiva es la que se da entre la oligarquía y la democracia. El criterio para distinguir a la oligarquía de la democracia, la cantidad de personas, es accidental, aunque de manera general, el caso es que los ricos son pocos 60 y los pobres muchos. De ahí que el criterio para distinguirlos es la riqueza y la pobreza.
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Teleconnections and dynamical influences on intraseasonal rainfall variability over Vietnam. Hydrology. Université Paul Sabatier - Toulouse III, 2023. English. &#x27E8;NNT : 2023TOU30134&#x27E9;. &#x27E8;tel-04383373&#x27E9;
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1.2. Vietnam Rainfall Intraseasonal Variability 45 The interaction between tropical and extratropical factors is also discussed in case studies of extreme rainfall events over Vietnam. Wu et al. (2012) show an example of a synoptic-scale tropical wave formed over the South China Sea combined with a surface high extending from western Mongolia to the East China Sea in the presence of a strong MJO over the Indian Ocean leading to heavy rainfall over Central Vietnam. Further examples of combined effects include cold surges associated with the expansion of the Siberian High and tropical depressions associated with the MJO (Yokoi and Matsumoto, 2008; Chen et al., 2012; Abdillah et al., 2018) 1.2.2.3 Summary We have presented a catalogue of structures that may influence the rainfall ISV over Vietnam subregions from previous studies that come from both modelling and observational studies. This constitutes the substantial background research for this PhD thesis that we would like to focus on the remote dynamical and tropical influence on Vietnam hydrology, particularly the rainfall ISV. From observational analysis, the influence of extratropical and tropical factors and their interaction, on Vietnam rainfall ISV are seen to be associated with various temporal and spatial modes of variation as well as individual events. This type of combined influence appears to have varying impacts on different regions, so the exact nature of the remote influence is sensitive to how these regions are defined and how the data are processed, including choices about thresholds, time filters, etc. For example, in terms of the temporal variation of rainfall over Vietnam, TT18 indicates that the circulations associated with 10–20-day rainfall ISO in north and south Vietnam are in the form of equatorial Rossby waves, while 20–60-day rainfall ISO in north and south Vietnam is suggested as coming from extratropical- tropical interaction and summer MJO, respectively in TT19. However, we also see that PC2 and PC4 of sub-monthly rainfall of gridded Vietnam daily rainfall in Tuan2019 associated with rainfall anomaly over North and South Vietnam are suggested in association with the southward excursion of the polar air mass and upstream development of the wave train from the North Pacific with TD-type waves, respectively. The conclusions to the multiplicity of regions, rainfall criteria and timescales need to be further investigated within the extended summer. The interrelation between regional events and sensitivities to the choice of regions and threshold could be a useful feature of a complement investigation. What is the overall large-scale dynamics picture associated with the regional events without the restriction of a narrow band time filter and the associated tacit assumption of oscillatory behaviour? Related to the dynamical influence, we are concerned with the identification of dynamical precursors to ISVs of rainfall over sub-regions of Vietnam and the pathway of influence. In addition, the discrimination between opposite anomaly events on an intraseasonal timescale merits further attention. The nonlinearity of influences could be unpacked partly by considering these events in terms of the moisture budget and associated large-scale precursors. Chapter 1. Introduction of Vietnam Rainfall The background of model studies in terms of possible influence on Vietnam rainfall ISV shows that both GCM and RCM can be used to investigate the dynamical influence on Vietnam circulation. Simple global modelling studies suggest that the extratropical influence that can be simulated in a model as a wave source, can lead to impacts on the tropics. Furthermore, RCMs such as WRF with regional configurations and prescribed boundary conditions can help to examine the impacts of the extratropics on the tropics. This suggests to us a way to do further investigation in this context. It is possible that we can systematically examine multiple model simulations to find the wave sources that can potentially influence the target regions’ circulation in a GCM. Then downscaling studies with an RCM can be employed to investigate the influence of extratropical forcing via the boundary conditions, including the local circulation and the humidity budget. 1.3 Objectives The modeling and observational studies presented in this chapter have shown that the annual cycle and the ISV of Vietnamese rainfall both have considerable amplitude and complexity, with much variation between Vietnam subregions. The timescales, patterns and associated 3D-circulation of Vietnam subregional rainfall ISV has been investigated using a variety of approaches. Specified time-filter and principal component analysis can be quite revealing, but results can be sensitive to definitions so there is also some interest in revisiting an investigation of regional anomaly events, and especially their opposite anomaly events. The link between the rainfall intraseasonal variation and moisture flux divergence, and moisture transport has been revealed in some studies with a focus on the driving terms in the moisture budget, and it is of interest to accompany our proposed analysis with a consideration of the moisture supply at a regional scale. The overall picture of moisture budget terms associated with ISV needs to be assessed. The extratropical and tropical factors found to affect the Vietnam rainfall ISV in previous studies show some sensitivity to the choice of regions, timescales and rainfall criteria within the extended summer. In this study, the main objective is to use different approaches to investigate the moisture budget and large-scale dynamical precursors of rainfall ISV events over Vietnam subregions, on different scales. Our specific objectives are as follows; • Assess the contribution of moisture budget terms to regional events for both positive and negative anomalies separately. • Identify the large-scale dynamical precursors and pathways of influence. • Diagnose the nonlinearity of influence through the asymmetry in our results. • Assess the sensitivity to choices of region, threshold and composited quantity. • Verify the pathways of influence. • Qualitatively assesses the extratropical and tropical influences. 1.4. Approaches Approaches To pursue these objectives, we will use a combination of observational analysis and modeling approaches including global and regional scales. First, we will use the global reanalysis dataset - ERA-Interim from 1979 to 2016 including atmospheric variables, rainfall and evaporation data, and for comparison, the rain gauge dataset will also be used. A composite analysis is performed to gather observational composites of opposite signs of anomalous regional rainfall ISV over Vietnam. Instead of using the precipitation, the index for composite is created over each region based on the vertically integrated moisture flux convergence, which is more directly linked with the circulation. The contribution of moisture budget terms before an event will be described. Precursors are then identified from the composites of large-scale circulation associated with opposite regional rainfall patterns. The asymmetry between Wet and Dry events over a region will be investigated. Then we will also explore the sensitivity of the index in terms of the choice of regions, the threshold and alternative hydrological indices. A model study approach will then be used to further investigate the pathways of influence. Two different numerical models will be employed: one is a global model - DREAM and the other is a regional model - RegCM4. The global model study is accompanied by a theoretical analysis of potential Rossby wave trajectories using the ray tracing technique. DREAM is a global spectral primitive equation model, used to investigate the influence of the dry dynamics from remote wave sources on the Vietnam subregion’s circulation. A stationary wave configuration is used to systematically find the source which gives the most influence on target regions, by diagnosing the dynamical response to an artificial source. This will be complemented with nudging experiments on this configuration to simulate realistic sources that are extracted from the observed composites. The raytracing calculation package is based on the dispersion relation of the Rossby planewave in a Mercator projection, then used to trace the Rossby wave sources propagation from the Northern Hemisphere to the Vietnam region. Rossby wave ray paths are traced from a set of determined sources, specified wave numbers, and directions of propagation on different states of the atmosphere. Finally, the regional climate model RegCM version 4.3 (RegCM4) with a non-hydrostatic core and advanced schemes will be used in this study to investigate the influence of the large-scale flow on the regional circulation. The configuration employed will re-use our observational composites to define boundary conditions taken from the same ERAi data, diagnosing simulations taken from the CORDEX - Southeast Asia project. The model output is then investigated to show the impact of the large-scale forcing embedded in the boundary conditions. The three sub-regional indices are used to assemble the RegCM composite. The moisture budget terms in the regional model will be explored in detail. Chapter 1. Introduction of Vietnam Rainfall 1.5 Outlines of the thesis The structure of the thesis is as follows. In this chapter, we have presented an overview of Vietnam’s rainfall with particular attention to the rainfall intraseasonal variation. The Vietnam rainfall annual cycle includes spatial patterns, topography, the hydrology budget, the large-scale circulation mainly driven by the Asian Monsoon, and the linkages to the largescale forcing on different timescales. Then, Vietnam rainfall ISV is described including the observed characteristics and the possible factors of influence. In Chapter 2, an observational analysis of the moisture budget and large-scale dynamics associated with Vietnam’s subregional anomalous hydrological events is presented. It consists of a short introduction, data and methods used in this chapter and the results for composite analysis. The remote influences on Vietnam sub-regional rainfall ISV are shown. Further results are then presented to examine the sensitivity of the composites to alternative rainfall datasets, parameters such as threshold values chosen to define the composites and interannual events such as the ENSO. Chapter 3 shows the work using DREAM, the global dynamical model study. Following a short introduction, the model description and configuration used in this chapter are outlined, and the output of heating and nudging experiments using the stationary wave configuration are analyzed. Based on the theoretical Rossby wave propagation, the results from the raytracing calculation on different basis states are also discussed. In Chapter 4, the regional climate model RegCM4 and its configuration are described. Then, the model validation and composite techniques are shown. This is followed by a diagnosis of the model about rainfall intraseasonal variation, the impact of the lateral boundary condition and the moisture budget within RegCM for each of the subregions. In Chapter 5 we present overall conclusions and perspectives for further work. Chapter 2 Observed Composite Contents 2.1 Introduction . ................................. 50 2.2 Remote influence on regional scale rainfall vari ability over Vietnam 51 2.2.1 Precipitation data: ERA-Interim dataset 2.2.2 * Summary of paper*............................. 53 2.2.3 Remote influence on regional scale rainfall variability over Vietnam.... 54 49.................. 51 50 2.1 Chapter 2. Observed Composite Introduction In section 1.2, we have reviewed rainfall intraseasonal variability over Vietnam including a statistical description and some physical mechanisms and the factors of influence. For the statistical description of the rainfall ISV over Vietnam, most research focuses on a certain timescale of the variability of the rainfall such as a 10-20-day variation, 20-60day variation or even shorter 3-20-day variation. The decomposition of the signal onto a timescale of variation has the advantage of being easier to link with well-known atmospheric phenomena on the same timescale, but no single mode of variation can represent the entire variance of rainfall ISV. Tuan (2019) uses principle component analysis to visualize the EOF patterns that explain most of the variance of rainfall ISV for the whole country. EOFs are often determined by a subregion with a higher variance of rainfall ISV. In this case, Central Vietnam patterns show as a first EOF, while the fourth EOF can not capture well the South Vietnam patterns. The application of a time filter has the disadvantage of constraining the signal and can lead to bias in the observational analysis. In addition, the differences between subregions on the role of each variation mode are different. Furthermore, the linearity due to the principal component analysis applied to the rainfall ISV over Vietnam limits the examination of differences between opposite events. All of these considerations suggest we could study the rainfall ISV on a large scale without applying any time filter to retain all signals on the timescale that allow further examination of opposite events over subregions. For the hydrology budget, the three components including the moisture flux convergence, the tendency of moisture and evaporation are important to lead precipitation events at a certain time. It includes the circulation activities through the moisture flux convergence, as well as the tendency of the sources of moisture and evaporation that favor the rainfall event. On the intraseasonal timescale, the descriptive study for these terms that contribute to a rainfall ISV event is an aspect we could study. Instead of using the precipitation as an index to determine the rainfall ISV events, we would like to use the vertically integrated moisture flux convergence, because of its more direct link with the circulation that could give a better representation to investigate dynamical influences. The composite technique is used here to assemble the opposite events called wet and dry events. This chapter of the study is an extension to the previous research to investigate explicitly the sensitivity of the conclusions to the different regions, rainfall criteria and timescales of consideration. In this study, we will take a regional approach, and investigate the characteristics of the moisture budget, then diagnose remote influences separately for wet and dry composites and pay particular attention to their interrelations. We will present our investigation in terms of large-scale observed composites associated with opposite events on regional scale rainfall variability over Vietnam with two sub-sections. 2.2. Remote influence on regional scale rainfall variability over Vietnam 51 The following section is named remote influence on regional scale rainfall variability over Vietnam in the format of a submission to a peer-review journal. It includes detailed methods for the composite technique to gather wet and dry events, a quick examination of the contribution of hydrological budget terms and a deeper investigation into remote influences associated with these events. For the influence on Vietnam sub-regional rainfall ISV, we focus on the extratropical and tropical flows to identify the precursors up to 2-weeks before an event. The asymmetry between opposite events, the interrelation between subregions and the sensitivity of the indexes derived from different kinds of data will be addressed. Then, we will give further results for the moisture budget terms associated with the rainfall ISV events via composites. The chapter’s conclusion is presented. 2.2 Remote influence on regional scale rainfall variability over Vietnam 2.2.1 Precipitation data: ERA-Interim dataset According to previous studies, several datasets of precipitation are used to analyze the intraseasonal variability of rainfall over either Vietnam or Southeast Asia. The table in Fig 2.1 highlights the findings and the datasets used. The data is either regional or covers Vietnam’s mainland only that are treated by a specified time filter then obtain the regression or composite. Among that, the Wet and Dry spell is recognized only in TT18 and TT19 by discriminating the opposite phases of sub-monthly and 20-60-day variation. Besides the main scientific question that will be addressed in this study, the question of which kind of data will be used for the analysis of rainfall particularly. Figure 2.1: Resume of previous studies for investigation precipitation intraseasonal variability. In this study, we choose the ERA-Interim reanalysis dataset. That includes all atmospheric variables reanalysis and the precipitation as a derived-products with both land and 52 Chapter 2. Observed Composite sea coverage. This dataset has the advantages of periods continuously from 1979 to 2016 as well as consistency with the modeling input. However, it also depends on the quality of the model and that might differ from daily rain gauge data. Fig 2.2- the first row, presents the histogram of daily rainfall data over North and South of Vietnam - NVN and SVN from reanalysis data - ERAi and gridded data derived from raingauge data - APHRODITE during the summertime May-Oct. The regional daily rainfall time series are obtained by averaging over each subregion. In both cases, the ERAi daily rainfall overestimates the rainfall events less than 4 mm/d and underestimates the rainfall with higher intensities. Generally, the distribution of regional daily rainfall is not well captured by ERAi. However, the intraseasonal rainfall variation - ISV of rainfall shows a better presentation (Fig 2.2- second row). Mostly normal distributions are seen in the intraseasonal rainfall variation over both NVN and SVN from APHRODITE and ERAi. Particularly, APHRODITE data show a lower variation than those of ERAi, especially for SVN. In addition, the ERAi rainfall shows more sensitive to the negative rainfall anomalies on the intraseasonal timescale. Figure 2.2: The histogram of Daily (first row) and ISV rainfall (second row) over North (left) and South (right) of Vietnam using ERAi and APHRODITE rainfall dataset. Thus, we acknowledge that the difference between the datasets could influence the analysis of large-scale fields. We will present more comparisons between ERAi and APHRODITE as well as VnGP - a gridded rainfall data dedicated over Vietnam mainland in the next part in terms of correlation and the standard deviation. ERAi-based indices in the following analysis are conducted but we will evaluate sensitivity to the other datasets. 2.2. Remote influence on regional scale rainfall variability over Vietnam 2.2.2 The paper below is submitted to International Journal of Climatology and it is in revision at the time of writing. In the paper, a short literature review concerning the characteristics and remote influence of ISV of rainfall over Vietnam is pointed out. Rainfall in Vietnam (ISV) is typically described as spatio-temporal patterns that manifest differently in the North, Central, and South of the country. Both extratropical and tropical factors and even their interactions from previous studies are indicated to impact Vietnam rainfall ISV in terms of patterns, intensity and frequency of occurrence. However, the challenge is sensitive to the choice of location, period, dataset, and analysis approach, and there have been very few analyses that distinguish between wet and dry anomalies over Vietnam subregions on intraseasonal timescales. We rise the importance of investigating how sensitively the results apply at the regional scale considering the variety of areas, rainfall parameters, and timescales of variation. We aim to identify the dynamical precursors/pathways of influence to anomalous rainfall events over North and South Vietnam with paying attention to asymmetric precursors to Wet and Dry events. The sensitivity of our conclusion is further investigated by choice of regions and hydrological index. Remote influences on anomalous rainfall over regions that encompass North and South Vietnam are explored using a 38-year (1979-2016) global dataset over the extended summer (May-October). Focuses on anomalous rainfall events during the summertime with a lead time of two weeks, we have used the vertically integrated moisture flux convergence (VIMC) as a link between regional precipitation and large scale dynamics. We displayed that is well correlated with rainfall ISV and can thus be reasonably used as a proxy. For the other moisture budget terms, the tendency of moisture column - TMC and the evaporation - EVP contribute a small part. The TMC develops slightly differently between the regions. EVP anomalies are negative for Wet events and positive for Dry events over all subregions and are mostly symmetrical (see Annex A - moisture budget) At regional scales, lag composites of VIMC and rainfall anomalies gain significant amplitude at different lead times for the different regions, but in all cases show a reasonable degree of symmetry between Wet and Dry cases. This straightforward situation is not observed at larger scales. The asymmetrical large-scale dynamics associated with Wet and Dry events are both seen in NVN and SVN including extratropics and tropics. The similarities between SVN events and opposite NVN events are indicated including the rainfall patterns and extratropical precursors. However, the extratropical precursors associated with NVN events show more sensitivity to the choice of the region than SVN, by including overlapping day -CVN. There is fairly consistency in large scale dynamics associated with NVN events between the VIMC index and in-situ rainfall data. We figure out three pathways of influence at lead times of 54 Chapter 2. Observed Composite one to two weeks: a high latitude pathway seen in NVN Wet and SVN Dry; a jet pathway in NVN Dry and SVN Wet; and an equatorial pathway as a signature for both SVN Wet and Dry. 2.2.3 Remote influence on regional scale rainfall variability over Vietnam 2.2. Remote influence on regional scale rainfall variability over Vietnam Generated using the official AMS LATEX template v5.0 1 Remote influence on regional scale intra season al rainfall variability over Vietnam 2 3 4 Hong-Hanh Le∗ and Nicholas M.J. Hall † LEGOS - University of Toulouse III - Paul Sabatier, Toulouse, 31400, France Thanh Ngo-Duc ‡ 5 6 LOTUS - University of Science and Technology of Hanoi, Vietnam Academy of Science and 7 Technology, 100000, Vietnam 8 ∗ Corresponding author: Hong-Hanh Le, Lehonghanh.Lhh@gmail.com 9 † Nick.Hall@legos.obs-mip.fr 10 ‡ Ngo-Duc.Thanh@usth.edu.vn 1 55 Chapter 2. Observed Composite ABSTRACT 11 Remote influences on anomalous rainfall over regions that encompass North and South Vietnam 12 are explored using a 38-year (1979-2016) global dataset over the extended summer (May-October). 13 Composites of Wet and Dry events with lags of up to two weeks are assembled for various rainfall 14 indices over the two subregions, including reanalysis products and in-situ data. On the regional 15 scale, the moisture flux convergence correlates well with reanalysed rainfall. The large-scale 16 dynamics associated with these events are described. Rainfall event composites of opposing 17 signs show asymmetrical large-scale precursors and different pathways of influence. Wet and 18 Dry events in North Vietnam are seen to originate from Europe and propagate at high latitudes. 19 The exact nature of the precursors is sensitive to the definition of the composite index. There 20 is also a pathway of influence along the Asian jet, which impacts South Vietnam, especially 21 for Wet events which often coincide with Dry events in the North. South Vietnam is also in- 22 fluenced by tropical divergent precursors, which are again asymmetric between Wet and Dry events. 23 24 Keywords: Remote influences; Rainfall; Intraseasonal variability - ISV; Large-scale dynamics; 25 Tropical waves 2 2.2. 26 Remote influence on regional scale rainfall variability over Vietnam 57 1. Introduction 27 The annual cycle of rainfall over Vietnam is controlled by the seasonal South-East Asia monsoon 28 system. However, within a season there are large variations that account for a major fraction of 29 the total rainfall variability (Yokoi et al. 2007). Intraseasonal anomalies during the rainy season 30 from May to October can take the form of prolonged periods of flood or drought, or extreme events 31 of shorter duration, e.g., Wu et al. (2012); Linden et al. (2016a). Such anomalous rainfall can 32 have important consequences for agriculture and water resources. This study focuses on remote 33 influences on rainfall anomalies over Vietnam on regional spatial scales and intraseasonal time 34 scales. 35 Intraseasonal variations (ISV) of rainfall over Vietnam have previously been characterized as 36 spatio-temporal modes. Yokoi and Satomura (2005) and Yokoi et al. (2007) used a wavelet 37 analysis of daily rain gauge data over the Indochina Peninsula and identified two ISV timescales for 38 different horizontal distributions of rainfall over Vietnam. They showed that a 30-60-day variation 39 is observed in Central Vietnam in July-October, while a 10-20-day variation is observed in North 40 and Central Vietnam in May-September. Truong and Tuan (2018) - TT18 and Truong and Tuan 41 (2019) - TT19, also showed that daily rainfall from selected stations displays significant variability 42 on 30-60-day and 10-20-day time scales. 43 There have been relatively few investigations that discriminate between wet and dry anomalies 44 over Vietnam subregions on intraseasonal timescales. The problem is sensitive to the choice of 45 region, timescale, dataset and analysis technique. 46 For example, Tuan (2019) used Principal Component (PC) analysis to extract spatial patterns 47 of sub-monthly rainfall variation using high-resolution gridded precipitation data from 1980 to 48 2010 over Vietnam (Nguyen-Xuan et al. 2016) with a time-filter of 7-25-day. Four patterns 3 58 Chapter 2. Observed Composite 49 were identified, each of which covers the entire region. Only the active (Wet) phases of PCs were 50 considered. On the other hand, TT18 and TT19 concentrated on individual regions and isolated time 51 periods of 10-20-day and 20-60-day respectively, using station data, which is mostly concentrated 52 along the coast. They consider wet and dry phases as part of a cycle. Other investigators have 53 looked at individual wet cases over Vietnam subregions, e.g., Linden et al. (2016a); Yokoi and 54 Matsumoto (2008); Wu et al. (2012). 55 Given the multiplicity of regions, rainfall criteria and timescales to consider, it is worthwhile 56 investigating explicitly the sensitivity of the conclusions to such considerations at the regional 57 scale. In this study, we diagnose remote influences separately for wet and dry composites and pay 58 particular attention to their interrelations across relatively large regions. We will use vertically 59 integrated moisture flux convergence (VIMC) as a proxy for rainfall ISV since it is highly correlated 60 with regional-scale rainfall. VIMC is a quantity that is close to the large-scale dynamics and is 61 available from a consistent dataset. 62 We then consider two types of remote influence: tropical and extratropical. Tropical phenomena 63 such as the Madden Julian Oscillation - MJO (Madden and Julian 1972), and equatorial Rossby 64 and Kelvin waves are the main factors that influence rainfall ISV over Vietnam, mostly in the 65 central and southern regions. Linden et al. (2016b) show daily rainfall associated with different 66 phases of the MJO and equatorial waves. They also show that these waves enhance the frequency 67 of intense daily rainfall during the wet phase, and positive interference of these different waves can 68 lead to strong enhancement of wet or dry events. Yokoi et al. (2007), TT18 and TT19 also find 69 that large-scale dynamics associated with rainfall variation resemble the MJO and tropical wave 70 activity, especially for Central and South Vietnam. TT18 indicates a tropical Indian Ocean mode 71 in the form of equatorial Rossby waves with 10-20-day variation in North and South Vietnam, and 72 TT19 relates MJO activity to 20-60-day variations for South Vietnam. 4 2.2. Remote influence on regional scale rainfall variability over Vietnam 59 73 Extratropical influence is commonly identified with pressure surges or cold surges from the 74 Siberian High. Tuan (2019) finds that extratropical precursors to Vietnamese rainfall ISV often 75 take the form of wave trains along with the North Atlantic-Asian-North Pacific jet, and that 76 pressure surges from the Siberian high and Northeast China are associated with sub-monthly 77 rainfall anomalies over North and Central Vietnam. Abdillah et al. (2021), also identifies pathways 78 of influence in East Asia and tropical impacts of northerly and westerly cold surges induced by 79 Cold Air Outbreaks (CAOs) at high latitudes during wintertime. 80 Individual wet events can also arise from an interplay between tropical and extratropical factors. 81 Wu et al. (2012) shows an example of a synoptic-scale tropical wave formed over the South China 82 Sea combined with a surface high extending from western Mongolia to the East China Sea with 83 a presence of strong MJO over the Indian Ocean leading to heavy rainfall. Further examples of 84 combined effects include cold surges associated with expansion of the Siberian High and tropical 85 depressions associated with the MJO, e.g., Yokoi and Matsumoto (2008); Chen et al. (2012); 86 Abdillah et al. (2018). 87 The main focus of this paper is on the asymmetries in large-scale dynamical precursors to opposite 88 signs of anomalous rainfall: Wet and Dry episodes in selected sub-regions of Vietnam. Our work 89 is intended to complement previous work where regional dependence has been expressed either as 90 sub-regions or spatial patterns. Our choice of sub-regions is deliberately simple and we retain a 91 relatively large scale compared to the linear nature of the country under consideration in order to 92 ease the potential connection with dynamics at a larger scale compared to local phenomena. We 93 will explicitly analyse composites for two large regions that include Vietnam: North and South, 94 and we will also analyse a buffer zone between them in order to address the scale of the anomalies 95 considered. These regions will first be analysed separately and then their interdependencies will 96 be investigated. Specifically, we address the following questions: 5 60 97 98 Chapter 2. Observed Composite • Can we identify dynamical precursors/pathways of influence to anomalous rainfall events over North and South Vietnam? 99 • How asymmetric are the precursors to Wet and Dry events? 100 • How much do these precursors extend or overlap from one sub-region to another? 101 • How sensitive are our conclusions to choices of region, threshold and composited quantity? 102 Data and methods are presented in Section 2. The regional development of the moisture budget 103 terms associated with event composites are described in Section 3. Section 4 then shows the 104 large-scale dynamics associated with these composites. Discussion and conclusion are given in 105 Section 5. 107 2. DATA and METHODS a. Data 108 We use 38 years (1979-2016) of ERA-Interim global reanalysis (Dee et al. 2011) from May 109 to October. Four-times daily data of atmospheric variables including zonal wind- u, meridional 110 wind- v, specific humidity- q, and geopotential height- gph are used from a dataset that has been 111 interpolated to T42 horizontal resolution on a 128x64 grid and set on sigma levels relative to mean 112 sea level pressure for use in complementary studies with a dynamical model. Daily gridded 1x1 113 degree data of precipitation (PPT) is used from ERA-Interim reanalysis using the Frequent Rainfall 114 Observations on GridS (FROGS) dataset (Roca et al. 2019). 115 We also use different sources of precipitation data: APHRODITE and VnGP, to examine the 116 sensitivity to the definition of our index. The APHRODITE-MA V1101EX-R1 is downloaded from 117 http://aphrodite.st.hirosaki-u.ac.jp (Yatagai et al. 2012) and the VnGP is published in 118 Nguyen-Xuan et al. (2016). Details of these datasets are given in Table 1. 6 2.2. Remote influence on regional scale rainfall variability over Vietnam 61 119 The data are processed retaining the entire ISV signal. The only filter applied is to remove 120 synoptic timescales. So four-times daily Vertically Integrated Moisture Flux Convergence (VIMC) 121 is calculated using u, v, and q at all levels, and then averaged to daily values for comparison 122 with the PPT. These fields are smoothed with a 10-day running mean, and a smoothed annual 123 cycle is removed based on average by calendar date. Finally, the linear trend is removed to 124 obtain intraseasonal and interannual variations. The geopotential height at 250 mb and u, v and 125 velocity potential at 850 mb are also subjected to the same procedure to investigate the large-scale 126 circulation. 127 In addition, El Niño Southern Oscillation (ENSO) is known to affect rainfall in Vietnam (Nguyen 128 et al. 2013). Since our focus is on intraseasonal variability, dominant interannual ENSO-related 129 signals are removed using the bi-monthly Multivariate ENSO Index - MEI time series provided 130 by the National Oceanic and Atmospheric Administration (NOAA) at https://psl.noaa.gov/ 131 enso/mei/. 132 b. Methods 133 Signals associated with anomalous rainfall events are constructed using composites. This ap- 134 proach allows us to assess asymmetries in the moisture budget and large-scale dynamics associated 135 separately with wet or dry events. It requires a regional index and a threshold that defines positive 136 or negative episodes over the region. 137 The regional index is generated from the VIMC anomaly as outlined above. Each regional index 138 is averaged over the domains. To analyze regional dependency (Nguyen et al. 2013; Tuan 2019), 139 and to analyse the encroachment of one region onto another we divided Vietnam into three regions 140 included in the three boxes shown in Fig. 1: North Vietnam - NVN; Central Vietnam and Central 141 Highlands - CVN and South Vietnam - SVN. Note that these regions are relatively large compared 7 62 Chapter 2. Observed Composite 142 to some previous studies and thus may display temporal characteristics that differ from those of 143 station data. For this reason, we concentrate on NVN and SVN in our composite analysis. A central 144 ”buffer” region is also considered for the statistics of the indices. Our CVN sits between NVN and 145 SVN at a similar scale, but it region crosses the central mountain range and so integrates differing 146 local rainfall signatures: rainfall peaks in the winter monsoon season in the eastern side and in 147 the summer monsoon season in the southwestern part of the region, i.e. the Central Highlands. 148 CVN is included to provide information on the extension of NVN and SVN indices into these 149 central latitudes, but does not necessarily provide detailed guidance for rainfall in a given location 150 in central Vietnam. Sensitivity to the definition of these indices and to the rainfall dataset used 151 will be discussed further below. 152 153 Thresholds were defined from the Probability Frequency Distribution (PFD) of the daily VIMC index shown in Fig. 2. A value of ±3mm/day is widely used in the hydrology sector to classify 154 rainfall anomalies Haensel et al. (2015). Following our regional PFD, the probability of days 155 having intensity of rainfall anomaly above/below +3/-3 mm/day accounts for about 10% of the 156 rainfall variability in all cases. It can be used as a threshold value in this study to simply present 157 opposite events of anomalous rainfall. We will discuss the sensitivity of our results to this choice 158 below. 159 The composites are initially constructed from daily VIMC indices exceeding +3mm/d and - 160 3mm/d. Firstly, we concentrate on characteristics exclusive to each region by gathering composites 161 for a given domain only, but not in the other two. This means that the overlapping dates having 162 more than one regional index exceeding the threshold value are excluded from the composites. 163 Further composites are then constructed that include the overlapping events to reveal the level of 164 dependency between regions or the degree of extension of a rainfall signal outside the defined 8 2.2. Remote influence on regional scale rainfall variability over Vietnam 63 165 region. All dates that have regional VIMC anomalies greater than 3mm/d are called Wet events, 166 and those less than -3mm/day are called Dry events. 167 Details of the numbers of days associated with all possible combinations for the three regions for 168 Wet and Dry events are shown in Table 2. This table forms a symmetric matrix so the redundant 169 upper right triangle is left blank, and impossible Wet-Dry combinations are marked ”none”. Total 170 numbers of events are recorded, and in parentheses, we show the number of events when multi- 171 region Wet or Dry events are excluded. The number in parentheses can only be non-zero on the 172 leading diagonal and in the lower left quadrant. Specifically, there are 302, 277 and 172 exclusive 173 Wet days for NVN, CVN and SVN respectively, and 282, 267 and 277 exclusive Dry days. 174 175 3. REGIONAL DEVELOPMENT a. Regional climatology 176 Monthly averaged rainfall and monthly variance of daily anomalies of PPT and VIMC over NVN 177 and SVN domains are shown in Fig. 3. The monthly variance of VIMC and PPT are similar 178 and follow the seasonal cycle of rainfall, especially in NVN. Most of the rainfall occurs over both 179 regions during the summertime (May- October). Monthly rainfall peaks in August in NVN (Fig. 180 3a)and September-October in SVN (Fig. 3b). The VIMC and PPT anomalies in NVN show 181 maximum variance in line with maximum rainfall. 182 The annual cycles of rainfall over the three regions show differences from previous regional 183 rainfall studies due to the definitions chosen for the regions and the data used. Note that the 184 seasonal cycle for CVN (not shown) is different from what it would be if data were restricted to 185 the national territory. Our region includes an area to the west that is directly influenced by the 186 summer monsoon in addition to the orographic influence of the Truong son mountains that better characterises composites this region it information pertaining to extension of the rainfall signal in the other two regions . For S VN , our selection covers flat 190 terrain and a part of the sea, which is subject to a strong seasonal signal from the summer monsoon 191 (Nguyen et al. 2013). The high rainfall intensity has a relatively low variance during the rainy 192 season compared to two other regions. 193 Temporal variations in VIMC are well correlated with the reanalysis rainfall product, and thus 194 present a reasonable proxy to investigate directly the link between the hydrological cycle and the 195 associated large scale circulation as previously found by Sohn et al. (2004). Chansaengkrachang 196 et al. (2018) also show that VIMC shows a high positive correlation with the daily rainfall over 197 Thailand. 198 Further details are shown in Fig. 4 in the form of a Taylor diagram that summarises the standard 199 deviation ratio and correlation coefficient for the daily-time series from May to October, averaged 200 over our three regions for the APHRODITE, VnGP, VIMC and FROGs datasets. The reanalysis 201 product - FROGS/ERA-interim over each box is used as a reference: a black point on the lower axis. 202 The RMS difference from this reference is the linear distance to this black point, the correlation 203 coefficient is the angular distance, and the relative magnitude of the standard deviation is the radial 204 distance from the dashed circle. 205 206 We see that the standard deviation of PPT is very similar over our three chosen regions, with 2.43 mm/day for NVN, 2.42 mm/day for CVN and 2.22 mm/day for SVN. 207 The daily VIMC indices have a high positive correlation to PPT, with coefficients of 0.66 for 208 NVN; 0.76 for CVN and 0.72 for SVN. They are also very close to PPT in standard deviation for 209 all three domains. The VnGP and APHRO indices both show a positive correlation with PPT of 10 2.2. Remote influence on regional scale rainfall variability over Vietnam 65 210 about 0.4 (and APHRO and VnGP indices are very highly correlated with one another: 0.93 for 211 NVN, 0.78 for CVN and 0.85 for SVN). 212 The APHRO indices show uniform variance, but it is weaker than for PPT with a ratio of 0.5-0.6. 213 On the other hand, the VnGP CVN indices show a spread of variance: stronger than PPT for CVN 214 and weaker for NVN and SVN. 215 These differences between data can mostly be attributed to the extent of the coverage. It can 216 be seen that the ISV over CVN box is particularly sensitive to the dataset in use, undoubtedly for 217 the reasons already discussed: VnGP covers Vietnam mainland only, thus represents the coastal 218 region - east of the Truong Son mountains. 219 Since our focus is on large scale precursors, we will proceed with VIMC as a proxy for the 220 diagnosis of rainfall variability over NVN and SVN only, at the regional scale on intraseasonal 221 timescales in the summertime. We will, however, examine the sensitivity to the choice of rainfall 222 dataset for large scale precursors to wet and dry events in section 4 below. 223 b. Composite precipitation events 224 225 The two-week lagged composites of VIMC and PPT anomalies associated with Wet and Dry events over regions are shown in Fig. 5 - 6. 226 Fig. 5 shows spatial patterns of VIMC and PPT anomalies for Wet and Dry events in NVN. 227 Positive anomalies of VIMC and PPT over the western Pacific can be seen from day-15 to day-0 228 (Fig. 5 a-d) prior to Wet events, and negative anomalies precede Dry events. VIMC anomalies 229 develop quickly to the northwest to cover NVN at day-9, followed by PPT anomalies. A wet-dry 230 dipole over North-South Vietnam is established from day-9 for Wet events. Dry events are more 231 weakly foreshadowed in the lagged composites (Fig. 5 e-h). The VIMC anomalies occur first over 232 NVN at day-9, while PPT anomalies are well established at day-3. The day-0 regional dipole over 11 66 Chapter 2. Observed Composite 233 North-South Vietnam for dry events is quite symmetrical between Wet and Dry cases. Both NVN 234 Wet and Dry events have a maximum of VIMC over NVN at day-3, while PPT peaks at day-0. 235 Fig. 6 shows lagged composites for SVN. Both Wet and Dry events have significant VIMC and 236 PPT anomalies from day-15, especially the Dry events. Wet events in SVN are associated with 237 positive anomalies of VIMC and PPT over the Maritime Continent from day-15 which intensify to 238 cover a large region, from the equatorial Western Pacific to the Indian Ocean (Fig. 6 a-d). At the 239 same time, weaker negative anomalies from the northern Philippines move gradually westwards 240 to cover northern Vietnam. Dry events in SVN on day-15 (Fig. 6e) show significant positive 241 VIMC and PPT anomalies extending from the north of Vietnam to the western Pacific. This broad 242 feature then becomes progressively more concentrated over the north of Vietnam (Fig. 6 e-h). The 243 negative anomalies over the Maritime Continent strengthen and extend at the same time to cover a 244 similar region to the positive anomalies in the Wet events. VIMC and PPT anomalies for Wet and 245 Dry events in SVN show dipole patterns over North-South of Vietnam at day-0 (Fig. 6d and Fig. 246 6h). The anomaly centers are co-located with anomalies of opposite signs for NVN. 247 These rainfall anomaly patterns are in broad agreement with the EOF decompositions from 7-25- 248 day rainfall variations produced by Tuan (2019). We also see an agreement between our Wet - Dry 249 events and maxima - minima of the 20-60-day intraseasonal oscillation (ISO) of observed rainfall 250 in Vietnam described in TT19. Our results indicate that there are some asymmetrical features 251 between opposing events, especially for NVN. This was also mentioned in TT19 and Linden et al.
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The Late Lithuanian Greimas: Intentions and Reception
Loreta Mačianskaitė
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Semiotika ISSN 1392-0219 | eISSN 2424-547X 2022, vol. 17, p. 233–263 DOI: https://doi.org/10.15388/Semiotika.2022.31 Contents lists available at Vilnius University Press Semiotika ISSN 1392-0219 | eISSN 2424-547X 2022, vol. 17, p. 233–263 DOI: https://doi.org/10.15388/Semiotika.2022.31 Contents lists available at Vilnius University Press Contents lists available at Vilnius University Press Semiotika 2022, vol. 17, p. 233–263 ISSN 1392-0219 | eISSN 2424-547X DOI: https://doi.org/10.15388/Semiotika.2022.31 Received: 01/11/2022. Accepted: 30/12/2022 Copyright © 2022 Loreta Mačianskaitė. Published by Vilnius University Press. This is an Open Access article dis­ tributed under the terms of the Creative Commons Attribution Licence, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. 1 “In the beginning there was Greimas” was the title of one of Greimas’s obituaries (Savukynas 1992: 14). This title repeated a previous title, name­ ly, of an interview with Philippe Manière, “Au commencement était Grei­ mas”, Le Quotidien de Paris, 1986. The Late Lithuanian Greimas: Intentions and Reception Loreta Mačianskaitė The Institute of Lithuanian Literature and Folklore E-mail: loperpetua@gmail.com http://orcid.org/0000-0001-8106-3406 Loreta Mačianskaitė Abstract. The main research material consists of Algirdas Julius Greimas’s texts written during the transition period, when Lithuania was parting with Soviet rule (1989–1991), mainly his “Baltos lankos” column in Literatūra ir menas weekly periodical as well as various texts by other authors on Greimas’s texts along with memoirs, letters and obituaries. The study has two aims: 1) to find a conceptual approach for analyzing Lithuanian texts by the late Greimas, 2) to identify points of change in the semiosphere of Lithuanian culture. Greimas’s own semiotic method, namely, a structure of four Senders is used to describe his texts. The theoretical context of Juri Lotman’s cultural semiotics is a more permanent intellectual context for this study, and some of the terms are useful in more than one aspect. The readers’ attitudes towards Greimas’s texts highlight how the core and periphery change in the semio­ sphere: the period of cultural activity and openness and the internal cultural barriers appearing at the same time, the gradual passivation of culture and cases of sporadic creative relationships. Keywords: Greimas, Lotman, four types of Senders, semiosphere, Post- Soviet Lithuania. 233 Foreword “In the beginning was Lotman”1 – such a formula would describe the intellectual trajectory of Lithuanian semioticians. The poet and literary scholar Tomas Venclova was the first to discover Juri Lotman’s method in 1966 as an alternative to non-academic literary studies, and he saw Lotman himself as a well-meaning colleague who supported the idea of a semiotics circle in Vilnius. In 1966, Algirdas Julius Greimas, having learned that a Lithuanian engaged in semiotics in Tartu, wrote a letter to Venclova, asking him to prepare a review of the lectures for summer school (see Venclova 1967). Their correspondence began from that time. Yet, after emigrating to the USA in 1977, Venclova distanced himself professionally from Greimas, though retaining the “Lotmanian component” of his work (Venclova 2017: 586). In contrast, literary scholars Kęstutis Nastopka and Saulius Žukas were both inspired by Lotman’s ideas at different times early in their academic careers, growing to prefer Greimas’s semiotics. They became Greimas’s most loyal followers in Lithuania. Greimas was interested in Lotman and appreciated his idea of the relationship between meaning and changing contexts (Greimas 1991: 84). However, he doubted Lotman’s opposition between cul­ ture and barbarism, which Greimas learned about from a Russian dissident (Greimas 1990: 21–22). Greimas’s formula, born from an indirect discussion with Lotman, was that the difference between a member of Russian “intelligentsia” and a Western intellectual is not that the latter is “smarter”, but that he/she feels morally engaged (Greimas 2009: 182). This has proven an important stimulus for this research. This study will focus on these works by Greimas, particularly on his texts from 1989–1992, published in Lithuanian periodicals, 234 Straipsniai / Loreta Mačianskaitė. Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception p The Late Lithuanian Greimas: Intentions and Reception especially those in his “Baltos lankos” (“White Fields”) column in Literatūra ir menas, a weekly cultural newspaper (republished in 2009). The aim of this research is more than identifying the value system that emerged in Greimas’s texts. It includes an aim to investigate changes in Lithuanian consciousness. Therefore this study not only includes Greimas’s texts published in Lithuania during the transition period but also his cultural publications and literary critique from the press in emigration, which were hardly accessible during Lithuania’s Soviet times and which were first published in Lithuania in the book Iš arti ir iš toli (From near and far). Foreword Greimas’s texts on politics remain outside the scope of this study. An important part of the study is Greimas’s letters, memories of him and other materials of Greimas’s reception from various genres and periods. The instruments borrowed for this study are from Greimas’s own theory, since the idea of using an author’s own instruments to understand his life is intriguing. This research approach was partly driven by the question that Eric Landowski raised in his article on Greimas: Can we claim (and to what extent) that similarly to Don Quixote (a figure very dear to Greimas), Greimas lived his life as a novel about knights, in a world, as if it was a narrative universe that correspon­ ded to the grammar he constructed? (Landowski 2017: 496) The question seems particularly interesting when applied to Lithuanian Greimas, especially to the late period of his life, which was very closely connected with Lithuania as it was coming out of sovietism. The title of the article by Kęstutis Nastopka and Heidi Toele, “Greimas – mano lėmėjas” (“Greimas, my Sender”) (Nastopka, Toele 2017), was also of particular importance for this research, which led to attention on the scheme of four types of senders – Sender, Anti-sender, Non-sender, and Non-anti-sender (Greimas, Courtés 1982: 15; Greimas 1988: 45). Such would be a suitable instrument for researching Greimas’s intentions and the 235 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA impact of his texts. Semiotics and Language, the analytical dictionary by Greimas and Joseph Courtés describes the concept of the Sender in two following cases: impact of his texts. Semiotics and Language, the analytical dictionary by Greimas and Joseph Courtés describes the concept of the Sender in two following cases: 1. Enunciator the implicit sender of the enunciation. (Greimas, Courtés 1982: 105). 2. In the narrative syntax the Sender (Destanateur) is the one who communicates to the subject-Receiver not only the elements of mo­ dal competence but also the set of values at stake. The manipulatory Sender (the initial Sender) can be opposed to the judicatory Sender (the final Sender). Given the polemical structure of the narrative, the presence of a subject and an anti-subject presupposes the existence of a Sender and of an anti-Sender. Foreword This axis of contraries can produce two new actantial positions as contradictories: the position of non- Sender is, on the cognitive dimension, the passive Sender (receiving the knowledge about the subject-Receiver’s doing and sanctioning it) and thus belongs to the negative deixis. In such a case the active Sen­ der is inchoate, promoting movement and action. (Greimas, Courtes 1982: 294) The problem of understanding the position of non-Sender and non-anti-Sender in a semiotic square leads to Jean Petitot’s idea that negation does not exist in a dynamic sense. It corresponds to the disappearance or genesis of the determination in question (Petitot 2018: 610). A hypothetical supposition is that the non-Sen­ der position will correlate with the disappearance of the Sender’s activity and deterioration of its collection of values, which become apparent in the Receiver’s perspective. (Receiver does not operate according to the program a Sender initiates, since its values belong to a different axiological context.) Meanwhile, in the case of non- anti-Sender, a Receiver contradicts the Initial Sender’s values in order to search for new axiology, therefore, the Initial Sender again becomes an active (reactive) Sender. For this research, the points of view must change by moving from the sender’s to receiver’s perspective and vice versa. Such doubling of gaze creates certain theoretical difficulties but it is necessary for dynamically understanding Greimas’s place in Lithuanian culture. 236 Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception The theoretical context of Lotman’s cultural semiotics will be a more permanent intellectual context for this study, and some of the terms will be useful in more than one aspect. 2 Greimas’s trust in the youth reminds of his position towards the revolting Paris students at the end of 1960s (see his article “Jaunimas ir XX amžiaus revoliucija” (“The Youth and the 20th Century Revolution”) (Greimas 1969: 116)). Greimas as Sender An established opinion in the interpretation of the history of semio­ tics is that, for Greimas and his school, “reality might well exist, but is not semiotically relevant” (Leone 2017: 72). Thus it is natural that many, especially in the West, imagined Greimas as an armchair scholar, who hardly had any interest in historical events, particu­ larly in an “unfamiliar” and distant country such as Lithuania. However, this is not really the case. Greimas had returned from Grenoble in 1939 to serve in the Lithuanian Army and afterward, always actively participated in political events – first against Nazis in Lithuania and against Soviets in the West (see Broden 2011). The latter was especially important in the Soviet era. Greimas’s friends who lived in Soviet Lithuania had mentioned that, in 1971, when Greimas arrived in his homeland, many people went to meet with him, not as a scientist but rather as a legend of anti-Soviet resistance (Savukynas 1992: 14). During the years of movement from Soviet to independent Lithuania, Greimas wanted to participate in the life of the country’s resurrection as actively as possible. His space of action contained writing about public and cultural life. Interest in issues of public life, books and periodicals written by authors in emigration increased significantly during the discussed period. Greimas can be considered a well-known author in Lithuania at that time. Then the weekly periodical Literatūra ir menas, where Greimas wrote his own “Baltos lankos” column in 1991, had a circulation of around 70 000 issues. His book Iš arti ir iš toli could also be considered to have had a large circulation with 12 000 copies. Greimas first addressed readers in the diaspora before finding his Lithuanian audience in Lithuania. He tried to initiate a move­ ment while, at the same time, reflecting on the position of social activist, which he found unusual: 237 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA However, I raise it [the question: “What to do?” – L. M.] addressing not the people, as prophets like to do, but the readers and writers of Akiračiai; can we, the so-called “liberal wing”, consider our mission accomplished or vice versa. In this extraordinary crisis situation, we still have something to say to our brothers who become liberated at the side of our unexpectedly lively, energetic youth. Greimas as Sender (Greimas 1991a: 10) Greimas was critical to many emigrants and had described their favorite role as “being a hero of the past who fulfilled his duty to Lithuania and now welcomes his tired relatives” (Greimas 1991a: 10). It is not surprising that he found new readers outside the diaspora in developing Lithuania. Greimas forecast its future by maintaining hope that the relicts of Sovietism will be defeated by youthful cultural activity, which needs to be encouraged.2 “Why do our students, our youth not demonstrate and revolt? After all, Saint-Just was twenty one during the revolution, and Robespierre was twenty eight” (Greimas 2009: 189). Greimas’s main readers in Lithuania were not the youth, but those in their forties-fifties. They could not start the revolution that Greimas expected but valued and even admired Greimas’s book Iš arti ir iš toli, which reprinted his most spectacular articles from emigration, as well as analyses of Lithuanian poetry, re­ views, interviews, and thoughts about culture. For example, in his review of Greimas’s book, poet Sigitas Geda enthusiastically appreciates the effect of his texts. He hopes Greimas’s influence on Lithuanian culture will provide more chances to enter a new level of civilization: Before A. J. Greimas, we hardly knew what healthy criticism and in­ tellectual courage was. He brought along the real, living, unadorned European culture and wisdom, the France after Camus, Sartre, and 238 Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception Dumézil to Lithuania. […] to many people A. J. Greimas was and still is an extramural Lithuanian professor, a man who is not afraid to tell the truth, even to celebrities. Let that truth sometimes lash like a whip. More spirit of Voltaire – and Lithuanians will be saved! (Geda 1991: 178) It is interesting that, at this time, Greimas’s contemplations about literature were relevant to people of various educational levels, which is confirmed by a letter from an unknown reader. The given case confirms the enunciator status of Greimas’s texts as an initiating sender. In his Literatūra ir menas column, Greimas quotes: I received a letter from an anonymous Lithuanian woman who claims to know neither the secrets of poetry nor the breadth of litera­ ture, a “technocrat-engineer”. She thanks me for my previous book, which she read in one go, like listening to a symphonic concert. Com­ pliments are nice for everyone, even the hardened ones. Greimas as Sender However, I want to publicly thank my “technocrat” – this is a remuneration for my nightly writings, all the time dedicated to the Lithuanians of Lithuania. (Greimas 2009: 177) In 1989–1992, Greimas no longer wrote literary criticism but commentaries about the works of other critics and attempted “to introduce a new genre into Lithuanian literary criticism (2017: 365) – an essay”. According to him, the essay engages an author with the discourse and aims for the greatest possible effect by understanding that feelings and thoughts transmitted in figurati­ ve language stick with the reader better than abstract teachings. Admitting that a literary critic should adhere to the principle of coherent reading, he also disapproved of pretensions to “scholar­ ship” and called for the abandonment of the Prussian seriousness inherited from the 19th century (Nastopka 2017: 534). Eventually a question arises on the origin of Greimas’s desire for literary criticism to represent a type of rationality different than scientific, and why he prioritized figurative literary critique, which fascinated and amazed Lithuanian readers newly emerged from Soviet times. 239 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA Supposedly, answers should be sought in Greimas’s article “La parabole: Une forme de vie”, which proves that the parable, which denounces didactics and moves responsibility to the perceiver, is similar to the maieutic (gr. maieutikē technē – midwife method) method of Socrates. It allows a person to find truths for oneself, by answering questions (Greimas 2000: 80). Greimas constantly engages with provocations in periodicals of the transition period that break away from stereotypical thinking. The very first text published in the “Baltos lankos” column began with the slogan: “Let’s learn while laughing” (Greimas 2009: 156). Greimas postulates the worldview of combining cheerful and serious attitudes as a semiotic necessity, without which any understanding of life would be incomplete or convoluted. It was with great joy that he encountered words by Ottawa University Professor Antanas Paplauskas that Greimas is not only a great scholar but a humorist as well and realized that he had a double calling in life. Greimas also claims: It is possible, and worthy, to laugh at anything, of course, provided that you start laughing at yourself first: this, they say, is the English definition of irony, English humor. Greimas as Sender I try myself, and I constantly advi­ se my students, who one after another climb to the heights of profes­ sors and rectors: just don’t take yourself too seriously, just don’t feel like professors, and especially philosophers! (Greimas 2009: 162) To better understand Greimas’s concept of humor, it is worthy to recall the ideas found in Greimas’s French texts, first in his analysis of the short story “Two friends” by Guy de Maupassant: This cheeky Parisian humor resembles eighteenth century “French wit”, also of an antiphrastic nature, consisting of attributing no im­ portance to serious things and, inversely, importance to trivial ones. [...] Humor is the best antidote against fear, and it also has a precise function: in negating the contrary hypostatized wanting, it restores S1 initial /wanting to do/, his desire to continue the quest. (Greimas 1988: 95–96) 240 Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception Such cheeky humor, the French wit opposes Prussian serious­ ness and is a characteristic of Greimas’s own Lithuanian texts – first, it is in the values of life, which can be seen not only on the plane of content but on the plane of expression, i. e., style. Greimas’s style embodying freedom, charm, lightness and youth (see Martinaitienė 2017) was both an opposition to Sovietism and proof that it is possible to write about serious topics of Lithuanian culture in an authentic way, without fervor and exaltation, i. e., in a western way. Of course, Westerness was not only a sign of style but, first of all, the topic that ran in many of Greimas’s texts at that time. i , p y It was no accident that the paraphrased Lithuanian parable, “If you’re afraid of Greimas, don’t go to the West”3, was selected as the title of the intellectual discussion in the weekly cultural magazine Literatūra ir menas in commemoration of Greimas’s seventy-fifth birthday (see Žukas 1992: 5). In his texts written on topical issues of Lithuanian public life in the transition period, Greimas pointed clearly to Europe as the symbolic space in which all criteria and value systems are laid out: “Europe was also a collective person, both the sender and the judge, without whom any discussion about Lithuania culture would be meaningless” (Greimas 1990: 18). 3 Originally it would be: “If you’re afraid of a wolf, don’t go to the forest”. Greimas as Sender Greimas associated himself as a delegate subject of Sender (Europe) willing to take on the work of interpreter of political is­ sues, for instance, explaining rather banal politic concepts that were obvious to Westerners such as position and opposition; or right, left and centre. He discussed why the institution of presidency was necessary and why it was unacceptable for the parliament of the newly independent Lithuania to continue to call itself a Supreme Council, as was the case during Soviet times. Although many readers at that time thought it was meaningless to discuss titles, Greimas, who never stopped being a semiotician, insisted that “things become what they are called” (Greimas 2009: 164). The question of titles became especially important when interpreting letters from Western countries. According to Greimas, “We need 241 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA to learn to read letters – not just what they say but especially what they don’t say” (Greimas 2009: 168). The question of titles became especially important when interpreting letters from Western countries, the communicative code of which was unknown to Lithuanians. Greimas assumes the role of an expounder of the Western diplomatic speech by giving the following example: Draugas, a Lithuanian daily newspaper, placed a copy of the British Prime Minister’s letter of thanks on its front page. It added a pho­ tograph of the British Prime Minister with the following comment: John Major, who wrote in his own handwriting, “Dear Professor Landsbergis”. The Draugas editorial staff was delighted: look, the Prime Minister himself has written the address “by hand”, i. e., ma­ king such an effort. What an honor! Unfortunately, such enthusiasm shows a complete lack of “political culture”: the letter is addressed to a private individual, Professor Landsbergis, not to the President of the Republic, from whom he had received the greeting. This means that England will continue to avoid even the slightest signal of recog­ nition of Lithuania’s sovereignty. (Greimas 2009: 168) In explaining differences between Lithuanian and European cultural perspectives, Greimas’s dual identity emerged, espe­ cially in his “Baltos lankos” column, where his point of view changes – some­times Greimas speaks from the position of “me, as Lithuanian” and sometimes, from the position of “we, the French”. What looks inconsistent from an everyday life perspective shows its hidden meaning when looking from the point of view of cultural semiotics, particularly the concept of border. 4 Landowski testified that the semiotic translation also went another way: “When he [Greimas] stayed with me, and on other occasions, we talked all evening, and he taught me a completely new way of looking at Europe. We had seen everything from a Western perspective, but he made me discover history from an Eastern European perspective. The explanation was com­ pletely understandable but unexpected” (Sverdiolas 2017). Greimas as Sender According to Lotman’s theory: The border of semiotic space is the most important functional and structural position, giving substance to its semiotic mechanism. The border is a bilingual mechanism, translating external communi­ cations into the internal language of the semiosphere and vice versa. Thus, only with the help of the boundary is the semiosphere able to establish contact with non-semiotic and extra-semiotic spaces. (Lot­ man 2005: 210) 242 Straipsniai / Loreta Mačianskaitė. Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception p The Late Lithuanian Greimas: Intentions and Reception Greimas being “a person of border” in his late Lithuanian texts precisely fulfilled the role of such a semiotic translator, which was creating a space of cultural bilingualism and guaranteed a semiotic contact between the two worlds (Lotman 2005: 211)4. In this case, it is important to remember Lotman’s idea from his book Culture and Explosion that the radical change in relations between Eastern and Western Europe, which was taking place as the Soviet system fell, provided Eastern Europe with an opportuni­ ty to pass into a ternary, Pan-European system (Lotman 2009: 174). Thus Greimas’s texts of that time can be considered a search to realize the need for Lithuanian culture to have a third dimension, which would allow Lithuania to open up to Europe, learn the language of its culture without losing itself but also being able to see the self in the eyes of the other. Greimas as anti-Sender To understand Greimas’s anti-Sender position, it is important to identify the values represented by his opponents, which were especially prominent in the diaspora’s discussions between liberals (including Greimas) and the conservative wing, which happened al­ ready in the early period of emigration from Lithuania (1944–1954), and later, in its own way, repeated in the press as Lithuania was regaining independence (1989–1991). The division of values in the diaspora, or in the Lithuanian transition, remains outside the scope of our study. At this time, it is only important to record that Greimas assumed the role of anti-Sender described in the formula: “Freedom is not tolerance anymore, but the struggle for truth, truth for oneself and others” (Šmitienė 2017: 215). In a public letter 243 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA published in Dirva newspaper in 1954 as a response to the leader of liberal Lithuanian intellectuals (later an international sociologist) Vytautas Kavolis, who appreciated Greimas’s critical articles on the Lithuanian language (Greimas 1949) and historical thinking (Greimas 1953) that raised readers’ emotions, Greimas admits: published in Dirva newspaper in 1954 as a response to the leader of liberal Lithuanian intellectuals (later an international sociologist) Vytautas Kavolis, who appreciated Greimas’s critical articles on the Lithuanian language (Greimas 1949) and historical thinking (Greimas 1953) that raised readers’ emotions, Greimas admits: Those few of my articles are only fragments of a common plan that the generation of young Lithuanians should form in order to declare a modern Crusade against social myths, against that global myth- mania, which is the greatest enemy of a free person and a Lithuanian. (Šmitienė 2017: 215) The myths that hinder the development of Lithuanian culture mentioned by Greimas – the stories of great dukes, rural culture, the nation’s unity, a virtuous Lithuanian, especially the myth of the antiquity of the Lithuanian language – were considered by many that emigrated to be the pillars of Lithuanian identity, so questioning these things seemed impossible, and the one who raised questions was seen as a dangerous liberal.i Greimas’s actions of fighting are most clearly seen in two direc­ tions: 1) a struggle against the conservatism of Lithuanian language and theoretical closeness of linguistics and 2) a struggle against the deepening primitivism and domination of Lithuanian Catholicism. 5 The dictionary was issued in 1941, with 20 volumes in total. At the time, when Greimas wrote his column, i. e., in 1991, the 15th volume issued. The author of the first volumes, Juozas Balčikonis, had been an acquaintance of Greimas since the end of the 1930s, and Greimas always evaluated his linguistic competencies negatively. Greimas as anti-Sender The attitudes of a large part of the diaspora to Greimas’s publi­ cations were rather typically expressed by expatriate ethnologist Jonas Balys in his private letter (December 4, 1954) to Greimas, where Balys, not daring to discuss these issues in the press, wrote: Spreading such thoughts among our studying youth who are already at a great risk of denationalization is the same as bringing a simple wax candle outside in a raging hurricane and thinking  – let’s see what will happen now... (Šmitienė 2017: 217) Forty years later, a “scandalous” Greimas article, “Lietuvių kal­ bos senumas ir jaunatvė” (“The youth and old age of the Lithuanian language”, first published in the diaspora in 1949), was reiterated in Lithuania (Greimas 1991: 341–352). 244 Straipsniai / Loreta Mačianskaitė. Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception p The Late Lithuanian Greimas: Intentions and Reception Unexpectedly, his thoughts appeared paradoxically fresh. As observed by philosopher Arūnas Sverdiolas, “Greimas’s claims of the time that it is necessary to abandon linguistic conservatism and become oriented towards the future, thinking about language as a tool for thinking, even now, would challenge linguists, if they read Greimas’s texts” (Sverdiolas 2020: 84). Although linguists might not have read the old texts by Greimas, an unmistakable testimony was discovered that they read his contemplations in the Literatūra ir menas weekly from 1991. These angered the majority of linguists in Lithuania, and the anger has not subsided to this day. Greimas did not express much admiration for the multivolume History of the Lithuanian Language in his July 13, 1991 publication. He evaluated the 4th volume, which had already been published at that time, somewhat ironically calling it another brick in the heritage of the language’s history (Greimas 2009: 172). Meanwhile, Greimas’s words about the Dictionary of the Lithuanian Language, an object of pride in Lithuania and the result of 50 years of work5 as well as a symbol of opposition to the Soviets and their russification policies, were fairly cruel: It is a skyscraper in a darkened sky. However, it cannot withstand criticism. This work was written at the level of a high school teacher, as was its author, who loved the job more than the language. Greimas as anti-Sender (Grei­ mas 2009: 172) Greimas’s diagnoses regarding the state of Lithuanian linguistics were very unfavorable towards the researchers who worked in the Soviet era: 245 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA In spite of the abundant numbers of Lithuanian linguists during those fifty years, Lithuania had not managed to develop linguistics as a theoretical, methodological, academic field. “We have overlooked the 20th century, and it is not clear how the 21st century will be met. (Greimas 2009: 172–173) Greimas’s statements knocked out Lithuanian linguists. Their initial reaction was silence, but a little later, memoir-type texts began including unsubstantiated phrases like “Sometimes even celebrities say some nonsense” (Paulauskienė 2014: 213). More than 15 years later after Greimas’s critical publication, linguists still respond to Greimas by appealing to the story of a suffering nation and by creating a new myth, for instance: We did not create general linguistics, but we did not miss the 20th century. […] in spite of wars, occupations and all kinds of res­ trictions, this was the golden age of the Lithuanian language, linguis­ tics, literature and national culture. However, we have met the 21st century very poorly – by betraying our native language and nation. (Paulauskienė 2017) In another paragraph of the quoted text, the anger over the insulted professional honor of post-Soviet linguists is transferred to Greimas’s persona itself, by browsing his collections for “failed” sentences. A fragment of one text by Greimas (“Pirmasis intelek­ tualinės autobiografijos bandymas” (“First Attempt of Intellectual Autobiography”)) is qualified as written by a suicidal author, rather than by a semiotician who believed in human life and the world’s meaning (Paulauskienė 2017). Remembering Greimas’s study On Anger, the Lithuanian linguist’s memoir about Greimas could be treated as a narrative program of vengeance, realized once the ability to do so emerged, which aimed at punishing the offender and morally compensating the offended party (Greimas 1987: 160). Of course, the attempt to reestablish equilibrium has to follow a new axiology, therefore, it should be natural that the ending of the examined text highlights Justinas Marcinkevičius, the national poet who emerged in Soviet 246 Straipsniai / Loreta Mačianskaitė. Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception p The Late Lithuanian Greimas: Intentions and Reception times and who embodied the myth of the unique value of Lithua­ nian language that the speaker identifies with, as the real sender who opposes Greimas. Greimas as anti-Sender Another topic that moved the readers of Greimas’s Literatūra ir menas column and sparked a storm of emotions, although not intensive enough not to eventually fade away, was Greimas’s view of the unfortunate Lithuanian Catholicism. To Greimas, the expression of external piety and worship of religious objects were foreign. His style of religion was more similar to Protestantism, and his relation with Christianity was described in a letter to a friend as follows: “Being a Christian is not worshiping Saints and walking in processions but living as a Christian” (Greimas 2017: 450). In his view, in the period of newly-gained independence, Lithuania experienced a transition from the authority of the Com­ munist party to that of the Church, and as public politics became intertwined with the religious sphere, Catholicism became almost obligatory (Greimas 1991: 10). “Even the head of state [Vytautas Landsbergis – L. M.] kept a statue of Mary on his desk” (Greimas 2009: 187). However, the most scandalous was Greimas’s comment on a request to write a biography of Casimir (1458–1484), the Grand Duke of Lithuania and King of Poland, a man notorious for his asceticism and piety, and to make it suitable for the sensibilities of French Catholics: Can you imagine me presenting Saint Casimir, distinguished for his chastity, to the French? The most serious Catholics will burst out laughing. At the end of the 20th century, chastity is not a virtue but a vice, maybe even a sin. (Greimas 2009: 165) The appearance of this text caused a chain of outrageous re­ actions. In his letters, Greimas even wrote that it threatened his Literatūra ir menas column: “The censors rose up to defend St. Ca­ simir, and my chronicle may soon disappear” (Greimas 2017: 449). It is doubtful that this type of censorship operated in Lithuania at that time, but poet Geda was not completely wrong in his review of Greimas’s book: “Lithuanians are vengeful people. I don’t know 247 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA if anyone will forgive Professor for tearing off St. Casimir’s crown” (Geda 1991: 177). This was obviously a semiotic conflict and started from a clash of different cultural contexts: the French liberal and the Lithuanian post-Soviet post-atheistic.6 This time, Greimas clearly underestimated the specifics of his Lithuanian audience that was trying to break free from its Soviet past. 6 The reasons for the conflict are somewhat explained by two historical mat­ ters: in 1966 St. Casimir’s Church in Vilnius operated as an atheism mu­ seum. It was returned to church-goers, de jure in 1988, and de facto in 1991. Greimas as anti-Sender He crossed a certain threshold of readers’ personal sensitivity, so his intellectual provocation on the “strangeness” of Lithuanian Catholicism failed. if anyone will forgive Professor for tearing off St. Casimir’s crown” (Geda 1991: 177). This was obviously a semiotic conflict and started from a clash of different cultural contexts: the French liberal and the Lithuanian post-Soviet post-atheistic.6 This time, Greimas clearly underestimated the specifics of his Lithuanian audience that was trying to break free from its Soviet past. He crossed a certain threshold of readers’ personal sensitivity, so his intellectual provocation on the “strangeness” of Lithuanian Catholicism failed. Misunderstood and called an atheist, he later wrote a special essay on that subject (this text was published in Literatūra ir menas on June 25, 1992, after Greimas’s death), proving his competence in the field of theology. Probably this text was the only occasion for readers to learn that Greimas started his university career by translating the life of St. Douceline from Provençal to French and after becoming a professor, he supervised works by PhD students about the 17th-century mystic St. Evdokimos, as well as about the great teachers of the Church, St. Therese Lisieux and St. Teresa of Ávila (Greimas 2009: 190). Defending Christianity from the ignorant and intolerant, in the said text, Greimas presents two examples of an authentic re­ lationship with religion: 1) philosopher Paul Ricœur, who believed in God, but did not mention the Holy name even once in his ten volumes, which Greimas considered the best way to glorify God and 2) Michel de Certeau, a semiotician and French Jesuit who, when asked if he believed in God, answered: “I’m sorry, but that’s a personal question”. Greimas explained, “You see, there are such forms of faith as well and such ways of expressing love for God. These people are called liberals, though not in Lithuania, of course” (Greimas 2009: 198–192). Greimas’s additional explanation of the religious question did not receive any comments, and the interpretation of Saint Casimir was hardly relevant to anyone in 248 Straipsniai / Loreta Mačianskaitė. Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception p The Late Lithuanian Greimas: Intentions and Reception Lithuania; the anger of the Catholic readers of Greimas’s column defused until it dissipated completely, unlike that of the linguists who had been annoyed for years, because Greimas’s criticism had offended them personally as unappreciated specialists. Greimas as anti-Sender Interestingly half a year after Greimas’s text about Saint Casi­ mir in Literatūra ir menas, he returned to this dispute in a French interview for Le Monde on October 22, 1991 (Greimas 1993c). Here Greimas explained his view on this story as a description of neighboring Poland and the Polish Pope and expressed hope that “Lithuania will avoid colonization in the religious field” (Greimas, Kajman, Lesnes 2017: 168). Hence it becomes clear that the role of a fighter against the primitivism of religion was more complex. It was also supplemented with the intention to fight off cultural colonization. Greimas’s active position as an anti-Sender that was expressed as a struggle against static myths and obsolete forms of religion, linguistics, and other spheres not discussed here. Viewed from one side, it was not so much a denial but an aim to re-semanticize stereotypical views, and from another side – an initiation of a search program of individual values. Greimas as non-anti-Sender The concept of non-anti-Sender in semiotics remains rather vague, so in this study, semiotic specifics will not be broached. The term non-anti-sender will be used rather technically to support the logic of this analysis. Searching for a relationship with Greimas as a non-anti-sender in the works of Lithuanian researchers, it is worthy to pay attention to the few texts, where Greimas’s thoughts are developed and refined in spite of disagreeing with them. For example, in her book dedicated to Eduardas Mieželaitis, a Soviet poet and laureate of the 1963 Lenin Prize, Lithuanian critic Elena Baliutytė considers Greimas’s article “Apie Eduardą Mieželaitį ir jo Paryžių” (“About Eduardas Mieželaitis and his Paris”, 1963) as rather irrelevant, 249 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA especially when addressing the demystification of the simulacra of Frenchness. However, she sticks to Greimas’s remark that Mieže­ laitis’s poetry returned him to his youth and reminded him of “the system of values that arrived through Russia and nourished the first generation of writers of Independent Lithuania” (Baliutytė 2019: 178). Unlike Greimas, Baliutytė thinks that the way Mieželaitis, who was a peer of Greimas, “in 1962 returned Lithuanian poetry to 1926”, was “not a new discovery of America” but a step forward from the point of “stopped time” into which Lithuanian poetry was brought by “Stalinist socialist realism, which is conceptually counter-modernist” (Baliutytė 2019: 179). This historical loop in the trajectory of Lithuanian modernization could only be seen after a contradictory reconsideration of Greimas’s opinion, which was detached from the context of writing and understanding the poetry in question but acted as an intellectual stimulant, when related to development models discovered by researchers of Soviet culture. Another example of a relationship with Greimas as a non-anti- sender is the article “Teksto kurtuazija: ‘Ašara dar tau anksti’” (“Text courtesy: ‘Tear, it is too soon for you’”) by another Lithua­ nian scholar Aušra Jurgutienė with a declared aim to deconstruct Greimas’s canonical semiotic analysis of one of Marcelijus Marti­ naitis’s poems (Greimas 1980)7, while at the same time, stating that it does not intend to radically challenge the reading of the poem proposed by Greimas. The scholar suggests other ways to read this poem, first of all, by activating the historical context of the Soviet era, which Greimas ignores, and “recognizing the semantically ambiguous Aesopian language” (Jurgutienė 2010: 317). 7 Greimas’s article “Ašara ir poezija” (“Tear and Poetry”), dedicated to Mar­ tinaitis’s poem “Ašara dar tau anksti” is the only detailed analysis of a poetic text written by Greimas. The text became a sort of teaching material for students of philology, considered a paradigmatic semiotics text. Greimas as non-anti-Sender This way the field of interpretation of the poet in question is expanded, but her ambition is greater – contrasting the immanence, coherence 250 Straipsniai / Loreta Mačianskaitė. Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception p The Late Lithuanian Greimas: Intentions and Reception and relevance desired by semiotics with the ambivalence of deconstruction. By showing that Greimas’s analysis is not without objections, exposing that the interpreter himself is using not only scientific arguments but also various means of persuasion and involves the reader’s imagination. The author of the paper unco­ vers the special creativity of Greimas and his method rather than its limitations that were criticized. So, in spite of her declarations, she does not contrast semiotics and deconstruction but shows a sort of commonality between them. An invitation to critically reconsider rather than blindly take over values and method and provocation to thinking would pro­ bably best describe the non-anti-sender position of the enunciator in Greimas’s texts, which rarely received an adequate response among Lithuanian readers. Greimas as non-Sender The position of non-sender is perhaps the most difficult to discuss because this actantial role does not function in the public texts of the speaker himself (at least it seems so in Greimas’s case) and can be recognized mainly through reception texts and to some extent, in private correspondence. First, let’s consider some cases of Greimas’s reception in the di­ aspora. The gap between Greimas and the generation of younger Lithuanian literary critics living in the USA was most clearly witnessed by Lithuanian scholar Violeta Kelertienė in 1996. In her opinion, the first circumstance was that “his fundamental texts were translated into English rather recently and unfortunately, by that time, the critics’ attention had already shifted elsewhere” (Kelertienė 2006: 284). However, there were other circumstances. As Kelertienė states: 251 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA Greimas failed to attract Lithuanian expatriates. Probably because we did not have a chance to attend his seminars in Paris. Also, even in 1976, when I met that attractive and likeable scientist Greimas (I had read his texts in French), we were already too independent and did not want to obey the dictatorship of a single method. As an Ame­ rican colleague explained it to me with a psychoanalytic insight, in Freudian terms, we did not want to obey the “father”, and so we had to kill him and commit to our methodology. (Kelertienė 2006: 284) In her analysis of the Lithuanian literary critique in diaspora, Kelertienė concludes that Greimas’s literary critique essays were difficult even for the intellectual émigré journals like Literatūros lankai or Metmenys. (Greimas had published here since 1960.) Kelertienė claims, “The myth that Greimas is a first-rate semioti­ cian but God forbid, not a critic, is still being formed even today” (Kelertienė 1980: 106). The beginning of such a view was Greimas’s article “Tomo Venc­ lovos beveik beprasmė poezija” (“The Almost Meaningless Poetry of Tomas Venclova”) (Greimas 1972) that studied several poems from the book Kalbos ženklas (The Sign of Language) published in Lithuania in 1972 and sent to Greimas by the poet himself five years before emigrating to the West. Greimas enthusiastically acknow­ ledged this poetry as being on a European level, corresponding to the epistemological turn of the 20th century, and discussed the theme of the relationship between existential meaning and poetic language using means unfamiliar to the diaspora of Lithuanian readers. Greimas as non-Sender He did so namely by exposing the correlation of the planes of sound expression and content (Greimas 1972). Diaspora read­ ers completely misunderstood Greimas’s text, as they pro­bably also misunderstood Venclova’s poetry that was, at that time, little known in the diaspora and only later gained international recogni­ tion and was considered a contender for the Nobel prize. The negative image of Greimas as a literary critic was mainly created by Shakespearean scholar Delija Valiukėnaitė, who ap­ preciated Venclova’s poetry but read it in a different way than Greimas did. In her article “Išeivijos lietuvių literatūros kritika iš 252 Straipsniai / Loreta Mačianskaitė. Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception p The Late Lithuanian Greimas: Intentions and Reception anglų-amerikiečių perspektyvos pažvelgus“ (“Criticism of Lithu­ anian literature in the diaspora from an Anglo-American perspec­ tive”), Valiukėnaitė admits Greimas’s academic sophistication and philosophical maturity but called his “tours into the émigré critique of modern poetry” naïve, comparing them to the Anglo-American tradition, which is her point of reference (Valiukėnaitė 1978: 67–68). At the same time, early-stage ethnologist Eglė Viktorija Žygaitė, in her critical review of Greimas’s mythological study Apie dievus ir žmones (Of Gods and Men), published in Chicago in 1979, com­ pares Greimas’s research with a book by a Soviet-time, Lithuanian ethnologist Norbertas Vėlius. She clearly preferred the latter’s positivism, which she considers to be real science, whereas, ac­ cording to her, Greimas’s hypotheses “are poetic and the method of approach, as stated by himself, is similar to solving crosswords” (Žygaitė 1980: 183). Greimas was not indifferent towards this critique by the younger generation of scholars, although in his letter to Kelertienė (March 2, 1982), he wrote that he does not worry about it. He just admit­ ted feeling “a little hurt” that Metmenys editor Kavolis asked for a review from a “gymnasium student” who does not yet know that she does not know, although this seems to be a general problem with American Lithuanian “scholars” (Greimas 2017: 285). Still, this value divide between the French Greimas and the “American Lithuanian scholars” 8 left a larger trace in Greimas’s choices than it might seem at first, e. 8 In a Lithuanian letter Greimas uses the English word ironically. Greimas as non-Sender g., a few years later, when asked to write an article for a joint collection about one Lithuanian prose writer, in his refusal Greimas also indicated the following reason: “I cannot write scientifically anymore – I would need whole volumes; impressionistically – Valiukėnaitė would say that it is “naïve and not serious” (Greimas 2017: 283). Feeling that his methodological approach and individual writing style system are difficult to accept even among the liberal émigré intellectu­ als, Greimas increasingly turned to the new generation living in 253 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA Lithuania, which he apparently recognized from several visits to Vilnius as his potential audience. Lithuania, which he apparently recognized from several visits to Vilnius as his potential audience. 2. To understand Greimas’s reception in Lithuania, varied literary material is important: texts written at that time by Greimas and his friends and opponents, obituaries dedicated to Greimas, and memoirs that are still appearing and comprise a unique corpus revealing not only the attitudes towards Greimas but also the expectations and disappointments of Lithuania at that time. The author of one obituary, Martinaitis marks the trajectory of Greimas’s travels to Lithuania: Greimas’s return starts with his myth, which was later replaced by a direct and sometimes textual acquaintance with the scholar – the most famous person of the nation and the rise of a new myth: “From mythological fogs, he [Greimas – L. M.] brings Lithuanian thought to the future, as mythical cultural heroes used to bring nations out of the captivity of monsters” (Martinaitis 1992: 14). Remembering Greimas’s ideas about static and dynamic myths (Greimas 1966), image of Greimas as an omniscient leader could definitely be considered a static myth, where the nation is given the role of a passive performer, rather than an active subject. The divide between the myth of Greimas and the real attitude of the reader, which are being deconstructed from texts, began appearing while Greimas was still alive. For example, in the dis­ cussion on his 75th birthday, Žukas states that Greimas’s actions can look paradoxical (e. g., a “socialist” actively collaborates with journals published by the Vatican and follows the semiotic studies of the Bible). However, upon a deeper look, it is seen that he main­ tains a consistent line but as all intellectuals, he likes contradictory situations: “Unfortunately, in our place, Greimas’s non-standard intellectual expression is lived rather morbidly” (Žukas 1992: 12). 9 Playing with the title of Greimas’s collection of Lithuanian articles Iš arti ir iš toli (From near and far). Greimas as non-Sender The poet Geda explains the attitude of the role Greimas assumed by linking it to cultural anarchism, i. e., “the fury of demolishing 254 Straipsniai / Loreta Mačianskaitė. Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception p The Late Lithuanian Greimas: Intentions and Reception antiquities and idols, the fight against clichés and stereotypes”. However, the poet notices that such intellectual energy did not correspond to the last Lithuanian movement in 1989–1991, which did not have any newer ideas, other than restoration, i. e., regain­ ing normal European status: “This is why our revolutionary spirit evaporated so quickly. We buried ourselves, drowned in the reprinted pre-war and émigré publications, memoirs of exile and resistance, archives of the party and security services” (Geda 1990: 177). In spite of Greimas’s great trust in the revolutionary power of youth, he failed to awaken Lithuanian youth for an intellectual revolution. Geda explained the reason for this failure as a separa­ tion of cultural traditions: The current youth [...] do not read him in Lithuania. Neither our punks, nor our rockers, nor our nationalists, nor our Catholics. The mind and thinking do not impress them “neither from near nor far. (Geda 1990: 179)9 However, the non-conjunction between Greimas and the next generation was not unique to that time. From a distance of thirty years, it would seem that, at the time of restoration, Greimas’s role of Sender continuously weakened until becoming anti-Sender, and in our time, his texts are retreating into cultural passivity. There are many examples of this. Lithuanian linguists were not interested in Greimas as a linguist, except for a few Soviet-era scholars who resented his critical assessments of the history of the language. Greimas’s theological competence as a man of science or the semiotics of the gospels did not attract any Lithuanian scholars, perhaps, except some lecturers from the A. J. Greimas Center at Vilnius University. Furthermore, according to the study The De­ velopment of Scientific Theology in Lithuania, by theologian Algirdas 255 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA Jurevičius, a Bishop since 2020, Lithuanian theologians (especially Biblicists) “show little interest in this method and do not follow the advice of the Pontifical Biblical Commission concerning the use of semiotic analysis for the interpretation of Holy Scripture” (Jurevičius 2011: 278). Neither was any attention given to a document by Greimas named Pro memoria. Lietuvos ateities projektavimo reikalu (Memo­ randum. 10 Greimas refers to him as President. Greimas as non-Sender On the Matter of Designing Lithuania’s Future), which was passed on to the head10 of the restored state, Vytautas Landsbergis, in Paris in 1991, and according to a statement from Minister of Education, at that time, Darius Kuolys, copies of the document were distributed to all government members in Lithuania and brought to Landsbergis again (Greimas 2017: 600). On the occasion of Greimas’s 80th year, Baltos lankos journal reprinted the docu­ ment, and added a comment that the advices remain relevant, on the other hand, they are interesting as a work in the genre of utopia (Greimas 1997: 141). The reception of Greimas’s mythological studies in Lithuania seemed hopeful at first. His lectures on Lithuanian mythology at Vilnius University in the Soviet era were widely discussed by audiences, especially on his interpretations of the Iron Wolf, the myth of the founding of Vilnius, which strengthened the patriotic spirit and “meant more than its semiotics” (Savukynas 1992: 14). The mentioned study Apie dievus ir žmones (Greimas 1979) was also of great importance in Lithuania – in Soviet times this book was illegally copied and distributed by interested readers, despite the risk of being caught (Daujotytė 2009: 23). However, Greimas’s mythology book Tautos atminties beieškant (In Search of National Memory), published in Lithuania in 1990, included the afore­ mentioned study but did not attract the reactions of the younger generation that Greimas expected. In a letter to Žukas from March 16, 1991, Greimas wrote: The reception of Greimas’s mythological studies in Lithuania seemed hopeful at first. His lectures on Lithuanian mythology at Vilnius University in the Soviet era were widely discussed by audiences, especially on his interpretations of the Iron Wolf, the myth of the founding of Vilnius, which strengthened the patriotic spirit and “meant more than its semiotics” (Savukynas 1992: 14). The mentioned study Apie dievus ir žmones (Greimas 1979) was also of great importance in Lithuania – in Soviet times this book was illegally copied and distributed by interested readers, despite the risk of being caught (Daujotytė 2009: 23). However, Greimas’s mythology book Tautos atminties beieškant (In Search of National Memory), published in Lithuania in 1990, included the afore­ mentioned study but did not attract the reactions of the younger generation that Greimas expected. In a letter to Žukas from March 16, 1991, Greimas wrote: 256 Straipsniai / Loreta Mačianskaitė. Greimas as non-Sender The Late Lithuanian Greimas: Intentions and Reception Is there any hope […] not from the rebuilders of paganism, from pe­ ople that would set themselves a question, how to understand the cultural history, the “science” of culture? Should this work be put aside, completely disregarded, […], or believing (!!) that after 40 years maybe someone will read me? (Greimas 2017: 441) However, there are also followers of Greimas among Lithuanian mythologists. One of them, Daiva Vaitkevičienė, in the article “Following the paths of Greimas’s mythological research” states that the question of the intelligibility of Greimas’s works remains to this day. According to her, this problem is related to the ignorance of the tradition of French mythological research in Lithuania: The “Lithuanian” Greimas is read in isolation from the “French” one. In order to understand the “Lithuanian” Greimas, it is suffici­ ent to read his mythology, religion and, in general, the meanings of the phenomena of the old Lithuanian culture, but it is not enough to continue the work Greimas started and to develop the dotted ideas of his studies. (Vaitkevičienė 2017: 235) For a long time, the most favorable grounds for spreading Greimas’s ideas in Lithuania was, and partly still is, academic literary research, which already sounds trivial, but it is interesting to note that there were also attempts to introduce the elements of the method of semiotic analysis in secondary schools. In 2002, the literature curriculum postulated close reading as a principle of teaching literature, with the final exam task being an interpretation of a literary text or passage. This approach was too demanding for many teachers and too far removed from what they were used to in Soviet-era schools. In 2009, the literature curriculum was overhauled, moving away from the text interpretations towards the old educational paradigm with the addition of a focus on conveying the national narrative. However, although elements of Greimas’s method have disappeared from the literary curriculum, his biography has been included in the new program in the section “Personalities Representing the Epoch”. 257 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA This reversal of method and myth is quite expressive, revealing the danger to cultural modernization posed by adherence to static myths, about which Greimas has written on several occasions making it possible to diagnose Lithuania’s post-Soviet culture as cyclical that is shaped by a mythological consciousness, using Lotman’s terminology. Greimas as non-Sender In summary, it becomes clear that for some emigrants, espe­ cially those already born in emigration, and readers in post-Soviet Lithuania, Greimas was not an interesting author, and the values communicated by the speaker of his texts could be described as non-desirable, using Greimas’s term to name the modality of /not-wanting-to-be/ (Greimas 1987: 145). This position relates to the double negative modalization of the perceiver as /not- being- able-to know/ and /not-wanting-to know/ negatively describing the perceiver himself and his conservative, rather enclosed, intel­ lectually passive cultural tradition. In the semiotic square, non- desirable contradicts desirable /wanting to be/. Such a position associates with the times of cultural opening during the restoration of independence. Desirable is in opposition to Injurious /wanting- not-to-be/, which associates with those that considered and still consider Greimas’s ideas as dangerous to the nation. Non-injurious /not-wanting-not-to-be/ described separate cases of a critical and also creatively active relationship that occurs in the present. Conclusion At first glance, it might appear that the overview of the reception of Greimas’s Lithuanian texts presented here shows his gradual decline, his transition into being culturally passive, and a trans­ formation into a myth of the most famous Lithuanian intellectual. However, that would only be an impression arising from a static description made from a particular point in time. Describing the dynamic or the historical process of acquisition and dissemination of Greimas’s intellectual heritage would show different results. 258 Straipsniai / Loreta Mačianskaitė. p The Late Lithuanian Greimas: Intentions and Reception Still, such research would require a much larger study which there is no commitment at this time. This pilot study revealed: 1) In the years of Lithuanian revival, as established hierarchies were collapsing and a search for new value systems was underway, Greimas’s texts, written in Lithuanian on the topics of culture and literature, especially his collection of Lithuanian articles Iš arti ir iš toli and the “Baltos lankos” column in the Literatūra ir menas weekly, were at the center of society’s attention. Greimas had a dual position: on one hand, he belonged to a marginal zone of cultural bilingualism, where he acted as a semiotic translator; on the other hand, because of his international reputation and the developing mythology of an intellectual leader of the nation, Greimas’s person was considered one of the most important symbolic figures at the core of the Lithuanian semiosphere (speaking in Lotman’s terms). 2) As conservative tendencies strengthened and the attachment to usual models of thinking and nationalistic myths resurfaced within society, Greimas moved to the periphery. The dynamics of attitudes towards Greimas correlate with the trajectories of changes in the internal system. 3) The meaning of Greimas’s texts sporadically rises or falls accor­ ding to unpredictable cultural cycles, taking a mobile position in the intermediate zone between the core and periphery and never coinciding with either of them again. In the thirty years of independent Lithuania, continuous internal restructuring processes have been taking place in its semiosphere. In the thirty years of independent Lithuania, continuous internal restructuring processes have been taking place in its semiosphere. restructuring processes have been taking place in its semiosphere. Precisely as the system of cultural codes changes, the paradigm of remembering-forgetting changes. Conclusion Remembering Lotman’s statements that “culture presents itself as collective intellect and collective memory, that is, a supra-individual mechanism for pre­ serving and transmitting certain messages (texts) and producing new ones” (Lotman 2019: 133), Greimas’s hidden role as a mani­ pulating (initiating) sender becomes more evident retrospectively. The later Greimas proves that, in the context of Eastern Europe, the understanding of culture becomes an understanding of ethics, 259 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA and the role of the fight against myths and barbarism is the most appropriate goal for a “morally engaged” intellectual. Don Quixote, whom Greimas presented as an archetype of a hopeless hero in his first article, became the most important role of his life, to which he was committed and sought “not for happi­ ness but for a full realization of own life, justifying and making it meaningful” (Greimas 1943: 227). He trusted instability as a value and carried out the narrative program of “being Lithuanian in the world” based on the ideal of the beau geste. References Baliutytė-Riliškienė, E. 2018. Eduardas Mieželaitis tarp Rytų ir Vakarų: pasivaikščiojimas su Waltu Whitmanu ir staugsmas su Allenu Ginsbergu. Vilnius: Lietuvių literatūros ir tautosakos institutas. Baliutytė-Riliškienė, E. 2018. Eduardas Mieželaitis tarp Rytų ir Vakarų: pasivaikščiojimas su Waltu Whitmanu ir staugsmas su Allenu Ginsbergu. Vilnius: Lietuvių literatūros ir tautosakos institutas. Broden, T. F. 2011. Toward a Biography of Algirdas Julius Greimas (1917– 1992). Lituanus 57, 4. http://www.lituanus.org/2011/11_4_01Broden.html. Daujotytė, V. 2009. Algirdo Juliaus Greimo minties realybė. Baltos lankos 30, pp. 20–26. Geda, S. 1991. Gyvos minties išpuoliai. Metai 12, pp. 177–179. https://www. zurnalasmetai.lt/?p=16475. Greimas, A. J. 1943. Cervantesas ir jo Don Kichotas. Varpai: Literatūros alma­ nachas 1, pp. 221–227. http://www.semiotika.lt/file/repository/001_1943_Cer­ vantes.pdf. Greimas, A. J. 1949. Lietuvių kalbos senumas ir jaunatvė. Lietuvis 24 / 25, 26 / 27, pp. 3, 4. http://www.semiotika.lt/file/repository/024_1949_Lietu­ viu_kalbos_senumas_ir_jaunatve.pdf. Greimas, A. J. 1953. Istorijos vaizdai ir istorinė galvosena. Santarvė 6 (11), pp. 2–3. http://www.semiotika.lt/file/repository/029_1953_Istorijos_vaizdai. pdf. Greimas, A. J. 1963. Apie Eduardą Mieželaitį ir jo Paryžių. Dirva (The American Lithuanian Weekly Soil) 43, pp. 5–6. http://www.semiotika.lt/file/ repository/073_1963_Apie_Miezelaiti_ir_jo_Paryziu.pdf. Greimas, A. J. 1969. Jaunimas ir XX amžiaus revoliucija. Metmenys 18, pp. 107–116. http://www.semiotika.lt/file/repository/088_1969_Jauni­ mas_ir_revoliucija.pdf. Greimas, A. J. 1972. Tomo Venclovos beveik beprasmė poezija. Metmenys 23, pp. 9–17. http://www.semiotika.lt/file/repository/094_1972_Venclovos_bev­ eik_beprasme_poezija.pdf. 260 Straipsniai / Loreta Mačianskaitė. The Late Lithuanian Greimas: Intentions and Reception Greimas, A. J. 1979. Apie dievus ir žmones. Lietuvių mitologijos studijos. Chi­ cago: AM & M Publications. // Greimas, A. J. 1992. Of Gods and Men [studies in Lithuanian mythology]. Transl. Milda Newman. Bloomington; Indianapolis: Indiana University Press. Greimas, A. J. 1979. Apie dievus ir žmones. Lietuvių mitologijos studijos. Chi­ cago: AM & M Publications. // Greimas, A. J. 1992. Of Gods and Men [studies in Lithuanian mythology]. Transl. Milda Newman. Bloomington; Indianapolis: Indiana University Press. Greimas, A. J. 1980. Ašara ir poezija. Vienos Marcelijaus Martinaičio poemos analizė. Metmenys 40, p. 44–73. http://www.semiotika.lt/file/reposi­ Greimas, A. J. 1980. Ašara ir poezija. Vienos Marcelijaus Martinaičio poemos analizė. Metmenys 40, p. 44–73. http://www.semiotika.lt/file/reposi­ tory/108_1980_Asara_ir_poezija.pdf. Greimas, A. J., Courtés, J. 1982. Semiotics and Language: An Analyti­ cal Dictionary. Transl. by Larry Crist and Daniel Patte and others. Bloomington: Indiana University Press. Greimas, A. J. 1986. Intelektualinės autobiografijos bandymas. Metmenys 51, pp. 21–30. http://tautosmenta.lt/wp-content/uploads/2013/12/Greimas_J_ Algirdas/Greimas_Mtm_51_1986.pdf. Greimas, A. J. 1987. On Meaning: Selected Writings in Semiotic Theory. Transl. by Paul J. Perron, Frank H. Collins. Minneapolis: University of Minnesota Press. Greimas, A. J. 1988. Maupassant: The Semiotics of Text. Transl. by Paul Perron. References Amsterdam and Philadelphia: John Benjamins Publishing Company. p J j g p y Greimas, A. J. 1990. Šis tas apie kultūrą. Metmenys 59, pp. 14–27. http://i Greimas, A. J. 1990. Šis tas apie kultūrą. Metmenys 59, pp. 14–27. http:// www.semiotika.lt/file/repository/141_1990_Sis_tas_apie_kultura.pdf. Greimas, A. J. 1991a. Liberalinės mintys. Akiračiai 5, pp. 10–11. http://www. semiotika.lt/file/repository/148_1991_Liberalines_mintys.pdf. Greimas, A. J. 1991b. Iš arti ir iš toli. Literatūra, kultūra, grožis. Ed. by Saulius Žukas. Vilnius: Vaga. Greimas, A. J. 1991c. La france est gagnée par ‘l’insignifiance’. Le Monde, 22 Octobre 1991, p. 44–45 (propos recueillis par Michel Kajman, Corine Lesnes). Greimas, A. J. 1993a. La parabole: une forme de vie. Le temps de la lecture. Exigese biblique et semiotique. Paris: Cerf, pp. 381–387. Greimas, A. J., Fontanille, J. 1993b. Le beau geste. Recherche Sémiotique / Semiotic Inquiry, Montréal, 13 (1–2), pp. 21–35. Greimas, A. J. 1997. Pro memoria Lietuvos ateities projektavimo reikalu. Bal­ tos lankos 8, pp. 140–148. http://www.semiotika.lt/file/repository/165_1997_ Pro_memoria.pdf. Greimas, A. J. 1998. Gyvenimas ir galvojimas: straipsniai, esė, pokalbiai. Ed. by Arūnas Sverdiolas. Vilnius: Vyturys. Greimas, A. J. 2009. Baltų lankų kolonėlės Literatūroje ir mene. Baltos lankos: tekstai ir interpretacijos 30, pp. 158–192. Greimas, A. J. 2017. Laiškai. Algirdas Julius Greimas: asmuo ir idėjos 1. Ed. by Arūnas Sverdiolas. Vilnius: Baltos lankos, pp. 171–470. Jurevičius, A. 2011. Teologijos mokslo plėtra Lietuvoje. Lietuvos katalikų mokslo akademijos metraštis 34, pp. 261–283. https://www.lkma.lt/site/archive/ metrastis/XXXIV/T.34-261-284.pdf. 261 ISSN 1392-0219 | eISSN 2424-547X SEMIOTIKA Jurgutienė, A. 2010. Teksto kurtuazija: Ašara, dar tau anksti. XX amžiaus literatūros teorijos: konceptualioji kritika. Ed. by Aušra Jurgutienė. Vilnius: Lietuvių literatūros ir tautosakos institutas, pp. 300–324. Jurgutienė, A. 2010. Teksto kurtuazija: Ašara, dar tau anksti. XX amžiaus literatūros teorijos: konceptualioji kritika. Ed. by Aušra Jurgutienė. Vilnius: Lietuvių literatūros ir tautosakos institutas, pp. 300–324. Kelertienė, V. 1980. Literatūros lankai: penkiasdešimtųjų metų ‚enfant terrible‘ šiandieniniu žvilgsniu. Metmenys 4, pp. 90–108. Kelertienė, V. 2006. Kita vertus... Straipsniai apie lietuvių literatūrą. Vilnius: Baltos lankos, pp. 279–287. Landowski, E. 2017. Honoris causa. Algirdas Julius Greimas: asmuo ir idėjos 1. Ed. by Arūnas Sverdiolas. Vilnius: Baltos lankos, pp. 493–500. Landowski, E. 2017. Ką reiškia būti drauge lietuviu ir prancūzu. A conver­ sation in Vilnius University, A. J. Greimas Center for Semiotics and Literary Theory, January 20, 2017. Ed. by Arūnas Sverdiolas. Metai 3, pp. 70–80. https:// www.zurnalasmetai.lt/?p=1842. Leone, M. 2017. The clash of semiotic civilizations. Sign Systems Studies 45 (1/2), pp. 70–87. https://doi.org/10.12697/SSS.2017.45.1-2.05. Lotman, J. 2005. On the semiosphere. Transl. References by Wilma Clark. Sign Systems Studies 33 (1): 205–229. https://ojs.utlib.ee/index.php/sss/article/view/ SSS.2005.33.1.09/12407. Lotman, J. 2009. Culture and Explosion. Transl. by Wilma Clark. Ed. by Marina Grishakova. Berlin; New York: Mouton de Gruyter. Lotman, J. 2019. Memory in a Culturological Perspective. Culture, Memory and History. Transl. by Brian James Baer. Ed. by Marek Tamm Palgrave Mac­ millan, pp. 133–137. Martinaitis, M. 1992. Mirtis vijosi gimtadienį. Literatūra ir menas 10, pp. 14. Martinaitienė, G. M. 2017. Prisimenant Greimą. Algirdas Julius Greimas: asmuo ir idėjos 1. Ed. by Arūnas Sverdiolas. Vilnius: Baltos lankos, pp. 601–610. Nastopka, K., Toelle, H. 2017. Greimas – mano lėmėjas. Algirdas Julius Greimas: asmuo ir idėjos 1. Ed. by Arūnas Sverdiolas. Vilnius: Baltos lankos, pp. 527–548. Paulauskienė, A. 2014. Aldonas Pupkis. Juozas Balčikonis ir Didysis lietuvių kalbos žodynas. Acta linguistica Lithuanica, t. 70, pp. 212-227. https://etalpykla. lituanistikadb.lt/fedora/objects/LT-LDB-0001:J.04~2014~1478701277968/ datastreams/DS.002.0.01.ARTIC/content. Paulauskienė, A. 2017. Prisimenant Algirdą Julių Greimą. Lietuvos aidas. https://www.aidas.lt/lt/asmenybes/article/17714-10-28-prisimenant-algirda- juliu-greima. Petitot, J. 2018. Atsiminimai ir semiotiniai takai Greimo pusėje 1970–1985. Transl. by Lina Perkauskytė. Algirdas Julius Greimas: asmuo ir idėjos 2. Ed. by Arūnas Sverdiolas, Eric Landowski. Vilnius: Baltos lankos, pp. 595–617. // Petitot, J. 2017. Mémoires et parcours sémiotiques du côté de Greimas. Actes sémiotiques 120. https://doi.org/10.25965/as.5805. 262 Straipsniai / Loreta Mačianskaitė. p The Late Lithuanian Greimas: Intentions and Reception Savukynas, B. 1992. Pradžioje buvo Greimas. Literatūra ir menas 10, pp. 14. Savukynas, B. 1992. Pradžioje buvo Greimas. Literatūra ir menas 10, pp. 14. Sverdiolas, A. [Ed.]. 2017. Ką reiškia būti drauge lietuviu ir prancūzu. Kal­ Sverdiolas, A. [Ed.]. 2017. Ką reiškia būti drauge lietuviu ir prancūzu. Kal­ Ž basi K. Nastopka, E. Landowskis, A. Sverdiolas, L. Mačianskaitė, S. Žukas. basi K. Nastopka, E. Landowskis, A. Sverdiolas, L. Mačianskaitė, S. Žukas. Metai 3, pp. 70–81. Sverdiolas, A. 2020. Knygos Algirdas Julius Greimas: asmuo ir idėjos pris­ Metai 3, pp. 70–81. Sverdiolas, A. 2020. Knygos Algirdas Julius Greimas: asmuo ir idėjos pris­ S e d o as, . 0 0. ygos lgirdas Julius Greimas: asmuo ir idėjos p s tatymas VU bibliotekoje. Semiotika 15, pp. 78–89. https://doi.org/10.15388/ Semiotika 2020 5 yg g j p tatymas VU bibliotekoje. Semiotika 15, pp. 78–89. https://doi.org/10.15388/ Semiotika.2020.5. Šmitienė, G. [Ed.]. 2017. Trys laiškai apie laisvę ir mitus. Tautosakos darbai Semiotika.2020.5. Šmitienė, G. [Ed.]. 2017. Trys laiškai apie laisvę ir mitus. Tautosakos darbai 53, pp. 213–219. https://www.llti.lt/failai/TD53_visas-internetui-213-219.pdf. Vaitkevičienė, D. 2017. Greimo mitologijos tyrimų takais. Tautosakos darbai 53, pp. 213–219. https://www.llti.lt/failai/TD53_visas-internetui-213-219.pdf. Vaitkevičienė, D. 2017. References Greimo mitologijos tyrimų takais. Tautosakos darbai 53, pp. 220–239. https://www.llti.lt/failai/TD53_visas-internetui-220-239.pdf. Vaitkevičienė, D. 2017. Greimo mitologijos tyrimų takais. Tautosakos darbai 53, pp. 220–239. https://www.llti.lt/failai/TD53_visas-internetui-220-239.pdf. Valiukėnaitė, D. 1978. Išeivijos lietuvių literatūros kritika iš anglų- amerikiečių perspektyvos pažvelgus. Metmenys 35, pp. 46–98. Venclova, T. 1967. Le Colloque sémiotique de Tartu. Social Science Information 6 (4), pp. 123–129. https://doi.org/10.1177/053901846700600408. Venclova T. 2013. Pertrūkis tikrovėje: straipsniai apie literatūrą ir kultūrą. Vil­ nius: Lietuvių literatūros ir tautosakos institutas, pp. 532–545. Venclova, T. 2017. Ne iki galo realizuota pažintis. Algirdas Julius Greimas: asmuo ir idėjos 1. Ed. by Arūnas Sverdiolas. Vilnius: Baltos lankos, pp. 577–587. Žygaitė, E. V. 1980. Norberto Vėliaus ir Algirdo J. Greimo knygos apie lietuvių tautosaką / mitologiją. Metmenys 40, pp. 172–183. Venclova, T. 2017. Ne iki galo realizuota pažintis. Algirdas Julius Greimas: asmuo ir idėjos 1. Ed. by Arūnas Sverdiolas. Vilnius: Baltos lankos, pp. 577–587. Žygaitė, E. V. 1980. Norberto Vėliaus ir Algirdo J. Greimo knygos apie lietuvių tautosaką / mitologiją. Metmenys 40, pp. 172–183. Žukas, S. 1992. 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O nacional-socialismo do grupo Valhalla 88: a construção de um movimento nazista no Brasil
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O revisionismo neonazista se baseia em teorias que tentam comprovar a inexistência do Holocausto, através de depoimentos de alguns “sobreviventes” do holocausto, como o historiador Robert Faurisson, que sobreviveu a sua passagem por um campo de concentração e, baseado nisso, afirma a não existência das câmaras de gás. Ora, é sabido que havia campos de concentração com diferentes práticas e programas, os quais recebiam indivíduos considerados mais ou menos perigosos. O fato de não ter existido câmara de gás em um campo de concentração específico não invalida a existência, notoriamente sabida, dessas câmaras em outros campos. Além disso, várias outras pessoas, também sobreviventes do Holocausto, relatam práticas e experimentos que fizeram parte de suas experiências. Esses relatos orais não poderiam ser considerados menos dignos de nota do que aquele feito por Robert Faurisson e que é utilizado na atualidade pelos movimentos neonazistas contemporâneos. Ainda nesse sentido, embasado no Relatório Leutcher, o grupo Valhalla 88 afirma: “Também não há prova alguma de que tenha existido qualquer política de extermínio, ordem oral ou por escrito de genocídio aos Judeus” (66 PERGUNTAS..., 2012). No sentido de negar a existência das câmaras como modo de extermínio, os membros do Valhalla 88 PS=========== === ==============jbaf^†ÎbpI=ilkaofk^I=sK=NV=kK=NI=mK=NUJQMI=g^kKLgrkK=OMNQ= chegam a afirmar que o gás ziklon-b (à base de cianureto) era usado como pesticida, para pulverizar pulgas e carrapatos, devido às péssimas condições sanitárias dos campos de concentração. Em outros casos, encontramos a própria negação da própria da existência das câmaras de gás nos campos durante a administração nazista: [...] As câmaras de gás foram na verdade construídas por soviéticos e americanos após a tomada dos campos de concentração, e construídas de maneira absolutamente impossíveis para realização de qualquer extermínio e estão repletas de erros gritantes e patéticos [...] (66 PERGUNTAS..., 2012). Essa onda de negação do Holocausto é uma tentativa de absolver o nazismo para que ele não seja mal encarado, de forma a novamente atrair outras pessoas para a causa. Livrando-se do peso de seis milhões de mortos, o nazismo, em uma nova roupagem, voltaria a atrair as pessoas. Os problemas sociais, a falta de investimento na educação, os grandes latifúndios no norte e nordeste do Brasil, que não permitem o desenvolvimento dessas regiões, ocasionando as migrações para sul e sudeste, a concorrência do mercado de trabalho, enfim, todas as dificuldades de sobreviver no mundo trazem insegurança às pessoas, gerando medo e preocupação com o futuro são pontos fortes de manipulação desta ideologia. Com as crises aumentando, algumas pessoas buscam uma alternativa ou uma ideologia para se agarrar. CONSIDERAÇÕES FINAIS As questões raciais, que são abordadas pelo grupo Valhalla 88, passam por diversas vertentes do pensamento racial, questão amplamente discutida por especialistas hoje no mundo e também por diferentes movimentos sociais de ação afirmativa. No entanto, os critérios biológicos de crença em uma “pureza racial” não conseguem ser defendidas com êxito desde 1948, quando descobriu-se que as várias etnias existentes no mundo partilham de uma estrutura de DNA rigorosamente semelhante. As diferenças existentes entre os diversos grupos sociais passam a ser encaradas por meio de outras explicações, baseadas em argumentos históricos, geopolíticos e culturais. Nesse sentido, o discurso do Valhalla 88 parece desconectado com a maioria das pesquisas do campo da biologia, área em que ancoram seu argumento. A própria declaração em prol de um grupo homogêneo racial é, nesse sentido ilusória. Além disso, o grupo Valhalla 88 não parece ter um projeto político definido. Em seus textos, é possível verificar uma mistura, também não muito homogênea, l=k^`flk^iJpl`f^ifpjl=al=dorml=s^ie^ii^=UUKKK=====================================================dK=fK=cK=ab=^kao^ab====PT sobre diversas concepções de capitalismo, compreensões de mundo, do que é raça e do que significa ser um nacional-socialista. Em parte, isso se deve à relativa dificuldade que o grupo Valhalla 88 deve enfrentar ao discutir um programa nacional-socialista para um país que compreende centenas de grupos étnicos, reunidos em uma pluralidade de sistemas religiosos e formados por diferentes nacionalidades e matrizes culturais. A defesa de uma homogeneização em termos raciais e culturais seria, no mínimo, uma tarefa extremamente árdua em um país marcado pela pluralidade como o Brasil. Em primeiro lugar, para que fosse possível a realização desse grande plano, seria necessário expulsar, pelo menos, a maioria da população do país, que rapidamente combateria as propostas por eles levantadas. Em segundo lugar, para que isso fosse possível, o grupo teria que sair do anonimato em um momento em que suas crenças seriam facilmente enquadrados como racismo e crime de ódio pela legislação brasileira. Contudo, a possibilidade desses ideais se concretizarem politicamente no Brasil não deve ser completamente subestimada. O discurso inflamado e perigoso que os neonazistas utilizam podem influenciar diversos setores da população civil e fazer com que avanços importantes no que diz respeito a políticas públicas e aos direitos de minorias étnicas e políticas passem a ser contestados pelo avanço do conservadorismo, que se reinventa historicamente, sobretudo em momentos de crises econômicas. Nesse sentido, engana-se aquele que acredita que os grupos neonazistas e ultraconservadores são passageiros e não oferecem risco à sociedade brasileira. Prova disso é o fato de presenciarmos, na atualidade, o crescente aumento dos partidos de extrema direita na Europa, como a Frente Nacional, de Marine Le Pen, a Aurora Dourada, na Grécia, o Svoboda, na Ucrânia. Também no Brasil, parlamentares auto intitulados como conservadores, como por exemplo Jair Bolsonaro e Marcos Feliciano, que defendem abertamente discursos homofóbicos têm ganhado grande projeção no cenário político. Em termos midiáticos, pastores como Silas Malafaia, também se posicionam de maneira a contestar os direitos de minorias sexuais no país. Por fim, neste ano que completa 50 anos do golpe militar, vemos uma disputa pela memória sendo travada entre torturados e torturadores, além de uma série de discursos, publicados principalmente nas redes sociais, pedindo o retorno do governo militar. PU=========== === ==============jbaf^†ÎbpI=ilkaofk^I=sK=NV=kK=NI=mK=NUJQMI=g^kKLgrkK=OMNQ= REFERÊNCIAS 66 PERGUNTAS e respostas sobre o holocausto. Valhalla88. Disponível em: <http://www.nuevorden.net/portugues/valhalla88_7.html>. Acesso em: 15 set. 2012. ALGUMAS considerações sobre raça e racismo. Valhalla88. Disponível em: <http://www.nuevorden.net/portugues/valhalla88_3.html>. Acesso em: 9 jun. 2012. ARENDT, Hannah. Origens do totalitarismo. São Paulo: Companhia das Letras, 1989. BARBOSA, Jefferson Rodrigues. Integralismo e ideologia autocrática chauvinista regressiva: crítica aos herdeiros do sigma. Marília, 2012. Tese (Doutorado) – Programa de Pós-Graduação em Ciências Sociais - Faculdade de Filosofia e Ciências, Universidade Estadual Paulista – UNESP, Marília, 2012. CALDEIRA NETO, Odilon. Breves reflexões sobre o uso da Internet em pesquisas historiográficas. Revista Eletrônica Boletim do Tempo, Rio de Janeiro, ano 4, n. 20, 2009. Disponível em: <http://www.tempopresente.org>. Acesso em: 10 ago. 2012. CALDEIRA NETO, Odilon. Integralismo, neointegralismo e antissemitismo: entre a relativização e o esquecimento. 2011. 234 f. Dissertação (Mestrado em História). Universidade Estadual de Maringá: Maringá, 2011. COSTA, Marcia Regina. Os carecas do subúrbio: caminhos para o nomadismo moderno. São Paulo: Musa, 2000. DARWIN, Charles. A origem das espécies e a seleção natural. Curitiba: Hemus, 2000. DIAS, Adriana Abreu Magalhães. Os anacronautas do teutonismo virtual: uma etnografia do neonazismo na Internet. Campinas: Unicamp, 2007. DIWAN, Pietra. Raça pura: uma história de eugenia no Brasil e no mundo. São Paulo: Contexto, São Paulo, 2011. GOODRICK-CLARKE, Nicholas. Sol Negro: cultos arianos, nazismo esotérico e políticas de identidade. São Paulo: Madras, 2004. HERF, Jeffrey. O modernismo reacionário. Campinas: Ed. Unicamp; São Paulo: Ensaio, 1993. l=k^`flk^iJpl`f^ifpjl=al=dorml=s^ie^ii^=UUKKK=====================================================dK=fK=cK=ab=^kao^ab====PV HOBSBAWM, Eric. O Presente como história. In: HOBSBAWM, Eric. Sobre história. São Paulo: Companhia das Letras, 1998. LINHAS gerais. Valhalla88. Disponivel em: <http://www.nuevorden.net /portugues /valhalla88_7.html>. Acesso em: 15 set. 2012. LOPES, Luiz Roberto. Do terceiro Reich ao novo nazismo. Porto Alegre: Ed. UFGRS, 1992. MUNANGA, Kabengele. Uma abordagem conceitual das noções de raça, racismo, identidade e etnia. In: SEMINÁRIO NACIONAL DE RELAÇÕES RACIAIS E EDUCAÇÃO, 3., 2003, Rio de Janeiro. Palestra... Rio de Janeiro, 2003. O NACIONAL socialismo é de direita. Valhalla88. Disponivel em: <http://www.nuevorden.net /portugues /valhalla88_7.html>. Acesso em: 15 set. 2012. PROPAGANDA do futuro para o nacional socialismo Valhalla88. Disponível em: <http://www.nuevorden.net /portugues /valhalla88_14.html>. Acesso em: 15 set. 2012. RELACIONANDO-SE com seu meio. Valhalla88. Disponível em: <www.nuevorden. net/portugues/valhalla88_8.html>. Acesso em: 9 jun. 2012. SALEM, Helena. As tribos do mal: o neonazismo no Brasil e no mundo. São Paulo: Atual, 1995. SALVE o ano zero! A revolução nacional socialista na prática Valhalla88. Disponível em: <http://www.nuevorden.net/portugues/valhalla88_15.html>. Acesso em: 15 set. 2012. SALVE o ano zero! A revolução nacional socialista na prática Valhalla88. Disponivel em: <http://www.nuevorden.net/portugues/valhalla88_15.html>. Acesso em: 15 set. 2012. 2012i VALHALLA 88. Disponível em: <http://www.nuevorden .net/portugues/valhalla88.html>. Acesso em: 9 jun. 2012. QM=========== === ==============jbaf^†ÎbpI=ilkaofk^I=sK=NV=kK=NI=mK=NUJQMI=g^kKLgrkK=OMNQ=.
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Correlates of meal skipping in young adults: a systematic review
Felicity J. Pendergast
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AUTHOR(S) Felicity Pendergast, Katherine Livingstone, Tony Worsley, Sarah McNaughton Correlates of meal skipping in young adults: A systematic review AUTHOR(S) Felicity Pendergast, Katherine Livingstone, Tony Worsley, Sarah McNaughton PUBLICATION DATE 01-12-2016 HANDLE 10536/DRO/DU:30090133 Downloaded from Deakin University’s Figshare repository Deakin University CRICOS Provider Code: 00113B Correlates of meal skipping in young adults: A systematic review DOI: 10.1186/s12966-016-0451-1 DOI: 10.1186/s12966-016-0451-1 This is the published version. ©2016, The Authors Reproduced by Deakin University under the terms of the Creative Commons Attribution Licence 10536/DRO/DU:30090133 Downloaded from Deakin University’s Figshare repository Deakin University CRICOS Provider Code: 00113B Pendergast, Felicity J., Livingstone, Katherine M., Worsley, Anthony and McNaughton, Sarah A. 2016, Correlates of meal skipping in young adults: a systematic review, International journal of behavioral nutrition and physical activity, vol. 13, Article Number : 125, pp. 1-15. Pendergast, Felicity J., Livingstone, Katherine M., Worsley, Anthony and McNaughton, Sarah A. 2016, Correlates of meal skipping in young adults: a systematic review, International journal of behavioral nutrition and physical activity, vol. 13, Article Number : 125, pp. 1-15. © The Author(s). 2016 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: Meal skipping rates may be highest during young adulthood, a period of transition and development. Although these dietary behaviours may increase future risk of chronic disease, limited research has investigated correlates of meal skipping in young adults. Methods: A systematic literature search was conducted to identify studies that investigated correlates of meal skipping behaviours in young adults (aged 18–30 years). EBSCO host, MEDLINE Complete, Global Health, Scopus, EMBASE, Web of Science and Informit platforms were searched for eligible articles. Correlates were defined as any factor that was either associated with meal skipping or was self-reported by the participant to have an influence on meal skipping. Randomised controlled trials, prospective cohort studies, case-control studies, nested case-control studies, cross-sectional studies, and longitudinal studies were eligible for inclusion. Results: Three-hundred and thirty-one articles were identified, 141 full-text articles assessed for eligibility, resulting in 35 included studies. Multiple methodological and reporting weaknesses were apparent in the reviewed studies with 28 of the 35 studies scoring a negative rating in the risk of bias assessment. Meal skipping (any meal), defined as the skipping of any meal throughout the day, was reported in 12 studies with prevalence ranging between 5 and 83%. The remaining 25 studies identified specific meals and their skipping rates, with breakfast the most frequently skipped meal 14–88% compared to lunch 8–57% and dinner 4–57%. Lack of time was consistently reported as an important correlate of meal skipping, compared with correlates such as cost and weight control, while sex was the most commonly reported associated correlate. Breakfast skipping was more common among men while lunch or dinner skipping being more common among women. Conclusions: This review is the first to examine potential correlates of meal skipping in young adults. Future research would benefit from stronger design and reporting strategies, using a standardised approach for measuring and defining meal skipping. Keywords: Meal skipping, Young adults, Correlates, Systematic review, Eating behaviour Keywords: Meal skipping, Young adults, Correlates, Systematic review, Eating behaviour snack foods [6], and frequently fail to consume regular meals [7, 8]. Correlates of meal skipping in young adults: a systematic review licity J. Pendergast*, Katherine M. Livingstone, Anthony Worsley and Sarah A. McNaughton Felicity J. Pendergast*, Katherine M. Livingstone, Anthony Worsley and Sarah A. McNaughton Available from Deakin Research Online: http://hdl.handle.net/10536/DRO/DU:30090133 Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 DOI 10.1186/s12966-016-0451-1 Open Access * Correspondence: fpenderg@deakin.edu.au Institute for Physical Activity and Nutrition (IPAN), School of Exercise and Nutrition Sciences, Deakin University, 221 Burwood Highway, Burwood, Geelong, Victoria 3125, Australia Background Young adulthood, is a unique developmental phase defined as a period of multiple transitions and the devel- opment of independence [1, 2]. During this time, indi- viduals develop the skills needed to engage and practice behaviours, such as healthy eating, that track into later life [3, 4]. Research suggests that young adults engage in poor eating behaviours, such as low fruit and vegetable consumption [4, 5], high consumption of energy-dense Meal skipping is the omission or lack of consumption of one or more of the traditional main meals (breakfast, lunch or dinner) throughout the day [9]. The regular omission of meals, particularly the breakfast meal, has been associated with poorer diet quality [10], lower intakes of total energy, vitamins and minerals [11–13], increased risk of central adiposity [14, 15], markers of insulin resistance [15, 16] and cardio metabolic risk fac- tors [15, 17]. Estimated prevalence rates of meal skip- ping in the young adult population vary between 24 and 87% [18, 19], with young adults consistently reporting * Correspondence: fpenderg@deakin.edu.au Institute for Physical Activity and Nutrition (IPAN), School of Exercise and Nutrition Sciences, Deakin University, 221 Burwood Highway, Burwood, Geelong, Victoria 3125, Australia Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Page 2 of 15 higher rates of meal skipping compared with other age groups [5]. Recent data from the Australian Health Survey 2011/12 showed that 39% of Australian young adults (19–24 years) reported eating breakfast less than 5 days per week, compared with 10% children (8–11 years) and 33% of all adults (>18 years) [5]. Despite the significant health implications of meal skipping and its higher prevalence among young adults, limited research has investigated correlates of this unhealthy eating behaviour. Search strategy gy A systematic and comprehensive search of the literature surrounding meal skipping was conducted in January 2016. The search was limited to human studies, pub- lished in English post 1979. This time frame was chosen, as the first studies describing eating patterns were pub- lished in early 1980’s [28, 29]. Academic Search complete, CINAHL Complete, PsycINFO, SocINDEX, ERIC and Education Source were searched through EBSCO Host. MEDLINE Complete, Global Health, Scopus, EMBASE, Web of Science and Informit searches were conducted independently. Bibliographies of in- cluded articles were also reviewed (hand searched) for additional articles. Search terms were tested prior to the recorded search to ensure that appropriate articles were identified. The following search terms were used during the systematic searching of databases: (Meal skipping, meal frequency, meal omission (skip* OR frequen* OR omission*) N5 meal*) AND (Young adults, emerging adult, college students (young OR emerge*) N5 adult* (college OR university* OR undergraduate* OR “post- secondary*” OR postgraduate*) N5 student*)) AND (Eating habits, feeding habits, food habits, diet habits, meal habits (diet* OR eat* OR meal* OR feed* OR food*) N5 habit*). g Conceptual models or frameworks are useful in under- standing and explaining correlates of eating behaviours such as meal skipping. While there are a number of pos- sible conceptual frameworks in the literature, this review will use the framework developed by Story et al. [20] to categorise the correlates of meal skipping. This frame- work combines ecological perspectives with social cogni- tive theories (SCT) resulting in a framework which takes into account the relationship between people and their environments seen in ecological models [21], and socio- environmental, personal and behavioural factors seen within SCT [22]. This social-ecological framework (SEF) is made up of the following four domains: 1) Individual influences (intrapersonal); 2) Social environmental influ- ences (interpersonal); 3) Physical environmental influ- ences (community settings); 4) Macrosystem influences (societal) [20], and has been used effectively in eating be- haviour research [20, 23]. Previous research investigating correlates of meal skipping in various populations have identified correlates from each of these domains. Individual influences such as smoking status [24] and infrequent phys- ical activity [25]; social environmental influences of family support [24]; and physical environmental influences such as housing type have been associated with meal skipping behaviours [26]. Eligibility criteria To be included in this review each article was required to meet the following criteria: (1) original research art- icle, published in a peer-reviewed journal, with full text in English language; (2) the study participants were young adults aged 18–30 years or with a mean age be- tween 18 and 30 years, or aged 18–30 years at baseline for longitudinal studies, for studies that did not report a mean age, the participants needed to be referred to as university or college students; (3) the study participants were free from disease and were community-dwelling; (4) there was a measure of meal skipping, meal omis- sion, or meal frequency reported (assessed as any meal skipped throughout the day or according to meal type e.g. breakfast, lunch, dinner, and supper); (5) there was at least one meal skipping correlate reported; (6) the study design was one of the following: randomised con- trolled trial, prospective cohort study, case-control study, nested case-control study, cross-sectional study, longitudinal study. Given the importance of this life stage in the devel- opment of long term health behaviours and the high prevalence of poor eating behaviours in this popula- tion group, understanding the correlates of meal skipping is needed to better inform public health strategies and dietary interventions. However, there have been no systematic reviews to synthesise the evi- dence on correlates of meal skipping. Therefore, the aim of the present review was to systematically evalu- ate the literature on correlates of meal skipping in young adults (18–30 years) using a SEF. Articles were excluded if they met any of the following criteria: (1) studies published as abstracts, conference proceedings, posters or not in the English language; (2) the article included specific populations of young adults (e.g. athletes, institutionalised populations); (3) the par- ticipants’ mean age was outside the range of 18–30 years or included children or older adults; (4) there was no measure or report of meal skipping, meal omission, or Quality and risk of bias assessment All but one of the included studies were cross- sectional; the longitudinal study collected data at two times points approximately 18 months apart [31]. The included studies used a variety of different methods to assess and define meal skipping. Dietary intake methods were used by six studies; four used 24 h diet recalls [12, 49, 53, 57], one used food records [44], and one used a specially designed food frequency question- naire (FFQ) [38]. This specially designed FFQ col- lected information on the self-reported number of meals and snacks consumed daily. Meal skipping was defined as a non-reported meal within the respective dietary assessment method. Binary response questions were also used to measure meal skipping, with op- tions “Yes/No” or “Regularly/Rarely” used by eight studies [34, 35, 39, 41, 47, 50, 60, 62]. Question wording influenced how meal skipping was defined in these binary response questions. Meal skipping was measured numerically by seven studies [1, 31, 32, 36, 46, 51, 54], and categorically by 14 studies [33, 37, 40, 42, 43, 45, 48, 52, 55, 56, 58, 59, 61, 63]. These studies had varying response options and used varying cut points to define meal skipping. Five of the 14 studies did not report how they defined meal skipping from their response categories [43, 45, 48, 55, 61]. All included studies were assessed for quality and risk of bias by two independent reviewers (FJP, KML) using the Academy of Nutrition and Dietetics Quality Criteria Checklist [30]. Any discrepancies between the reviewers was resolved by discussion and consensus with a third reviewer (SAM). Articles were assessed against 10 cri- teria and were assigned a positive, negative or neutral rating. As per guidelines, an article was deemed positive if criteria 2, 3, 6, 7 and at least one additional criterion was awarded a ‘yes’, neutral if criteria 2, 3, 6 and 7 did not score a ‘yes’, or negative if more than six of the cri- teria were awarded a ‘no’. Each criteria was assessed as either ‘yes’ or ‘no’. Data extraction and synthesis Data extraction was initially conducted by one reviewer (FJP) using an electronic spreadsheet. Information ex- tracted included author, year, country, design, sample characteristics, participants’ age, how meal skipping was measured, definition of meal skipping; frequency of meal skipping and correlates of meal skipping. Following the initial data extraction the spreadsheet was verified for accuracy and consistency by a second reviewer (KML) with consensus reached with the help of the third reviewer (SAM) in cases of disagreement. Of the 35 included studies, 17 consisted of primarily female participants (>50%) [1, 12, 31, 35, 38–40, 43–45, 47, 50, 51, 58, 61–63], 10 included female participants only [32, 37, 41, 42, 48, 52, 53, 55, 56, 59], six consisted of primarily male participants (>50%) [33, 34, 36, 49, 57, 60]. One study had an even distribution of male and female par- ticipants [54], and one study failed to report the sex distribu- tion of its participants [46]. Study characteristics The included studies were conducted in 15 countries: seven from the United States [1, 12, 31, 36, 44, 62, 63], five from Japan [32, 33, 52, 53, 56] five from Turkey [49, 51, 59–61] three from Nigeria [34, 50, 57] two from Korea [37, 47], Ghana [35, 39] and Poland [54, 55] and one from China [45], Croatia [38], Egypt [41], Greece [43], India [40], Iraq [46], Saudi Arabia [42] and the United Arab Emirates [48]. Study selection Two reviewers (FJP and KML) independently assessed titles and abstracts for eligibility. Any articles that did not meet eligibility criteria were excluded. Full texts of the remaining articles were then obtained and screened for inclusion. If consensus between reviewers was not reached a third reviewer (SAM) was consulted and a consensus approach was used. Quality and risk of bias assessment Criteria included: (1) the study clearly stated the research question; (2) the selection of par- ticipants was free from bias; (3) if study groups were comparable; (4) participant withdrawal process was documented; (5) the use of blinding was documented; (6) participant compliance was measured; (7) the measurements used were valid and reliable; (8) appro- priate statistical analysis was used; (9) biases and limi- tations were documented (10) funding or sponsorship was reported. Methods Protocol This study followed the procedures for systematic review reporting as described by the Preferred Reporting Items for Systematic Reviews and Meta-Analysis (PRISMA) (Additional file 1) recommendations [27]. Page 3 of 15 Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Page 3 of 15 meal frequency; (5) there was no correlate of meal skip- ping reported; (6) the study design was one of the fol- lowing; case reports, opinion articles, reviews, narrative reviews, systematic reviews, meta-analyses. title and abstract. Of these, 141 full-text articles were assessed for eligibility and 35 studies were included in the review. Study characteristics and risk of bias scores are presented in Table 1 and Additional file 2 respect- ively. Risk of bias assessment indicated four studies had a positive rating (low risk of bias) [1, 31–33], 28 studies had a negative rating (high risk of bias) [12, 34–60] and three studies had a neutral rating [61–63]. Results The study selection process, including reasons for ex- cluding studies is summarised in Fig. 1. Of the 331 arti- cles identified, 194 articles were screened based on their Meal skipping (any meal) was reported in 10 studies [31, 34–36, 40, 45, 51, 54, 55, 62] and ranged from 4.8 to 83.3%, while the remaining 25 studies identified Table 1 Characteristics of the included studies Reference, year Country Design Sample characteristics, N (% women) Participants; age, years (mean ± SD) How was meal skipping measured? Definition of meal skipping 1. Afolabi et al. 2013 [34] Nigeria Cross- sectional University students; 140 (40% F) N/R Q: Do you skip meals? (Yes/No) Q: Why do you skip meals? “Yes”; Text 2. Akarslan et al. 2008 [61] Turkey Cross- sectional Young adults; 416 (59% F) 18-25 years; (23.2 ± 0.97 years) Q: Frequency of B, L, D? (Almost always/Sometimes/ Very seldom/Never in a one year period) N/R 3. Aryee et al. 2013 [35] Ghana Cross- sectional Nurses; 220; (66% F) 20–60 years; (67.3% 20–30 years) Q: Do you meal skip? (Yes/No) “Yes” 4. Bahl et al. 2013 [36] USA Cross- sectional College students (Business); 353 (43% F) N/R Q: How many days during the last week (0–7) did you skip meals? Numerical 5. Beerman et al. 1990 [62] USA Cross- sectional College students (Nutrition); 152 (56% F) 74% ≤21 years Q: Do you skip meals? (Regularly/Rarely) “Regularly” 6. Chung et al. 2003 [37] Korea Cross- sectional College students; 180 (100% F) 20.41 ± 1.82 years Q: What is your breakfast status? (Rarely eating, Frequently eating or Daily eating) “Rarely eating” or “Frequently eating” 7. Colić Barić et al. 2003 [38] Croatia Cross- sectional University students; 2075 (53% F) 21.7 ± 2.0 years Specially designed FFQ Numerical; Regular B, defined as having B 6 or 7 times per week Table 1 Characteristics of the included studies erence, r Country Design Sample characteristics, N (% women) Participants; age, years (mean ± SD) How was meal skipping measured? Definition of meal skipping Frequency of meal skipping Correlates of meal skipping Afolabi al. 2013 [34] Nigeria Cross- sectional University students; 140 (40% F) N/R Q: Do you skip meals? (Yes/No) Q: Why do you skip meals? “Yes”; Text 53.6% M skipped meals, 35% F skipped meals Reasons for skipping meals: -Time 48%, -Appetite 19%, -Cannot cook 13%, -Illness 3%, -Money 6% Akarslan et al. Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 ristics of the included studies (Continued) Ghana Cross- sectional University students; 150 (75% F) 64.6% 21–30 years Q: Do you eat breakfast? (Yes/No) “No” 25% skipped B, 8% skipped L, 5% skipped D ETHNIC: (Caucasian -BS) SEX: (F + BS) AGE: (15–20 years -BS) COURSE TYPE: (Science students + BS) Reasons for skipping B: -No time (57%), -Not hungry (22%), -Eat late at night (5%), -Busy schedule (3%), -No reason (13%). Reasons for skipping L: -No time (50%), -Not hungry (25%), -No reason (3%), Reasons for skipping D: -No time (38%), -Busy schedule (12%), -Watching my weight (50%) India Cross- sectional College students; 120 (80% F) 18–23 years Q: Do you A) Take all three meals, B) Skip meals with substitute or C) Skip meals without substitute? “B” or “C” 83.3% skipped meals Reason for skipping meals: -Time 40%, -Taste 30%, -Social desirable 28.3%, - Habit 1.7% Egypt Cross- sectional University students (Nursing); 300 (100% F) 17–22 years; (20.05 ± 1.62 years) Q: Do you always neglect to eat - B, L, D? (Yes/No) “Yes” 72.7% skipped B, 7.3% skipped D, 6% skipped B and D MENSTRUAL REGULARITY: (Menstrual regularity -BS) Saudi Arabia Cross- sectional University students; 61 (100% F) 19–24 years Q: Do you usually have B? (Yes/Sometimes/No) “Sometimes” or “No” 63% skipped B, 61% skipped L, 31% skipped D MOTHERS EDUCATION LEVEL: (0 TMS) Reasons for skipping meals: -Hunger 48%, -Time 31%, -Weight control 21% Greece Cross- sectional University students (Nursing); 435 (83.4% F) N/R Q: N/R (Rarely/At least one/ Two/Three/Four/Five/ Six/Seven times a week) N/R 31% skipped B SEX: (0 BS) USA Cross- sectional College freshman; 756 (61% F) N/R Q: Frequency of meal intake? (Never/1-3 times a week/4-6 times a week/7 days a week) “Never” 24.7% skipped B, 7% skipped D LIVING SITUATION: (On campus + BS) SEX: (F + DS) ETHINICITY: (Caucasian -BS, -DS) USA Cross- sectional College students (Nutrition); 1912 (68% F) M 20 years, F 19 years 1 day-food record (weekday) Meal not reported in food record 22% skipped B, 8% skipped L, 5% skipped D SEX: (0 TMS) endergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Page 5 of 15 8. Danquah et al. 2010 [39] Ghana Cross- sectional University students; 150 (75% F) 64.6% 21–30 years Q: Do you eat breakfast? (Yes/No) “No” 9. 8. Danquah et al. 2010 [39] Ghana Cross- sectional University students; 150 (75% F) 64.6% 21–30 years Q: Do you eat breakfast? (Yes/No) “No” Results 8 [61] Turkey Cross- sectional Young adults; 416 (59% F) 18-25 years; (23.2 ± 0.97 years) Q: Frequency of B, L, D? (Almost always/Sometimes/ Very seldom/Never in a one year period) N/R 70% had regular main meals. Regular B 69.2%, Regular L 75.5%, Regular D 76.0% SEX: (0 TMS) Aryee et al. 3 [35] Ghana Cross- sectional Nurses; 220; (66% F) 20–60 years; (67.3% 20–30 years) Q: Do you meal skip? (Yes/No) “Yes” 53.6% skipped meals BMI: (+TMS) ahl et al. 3 [36] USA Cross- sectional College students (Business); 353 (43% F) N/R Q: How many days during the last week (0–7) did you skip meals? Numerical Participants who had mindfulness training skipped meals on 1.25 days during the last week compared to 1.94 days for the non-training group MINDFULLNESS: (- TMS) SATISFIED: (quality of life - TMS) eerman et al. 0 [62] USA Cross- sectional College students (Nutrition); 152 (56% F) 74% ≤21 years Q: Do you skip meals? (Regularly/Rarely) “Regularly” 66% of on or off campus students skipped meals. 36% of those living in Greek housing skipped meals. LIVING SITUATION: (Greek housing -TMS) SEX: (0 TMS) Reasons for meal skipping: -Time 61% Chung et al. 3 [37] Korea Cross- sectional College students; 180 (100% F) 20.41 ± 1.82 years Q: What is your breakfast status? (Rarely eating, Frequently eating or Daily eating) “Rarely eating” or “Frequently eating” 74.4% skipped B BMI: (0 TMS) Colić Barić et al. 3 [38] Croatia Cross- sectional University students; 2075 (53% F) 21.7 ± 2.0 years Specially designed FFQ Numerical; Regular B, defined as having B 6 or 7 times per week B consumed on 3.4 days/week, L 6 days/week, D 4.7 days/week. 32.2% F and 25.7% M consumed B regularly SEX: (F + L, +D) BMI: (+BS) EXERCISE: (3.5 h versus 2.6 h of exercise per week -BS) endergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Table 1 Characteristics of the included studies (Continued) Table 1 Characteristics of the included studies (Continued) 8. Danquah et al. 2010 [39] Ghana Cross- sectional University students; 150 (75% F) 64.6% 21–30 years Q: Do you eat breakfast? (Yes/No) “No” Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Deepika 2015 India Cross- sectional College students; 120 (80% F) 18–23 years Q: Do you A) Take all three meals, B) Skip meals with substitute or C) Skip meals without substitute? “B” or “C” 83.3% skipped meals 10. Eittah 2014 [41] Egypt Cross- sectional University students (Nursing); 300 (100% F) 17–22 years; (20.05 ± 1.62 years) Q: Do you always neglect to eat - B, L, D? (Yes/No) “Yes” 72.7% skipped B, 7.3% skipped D, 6% skipped B and D 11. Eldisoky, 2003 [42] Saudi Arabia Cross- sectional University students; 61 (100% F) 19–24 years Q: Do you usually have B? (Yes/Sometimes/No) “Sometimes” or “No” 63% skipped B, 61% skipped L, 31% skipped D 12. Evagelou et al. 2014 [43] Greece Cross- sectional University students (Nursing); 435 (83.4% F) N/R Q: N/R (Rarely/At least one/ Two/Three/Four/Five/ Six/Seven times a week) N/R 31% skipped B 13. Freedman 2010 [63] USA Cross- sectional College freshman; 756 (61% F) N/R Q: Frequency of meal intake? (Never/1-3 times a week/4-6 times a week/7 days a week) “Never” 24.7% skipped B, 7% skipped D 14. Huang et al., 1994 [44] USA Cross- sectional College students (Nutrition); 1912 (68% F) M 20 years, F 19 years 1 day-food record (weekday) Meal not reported in food record 22% skipped B, 8% skipped L, 5% skipped D Table 1 Characteristics of the included studies (Continued) ( ) USA Longitudinal University students; 388 (63% F) 18.1 years Q: Over the past year, how many meals per day did you typically eat? Numerical 2.88 meals/day at baseline, 2.61 meals/day one year later ENROLLING IN UNI: (Second year of uni + TMS) LIVING SITUATION: (M living in dormitories with a dining hall -TMS) China Cross- sectional First year University students; 2427 (63.4% F) 18.9 years Q: Have you in the past month skipped meals? (Often/Occasionally/Never) N/R Skipped meals at least monthly in past year -16.2%, Skipped meals in the past week - 4.8% INTERNET USE: (4 + hours/ day + TMS) & 46] Iraq Cross- sectional University students; 350 (Sex NR) N/R Q: No of meal/day? Q: If missed what is the most missed meal? Numerical; Text 51.1% consumed < 3 meals/day. Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Of those who missed a meal 88.5% skipped B, 11.5% skipped D Reasons for meal skipping: -Time USA Cross- sectional Young adults; 1687 (56% F) 18–23 years; (20.5 years) Q: How often do you eat B, L, D during the past week? (Never/1–2 d/3–4 d/5– 6 d/Every day) Numerical B consumption ranged from 2.7 to 3.5 days/ week, L 5.3–5.8, D 6.1–6.5. LIVING SITUATION: (Living with parents + BS, +DS) Korea Cross- sectional University students (Food and Nutrition 50.3%); 159 (62.3% F) 18–28 years; 56% 18–20 years Q: Missed meal? Q: Reason of skipping meal? Text; Text 83.6% skipped B, 6.9% skipped L, 8.2% skipped D AGE: (18–20 years + TMS) Reason for skipping B: -Time 61%, -Habit 17.6%, -Appetite 11.9% 8] United Arab Emirates Cross- sectional University students; 215 (100% F) 18–30 years; (19.7 ± 1.3 years) Specially designed questionnaire on meal pattern N/R 15.8% skipped B, 11.2% skipped L, 7% skipped D BMI: (0 TMS) Turkey Cross- sectional University students; 400 (42% F) 19–24 years; (21.7 ± 1.8 years) 1 × 24 h diet record Meal not reported in food record 47.7% skipped B, 25.2% skipped L SEX: (M+ BS) (F + LS) USA Cross- sectional Young adults; 504 (58% F) 19–28 years; (23 years) 1 × 24 h diet recall B had to equal or exceed macronutrient value of 1 serving of milk. 37% skipped B ETHNICITY: (0 BS) SEX: (0 BS) Nigeria Cross- sectional University students; 342 (63% F) 16–25 years; 81% 20–25 years Q: What meal do you usually skip? Q: Why do you skip meals? Text; Text 27.8% skipped B, 16.9% skipped L, 5.6% skipped D, 4.4% skipped B and L, 2.3% skipped B and D, .5% skipped L and D Reasons for skipping meals: -Time 40.5%, -Fasting/religion 6.7%, -Weight control 10.4%, -Money 9.9% Turkey Cross- sectional University students; 408 (56% F) 18–24 years Q: How many times a day do you eat B, L, and D? Numerical ~80% F skipped meals, ~72% M skipped meals, ~77% M skipped B, ~61% F skipped B SEX: (M + BS) endergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Pag 24. Ozilgen 2011 [51] Turkey Cross- sectional Table 1 Characteristics of the included studies (Continued) ( ) pan d orea Cross- sectional University students (141 Korean), 124 Japan); 265 (100% F) (20 ± 1.8 years) Q: Do you always take breakfast? Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 (Daily/3-4 times per week/ Once or twice per week/ Rarely) Everything except “Daily” 21% Japanese skipped B, 64% Korean skipped B ETHNICITY: (Japanese –BS) pan Cross- sectional University students living at home (Dietetics); 3304 (100% F) 18–20 years; (18.1 ± 0.3 years) Q: During the previous month how many meals have you skipped? Numerical B skipped 1.00 ± 1.74 times/week, L skipped 0.20 ± 0.73 times/week, D skipped 0.32 ± 1.09 times/week SLEEP: (Feel asleep later in the night + TMS) pan Cross- sectional University Students; 71 (100% F) 19–23 years; 1 × 24 h food duplicate portion samples Meal not reported in food record 14% skipped B LIVING SITUATION: (Living away from home + BS) oland Cross- sectional Young adults; 600 (50% F) 18 years Q: How many meals do you consumed in a typical day of the week? Numerical 5% of overweight ate >2 meals/day, 9% of normal weight ate >2 meals/day BMI: (Overweight –TMS) SEX: (F-TMS) LIVING SITUATION: (Rural + TMS) oland Cross- sectional University students; 925 (100% F) N/R Q: Frequency of main meals (B, L, D, and S)? (Daily/2-6 times a week/ Rarely) “Rarely” 11% rarely ate B, 8.2% rarely ate L, 12.6% rarely ate D BODY WEIGHT SELF PERCEPTION: (+ TMS) pan Cross- sectional University students (Medicine); 127 (30.4% F) (20.5 ± 0.8 years) Q: B consumption (Every day/Not every day/Completely skipping everyday) “Completely skipping everyday” 15.7% skipped B FATIGUE: (+BS) pan, orea d ustria Cross- cultural University students; 276 Japan, 103 Korea, 127 Austria, (100% F) Japan; (19.9 ± 1.2 years), Korea (21.5 ± 1.8 years), Austria (22.3 ± 5.2 years) Q: Frequency of B, L, D (Never/Occasionally/ Sometimes/Almost every day) “Never” or “Occasionally” or “Sometimes” JAPAN - 50% skipped B, 15% skipped L, 17% skipped D. KOREA - 54% skipped B, 51% skipped L, 46% skipped D. AUSTRIA - 42% skipped B, 29% skipped L, 47% skipped D ETHNICITY: (Austrian –BS), (Japanese –LD and DS) geria Cross- sectional University students; 200 (47% F) 16–25 years 2 × 24 h recalls. Consecutive days including a weekend day. Meal not reported in food record 41.5% skipped B, 21.5% skipped L, 7% skipped D Reason for meal skipping: -Time 42.5%, -Weight control 23.5%, -Fasting/religion 21.5%, -Money 12.5% banon Cross- sectional University students; 220 (56.4% F) (20 ± 1.9 years) Q: Do you take breakfast? Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 (Daily/3-4 times per week/ 1-2 per week/Rarely) “Rarely” 67% skipped B SEX: (M + BS) endergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Page 7 of Table 1 Characteristics of the included studies (Continued) Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Table 1 Characteristics of the included studies (Continued) 34. Yildiza et al. 2011 [59] Turkey Cross- sectional University students (Medical); 301 (100% F) 18–25 years; (21.2 ± 1.7 years) Q: Frequency of B, L, D? (Never/Occasionally/Most of the days/Everyday) “Never” or “Occasionally” or “Most of the days” 74% skipped B, 57% skipped L, 37% skipped D, 69.7% were skipping at least one meal per day. Reason for meal skipping: -Time 46.7% 35. Yilmaz et al. 2014 [60] Turkey Cross- sectional University students (Medical); 995 (48% F) M (21.25 ± 1.97 years); F (20.94 ± 1.77) Q: I usually skip meals? (Yes/No) “Yes” 35.8% skip B, 27.9% usually skip meals DEPRESSION: (+BS) N/R not reported, M males, F females, B breakfast, L lunch, D dinner, BMI body mass index, FFQ food frequency questionnaire, BS Breakfast skipping, LS Lunch skipping, DS Dinner skipping, TMS Total meal skipping, (0) = No association, (+) = Positive association, (-) = Negative association N/R not reported, M males, F females, B breakfast, L lunch, D dinner, BMI body mass index, FFQ food frequency questionnaire, BS Breakfast skipping, LS Lunch skipping, DS Dinner skipping, TMS Total meal skipping, (0) = No association, (+) = Positive association, (-) = Negative association Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Page 9 of 15 Fig. 1 Flow chart summary of articles identified in search and included in review Fig. 1 Flow chart summary of articles identified in search and included in review and nine reported on specific meal skipping [12, 38, 39, 43, 44, 49, 51, 58, 63]. Two studies identified no difference in meal skipping (any meal) in relation to sex [44, 61], while one study reported meal skipping (any meal) to be more likely in males [54]. Two studies reported no significant dif- ference in breakfast skipping between sexes [12, 43], three reported breakfast skipping to be more likely in males [49, 51, 58], while two reported breakfast skipping to be more likely in females [39, 44]. However, Huang et al. Individual influences (Intrapersonal) Of the 35 studies included in this review, 33 studies assessed correlates from the SEF that could be consid- ered intrapersonal correlates. These included sex, age, ethnicity, body mass index (BMI), education, menstrual regularity, physical activity, internet use, and a list of cognitive influences. Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 [44] reported that females were more likely to skip breakfast in summer months, this associations was not present in winter months. Two studies reported lunch skipping [38, 49], and two dinner skipping [38, 63], both studies found females to be more likely to skip these meals (lunch [38, 49] and dinner [38, 63]) compared to males. specific meals and their skipping rates. All 25 of these studies reported breakfast skipping with prevalence rates of ranging from 14 to 88.5%. Lunch skipping was re- ported by 11 studies [39, 42, 44, 47–50, 56, 57, 59, 61] with rates ranging from 8 to 57%. Dinner or supper skip- ping was reported in 13 studies, [39, 41, 42, 44, 46–48, 50, 56, 57, 59, 61, 63] with rates ranging from 5 to 47%. The majority of studies (28 of the 35 studies) exam- ined correlates by examining associations between fac- tors and meal skipping behaviours through Chi-square, One-way ANOVA, Duncan’s’ multiple range test and regression (linear and logistic) statistical analysis [1, 12, 31–33, 36–39, 41–45, 47–49, 51–56, 58, 60–63]. Another approach used to examine correlates of meal skipping (used in 10 studies), was the use of a ranking methodology where participants were asked to rank po- tential correlates against other meal skipping correlates [34, 39, 40, 42, 46, 47, 50, 57, 59, 62]. From these ten studies, ten ranked correlates were reported. Age Two studies reported an association between age and breakfast skipping [39, 47]. Danquah et al. [39], reported breakfast skipping to be more likely in those aged 15–20 years when compared to those aged 21–30 years. While, Lee and Yoon [47] reported meal skipping (any meal) to be more likely in those aged 18–20 years compared to those aged 24–28 years. Ethnicity Ethnicity was reported to be associated with breakfast skipping in five studies [12, 39, 52, 56, 63]. Of the stud- ies that included Caucasian participants [12, 39, 56, 63], three found breakfast skipping to be more likely in those Internet use Religion Fasting/religion was reported in two studies, where it was ranked as being either the 3rd or 4th strongest perceived correlate of meal skipping (any meal) [50, 57]. One article reported meal skipping (any meal) to be more common in those who used the internet heavily (>4 h/day) [45]. Education Three studies examined education and its association with meal skipping behaviours. Eldisoky [42], reported maternal education status and its relationship with breakfast skipping, although this was not significant. Kapinos & Yakusheva reported those in second year uni- versity were more likely to report meal skipping (any meal) compared to those in first year university [31]. While, Danquah et al. [39], reported those in science courses were more likely to report breakfast skipping compared to students enrolled in humanities courses. Hunger A lack of hunger was reported in four studies and ranged in importance from being the strongest cor- relate of meal skipping to the 3rd strongest perceived correlate [34, 39, 42, 47]. Weight control Weight control was discussed in four studies and ranged from being the strongest per- ceived correlate of dinner consumption to the 3rd strongest perceived correlate of meal skipping (any meal) [39, 42, 50, 57]. Weight control Weight control was discussed in four studies and ranged from being the strongest per- ceived correlate of dinner consumption to the 3rd strongest perceived correlate of meal skipping (any meal) [39, 42, 50, 57]. Sex Sex was reported as a correlate of meal skipping by 12 stud- ies; three reported meal skipping (any meal) [44, 54, 61] Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Page 10 of 15 Page 10 of 15 Page 10 of 15 who were Caucasian compared with other ethnicities (Japanese, Korean, African American) [39, 56, 63], and one found no association [12]. Another study found breakfast skipping and meal skipping (any meal) to be more likely in Korean young adults compared with Japanese young adults [52]. While, lunch and dinner consumption was found to be more common in Japanese young adults compared to Caucasian and Korean young adults [56]. found breakfast skipping to be more likely in those experiencing fatigue, while Sato-Mito et al. [32] found meal skipping (any meal) to be more likely in those who’s mid-point in sleep was later (falling asleep after 1.30 AM and the mid-point of sleep falling at 5.31 ± 0.55 AM). Psychological wellbeing Three studies documented as- sociations between psychological factors and meal skip- ping (any meal). Yilmaz et al. [60] found meal skipping (any meal) to be more likely in those with depressive symptoms; Suliga et al. [55], found meal skipping (any meal) to be more likely in those with a self-perception of being overweight; Bahl et al. [36] found meal skipping (any meal) to be less likely in those who were mindful, and meal skipping (any meal) to be less likely in those who had increased body satisfaction. Body mass index (BMI) Five studies reported that BMI was associated with meal skipping [35, 37, 38, 48, 54]. Meal skipping (any meal) was reported in four studies, two found no association between BMI and meal skipping (any meal) [37, 48], one reported meal skipping (any meal) to be more likely in those with an increased BMI [35], while Suliburska [54] found meal skipping (any meal) less likely in those with an increased BMI. Breakfast skipping was reported by one study and was more likely with those with an increased BMI [38]. Time Time or the lack of time was mentioned in 10 studies and when considered against other correlates, time was ranked as the strongest perceived correlate of meal skipping in nine of the 10 studies [34, 40, 42, 46, 47, 50, 57, 59, 62]. Time Time or the lack of time was mentioned in 10 studies and when considered against other correlates, time was ranked as the strongest perceived correlate of meal skipping in nine of the 10 studies [34, 40, 42, 46, 47, 50, 57, 59, 62]. Menstrual regularity Money Money or the lack of money, was reported in three studies and was ranked as either 3rd or 4th strongest perceived correlate of meal skipping (any meal) [34, 50, 57]. Money Money or the lack of money, was reported in three studies and was ranked as either 3rd or 4th strongest perceived correlate of meal skipping (any meal) [34, 50, 57]. Eittah [41] found breakfast skipping to be more likely in those with an irregular menstrual cycle compared to those with a regular menstrual cycle. Physical activity Habit Dietary habit was reported in two studies, one study ranked habit as the 2nd strongest perceived correl- ate of breakfast skipping and the other ranked it as the 4th strongest perceived correlate of meal skipping (any meal) [40, 47]. Colić Barić et al.[38], found breakfast consumption (6 or 7 times per week) was more likely in those who spent ≥ 3.5 h exercising per week when compared to those who did 2.6 h per week. Rural/urban living environment Meal skipping (any meal) was more likely in those who resided in a rural area compared to those who lived in an urban area [54]. Social environmental influences (Interpersonal) Of the 35 studies included in this review, only one study assessed a correlate that could be considered to be part of the social environmental domain. The variable exam- ined was the notion of “being sociable”. It appears to as- sess participants’ preference for prioritising social activities over eating, and participants ranked it as the 3rd strongest perceived correlate of meal skipping (any meal) [40]. Breakfast skipping Of the 35 studies included in this review, six studies assessed correlates that could be considered physical environmental correlates. These included rural/urban living environments and housing type. This review identified that young adults skipped break- fast more frequently than other main meals. These results are consistent with studies of other age groups, with the breakfast meal frequently reported as the most commonly skipped main meal. A sample of American elderly participants reported the prevalence of breakfast skipping was highest (10.7%) when compared to lunch skipping (8.6%) and dinner skipping (5.8%) [64], with similar results seen in children and adolescent popula- tions [65, 66]. Meal skipping was assessed in a sample of college students with the breakfast meal never/rarely consumed by nearly half of participants (44.2%), com- pared with lunch (3.5%) and dinner (2.3%) [67]. This highlights that different age groups experience meal skipping at different rates and that different meals are skipped at different proportions within each age bracket. It is however important to note that within the literature the breakfast meal is more frequently examined than either the lunch or dinner meals. Overview In conclusion, majority of included studies (n = 33) examined correlates found within the intra-personal domain of the SEF, one study examined a perceived correlate from the interpersonal domain, with six studies examining correlates from the physical envir- onment domain. Perception of time The influence of time or the perceived lack of time was reported within all ten of the studies that assessed ranked correlates. Nine of the ten studies reported time as the biggest perceived influence on meal skipping when ranked against other important correlates of young adult meal skipping. The young adult age period is char- acterised by transition, including moving out of the fam- ily home, commencement of further education and/or starting a career [2]. These competing demands require young adults to learn a range of skills, including priori- tising tasks and coping with these new environments [3]. These findings are confirmed by previous literature, with time scarcity being recognised as having a negative im- pact on a range of eating behaviours [68]. Deliens et al. [69] reported the impact of time scarcity on university students, with results suggesting students preferred to spend time on activities other than cooking, and Cognitive influences Taste Taste was reported as being a correlate of meal skipping (any meal), with one study ranking it as its 2nd strongest perceived correlate [40]. Fatigue Two studies examined the association between fatigue and meal skipping [32, 33]. Tanaka et al. [33] Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Page 11 of 15 Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Cooking skills Lack of cooking skills was reported by one study as 3rd strongest perceived correlate of meal skipping (any meal) [34]. This review identified that the prevalence of meal skip- ping among young adults ranged between 5 and 83%. The breakfast meal was the most frequently skipped meal in comparison to the lunch or dinner meal, with rates ranging from 14 to 88.5%. The perception of time or lack of time was consistently reported as an import- ant correlate of this behaviour, with nine of ten studies rating time as the biggest correlate of meal skipping. Sex was the most commonly reported associated correlate of meal skipping: breakfast skipping was more common among men and lunch or dinner skipping being more common among women. However, the studies were dif- ficult to compare because of inconsistencies in measure- ment tools and definitions of meal skipping. Housing type Five studies focused on specific living environments such as housing types. Kapinos & Yakusheva [31], reported meal skipping (any meal) to be more likely in those liv- ing in university/college dormitories. Similarly, Beerman et al. [62], reported meal skipping (any meal) to be more likely in those residing with parents or in university dormitories when compared to those living in Greek university housing (fraternity or sorority housing). Indi- vidual meal skipping events were reported in three arti- cles [1, 53, 63]. Two articles reported breakfast skipping to be more likely in those who lived away from home [53, 63], while one found breakfast skipping to be more likely in those living by one’s self or with parents com- pared with living on campus [1]. This same article reported the same association for dinner skipping [1]. Strengths and limitations The present review has several strengths. It is the first attempt to bring together the literature on meal skipping correlates and employed a rigorous search strategy whilst adhering to the PRISMA protocol [27]. In addition, the use the Academy of Nutrition and Dietetics Quality Criteria Checklist by two independent reviewers to assess risk of bias [30], and the use of an established framework for reporting eating behaviour correlates [20], are regarded as strengths of this review. p y p The notion of time is a temporal structure, self- reported by individuals and can have multiple interpreta- tions and ramifications [71]. Psychologists’ such as Zimbardo have defined an individual’s time perspective as one of the most powerful influences on human behav- iour [72]. However, none of the included articles pro- vided a definition of time, which limited the ability of the present review to identify how time may have influ- enced meal skipping. For example, “time” may have been attributed to food shopping, preparation, cooking time or eating time and may have been interpreted differently by individuals. Given that the perception of time is underpinned by person-specific psychological constructs, the methodological approaches in the included studies were not detailed enough to provide a conclusive associ- ation with meal skipping. As the examination of time as a major barrier to health behaviours is complex, it requires stronger definitions and measurement tools be- fore it is able to provide comparable and valid results. Further research is needed to examine, and develop an understanding of trade-offs and prioritisation of lifestyle factors seen between individuals. An important limitation of this review is the lack of consistency in the terminology and definition of meal skipping and the measurement of these behaviours. Defi- nitions of meal skipping varied; consuming three meals on <2 days/week, failing to report a meal in a food diary, to answering yes to “Do you skip meals?” This limitation is paralleled in the study of breakfast consumption [76], and meal patterns in general [77]. In addition, meal skip- ping was captured via differing methodologies, including food diaries, 24-h recalls, surveys and FFQ’s (which in- cluded a specially designed item to assess the daily con- sumption of meals and snacks). Each of these methods has its own strengths and weaknesses and are aimed at capturing dietary intake rather than the omission of eat- ing occasions [78]. Strengths and limitations Questions designed to evaluate meal skipping were not consistent between studies, with con- tinuous scales, binary and categorical responses utilised. These inconsistencies in definition and measurement limited our ability to compare the findings between studies. Furthermore, multiple methodological and reporting weaknesses were apparent in the reviewed arti- cles. This was confirmed in our bias risk assessment, where 28 of the 35 studies scored a negative ranking. Results of the studies were poorly reported, with limited use of appropriate statistical analyses. Main findings To our knowledge, this is the first systematic review to investigate correlates of meal skipping in young adults. Page 12 of 15 Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Page 12 of 15 highlighted the importance of short meal preparation times. Similar results are seen within adolescent popula- tions, with 52% indicating that a lack of time in the morning was the main reason for skipping breakfast [70]. Therefore, perceived lack of time, may be a result of varied prioritisation with healthy eating behaviours poorly prioritised [69]. eating behaviour [75]. What is currently unknown how- ever, is the driver behind the apparent differences in meal skipping between sexes and certain meals during young adulthood. Availability of data and materials Data sharing not applicable to this article as no datasets were generated or analysed during the current study. Competing interests The authors declare that they have no competing interests. References 1. Laska MN, et al. Dietary patterns and home food availability during emerging adulthood: Do they differ by living situation. Public Health Nutr. 2010;13(2):222–8. emerging adulthood: Do they differ by living situation. Public Health Nutr. 2010;13(2):222–8. Implications for future research FJP is supported by an Australian Postgraduate Award Stipend, KML is supported by an Alfred Deakin Postdoctoral Fellowship, AW – None, SAM is supported by an NHMRC Career Development Fellowship Level 2, ID1104636. This review highlighted several implications for future research. Firstly, definitions used to identify meal skipping are inconsistent. A standardised approach to defining meal skipping would provide clarity and allow for more reprodu- cible results across studies. Secondly, the measurement of meal skipping in existing studies is inconsistent. With a high number of methods used to quantify meal skipping identi- fied by this review, there is a need to standardise measure- ment so that more informative comparisons can be made. Thirdly, many of the reported correlates were within the intrapersonal domain of the SEF. This highlights the need to assess associations between correlates outside this do- main such as physical environmental influences, to further examine why young adults are partaking in this unhealthy eating behaviour. Fourthly, this review focused only on the young adult population, future reviews should be conducted to understand correlates of meal skipping in different popu- lation groups e.g. elderly or child populations. Lastly, only four of the 35 studies had a positive risk of bias assessment score indicating that future nutrition research needs stron- ger design and reporting strategies. The Strobe-NUT [79] reporting guidelines are aimed at improving the reporting of observational studies with a focus on diet and health and should be employed in future research to increase transpar- ency and consistency of nutritional epidemiology studies. Abbreviations BMI: Body mass index; FFQ: Food frequency questionnaire; PRISMA: Preferred Reporting Items for Systematic Reviews and Meta-Analysis; SCT: Social Cognitive Theory; SEF: Social-ecological framework Authors’ information Not applicable. Authors’ information Not applicable. Additional files socio-economic status. The subjectively ranked attri- butes of meal skipping provided a valuable insight into why young adults may skip meals. However, these results should be interpreted with caution due to the lack of clarity in the data collection methodology employed in these studies. For example, studies did not report if questions were open-ended or categorical, which may have impacted the results. It was also unclear in many cases if these questions were framed in terms of meal skipping in general or if it was directed at a specific meal (e.g. the breakfast meal), which is important given that meal skipping correlates appear to vary between meals. Additional file 1: PRISMA 2009 Checklist. (DOC 68 kb) Additional file 2: Table S2. Risk of bias assessment of included articles according to the Academy of Nutrition and Dietetics Quality Criteria Checklist [30]. (DOCX 57 kb) Additional file 1: PRISMA 2009 Checklist. (DOC 68 kb) Additional file 2: Table S2. Risk of bias assessment of included articles according to the Academy of Nutrition and Dietetics Quality Criteria Checklist [30]. (DOCX 57 kb) Sex and meal skipping This review identified that meal skipping (any meal) and breakfast skipping were more likely in males, while lunch and dinner skipping were more likely in females. These associations are unlike those seen in other age groups, with adolescent studies reporting breakfast [7, 25, 66, 70] and lunch [66] skipping more likely in females. The results seen within this review however, are consistent with other research in this age group, with results in undergraduates student samples (not eligible for this review) finding no association be- tween sex and breakfast skipping [73], and females more likely to skip dinner [74]. Another limitation of this review is the classification of young adults by age. Some included studies included participants outside of the 18–30 year age range, while the studies that reported university or college student samples failed to report the percentage of mature age students. Results therefore may not always be reflective of young adult populations. Results across included studies varied, with many stud- ies samples dominated by a single sex. Direct compari- sons between sexes become limited when sample sizes are heavily skewed towards one particular sub group. Previous literature looking at the difference between sexes and eating behaviours reports significant differ- ences in food choices between sexes; females generally have higher intakes of fruit and vegetables, higher in- takes of dietary fibre and lower intakes of fat [75]. Females are also however highly motivated by weight control and are more likely to diet or restrain their Moreover, given that the majority of studies were cross-sectional, studies were not able to infer causation and thus the direction of the relationship for influences such as menstrual regulation and BMI was not clear. In addition, the generalisability of our findings may be lim- ited by predominantly female populations and wide country-specific variations in religion, eating culture and Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Page 13 of 15 Ethics approval and consent to participate Ethics approval was not required for systematic review. No identifying data was obtained or analysed. Ethics approval was not required for systematic review. No identifying data was obtained or analysed. Received: 2 August 2016 Accepted: 21 November 2016 Conclusions 2. Mulye TP, et al. Trends in adolescent and young adult health in the United States. J Adolesc Health. 2009;45(1):8–24. This systematic review addressed a gap in the literature on the correlates of meal skipping in young adults. Results are consistent with previous research reporting that the breakfast meal is the most commonly skipped meal for this age group. This review highlights the perceived lack of time to be an important correlate of meal skipping. The sex of an individual was also reported to be an important correlate of meal skipping, with males more likely to skip breakfast and females more likely to skip lunch or dinner. Therefore, sex and meal specific components, and im- provements in time management skills, may warrant fur- ther investigation as effective strategies for interventions targeting meal skipping in young adults. y , y g States. J Adolesc Health. 2009;45(1):8–24. 3. Betts NM, et al. Ways young adults view foods. J Nutr Educ. 1997;29(2):73–9. 4. Haberman S, Luffey D. Weighing in college students' diet and exercise behaviors. J Am Coll Health. 1998;46(4):189–91. 5. Australian Bureau of Statistics. Australian Health Survey: Nutrition First Results - Foods and Nutrients, 2011-12. Canberra: Australian Government; 2014. 6. Piernas C, Popkin BM. Snacking increased among US adults between 1977 and 2006. J Nutr. 2010;140(2):325–32. 7. Australian bureau of Statistics. National Nutrition Survey: Selected Highlights, Australia, 1995. Canberra: Australian Government; 1997. 8. McNaughton SA, et al. An index of diet and eating patterns is a valid measure of diet quality in an Australian population. J Nutr. 2008;138(1):86–93. 9. Dubois L, et al. Breakfast skipping is associated with differences in meal patterns, macronutrient intakes and overweight among pre-school children. Public Health Nutr. 2009;12(01):19–28. 10 Timlin MT Pereira MA Breakfast frequency and quality in the etiology of 3. Betts NM, et al. Ways young adults view foods. J Nutr Educ. 1997;29(2):73–9. 4. Haberman S, Luffey D. Weighing in college students' diet and exercise behaviors. J Am Coll Health. 1998;46(4):189–91. 5. Australian Bureau of Statistics. Australian Health Survey: Nutrition First Results - Foods and Nutrients, 2011-12. Canberra: Australian Government; 2014. 6. Piernas C, Popkin BM. Snacking increased among US adults between 1977 and 2006. J Nutr. 2010;140(2):325–32. 8. McNaughton SA, et al. An index of diet and eating patterns is a valid measure of diet quality in an Australian population. J Nutr. 2008;138(1):86–93. 9. Dubois L, et al. Authors’ contributions FJP conducted searches, analysed results and wrote paper, KLM was the second reviewer of abstracts and full text and helped with the writing of the paper, AW provided conceptual and structural advice and support, SAM was the third reviewer of included studies, provided conceptual advice and was responsible for the final wording of the article. All authors read and approved the final manuscript. Conclusions Breakfast frequency and quality may affect glycemia and appetite in adults and children. J Nutr. 2011;141(1):163–8. 17. Farshchi HR, Taylor MA, Macdonald IA. Deleterious effects of omitting breakfast on insulin sensitivity and fasting lipid profiles in healthy lean women. Am J Clin Nutr. 2005;81(2):388–96. 47. Lee JE, Yoon WY. A study of dietary habits and eating-out behavior of college students in Cheongju area. Technol Health Care. 2014;22(3):435–42. 48. Musaiger AO, Radwan HM. 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Adolescents living in boarding houses in Nsukka, Enugu State, Nigeria I: Meal patterns, nutrition knowledge and nutrient intake. Ecol Food Nutr. 1993;30(3-4):179–93. 27. Moher D, et al. Preferred reporting items for systematic reviews and meta- analyses: the PRISMA statement. Ann Intern Med. 2009;151(4):264–9. 57. Ukegbu PO, Uwaegbute AC, Usonka VA. Contribution of snacks to energy and nutrient intake of undergraduates in a Nigerian university. Malaysian J Nutr. 2015;21(1):15–23. 28. Khan M, Lipke L. Snacking and its contribution to food and nutrient intake of college students. J Am Diet Assoc. 1982;81(5):583. 58. Yahia N, et al. Eating habits and obesity among Lebanese university students. Nutr J. 2008;7:32. 29. de Castro JM. Macronutrient relationships with meal patterns and mood in the spontaneous feeding behavior of humans. Physiol Behav. 1987;39(5):561–9. 59. Yildiza EA, et al. 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Med Oral Patol Oral Cir Bucal. 2008;13(12):E800–7. y y 33. Tanaka M, et al. Relationships between dietary habits and the prevalence of fatigue in medical students. Nutrition. 2008;24(10):985–9. 5p. 62. Beerman KA, Jennings G, Crawford S. The effect of student residence on food choice. J Am Coll Health. 1990;38:215–20. 34. Afolabi W, et al. Conclusions Breakfast skipping is associated with differences in meal patterns, macronutrient intakes and overweight among pre-school children. Public Health Nutr. 2009;12(01):19–28. 10. Timlin MT, Pereira MA. Breakfast frequency and quality in the etiology of adult obesity and chronic diseases. Nutr Rev. 2007;65(6):268–81. Page 14 of 15 Page 14 of 15 Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 11. Deshmukh-Taskar PR, et al. The relationship of breakfast skipping and type of breakfast consumption with nutrient intake and weight status in children and adolescents: the National Health and Nutrition Examination Survey 1999-2006. J Am Diet Assoc. 2010;110(6):869–78. 40. Deepika D, Vinti D. Food preference and dietary intake of college students in Haryana College. Rev Res J. 2015;4(8):ROR–1543. 41. Eittah HFA. Effect of breakfast skipping on young females’ menstruation. Health Sci J. 2014;8(4):469–84. 16p. 12. Nicklas TA, et al. Impact of breakfast consumption on nutritional adequacy of the diets of young adults in Bogalusa, Louisiana: ethnic and gender contrasts. J Am Diet Assoc. 1998;98(12):1432–8. 42. Eldisoky ST. Interactive relation between dietary habits and spread of malnutrition diseases. Ann Agric Sci (Cairo). 2003;48(2):663–75. 43. Evagelou E, et al. Exploration of Nursing students' dietary habits. Health Sci J. 2014;8(4):452–68. 17p. 13. Kerver JM, et al. Meal and snack patterns are associated with dietary intake of energy and nutrients in US adults. J Am Diet Assoc. 2006;106(1):46–53. 44. Huang YL, et al. What do college students eat? Food selection and meal pattern. Nutr Res. 1994;14(8):1143–53. of energy and nutrients in US adults. J Am Diet Assoc. 2006;106(1):46–53. 14. Ma Y, et al. Association between eating patterns and obesity in a free-living US adult population. Am J Epidemiol. 2003;158(1):85–92. 14. Ma Y, et al. Association between eating patterns and obesity in a free-living US adult population. Am J Epidemiol. 2003;158(1):85–92. US adult population. Am J Epidemiol. 2003;158(1):85–92. 45. Kim JH, et al. Brief report: Predictors of heavy Internet use and associations with health-promoting and health risk behaviors among Hong Kong university students. J Adolesc. 2010;33(1):215–20. 15. Smith KJ, et al. Skipping breakfast: longitudinal associations with cardiometabolic risk factors in the Childhood Determinants of Adult Health Study. Am J Clin Nutr. 2010;92(6):1316–25. 46. Lamia Dhia A, Ban Faud I. Knowledge and practice of dietary habits and healthy lifestyle in a sample of medical and non medical college students in Baghdad. Middle East J Fam Med. 2014;12(3):37–47. y 16. Pereira MA, et al. Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Conclusions BMC Public Health. 2014;14(1):53. 70 Shaw ME. Adolescent breakfast skipping: an Australian study. Adolescence. 1998;33(132):851–61. 71 Graham RJ. The role of perception of time in consumer research. J Consum Res. 1981;7(4):335–42. 72 Boniwell I, Zimbardo PG. Time to find the right balance. Psychologist. 2003; 16:129–31. 73 Moy FM, Johari S, Ismail Y, Mahad R, Tie FH, Wan Ismail WMA. Breakfast skipping and its associated factors among undergraduates in a public university in Kuala Lumpur. Mal J Nutr. 2009;15(2):165–74. 74 Lee MS, Kwak CS. The comparison in daily intake of nutrients, quality of diets and dietary habits between male and female college students in Daejeon. Korean J Community Nutr. 2006;11(1):39–51. 75 Westenhoefer J. Age and gender dependent profile of food choice. Forum Nutr. 2005;57:44–51. 76 Rampersaud GC, et al. Breakfast habits, nutritional status, body weight, and academic performance in children and adolescents. J Am Diet Assoc. 2005;105(5):743–60. 77 Leech RM, et al. Understanding meal patterns: definitions, methodology and impact on nutrient intake and diet quality. Nutr Res Rev. 2015;28(01):1–21. 78 Block G. A review of validations of dietary assessment methods. Am J Epidemiol. 1982;115(4):492–505. 79 Lachat C, et al. Strengthening the Reporting of Observational Studies in Epidemiology—Nutritional Epidemiology (STROBE-nut): An Extension of the STROBE Statement. PLoS Med. 2016;13(6):e1002036. 70 Shaw ME. Adolescent breakfast skipping: an Australian study. Adolescence. 1998;33(132):851–61. 70 Shaw ME. Adolescent breakfast skipping: an Australian study. Adolescence. 1998;33(132):851–61. 71 Graham RJ. The role of perception of time in consumer research. J Consum Res. 1981;7(4):335–42. 72 Boniwell I, Zimbardo PG. Time to find the right balance. Psychologist. 2003; 16:129–31. 73 Moy FM, Johari S, Ismail Y, Mahad R, Tie FH, Wan Ismail WMA. Breakfast skipping and its associated factors among undergraduates in a public university in Kuala Lumpur. Mal J Nutr. 2009;15(2):165–74. university in Kuala Lumpur. Mal J Nutr. 2009;15(2):165–74. 74 Lee MS, Kwak CS. The comparison in daily intake of nutrients, quality of diets and dietary habits between male and female college students in Daejeon. Korean J Community Nutr. 2006;11(1):39–51. 74 Lee MS, Kwak CS. The comparison in daily intake of nutrients, quality of diets and dietary habits between male and female college students in Daejeon. Korean J Community Nutr. 2006;11(1):39–51. 75 Westenhoefer J. Age and gender dependent profile of food choice. Forum Nutr. 2005;57:44–51. 75 Westenhoefer J. Age and gender dependent profile of food choice. Forum Nutr. 2005;57:44–51. 76 Rampersaud GC, et al. Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 Conclusions Pattern of Fast Food Consumption and Contribution to Nutrient intakes of Nigerian University Students. Int J Educ Res. 2013;1(5):1–10. 63. Freedman MR. Gender, residence and ethnicity affect freshman BMI and dietary habits. Am J Health Behav. 2010;34(5):513–24. 35. Aryee PA, et al. Prevalence and risk factors for overweight and obesity among nurses in the tamale metropolis of Ghana. J Medical Biomedical Sci. 2013;2(4):13–23. 64 Lee CJ, Templeton S, Wang C. Meal skipping patterns and nutrient intakes of rural southern elderly. J Nutr Elder. 1996;15(2):1–14. 36. Bahl S, et al. Mindfulness: A long-term solution for mindless eating by college students. J Publ Policy Market. 2013;32(2):173–84. 65 Gross SM, et al. Breakfast and lunch meal skipping patterns among fourth- grade children from selected public schools in urban, suburban, and rural Maryland. J Am Diet Assoc. 2004;104(3):420–3. 37. Chung H, Song M, Park M. A study of the anthropometric indices and eating habits of female college students. J Community Nutr. 2003;5(1):21–8. 66 Savige G, et al. Snacking behaviours of adolescents and their association with skipping meals. Int J Behav Nutr Phys Act. 2007;4(1):36. 38. Colić Barić I, Satalić Z, Lukesić Z. Nutritive value of meals, dietary habits and nutritive status in Croatian university students according to gender. Int J Food Sci Nutr. 2003;54(6):473–84. with skipping meals. Int J Behav Nutr Phys Act. 2007;4(1):36. 67 DeBate RD, Topping M, Sargent RG. Racial and gender differences in weight status and dietary practices among college students. Adolescence. 2001;36(144):819. 39. Danquah AO, et al. A pilot study of the dietary and physical activity behaviours of international students: implications for health promotion. Afr J Food Sci. 2010;4(3):86–92. 68 Jabs J, Devine CM. Time scarcity and food choices: an overview. Appetite. 2006;47(2):196–204. Page 15 of 15 Pendergast et al. International Journal of Behavioral Nutrition and Physical Activity (2016) 13:125 69 Deliens T, et al. Determinants of eating behaviour in university students: a qualitative study using focus group discussions. BMC Public Health. 2014;14(1):5 69 Deliens T, et al. Determinants of eating behaviour in university students: a qualitative study using focus group discussions. BMC Public Health. 2014;14(1):53 Deliens T, et al. Determinants of eating behaviour in university students 69 Deliens T, et al. Determinants of eating behaviour in university students: a qualitative study using focus group discussions. BMC Public Health. 2014;14(1):53. 70 Sh ME Ad l b kf ki i A li d Ad l qualitative study using focus group discussions. Conclusions Breakfast habits, nutritional status, body weight, and academic performance in children and adolescents. J Am Diet Assoc. 2005;105(5):743–60. 77 Leech RM, et al. Understanding meal patterns: definitions, methodology and impact on nutrient intake and diet quality. Nutr Res Rev. 2015;28(01):1–21. 78 Block G. A review of validations of dietary assessment methods. Am J Epidemiol. 1982;115(4):492–505. 79 Lachat C, et al. Strengthening the Reporting of Observational Studies in Epidemiology—Nutritional Epidemiology (STROBE-nut): An Extension of the STROBE Statement. PLoS Med. 2016;13(6):e1002036. 79 Lachat C, et al. Strengthening the Reporting of Observational Studies in Epidemiology—Nutritional Epidemiology (STROBE-nut): An Extension of the STROBE Statement. PLoS Med. 2016;13(6):e1002036. • We accept pre-submission inquiries • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step: • We accept pre-submission inquiries • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step: • We accept pre-submission inquiries • Our selector tool helps you to find the most relevant journal • We provide round the clock customer support • Convenient online submission • Thorough peer review • Inclusion in PubMed and all major indexing services • Maximum visibility for your research Submit your manuscript at www.biomedcentral.com/submit Submit your next manuscript to BioMed Central and we will help you at every step: Submit your next manuscript to BioMed Central and we will help you at every step:
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Measurement of Higgs boson decay into b-quarks in associated production with a top-quark pair in pp collisions at $$ \sqrt{s} $$ = 13 TeV with the ATLAS detector
Georges Aad
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EUROPEAN ORGANISATION FOR NUCLEAR RESEARCH (CERN) EUROPEAN ORGANISATION FOR NUCLEAR RESEARCH (CERN) JHEP 06 (2022) 097 DOI: 10.1007/JHEP06(2022)097 JHEP 06 (2022) 097 DOI: 10.1007/JHEP06(2022)097 © 2022 CERN for the benefit of the ATLAS Collaboration. Reproduction of this article or parts of it is allowed as specified in the CC-BY-4.0 license. © 2022 CERN for the benefit of the ATLAS Collaboration. Reproduction of this article or parts of it is allowed as specified in the CC-BY-4.0 license. © 2022 CERN for the benefit of the ATLAS Collaboration. 1 Introduction The Higgs boson [1–3] was discovered by the ATLAS and CMS collaborations [4, 5] in 2012, with a mass of around 125 GeV [6]. Since then, the analysis of proton–proton (𝑝𝑝) collision data at centre-of-mass energies of 7 TeV, 8 TeV and 13 TeV delivered by the Large Hadron Collider (LHC) [7] has led to more detailed measurements of its properties and couplings, testing the predictions of the Standard Model (SM). Of particular interest is the Yukawa coupling to the top quark, the heaviest elementary particle in the SM, which could be very sensitive to effects of physics beyond the SM (BSM) [8]. Both the ATLAS and CMS collaborations have observed the interaction of the Higgs boson with third- generation fermions of the SM. The coupling to 𝜏-leptons was measured in the observation of 𝐻→𝜏𝜏 decays [9–11], while the observation of the decay of the Higgs boson into 𝑏-quark pairs provided direct evidence for the Yukawa coupling to down-type quarks [12, 13]. The interaction of the Higgs boson with the top quark was indirectly constrained (assuming no BSM phenomena in the loops) from measurements of gluon–gluon fusion Higgs production and decay to 𝛾𝛾[9], before being directly measured in the observation of Higgs boson production in association with a pair of top quarks (𝑡¯𝑡𝐻) [14, 15]. The 𝑡¯𝑡𝐻production mode, in which the top quark couples to the Higgs boson at tree level, is the most favourable to extract direct information on the top-quark Yukawa coupling without assumptions about the potential presence of BSM physics [16–19]. Although this production mode contributes only around 1% of the total Higgs boson production cross- section at the LHC [20], the top quarks in the final state offer a distinctive signature and allow access to many Higgs boson decay modes. The decay into two 𝑏-quarks (𝐻→𝑏¯𝑏) is the most probable, with a SM branching fraction of about 58% [20]. Furthermore, in the 𝐻→𝑏¯𝑏decay mode the reconstruction of the Higgs boson kinematics is possible, which allows the extraction of additional information about the structure of the top–Higgs interaction [21–24]. 1 Electrons and muons from the decay of a 𝜏-lepton itself originating from a 𝑊boson are included. Measurement of Higgs boson decay into 𝒃-quarks in associated production with a top-quark pair in 𝒑𝒑 collisions at √𝒔= 13 TeV with the ATLAS detector v:2111.06712v3 [hep-ex] 13 Jul 2022 arXiv:2111.06712v3 [hep-ex] 13 Jul 2 The ATLAS Collaboration arXiv:2111.06712v3 [hep-ex] The associated production of a Higgs boson and a top-quark pair is measured in events characterised by the presence of one or two electrons or muons. The Higgs boson decay into a 𝑏-quark pair is used. The analysed data, corresponding to an integrated luminosity of 139 fb−1, were collected in proton–proton collisions at the Large Hadron Collider between 2015 and 2018 at a centre-of-mass energy of √𝑠= 13 TeV. The measured signal strength, defined as the ratio of the measured signal yield to that predicted by the Standard Model, is 0.35+0.36 −0.34. This result is compatible with the Standard Model prediction and corresponds to an observed (expected) significance of 1.0 (2.7) standard deviations. The signal strength is also measured differentially in bins of the Higgs boson transverse momentum in the simplified template cross-section framework, including a bin for specially selected boosted Higgs bosons with transverse momentum above 300 GeV. 1 Introduction g g t t b b H (a) 𝑡¯𝑡𝐻(𝑏¯𝑏) t-channel (a) 𝑡¯𝑡𝐻(𝑏¯𝑏) t-channel (b) 𝑡¯𝑡𝐻(𝑏¯𝑏) s-channel (a) 𝑡¯𝑡𝐻(𝑏¯𝑏) t-channel ( ) ( ) g g t t b b (c) 𝑡¯𝑡+ 𝑏¯𝑏 g g t t b b (c) 𝑡¯𝑡+ 𝑏¯𝑏 Figure 1: Representative tree-level Feynman diagrams for the production of a Higgs boson in association with a top-quark pair (𝑡¯𝑡𝐻) in (a) the t-channel and (b) the s-channel and the subsequent decay of the Higgs boson into 𝑏¯𝑏, and for (c) the main 𝑡¯𝑡+ 𝑏¯𝑏background. In this paper, a measurement of the 𝑡¯𝑡𝐻production cross-section in the 𝐻→𝑏¯𝑏channel is performed using the LHC Run 2 𝑝𝑝collision data collected by the ATLAS detector, corresponding to an integrated luminosity of 139 fb−1 at √𝑠= 13 TeV. Events with either one lepton or two leptons are analysed separately in exclusive single-lepton or dilepton categories depending on the number of leptons, the number of jets and the number of jets identified as originating from 𝑏-hadrons (𝑏-jets). In the single-lepton channel (but not in the dilepton channel because the expected number of events is small), a specific category, referred to as ‘boosted’ in the following, is designed to select events in which the Higgs boson is produced with high transverse momentum (𝑝T). The non-boosted categories, where the Higgs boson decay products are less collimated, are referred to as ‘resolved’. Machine-learning algorithms are used to classify events into signal-rich categories, which are analysed together with the signal-depleted ones in a combined profile likelihood fit. The output distributions of these multivariate algorithms are used as the main discriminant to extract the signal. This signal extraction fit simultaneously determines the event yields for the signal and for the most important background components, while constraining the overall background model within the assigned systematic uncertainties. In addition, making use of the possibility to reconstruct the Higgs boson kinematics in the 𝐻→𝑏¯𝑏channel, the cross-section is measured as a function of the Higgs boson ‘truth’ transverse momentum ˆ𝑝𝐻 T , as obtained from Monte Carlo simulation, in the simplified template cross-sections (STXS) formalism [20], which aims to reduce the theory dependencies that are folded into the measurements. In this paper, a measurement of the 𝑡¯𝑡𝐻production cross-section in the 𝐻→𝑏¯𝑏channel is performed using the LHC Run 2 𝑝𝑝collision data collected by the ATLAS detector, corresponding to an integrated luminosity of 139 fb−1 at √𝑠= 13 TeV. 1 Introduction This analysis therefore aims to select events with a Higgs boson produced in association with a pair of top quarks and decaying into a pair of 𝑏-quarks 𝑡¯𝑡𝐻(𝑏¯𝑏), in which one or both top quarks decay semileptonically, producing an electron or a muon, collectively referred to as leptons (ℓ).1 With many final-state particles, the main challenges are the low efficiency to reconstruct and identify all of them, the large combinatorial ambiguities when trying to match the observed objects to the decay products of the Higgs boson and top quarks, and the large background of 𝑡¯𝑡+ jets processes (in particular when these jets originate from 𝑏- or 𝑐-quarks), which have a much larger production cross-section than the signal. Representative Feynman diagrams for the 𝑡¯𝑡𝐻(𝑏¯𝑏) signal and dominant 𝑡¯𝑡+ 𝑏¯𝑏background are shown in Figure 1. The ATLAS Collaboration searched for 𝑡¯𝑡𝐻(𝑏¯𝑏) production at √𝑠= 8 TeV in final states with at least one [25] or no lepton [26], and at √𝑠= 13 TeV with at least one lepton in the final state with data collected in 2015 and 2016, corresponding to an integrated luminosity of 36.1 fb−1 [27]. A combined signal strength (defined as the ratio of the measured signal yield to that predicted by the Standard Model) of 0.84+0.64 −0.61 was measured, with an observed (expected) significance of 1.4 (1.6) standard deviations. This result was combined with analyses of Higgs boson decays into massive vector bosons, 𝜏-leptons, or photons to reach observation of the 𝑡¯𝑡𝐻production mode [14]. The CMS Collaboration searched for the same processes using 35.9 fb−1 of data collected at √𝑠= 13 TeV in 2016, in events with at least one lepton [28] or no lepton [29], and measured a signal strength of 0.72 ± 0.45 and 0.9 ± 1.5, respectively. These results also contributed to the observation of the 𝑡¯𝑡𝐻production mode [15]. 2 g g t t b b H (a) 𝑡¯𝑡𝐻(𝑏¯𝑏) t-channel t t b b H q q (b) 𝑡¯𝑡𝐻(𝑏¯𝑏) s-channel g g t t b b (c) 𝑡¯𝑡+ 𝑏¯𝑏 Figure 1: Representative tree-level Feynman diagrams for the production of a Higgs boson in association with a top-quark pair (𝑡¯𝑡𝐻) in (a) the t-channel and (b) the s-channel and the subsequent decay of the Higgs boson into 𝑏¯𝑏, and for (c) the main 𝑡¯𝑡+ 𝑏¯𝑏background. 2 ATLAS uses a right-handed coordinate system with its origin at the nominal interaction point (IP) in the centre of the detector and the 𝑧-axis along the beam pipe. The 𝑥-axis points from the IP to the centre of the LHC ring, and the 𝑦-axis points upwards. Cylindrical coordinates (𝑟, 𝜙) are used in the transverse plane, 𝜙being the azimuthal angle around the 𝑧-axis. The rapidity is defined as 𝑦= (1/2) ln[(𝐸+ 𝑝𝑧)/(𝐸−𝑝𝑧)] where 𝐸is the energy and 𝑝𝑧is the longitudinal component of the momentum along the beam pipe. The pseudorapidity is defined in terms of the polar angle 𝜃as 𝜂= −ln tan(𝜃/2). Angular distance is measured in units of Δ𝑅≡ √︁ (Δ𝜂)2 + (Δ𝜙)2. Section 6. Results are presented in Section 7, and the conclusions in Section 8. Section 6. Results are presented in Section 7, and the conclusions in Section 8. Section 6. Results are presented in Section 7, and the conclusions in Section 8. 2 ATLAS detector The ATLAS experiment [30–32] at the LHC is a multipurpose particle detector with a forward–backward symmetric cylindrical geometry and a near 4𝜋coverage in solid angle.2 It consists of an inner tracking detector surrounded by a thin superconducting solenoid providing a 2 T axial magnetic field, electromag- netic and hadron calorimeters, and a muon spectrometer. The inner tracking detector (ID) covers the pseudorapidity range |𝜂| < 2.5. It consists of silicon pixel, silicon microstrip, and transition radiation tracking detectors. Lead/liquid-argon (LAr) sampling calorimeters provide electromagnetic (EM) energy measurements with high granularity. A steel/scintillator-tile hadron calorimeter covers the central pseu- dorapidity range |𝜂| < 1.7. The endcap and forward regions are instrumented with LAr calorimeters for both the EM and hadronic energy measurements up to |𝜂| = 4.9. The muon spectrometer surrounds the calorimeters and is based on three large air-core toroidal superconducting magnets with eight coils each. The field integral of the toroids ranges between 2 and 6 T m across most of the detector. The muon spectrometer includes a system of precision chambers for tracking and fast detectors for triggering. A two-level trigger system is used to select events. The first-level trigger is implemented in hardware and uses a subset of the detector information to accept events at a rate below 100 kHz. This is followed by a software-based trigger that reduces the accepted event rate to 1 kHz on average depending on the data-taking conditions [33]. An extensive software suite [34] is used in the reconstruction and analysis of real and simulated data, in detector operations, and in the trigger and data acquisition systems of the experiment. 1 Introduction Events with either one lepton or two leptons are analysed separately in exclusive single-lepton or dilepton categories depending on the number of leptons, the number of jets and the number of jets identified as originating from 𝑏-hadrons (𝑏-jets). In the single-lepton channel (but not in the dilepton channel because the expected number of events is small), a specific category, referred to as ‘boosted’ in the following, is designed to select events in which the Higgs boson is produced with high transverse momentum (𝑝T). The non-boosted categories, where the Higgs boson decay products are less collimated, are referred to as ‘resolved’. Machine-learning algorithms are used to classify events into signal-rich categories, which are analysed together with the signal-depleted ones in a combined profile likelihood fit. The output distributions of these multivariate algorithms are used as the main discriminant to extract the signal. This signal extraction fit simultaneously determines the event yields for the signal and for the most important background components, while constraining the overall background model within the assigned systematic uncertainties. In addition, making use of the possibility to reconstruct the Higgs boson kinematics in the 𝐻→𝑏¯𝑏channel, the cross-section is measured as a function of the Higgs boson ‘truth’ transverse momentum ˆ𝑝𝐻 T , as obtained from Monte Carlo simulation, in the simplified template cross-sections (STXS) formalism [20], which aims to reduce the theory dependencies that are folded into the measurements. Several aspects of the analysis have been improved relative to the previous version [27]. The full Run 2 dataset is analysed, with improved reconstruction algorithms and detector calibrations, which in turn enhance the performance of the 𝑏-tagging algorithm. This allows the use of tighter selection criteria to reject events in poorly modelled regions of phase space, and to define analysis regions differential in Higgs boson 𝑝T. An enhanced model is adopted for the 𝑡¯𝑡+ jets background, with updated event generator versions, a higher-order precision prediction for the 𝑡¯𝑡+ 𝑏¯𝑏process, an increased number of simulated events, and an improved assessment of uncertainties. Finally, a new deep neural network improves the performance of the boosted channel. This paper is organised as follows. The ATLAS detector is described in Section 2. The signal and background modelling is presented in Section 3. Section 4 summarises the selection criteria for reconstructed objects and events, while Section 5 describes the analysis strategy. Systematic uncertainties are discussed in 3 3 Signal and background modelling Simulated event samples are used to model the 𝑡¯𝑡𝐻signal and the background processes. The numbers of selected events and the distribution shapes of variables used to discriminate between signal and background enter into the signal extraction fit, which also constrains the modelling of the background processes. The Monte Carlo (MC) samples were produced using either the full ATLAS detector simulation [35] based on Geant4 [36] or a faster simulation where the full Geant4 simulation of the calorimeter response is replaced by a detailed parameterisation of the shower shapes [35]. For the observables used in the analysis, the two simulations were found to give similar modelling. To simulate the effects of multiple interactions in the same and neighbouring bunch crossings (pile-up), additional interactions were generated using Pythia 8.186 [37] with a set of tuned parameters called the A3 tune [38] and overlaid onto the simulated hard-scatter event. Simulated events are reweighted to match the pile-up conditions observed in the full Run 2 dataset, with a mean number of 𝑝𝑝interactions per bunch crossing of 34. All simulated events are processed through the same reconstruction algorithms and analysis chain as the data. In all samples where the parton shower (PS), hadronisation, and multi-parton interactions (MPI) were generated with either Pythia 8 or Herwig 7 [39, 40], the decays of 𝑏- and 𝑐-hadrons were simulated using 4 4 the EvtGen 1.6.0 program [41]. The 𝑏-quark mass was set to 𝑚𝑏= 4.80 GeV (4.50 GeV) for samples using Pythia 8 (Herwig 7). For Pythia 8, the A14 tune [42] and the NNPDF2.3lo parton distribution function (PDF) set [43] were used. For Herwig 7, the H7UE tune [40] was used with the MMHT2014lo PDF set [44]. The Higgs boson mass was set to 𝑚𝐻= 125.0 GeV, and the top-quark mass to 𝑚𝑡= 172.5 GeV. The precision of the matrix element (ME) generators is next-to-leading order (NLO) in quantum chromodynamics (QCD) for most samples. Some samples are normalised to higher precision in QCD (next-to-next-to-leading order, NNLO, or next-to-next-to-leading logarithm, NNLL) or with electroweak (EW) corrections. A summary of all generated samples is presented in Table 1, which includes both the samples used for nominal predictions and other samples used to assess systematic uncertainties. Further details are provided in the following subsections. 3 The ℎdamp parameter controls the 𝑝T of the first additional emission beyond the leading-order Feynman diagram in the PS and therefore regulates the high-𝑝T emission against which the 𝑡¯𝑡𝐻system recoils. 3.1 Signal modelling In 𝑡¯𝑡𝐻events the production and decays were modelled in the five-flavour scheme using the Powheg Box [60– 64] generator at NLO in QCD with the NNPDF3.0nlo [65] PDF set. The ℎdamp parameter3 was set to 0.75× (𝑚𝑡+𝑚¯𝑡+𝑚𝐻) = 352.5 GeV, and the functional form of the renormalisation and factorisation scales were both set to 3√︁ 𝑚T(𝑡) · 𝑚T(¯𝑡) · 𝑚T(𝐻) (where 𝑚T = √︃ 𝑚2 + 𝑝2 T is the transverse mass of a particle). The events were showered by Pythia 8 and all Higgs boson decay modes are considered. The samples are normalised to the fixed-order cross-section calculation, 𝜎𝑡¯𝑡𝐻= 507+35 −50 fb, which includes NLO QCD and EW corrections [20] for a Higgs boson mass of 125 GeV. 3.2 𝒕¯𝒕+ jets background Simulated 𝑡¯𝑡+ jets events are categorised according to the flavour of additional jets in the event, using the procedure described in Ref. [25]. For this purpose, jets are reconstructed from stable particles (mean lifetime 𝜏> 3 × 10−11 s) using the anti-𝑘𝑡algorithm [66, 67], and the number of 𝑏- or 𝑐-hadrons within Δ𝑅= 0.4 of the jet axis is considered (with 𝑝T > 5 GeV for the leading 𝑏- or 𝑐-hadron around the jet), excluding particles produced by the top-quark decay. Events are labelled as 𝑡¯𝑡+ ≥1𝑏if at least one 𝑏-flavour jet is identified, or else as 𝑡¯𝑡+ ≥1𝑐if at least one 𝑐-flavour jet is identified, and otherwise as 𝑡¯𝑡+ light. Where necessary, the 𝑡¯𝑡+ ≥1𝑏events are further separated into 𝑡¯𝑡+ 1𝑏(where exactly one jet is matched to at least one 𝑏-hadron) and 𝑡¯𝑡+ ≥2𝑏(all remaining events). To accurately model the dominant 𝑡¯𝑡+ ≥1𝑏background, a sample with 𝑡¯𝑡+ 𝑏¯𝑏MEs was produced at NLO QCD accuracy in the four-flavour scheme with the Powheg Box Res [68] generator and OpenLoops [69, 70], using a pre-release of the implementation of this process in Powheg Box Res provided by the authors [71], with the NNPDF3.0nlo nf4 [65] PDF set, and using Pythia 8 for the PS and hadronisation. The factorisation scale was set to 0.5 × Σ𝑖=𝑡,¯𝑡,𝑏, ¯𝑏, 𝑗𝑚T(𝑖) (where 𝑗stands for extra partons), the renormalisation scale was set to 4√︁ 𝑚T(𝑡) · 𝑚T(¯𝑡) · 𝑚T(𝑏) · 𝑚T( ¯𝑏), and the ℎdamp parameter was set to 0.5 × Σ𝑖=𝑡,¯𝑡,𝑏, ¯𝑏𝑚T(𝑖). The mass of the two 𝑏-quarks produced in the ME in association with the two top quarks was set to the same value as the mass of the 𝑏-quarks from the top-quark decays, 𝑚𝑏= 4.95 GeV. Inclusive 𝑡¯𝑡+jets events were also generated with 𝑡¯𝑡MEs in the five-flavour scheme using the Powheg Box v2 generator at NLO in QCD, using Pythia 8 for the PS and hadronisation. 3.2 𝒕¯𝒕+ jets background Here, the ℎdamp parameter was set 5 Process ME generator ME PDF PS Normalisation Higgs boson 𝑡¯𝑡𝐻 Powheg Box v2 NNPDF3.0nlo Pythia 8.230 NLO+NLO (EW) [20] Powheg Box v2 NNPDF3.0nlo Herwig 7.04 NLO+NLO (EW) [20] MadGraph5_aMC@NLO 2.6.0 NNPDF3.0nlo Pythia 8.230 NLO+NLO (EW) [20] 𝑡𝐻𝑗𝑏 MadGraph5_aMC@NLO 2.6.2 NNPDF3.0nlo nf4 Pythia 8.230 – 𝑡𝑊𝐻 MadGraph5_aMC@NLO 2.6.2 [DR] NNPDF3.0nlo Pythia 8.235 – 𝑡¯𝑡+ jets and single-top 𝑡¯𝑡 Powheg Box v2 NNPDF3.0nlo Pythia 8.230 NNLO+NNLL [45–51] Powheg Box v2 NNPDF3.0nlo Herwig 7.04 NNLO+NNLL [45–51] MadGraph5_aMC@NLO 2.6.0 NNPDF3.0nlo Pythia 8.230 NNLO+NNLL [45–51] 𝑡¯𝑡+ 𝑏¯𝑏 Powheg Box Res NNPDF3.0nlo nf4 Pythia 8.230 – Sherpa 2.2.1 NNPDF3.0nnlo nf4 Sherpa – 𝑡𝑊 Powheg Box v2 [DR] NNPDF3.0nlo Pythia 8.230 NLO+NNLL [52, 53] Powheg Box v2 [DS] NNPDF3.0nlo Pythia 8.230 NLO+NNLL [52, 53] Powheg Box v2 [DR] NNPDF3.0nlo Herwig 7.04 NLO+NNLL [52, 53] MadGraph5_aMC@NLO 2.6.2 [DR] CT10nlo Pythia 8.230 NLO+NNLL [52, 53] t-channel Powheg Box v2 NNPDF3.0nlo nf4 Pythia 8.230 NLO [54, 55] Powheg Box v2 NNPDF3.0nlo nf4 Herwig 7.04 NLO [54, 55] MadGraph5_aMC@NLO 2.6.2 NNPDF3.0nlo nf4 Pythia 8.230 NLO [54, 55] s-channel Powheg Box v2 NNPDF3.0nlo Pythia 8.230 NLO [54, 55] Powheg Box v2 NNPDF3.0nlo Herwig 7.04 NLO [54, 55] MadGraph5_aMC@NLO 2.6.2 NNPDF3.0nlo Pythia 8.230 NLO [54, 55] Other 𝑊+ jets Sherpa 2.2.1 (NLO [2j], LO [4j]) NNPDF3.0nnlo Sherpa NNLO [56] 𝑍+ jets Sherpa 2.2.1 (NLO [2j], LO [4j]) NNPDF3.0nnlo Sherpa NNLO [56] 𝑉𝑉(had.) Sherpa 2.2.1 NNPDF3.0nnlo Sherpa – 𝑉𝑉(lep.) Sherpa 2.2.2 NNPDF3.0nnlo Sherpa – 𝑉𝑉(lep.) + jj Sherpa 2.2.2 (LO [EW]) NNPDF3.0nnlo Sherpa – 𝑡¯𝑡𝑊 MadGraph5_aMC@NLO 2.3.3 NNPDF3.0nlo Pythia 8.210 NLO+NLO (EW) [20] Sherpa 2.0.0 (LO [2j]) NNPDF3.0nnlo Sherpa NLO+NLO (EW) [20] 𝑡¯𝑡ℓℓ MadGraph5_aMC@NLO 2.3.3 NNPDF3.0nlo Pythia 8.210 NLO+NLO (EW) [20] Sherpa 2.0.0 (LO [1j]) NNPDF3.0nnlo Sherpa NLO+NLO (EW) [20] 𝑡¯𝑡𝑍(𝑞𝑞, 𝜈𝜈) MadGraph5_aMC@NLO 2.3.3 NNPDF3.0nlo Pythia 8.210 NLO+NLO (EW) [20] Sherpa 2.0.0 (LO [2j]) NNPDF3.0nnlo Sherpa NLO+NLO (EW) [20] 𝑡¯𝑡𝑡¯𝑡 MadGraph5_aMC@NLO 2.3.3 NNPDF3.1nlo Pythia 8.230 NLO+NLO (EW) [57] 𝑡𝑍𝑞 MadGraph5_aMC@NLO 2.3.3 (LO) CTEQ6L1 Pythia 8.212 – 𝑡𝑊𝑍 MadGraph5_aMC@NLO 2.3.3 [DR] NNPDF3.0nlo Pythia 8.230 – Table 1: Table summarising the generator set-ups for samples used in this analysis. The first row for each sample details the nominal settings used for this process in the analysis. Any additional rows describe samples which are used to evaluate the modelling and performance of the analysis. 3.2 𝒕¯𝒕+ jets background For overlap between 𝑡¯𝑡and 𝑡𝑊-like diagrams, samples using the diagram removal scheme [58] are listed as [DR] and samples using the diagram subtraction scheme [58, 59] are listed as [DS]. The precision of the ME generator is NLO in QCD if no additional information is provided in parentheses. The higher-order cross-section used to normalise these samples is listed in the last column and refers to the order of QCD processes if no additional information is provided. If no information is present in this column, no higher-order 𝐾-factor is applied to this process. For the 𝑉𝑉Sherpa samples, ‘lep.’ (‘had.’) means that both bosons decay leptonically (one decays leptonically and one hadronically). 3.2 𝒕¯𝒕+ jets background 6 Process ME generator ME PDF PS Normalisation Higgs boson 𝑡¯𝑡𝐻 Powheg Box v2 NNPDF3.0nlo Pythia 8.230 NLO+NLO (EW) [20] Powheg Box v2 NNPDF3.0nlo Herwig 7.04 NLO+NLO (EW) [20] MadGraph5_aMC@NLO 2.6.0 NNPDF3.0nlo Pythia 8.230 NLO+NLO (EW) [20] 𝑡𝐻𝑗𝑏 MadGraph5_aMC@NLO 2.6.2 NNPDF3.0nlo nf4 Pythia 8.230 – 𝑡𝑊𝐻 MadGraph5_aMC@NLO 2.6.2 [DR] NNPDF3.0nlo Pythia 8.235 – 𝑡¯𝑡+ jets and single-top 𝑡¯𝑡 Powheg Box v2 NNPDF3.0nlo Pythia 8.230 NNLO+NNLL [45–51] Powheg Box v2 NNPDF3.0nlo Herwig 7.04 NNLO+NNLL [45–51] MadGraph5_aMC@NLO 2.6.0 NNPDF3.0nlo Pythia 8.230 NNLO+NNLL [45–51] 𝑡¯𝑡+ 𝑏¯𝑏 Powheg Box Res NNPDF3.0nlo nf4 Pythia 8.230 – Sherpa 2.2.1 NNPDF3.0nnlo nf4 Sherpa – 𝑡𝑊 Powheg Box v2 [DR] NNPDF3.0nlo Pythia 8.230 NLO+NNLL [52, 53] Powheg Box v2 [DS] NNPDF3.0nlo Pythia 8.230 NLO+NNLL [52, 53] Powheg Box v2 [DR] NNPDF3.0nlo Herwig 7.04 NLO+NNLL [52, 53] MadGraph5_aMC@NLO 2.6.2 [DR] CT10nlo Pythia 8.230 NLO+NNLL [52, 53] t-channel Powheg Box v2 NNPDF3.0nlo nf4 Pythia 8.230 NLO [54, 55] Powheg Box v2 NNPDF3.0nlo nf4 Herwig 7.04 NLO [54, 55] MadGraph5_aMC@NLO 2.6.2 NNPDF3.0nlo nf4 Pythia 8.230 NLO [54, 55] s-channel Powheg Box v2 NNPDF3.0nlo Pythia 8.230 NLO [54, 55] Powheg Box v2 NNPDF3.0nlo Herwig 7.04 NLO [54, 55] MadGraph5_aMC@NLO 2.6.2 NNPDF3.0nlo Pythia 8.230 NLO [54, 55] ME generator Other 𝑊+ jets Sherpa 2.2.1 (NLO [2j], LO [4j]) NNPDF3.0nnlo Sherpa NNLO [56] 𝑍+ jets Sherpa 2.2.1 (NLO [2j], LO [4j]) NNPDF3.0nnlo Sherpa NNLO [56] 𝑉𝑉(had.) Sherpa 2.2.1 NNPDF3.0nnlo Sherpa – 𝑉𝑉(lep.) Sherpa 2.2.2 NNPDF3.0nnlo Sherpa – 𝑉𝑉(lep.) + jj Sherpa 2.2.2 (LO [EW]) NNPDF3.0nnlo Sherpa – 𝑡¯𝑡𝑊 MadGraph5_aMC@NLO 2.3.3 NNPDF3.0nlo Pythia 8.210 NLO+NLO (EW) [20] Sherpa 2.0.0 (LO [2j]) NNPDF3.0nnlo Sherpa NLO+NLO (EW) [20] 𝑡¯𝑡ℓℓ MadGraph5_aMC@NLO 2.3.3 NNPDF3.0nlo Pythia 8.210 NLO+NLO (EW) [20] Sherpa 2.0.0 (LO [1j]) NNPDF3.0nnlo Sherpa NLO+NLO (EW) [20] 𝑡¯𝑡𝑍(𝑞𝑞, 𝜈𝜈) MadGraph5_aMC@NLO 2.3.3 NNPDF3.0nlo Pythia 8.210 NLO+NLO (EW) [20] Sherpa 2.0.0 (LO [2j]) NNPDF3.0nnlo Sherpa NLO+NLO (EW) [20] 𝑡¯𝑡𝑡¯𝑡 MadGraph5_aMC@NLO 2.3.3 NNPDF3.1nlo Pythia 8.230 NLO+NLO (EW) [57] 𝑡𝑍𝑞 MadGraph5_aMC@NLO 2.3.3 (LO) CTEQ6L1 Pythia 8.212 – 𝑡𝑊𝑍 MadGraph5_aMC@NLO 2.3.3 [DR] NNPDF3.0nlo Pythia 8.230 – Table 1: Table summarising the generator set-ups for samples used in this analysis. The first row for each sample details the nominal settings used for this process in the analysis. Any additional rows describe samples which are used to evaluate the modelling and performance of the analysis. For overlap between 𝑡¯𝑡and 𝑡𝑊-like diagrams, samples using the diagram removal scheme [58] are listed as [DR] and samples using the diagram subtraction scheme [58, 59] are listed as [DS]. 3.3 Other backgrounds The QCD 𝑉+ jets processes (i.e. 𝑊+ jets and 𝑍+ jets) were simulated with the Sherpa 2.2.1 generator [72]. In this set-up, NLO-accurate MEs for up to two partons, and leading-order (LO) accurate MEs for up to four partons were calculated with the Comix [73] and OpenLoops libraries. They were matched with the Sherpa parton shower [74] by using the MEPS@NLO prescription [75–78] with the set of tuned parameters developed by the Sherpa authors and based on the NNPDF3.0nnlo set of PDFs [65]. A data-driven correction to the normalisation was derived for 𝑍+ jets predictions containing at least two heavy-flavour jets (where heavy-flavour means jets originating from 𝑏-hadrons and 𝑐-hadrons). Events are selected, with objects passing the selection discussed in Section 4, in dedicated control regions in data defined by requiring at least two jets and two opposite-electric-charge same-flavour leptons (𝑒+𝑒−or 𝜇+𝜇−) with an invariant mass inside the 𝑍-boson mass window 83–99 GeV. A 25% yield increase is found to improve the modelling of 𝑍+ jets events with at least two heavy-flavour jets, consistent with Ref. [79]. Diboson events were simulated with the Sherpa 2.2.1 and 2.2.2 generators. In this set-up multiple MEs were matched and merged with the Sherpa PS based on Catani–Seymour dipole factorisation [73, 74] using the MEPS@NLO prescription. For semileptonically and fully leptonically decaying diboson event samples, as well as loop-induced diboson event samples, the virtual QCD correction for MEs at NLO accuracy was provided by the OpenLoops library. For EW 𝑉𝑉𝑗𝑗production, the calculation was performed in the 𝐺𝜇 scheme, ensuring an optimal description of pure EW interactions at the EW scale [80–82]. All samples were generated using the NNPDF3.0nnlo PDF set, along with the dedicated set of tuned PS parameters developed by the Sherpa authors. The associated production of a single top quark and a Higgs boson is treated as background. Samples for two subprocesses, 𝑡𝐻𝑗𝑏and 𝑡𝑊𝐻production, were generated using the MadGraph5_aMC@NLO 2.6.2 generator at NLO in QCD. The functional form of the renormalisation and factorisation scale was set to 0.5 × Í 𝑖𝑚T(𝑖), where the sum runs over all the particles generated from the ME calculation. For 𝑡𝐻𝑗𝑏(𝑡𝑊𝐻), events were generated in the four-flavour (five-flavour) scheme using the NNPDF3.0nlo nf4 (NNPDF3.0nlo) PDF set, and the diagram removal scheme was employed to handle the interference with 𝑡¯𝑡𝐻in the 𝑡𝑊𝐻sample [58, 83]. 3.2 𝒕¯𝒕+ jets background The precision of the ME generator is NLO in QCD if no additional information is provided in parentheses. The higher-order cross-section used to normalise these samples is listed in the last column and refers to the order of QCD processes if no additional information is provided. If no information is present in this column, no higher-order 𝐾-factor is applied to this process. For the 𝑉𝑉Sherpa samples, ‘lep.’ (‘had.’) means that both bosons decay leptonically (one decays leptonically and one hadronically). 6 Table 1: Table summarising the generator set-ups for samples used in this analysis. The first row for each sample details the nominal settings used for this process in the analysis. Any additional rows describe samples which are used to evaluate the modelling and performance of the analysis. For overlap between 𝑡¯𝑡and 𝑡𝑊-like diagrams, samples using the diagram removal scheme [58] are listed as [DR] and samples using the diagram subtraction scheme [58, 59] are listed as [DS]. The precision of the ME generator is NLO in QCD if no additional information is provided in parentheses. The higher-order cross-section used to normalise these samples is listed in the last column and refers to the order of QCD processes if no additional information is provided. If no information is present in this column, no higher-order 𝐾-factor is applied to this process. For the 𝑉𝑉Sherpa samples, ‘lep.’ (‘had.’) means that both bosons decay leptonically (one decays leptonically and one hadronically). Table 1: Table summarising the generator set-ups for samples used in this analysis. The first row for each sample details the nominal settings used for this process in the analysis. Any additional rows describe samples which are used to evaluate the modelling and performance of the analysis. For overlap between 𝑡¯𝑡and 𝑡𝑊-like diagrams, samples using the diagram removal scheme [58] are listed as [DR] and samples using the diagram subtraction scheme [58, 59] are listed as [DS]. The precision of the ME generator is NLO in QCD if no additional information is provided in parentheses. The higher-order cross-section used to normalise these samples is listed in the last column and refers to the order of QCD processes if no additional information is provided. If no information is present in this column, no higher-order 𝐾-factor is applied to this process. For the 𝑉𝑉Sherpa samples, ‘lep.’ (‘had.’) means that both bosons decay leptonically (one decays leptonically and one hadronically). 3.2 𝒕¯𝒕+ jets background 6 to 1.5 𝑚𝑡[59], and the functional form of the renormalisation and factorisation scales was set to 𝑚T(𝑡).4 The 𝑡¯𝑡+ ≥1𝑐and 𝑡¯𝑡+ light events using this prediction are combined with the previously described 𝑡¯𝑡+ ≥1𝑏 sample to form the nominal 𝑡¯𝑡model, while the 𝑡¯𝑡+ ≥1𝑏events from this five-flavour scheme are used only to assign modelling uncertainties. to 1.5 𝑚𝑡[59], and the functional form of the renormalisation and factorisation scales was set to 𝑚T(𝑡).4 The 𝑡¯𝑡+ ≥1𝑐and 𝑡¯𝑡+ light events using this prediction are combined with the previously described 𝑡¯𝑡+ ≥1𝑏 sample to form the nominal 𝑡¯𝑡model, while the 𝑡¯𝑡+ ≥1𝑏events from this five-flavour scheme are used only to assign modelling uncertainties. 4 This scale is calculated in the 𝑡¯𝑡rest-frame and hence the 𝑝T values of the top quark and top antiquark are equivalen 3.3 Other backgrounds Single-top t-channel, s-channel, and 𝑡𝑊production were modelled using the Powheg Box v2 [84–86] generator at NLO in QCD. For t-channel production, events were generated in the four-flavour scheme with the NNPDF3.0nlo nf4 PDF set, and the functional form of the renormalisation and factorisation scales was set to 𝑚T(𝑏) following the recommendation of Ref. [84]. For s-channel and 𝑡𝑊production, events were generated in the five-flavour scheme with the NNPDF3.0nlo PDF set, and the functional form of the renormalisation and factorisation scales was set to the top-quark mass. For 𝑡𝑊production, the diagram removal scheme [58] was employed to handle the interference with 𝑡¯𝑡production [59]. An additional sample which applies the diagram subtraction scheme [58, 59] was used to assess an uncertainty in the modelling of this interference. 7 The production and decay of a top-quark pair in association with a vector boson (i.e. 𝑡¯𝑡𝑊or 𝑡¯𝑡𝑍), referred to collectively as 𝑡¯𝑡𝑉, was modelled using the MadGraph5_aMC@NLO 2.3.3 generator at NLO in QCD. The functional form of the renormalisation and factorisation scale was set to 0.5 × Í 𝑖𝑚T(𝑖), where the sum runs over all the particles generated from the ME calculation. For events with four top quarks (𝑡¯𝑡𝑡¯𝑡) the production and decays were modelled using the Mad- Graph5_aMC@NLO 2.3.3 generator at NLO in QCD with the NNPDF3.1nlo [65] PDF set. The functional form of the renormalisation and factorisation scales was set to 0.25 × Í 𝑖𝑚T(𝑖), where the sum runs over all the particles generated from the ME calculation, following the recommendation of Ref. [57]. The 𝑡𝑍𝑞events were generated using the MadGraph5_aMC@NLO 2.3.3 generator in the four-flavour scheme at LO in QCD, with the CTEQ6L1 [87] PDF set. Following the recommendations of Ref. [84], the renormalisation and factorisation scales were set to 4 × 𝑚T(𝑏), where the 𝑏-quark is the one coming from the gluon splitting. The 𝑡𝑊𝑍sample was produced using the MadGraph5_aMC@NLO 2.3.3 generator at NLO in QCD with the NNPDF3.0nlo PDF set. The renormalisation and factorisation scales were set to the top-quark mass. The diagram removal scheme was employed to handle the interference between 𝑡𝑊𝑍and 𝑡¯𝑡𝑍. In the single-lepton channel, a negligible contribution is found from events with a jet or a photon misidentified as a lepton, or from events with a non-prompt lepton. 3.3 Other backgrounds In the dilepton channel, the contribution from events with non-prompt leptons is estimated from simulated events (from 𝑡¯𝑡, 𝑡¯𝑡𝑍, 𝑡¯𝑡𝑊, diboson, 𝑍+ jets, 𝑊+ jets, 𝑡𝑊, s-channel and t-channel single top production) where at least one of the reconstructed leptons does not match a true lepton in the event record. These events are collectively referred to as fakes. 4 Object and event selection Events are selected from 𝑝𝑝collisions at √𝑠= 13 TeV recorded by the ATLAS detector between 2015 and 2018, corresponding to an integrated luminosity of 139 fb−1. Only events for which the LHC beams were in stable-collision mode and all relevant subsystems were operational are considered [88]. Events are required to have at least one primary vertex with two or more tracks with 𝑝T > 0.5 GeV. If more than one vertex is found, the hard-scattering primary vertex is selected as the one with the highest sum of squared transverse momenta of associated tracks [89]. Events were recorded using single-lepton triggers with either a low 𝑝T threshold and a lepton isolation requirement, or a higher threshold but a looser identification criterion and without any isolation requirement. The lowest 𝑝T threshold in the single-muon trigger was 20 (26) GeV [90] for data taken in 2015 (2016–2018), while in the single-electron trigger it was 24 (26) GeV [91]). Electrons are reconstructed from tracks in the ID associated with topological clusters of energy depositions in the calorimeter [92] and are required to have 𝑝T > 10 GeV and |𝜂| < 2.47. Candidates in the calorimeter barrel–endcap transition region (1.37 < |𝜂| < 1.52) are excluded. Electrons must satisfy the Medium likelihood identification criterion. Muon candidates are identified by matching ID tracks to full tracks or track segments reconstructed in the muon spectrometer, using the Loose identification criterion [93]. Muons are required to have 𝑝T > 10 GeV and |𝜂| < 2.5. Lepton tracks must match the primary vertex of the event, i.e. they have to satisfy |𝑧0 sin(𝜃)| < 0.5 mm and |𝑑0/𝜎(𝑑0)| < 5 (3) for electrons (muons), where 𝑧0 is the longitudinal impact parameter relative to the primary vertex and 𝑑0 (with uncertainty 𝜎(𝑑0)) is the transverse impact parameter relative to the beam line. 8 Jets are reconstructed from noise-suppressed topological clusters of calorimeter energy depositions [94] calibrated at the electromagnetic scale [95], using the anti-𝑘𝑡algorithm with a radius parameter of 0.4. These are referred to as small-𝑅jets. The average energy contribution from pile-up is subtracted according to the jet area and jets are calibrated as described in Ref. [95] with a series of simulation-based corrections and in situ techniques. Jets are required to satisfy 𝑝T > 25 GeV and |𝜂| < 2.5. 4 Object and event selection The effect of pile-up is reduced by an algorithm requiring that the calorimeter-based jets are consistent with originating from the primary vertex using tracking information [96]. Jets containing 𝑏-hadrons are identified (𝑏-tagged) with the MV2c10 multivariate algorithm [97], which combines information about the transverse impact parameters of displaced tracks and the topological properties of secondary and tertiary decay vertices reconstructed within the jet. Four working points, defined by different thresholds for the MV2c10 discriminant, are used in this analysis, corresponding to efficiencies ranging from 85% to 60% for 𝑏-jets with 𝑝T > 20 GeV as determined in simulated 𝑡¯𝑡events. The corresponding rejection rates are in the range 2–22 for 𝑐-jets (containing 𝑐-hadrons and no 𝑏-hadrons) and 27–1150 for light-jets . Jets are then assigned a pseudo-continuous 𝑏-tagging value [97] according to the tightest working point they satisfy. Correction factors are applied to the simulated events to compensate for differences between data and simulation in the 𝑏-tagging efficiency for 𝑏-, 𝑐-, and light-jets [97–99]. Hadronically decaying 𝜏-leptons (𝜏had) are distinguished from jets using their track multiplicity and a multivariate discriminant based on calorimetric shower shapes and tracking information [100]. They are required to have 𝑝T > 25 GeV and |𝜂| < 2.5, and to pass the Medium 𝜏-identification working point. An overlap removal procedure is applied to prevent double-counting of objects. The closest jet within Δ𝑅𝑦= √︁ (Δ𝑦)2 + (Δ𝜙)2 = 0.2 of a selected electron is removed. If the nearest jet surviving that selection is within Δ𝑅𝑦= 0.4 of the electron, the electron is discarded. Muons are usually removed if they are separated from the nearest jet by Δ𝑅𝑦< 0.4, since this reduces the background from heavy-flavour decays inside jets. However, if this jet has fewer than three associated tracks, the muon is kept and the jet is removed instead; this avoids an inefficiency for high-energy muons undergoing significant energy loss in the calorimeter. A 𝜏had candidate is rejected if it is separated by Δ𝑅𝑦< 0.2 from any selected electron or muon. No overlap removal is performed between jets and 𝜏had candidates. The missing transverse momentum (with magnitude 𝐸miss T ) is reconstructed as the negative vector sum of the 𝑝T of all the selected electrons, muons, 𝜏had and jets described above, with an extra ‘soft term’ built from additional tracks associated with the primary vertex, to make it resilient to pile-up contamination [101]. 5 Analysis strategy In order to target the 𝑡¯𝑡𝐻(𝑏¯𝑏) final state, events are categorised into mutually exclusive regions defined by the number of leptons, the number of jets, the number of 𝑏-tagged jets at different 𝑏-tagging efficiencies (60%, 70%, 77%, or 85%) and the number of boosted Higgs boson candidates (see Section 5.1). The analysis regions with higher signal-to-background ratio are referred to as ‘signal regions’ (SR). Higgs boson candidates are reconstructed using a DNN in the boosted category, and boosted decision trees (BDT) referred to as ‘reconstruction BDTs’ in the resolved categories, aiming at associating the reconstructed jets to the final state partons. Kinematic variables of these Higgs boson candidates, such as their transverse momentum 𝑝𝐻 T , are computed and used together with several other variables as input to other BDTs. These, referred to as ‘classification BDTs’, are then employed to separate signal from background, in each of the SRs (see Section 5.2). The remaining analysis regions, depleted in signal, are referred to as ‘control regions’ (CR). They provide stringent constraints on the normalisation of the backgrounds and on systematic uncertainties when used in a combined fit with the signal regions. 4 Object and event selection The missing transverse momentum is not used for event selection but is included in the inputs to the multivariate discriminants that are built in the most sensitive analysis categories (see Section 5.2). For the boosted category, the small-𝑅jets are reclustered [102] using the anti-𝑘𝑡algorithm with a radius parameter of 1.0, resulting in a collection of large-𝑅jets (referred to as RC jets). These RC jets are required to have a reconstructed invariant mass higher than 50 GeV, 𝑝T > 200 GeV and at least two small-𝑅 constituent jets. RC jets are used as input to a deep neural network (DNN), described in Section 5.2, to identify high-𝑝T (boosted) top-quark and Higgs boson candidates decaying into collimated hadronic final states. The event is flagged as containing a boosted Higgs boson candidate if one of the RC jets has a high probability of originating from a Higgs boson, as estimated by the DNN. Events are required to have exactly one lepton in the single-lepton channels and exactly two leptons with opposite electric charge in the dilepton channel. At least one of the leptons must have 𝑝T > 27 GeV and match a corresponding object at trigger level. In the 𝑒𝑒and 𝜇𝜇channels, the dilepton invariant mass must be above 15 GeV and outside the 𝑍-boson mass window 83–99 GeV. To maintain orthogonality with other 𝑡¯𝑡𝐻channels [103], events are vetoed if they contain one or more (two or more) 𝜏had candidates 9 in the dilepton (single-lepton) channel. Leptons are further required to satisfy additional identification and isolation criteria to increase background rejection: electrons (muons) must pass the Tight (Medium) identification criterion and the Gradient (FixedCutTightTrackOnly) isolation criteria [92, 104]. in the dilepton (single-lepton) channel. Leptons are further required to satisfy additional identification and isolation criteria to increase background rejection: electrons (muons) must pass the Tight (Medium) identification criterion and the Gradient (FixedCutTightTrackOnly) isolation criteria [92, 104]. 5.1 Analysis regions For SRboosted, 𝑏-tagged jets flagged with † are extra 𝑏-jets not part of the boosted Higgs boson candidate. All SRs are further split in reconstructed 𝑝𝐻 T as described in the text. The last row specifies the type of input to the fit used in each region: normalisation only (Yield) or shape and normalisation of the classification BDT or Δ𝑅avg 𝑏𝑏distribution. In the highest bin (𝑝𝐻 T ≥450 GeV) of the single-lepton resolved analysis, only the event yield is used. Table 2: Definition of the analysis regions, split according to the number of leptons, jets, and 𝑏-tagged jets using different working points, and the number of boosted Higgs candidates. For SRboosted, 𝑏-tagged jets flagged with † are extra 𝑏-jets not part of the boosted Higgs boson candidate. All SRs are further split in reconstructed 𝑝𝐻 T as described in the text. The last row specifies the type of input to the fit used in each region: normalisation only (Yield) or shape and normalisation of the classification BDT or Δ𝑅avg 𝑏𝑏distribution. In the highest bin (𝑝𝐻 T ≥450 GeV) of the single-lepton resolved analysis, only the event yield is used. • The boosted signal region, SRboosted, is split into two reconstructed 𝑝𝐻 T regions: 300–450 GeV and ≥450 GeV. • Control regions are inclusive in reconstructed 𝑝𝐻 T to maintain the constraints on the background composition. • Control regions are inclusive in reconstructed 𝑝𝐻 T to maintain the constraints on the background composition. After these selections are applied, 𝑡¯𝑡+ heavy-flavour jets dominate the background composition and the 𝑡¯𝑡𝐻selection efficiency is 1.2%. Although all Higgs boson decay modes are considered, 𝐻→𝑏¯𝑏 events account for at least 94% of 𝑡¯𝑡𝐻events selected in the signal regions. In the SRs the shape and normalisation of a multivariate discriminant distribution is used in the statistical analysis, except in the highest reconstructed 𝑝𝐻 T bin of the single-lepton resolved analysis, where only the event yield is used. In the dilepton CRs, only the event yield is used to correct the amount of 𝑡¯𝑡+ ≥1𝑐predicted from the inclusive 𝑡¯𝑡+ jets sample. In the single-lepton channel the distribution shape and normalisation of the average Δ𝑅for all possible combinations of 𝑏-tagged jet pairs, Δ𝑅avg 𝑏𝑏, is used in the CRs to help better constrain the background contributions and correct their shape. 5.1 Analysis regions Table 2 defines the 16 regions into which the events are classified: 11 SRs (dilepton SR≥4𝑗 ≥4𝑏, single-lepton SR≥6 𝑗 ≥4𝑏and SRboosted, split according to the reconstructed 𝑝𝐻 T into four, five and two regions, respectively), and five CRs. In the single-lepton channel, events are assigned to the boosted category if they contain at least four jets 𝑏-tagged at the 85% working point, one boosted Higgs boson candidate, and at least two jets not belonging to the boosted Higgs boson candidate which are 𝑏-tagged at the 77% working point. The boosted Higgs boson candidate must satisfy 𝑝T > 300 GeV, have an invariant mass in the range 100–140 GeV, a DNN score 𝑃(𝐻) > 0.6 (see Section 5.2), and exactly two jet constituents 𝑏-tagged at the 85% working point. If more than one candidate is identified, the one with a mass closest to the Higgs boson mass is chosen. The selected RC jet is used to determine the kinematic properties of the boosted Higgs boson candidate (reconstructed 𝑝𝐻 T , 𝑚𝑏¯𝑏, etc.). All other selected events belong to the resolved categories. The analysis regions are further split according to the reconstructed 𝑝𝐻 T to allow the extraction of multiple signal parameters, sensitive to new physics effects. The 𝑝𝐻 T ranges are the same as used to define STXS bins with ‘truth’ ˆ𝑝𝐻 T (where the ‘truth’ ˆ𝑝𝐻 T is taken from the MC event record before the Higgs boson decays), and were chosen to minimise the correlation among signal strengths in different STXS bins. The split goes as follows: • The single-lepton resolved signal region, SR≥6𝑗 ≥4𝑏, is split in five reconstructed 𝑝𝐻 T regions: 0–120 GeV, 120–200 GeV, 200–300 GeV, 300–450 GeV and ≥450 GeV. • The single-lepton resolved signal region, SR≥6𝑗 ≥4𝑏, is split in five reconstructed 𝑝𝐻 T regions: 0–120 GeV, 120–200 GeV, 200–300 GeV, 300–450 GeV and ≥450 GeV. • The dilepton signal region, SR≥4 𝑗 ≥4𝑏, is split in a similar manner, with the two highest 𝑝𝐻 T bins merged because only a small number of events are expected. • The dilepton signal region, SR≥4 𝑗 ≥4𝑏, is split in a similar manner, with the two highest 𝑝𝐻 T bins merged because only a small number of events are expected. 5.1 Analysis regions Control regions have different ratios of 𝑡¯𝑡+ ≥1𝑏to 𝑡¯𝑡+ ≥1𝑐events: regions labelled ‘hi’, referring to a higher 𝑏-tagging probability, are enriched in 𝑡¯𝑡+ ≥1𝑏, while in regions labelled ‘lo’, the proportion of 𝑡¯𝑡+ ≥1𝑐events is increased. The different proportions of 𝑡¯𝑡+ ≥1𝑏and 𝑡¯𝑡+ ≥1𝑐in the control regions allow the signal extraction fit to better constrain the relative fractions of these processes in the signal regions. 5.1 Analysis regions 10 Region Dilepton Single-lepton SR≥4𝑗 ≥4𝑏CR≥4𝑗 3𝑏hi CR≥4𝑗 3𝑏lo CR3 𝑗 3𝑏hi SR≥6𝑗 ≥4𝑏 CR5𝑗 ≥4𝑏hi CR5𝑗 ≥4𝑏lo SRboosted #leptons = 2 = 1 #jets ≥4 = 3 ≥6 = 5 ≥4 #𝑏-tag @85% – ≥4 @77% – – ≥2† @70% ≥4 = 3 ≥4 – @60% – = 3 < 3 = 3 – ≥4 < 4 – #boosted cand. – 0 ≥1 Fit input BDT Yield BDT/Yield Δ𝑅avg 𝑏𝑏 BDT Table 2: Definition of the analysis regions, split according to the number of leptons, jets, and 𝑏-tagged jets using different working points, and the number of boosted Higgs candidates. For SRboosted, 𝑏-tagged jets flagged with † are extra 𝑏-jets not part of the boosted Higgs boson candidate. All SRs are further split in reconstructed 𝑝𝐻 T as described in the text. The last row specifies the type of input to the fit used in each region: normalisation only (Yield) or shape and normalisation of the classification BDT or Δ𝑅avg 𝑏𝑏distribution. In the highest bin (𝑝𝐻 T ≥450 GeV) of the single-lepton resolved analysis, only the event yield is used. Region Dilepton Single-lepton SR≥4𝑗 ≥4𝑏CR≥4𝑗 3𝑏hi CR≥4𝑗 3𝑏lo CR3 𝑗 3𝑏hi SR≥6𝑗 ≥4𝑏 CR5𝑗 ≥4𝑏hi CR5𝑗 ≥4𝑏lo SRboosted #leptons = 2 = 1 #jets ≥4 = 3 ≥6 = 5 ≥4 #𝑏-tag @85% – ≥4 @77% – – ≥2† @70% ≥4 = 3 ≥4 – @60% – = 3 < 3 = 3 – ≥4 < 4 – #boosted cand. – 0 ≥1 Fit input BDT Yield BDT/Yield Δ𝑅avg 𝑏𝑏 BDT able 2: Definition of the analysis regions, split according to the number of leptons, jets, and 𝑏-tagged jets usi fferent working points, and the number of boosted Higgs candidates. For SRboosted, 𝑏-tagged jets flagged w are extra 𝑏-jets not part of the boosted Higgs boson candidate. All SRs are further split in reconstructed 𝑝𝐻 T escribed in the text. The last row specifies the type of input to the fit used in each region: normalisation only (Yie shape and normalisation of the classification BDT or Δ𝑅avg 𝑏𝑏distribution. In the highest bin (𝑝𝐻 T ≥450 GeV) e single-lepton resolved analysis, only the event yield is used. Table 2: Definition of the analysis regions, split according to the number of leptons, jets, and 𝑏-tagged jets using different working points, and the number of boosted Higgs candidates. 5.2 Multivariate analysis 0 100 200 300 400 500 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR [300,450) GeV ∈ H T p Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) (b) (a) Figure 2: Comparison between data and prediction for the DNN 𝑃(𝐻) output for the Higgs boson candidate prior to any fit to the data in the single-lepton boosted channel for (a) 300 ≤𝑝𝐻 T < 450 GeV and (b) 𝑝𝐻 T ≥450 GeV. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. trained with TMVA [105]. The training for the reconstruction BDTs is identical to this previous analysis, matching reconstructed jets to the partons emitted from top-quark and Higgs boson decays. For this purpose, 𝑊-boson, top-quark and Higgs boson candidates are built from combinations of jets and leptons. The 𝑏-tagging information is used to discard combinations containing jet–parton assignments inconsistent with the correct parton candidate flavour. The combination of jets with the highest reconstruction BDT score is selected, allowing the computation of kinematic properties of the Higgs boson candidate (reconstructed 𝑝𝐻 T , 𝑚𝑏¯𝑏, etc.) by summing the four-momenta of the two jets associated with the Higgs boson candidate in this combination. In the boosted channel the Higgs boson candidate is found using a DNN with a three-node softmax output layer trained with Keras [106] and a TensorFlow backend [107] on a sample of RC jets from signal events. The DNN quantifies the probability that an RC jet is originated from a Higgs boson (labelled 𝑃(𝐻) and shown in Figure 2), top quark or any other process (mostly multijet production ). The most important DNN input variables for identifying a Higgs boson candidate jet are built from the small-𝑅jet constituent masses and pseudo-continuous 𝑏-tagging values, while substructure variables [108] also contribute. The Higgs boson jets are correctly identified 76% of the time, while top-quark jets are identified in 67% of the cases, in signal events. The performance of the reconstruction in the three channels is reported in Figure 3, which shows the migration matrix for Higgs boson candidates between reconstructed 𝑝𝐻 T bins and ‘truth’ ˆ𝑝𝐻 T bins, for all reconstructed Higgs boson candidates. 5.2 Multivariate analysis Multivariate classifiers are used in two parts of this analysis: identifying Higgs boson candidate objects and classifying 𝑡¯𝑡𝐻signal events. In all SRs of the resolved categories, the multivariate classifiers are constructed analogously to the reconstruction and classification BDTs used in the previous analysis [27] and 11 0.6 0.65 0.7 0.75 0.8 0.85 0.9 0.95 1 Higgs candidate DNN-tagger P(H) 0.5 0.75 1 1.25 Data / Pred. 0 100 200 300 400 500 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR [300,450) GeV ∈ H T p Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 0.6 0.65 0.7 0.75 0.8 0.85 0.9 0.95 1 Higgs candidate DNN-tagger P(H) 0.5 0.75 1 1.25 Data / Pred. 0 10 20 30 40 50 60 70 80 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR ) GeV ∞ [450, ∈ H T p Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) Figure 2: Comparison between data and prediction for the DNN 𝑃(𝐻) output for the Higgs boson candidate prior to any fit to the data in the single-lepton boosted channel for (a) 300 ≤𝑝𝐻 T < 450 GeV and (b) 𝑝𝐻 T ≥450 GeV. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 0.6 0.65 0.7 0.75 0.8 0.85 0.9 0.95 1 Higgs candidate DNN-tagger P(H) 0.5 0.75 1 1.25 Data / Pred. 0 10 20 30 40 50 60 70 80 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR ) GeV ∞ [450, ∈ H T p Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 0.6 0.65 0.7 0.75 0.8 0.85 0.9 0.95 1 Higgs candidate DNN-tagger P(H) 0.5 0.75 1 1.25 Data / Pred. 5.2 Multivariate analysis For each row of ‘truth’ ˆ𝑝𝐻 T , the matrix shows (in percentages) the fraction of all Higgs boson candidates with reconstructed 𝑝𝐻 T in the various bins of the dilepton (left), single-lepton resolved (middle) and boosted (right) channels. background modelling and from the increased number of simulated events, using the signal and components of the nominal background model presented in this paper. The dilepton BDT is trained only against 𝑡¯𝑡+ 𝑏¯𝑏 events (as it constitutes most of the background), the single-lepton resolved BDT is trained against 𝑡¯𝑡+ jets events (because 𝑡¯𝑡+ ≥1𝑐and 𝑡¯𝑡+ light events also contribute) and the single-lepton boosted BDT is trained against all background processes. background modelling and from the increased number of simulated events, using the signal and components of the nominal background model presented in this paper. The dilepton BDT is trained only against 𝑡¯𝑡+ 𝑏¯𝑏 events (as it constitutes most of the background), the single-lepton resolved BDT is trained against 𝑡¯𝑡+ jets events (because 𝑡¯𝑡+ ≥1𝑐and 𝑡¯𝑡+ light events also contribute) and the single-lepton boosted BDT is trained against all background processes. These BDTs are built by combining kinematic variables, such as invariant masses and angular separations of pairs of reconstructed jets and leptons, outputs of the reconstruction discriminants, as well as the pseudo-continuous 𝑏-tagging discriminant of selected jets. The complete lists of input variables can be found in Appendix A. The reconstruction discriminants provide their own output value as well as variables derived from the selected combination of jets with the highest reconstruction BDT score in the resolved channels. In the single-lepton resolved channel, a likelihood discriminant method that combines the signal and background probabilities of all possible jet combinations in each event is also used as input to the classification BDT [27]. In the boosted channel, information from the DNN is used as input to the classification BDT, including the Higgs probability, 𝑃(𝐻). Distributions of the output of these BDT classifiers serve as SR inputs to the signal extraction fit. The most important variables entering the dilepton BDT include the reconstruction BDT score for the Higgs boson candidate identified using Higgs boson information, the average Δ𝜂between 𝑏-tagged jets, the minimum invariant mass of a 𝑏-tagged jet pair, the Δ𝑅between the Higgs candidate and the 𝑡¯𝑡candidate system, and the number of 𝑏-tagged jet pairs with an invariant mass within 30 GeV of 125 GeV. 5.2 Multivariate analysis When applying the reconstruction BDT or the DNN (which are trained with 𝑡¯𝑡𝐻events to match 𝑏-jets to a Higgs boson candidate) to the 𝑡¯𝑡+ ≥1𝑏sample, the two selected jets do not originate from the top-quark decay products about half (two-thirds) of the time in the lower (higher) 𝑝𝐻 T bin. The number of events with both jets originating from top-quark decays is negligible. The classification BDTs have been retrained since the previous analysis to profit from the improved 12 75 20 4 1 71 22 6 1 25 58 16 2 29 53 16 2 10 14 63 12 1 16 18 54 11 1 4 4 11 73 8 11 12 19 51 7 97 3 4 3 3 11 80 9 9 9 21 52 25 75 [0,120) [GeV] ∈ H T , p 4b ≥ 4j ≥ SR [120,200) [GeV] ∈ H T , p 4b ≥ 4j ≥ SR [200,300) [GeV] ∈ H T , p 4b ≥ 4j ≥ SR [300,450) [GeV] ∈ H T , p 4b ≥ 4j ≥ SR ) [GeV] ∞ [450, ∈ H T , p 4b ≥ 4j ≥ SR [0,120) [GeV] ∈ H T , p 4b ≥ 6j ≥ SR [120,200) [GeV] ∈ H T , p 4b ≥ 6j ≥ SR [200,300) [GeV] ∈ H T , p 4b ≥ 6j ≥ SR [300,450) [GeV] ∈ H T , p 4b ≥ 6j ≥ SR ) [GeV] ∞ [450, ∈ H T , p 4b ≥ 6j ≥ SR [300,450) [GeV] ∈ H T , p boosted SR ) [GeV] ∞ [450, ∈ H T , p boosted SR [0,120) [GeV] ∈ H T p [120,200) [GeV] ∈ H T p [200,300) [GeV] ∈ H T p [300,450) [GeV] ∈ H T p ) [GeV] ∞ [450, ∈ H T p 0 10 20 30 40 50 60 70 80 90 100 Purity [%] ATLAS H t Simulation t =13 TeV s Figure 3: Performance of the Higgs boson reconstruction algorithms. For each row of ‘truth’ ˆ𝑝𝐻 T , the matrix shows (in percentages) the fraction of all Higgs boson candidates with reconstructed 𝑝𝐻 T in the various bins of the dilepton (left), single-lepton resolved (middle) and boosted (right) channels. Figure 3: Performance of the Higgs boson reconstruction algorithms. 6 Systematic uncertainties Many sources of systematic uncertainty affect this analysis, impacting the categorisation of events as well as the shape and normalisation of the final discriminants used in the signal extraction fit. All sources of experimental uncertainty considered, with the exception of the uncertainty in the luminosity, affect both the normalisations and shapes of distributions in all the simulated event samples. Uncertainties related to the theoretical modelling of the signal and background processes affect both the normalisations and shapes of the distributions, with the exception of cross-section and normalisation uncertainties which only affect the overall yield of the considered sample. Nonetheless, the normalisation uncertainties modify the relative fractions of the different samples leading to a shape uncertainty in the distribution of the final discriminant for the total prediction in the different analysis regions. A single independent nuisance parameter is assigned to each source of systematic uncertainty. Some of the systematic uncertainties, in particular most of the experimental uncertainties, are decomposed into several independent sources, as specified in the following. Each individual source then has a correlated effect across all the channels, analysis regions, and signal and background samples. Modelling uncertainties are typically broken down into components which target specific physics effects in the event generation, such as scale variations or changing the hadronisation model, and are uncorrelated between different samples. 5.2 Multivariate analysis The most important variables entering the single-lepton resolved BDT include the likelihood discriminant, the average Δ𝑅for all possible combinations of two 𝑏-tagged jets (Δ𝑅avg 𝑏𝑏), the invariant mass of the two 𝑏-tagged jets with the smallest Δ𝑅, the reconstruction BDT score for the Higgs boson candidate identified using Higgs boson information, and the Δ𝑅between the two highest-𝑝T 𝑏-tagged jets. The most important variables entering the single-lepton boosted BDT include the DNN 𝑃(𝐻) output for the Higgs boson candidate, the sum of 𝑏-tagging discriminants of small-𝑅jets from Higgs, hadronic top and leptonic top candidates, the hadronic top candidate’s invariant mass, the small-𝑅jet multiplicity and, in the sum of 𝑏-tagging discriminants, the fraction due to all jets not associated with the Higgs or hadronic top candidates. 13 6.2 Theoretical modelling uncertainties Uncertainties in the predicted SM 𝑡¯𝑡𝐻signal cross-section are evaluated with a particular focus on the impact on STXS bins. An uncertainty of ±3.6% from varying the PDF and 𝛼s in the fixed-order calculation is applied [20, 112–116]. The effect of PDF variations on the shape of the distributions considered in this analysis is found to be negligible. Uncertainties in the Higgs boson branching fractions are also considered, and amount to 2.2% for the 𝑏¯𝑏decay mode [20]. An uncertainty related to the amount of initial-state radiation (ISR) is estimated by simultaneously varying the renormalisation and factorisation scales in the ME and 𝛼ISR s in the PS [117], while an uncertainty related to final-state radiation (FSR) is estimated by varying 𝛼FSR s in the PS. The nominal Powheg Box+ Pythia 8 sample is also compared with the Powheg Box+ Herwig 7 sample to assess an uncertainty related to the choice of PS and hadronisation model, and with the MadGraph5_aMC@NLO+ Pythia 8 sample to assess an uncertainty arising from changing the NLO matching procedure (sample details are given in Table 1). Uncertainties due to missing higher-order terms in the perturbative QCD calculations affecting the total cross-section and event migration between STXS bins are estimated by varying the renormalisation and factorisation scales independently by a factor of two, as well as evaluating the ISR and FSR uncertainties. The largest effect was found to originate from the ISR uncertainty, corresponding to a 9.2% variation of the total cross-section, leading to an uncertainty of 10%–17% in bin migrations estimated using the Stewart–Tackmann procedure [118]. All signal uncertainties are correlated across STXS bins, with the exception of bin migration uncertainties. The systematic uncertainties affecting the 𝑡¯𝑡+ jets background modelling are summarised in Table 3. An uncertainty of 6% is assumed for the inclusive 𝑡¯𝑡production cross-section predicted at NNLO+NNLL, including effects from varying the factorisation and renormalisation scales, the PDFs, 𝛼s, and the top-quark mass [45–51]. This uncertainty is applied to 𝑡¯𝑡+ light samples only, since this component is dominant in 𝑡¯𝑡production in the full phase-space. An uncertainty of 100% in the normalisation of 𝑡¯𝑡+ ≥1𝑐events is applied, motivated by the fitted value of this normalisation in the previous analysis [27]. The normalisation of 𝑡¯𝑡+≥1𝑏is allowed to float freely in the signal extraction fit. 6.1 Experimental uncertainties The uncertainty in the combined 2015–2018 integrated luminosity is 1.7% [109], obtained using the LUCID-2 detector [110] for the primary luminosity measurement. An uncertainty associated with the modelling of pile-up in the simulation is included to cover the difference between the predicted and measured inelastic cross-section values [111]. The jet energy scale uncertainty is derived by combining information from test-beam data, LHC collision data and simulation, and the jet energy resolution uncertainty is obtained by combining dijet 𝑝T-balance measurements and simulation [95]. Additional considerations related to jet flavour, pile-up corrections, 𝜂 dependence and high-𝑝T jets are included. These uncertainties are further propagated into the single-lepton boosted analysis by applying the reclustering described in Section 4 with systematically varied inputs. A total of 40 independent contributions are considered. While the uncertainties are not large, varying between 1% and 5% per jet (depending on the jet 𝑝T), the effects are amplified by the large number of jets considered in the final state. The efficiency to identify and remove jets from pile-up is measured with 𝑍→𝜇+𝜇−events in data using techniques similar to those used in Ref. [96]. All small-𝑅jet constituent uncertainties are propagated to RC jets. The efficiency to correctly tag 𝑏-jets is measured using dileptonic 𝑡¯𝑡events [97]. The mis-tag rate for 𝑐-jets is measured using single-lepton 𝑡¯𝑡events, exploiting the 𝑐-jets from the hadronic 𝑊-boson decays using techniques similar to those in Ref. [98]. The mis-tag rate for light-jets is measured using a negative-tag method similar to that in Ref. [99] applied to 𝑍+ jets events. The uncertainty in tagging 𝑏-jets is 2%–10% depending on the working point and jet 𝑝T. The uncertainty in mis-tagging 𝑐-jets (light-jets) is 10%–25% (15%–50%) depending on the working point and jet 𝑝T. For the calibration of the four working points used in this analysis, a large number of uncertainty components are considered, yielding 45, 20, and 20 uncorrelated sources of uncertainty for 𝑏-, 𝑐- and light-jets, respectively. 14 Uncertainties associated with leptons arise from the trigger, reconstruction, identification, and isolation, as well as the lepton momentum scale and resolution. Efficiencies are measured and scale and resolution calibrations are performed using leptons in 𝑍→ℓ+ℓ−and 𝐽/𝜓→ℓ+ℓ−events [92, 104]. Systematic uncertainties in these measurements account for 22 independent sources but have only a small impact on the final result. 6.1 Experimental uncertainties All uncertainties related to the energy scales or resolution of the reconstructed objects are propagated to the calculation of the missing transverse momentum. Three additional uncertainties associated with the scale and resolution of the soft term are also included. As the missing transverse momentum is only used for event reconstruction and not for event selection, these uncertainties have a minimal impact. 6.2 Theoretical modelling uncertainties The last column of the table indicates the 𝑡¯𝑡+ jets components to which a systematic uncertainty is assigned. All systematic uncertainty sources are treated as uncorrelated across the three components. selected phase-space in all alternative samples is reweighted to match the fraction in the nominal sample. This is to allow the normalisation of 𝑡¯𝑡+ ≥1𝑏to be driven solely by the free-floating parameter in the signal extraction fit to data. The systematic uncertainties related to varying the amount of ISR, the amount of FSR, the PS and hadronisation model, and the NLO matching procedure are estimated using the same procedure as for 𝑡¯𝑡𝐻, comparing the nominal prediction with alternative samples. In the specific case of 𝑡¯𝑡+ ≥1𝑏, relative uncertainties are used to estimate the effect of changing the PS and hadronisation model or the NLO matching procedure by comparing predictions from the NLO 𝑡¯𝑡generators (see Table 3). These comparisons are made using predictions in which the additional 𝑏-quarks were generated at leading-log precision from gluon splitting. A check was performed, comparing the nominal 𝑡¯𝑡+ ≥1𝑏prediction with a smaller 𝑡¯𝑡+ 𝑏¯𝑏sample produced with Sherpa 2.2.1. The size of the difference estimated from 𝑡¯𝑡samples was observed to be generally the same as or larger than the difference between the two 𝑡¯𝑡+ 𝑏¯𝑏NLO predictions. The impact of these uncertainties on the final results is reported in Section 7. Special consideration is given to the correlation of modelling uncertainties across different 𝑝𝐻 T bins, in order to provide the fit with enough flexibility to cover background mismodelling without biasing the signal extraction. The 𝑡¯𝑡+ ≥1𝑏NLO matching uncertainty is shown to depend on 𝑝𝐻 T and is therefore decorrelated across 𝑝T bins in the SRs. The NLO matching uncertainty and the PS and hadronisation uncertainties for 𝑡¯𝑡+ ≥1𝑏are further decorrelated between the single-lepton and dilepton channels in order to avoid the transfer of constraints from the single-lepton resolved channel to the dilepton channel, which is less sensitive to the high-𝑝𝐻 T regime and produces less additional radiation. The pre-fit distributions of the reconstructed 𝑝𝐻 T are shown in Figure 4. An additional uncertainty is derived for the 𝑡¯𝑡+ ≥1𝑏sample to cover the mismodelling observed in this distribution. 6.2 Theoretical modelling uncertainties The 𝑡¯𝑡+≥1𝑏, 𝑡¯𝑡+≥1𝑐and 𝑡¯𝑡+light processes are affected by different types of uncertainties: 𝑡¯𝑡+ light profits from relatively precise measurements in data; 𝑡¯𝑡+ ≥1𝑏and 𝑡¯𝑡+ ≥1𝑐can have similar or different diagrams depending on the precision of the ME and the flavour scheme used for the PDF, and the different masses of the 𝑐- and 𝑏-quarks contribute to additional differences between these two processes. For these reasons, all uncertainties in the 𝑡¯𝑡+ jets background modelling are assigned independent nuisance parameters for the 𝑡¯𝑡+ ≥1𝑏, 𝑡¯𝑡+ ≥1𝑐and 𝑡¯𝑡+ light processes. The effect of PDF uncertainties was found to be negligible. Systematic uncertainties in the acceptance and the distribution shapes are extracted from comparisons between the nominal prediction and different samples or settings. The fraction of 𝑡¯𝑡+ ≥1𝑏events in the 15 Uncertainty source Description Components 𝑡¯𝑡cross-section ±6% 𝑡¯𝑡+ light 𝑡¯𝑡+ ≥1𝑏normalisation Free-floating 𝑡¯𝑡+ ≥1𝑏 𝑡¯𝑡+ ≥1𝑐normalisation ±100% 𝑡¯𝑡+ ≥1𝑐 NLO matching MadGraph5_aMC@NLO+ Pythia 8 vs Powheg Box+ Pythia 8 All PS & hadronisation Powheg Box+ Herwig 7 vs Powheg Box+ Pythia 8 All ISR Varying 𝛼ISR s (PS), 𝜇r & 𝜇f (ME) in Powheg Box Res+ Pythia 8 𝑡¯𝑡+ ≥1𝑏 in Powheg Box+ Pythia 8 𝑡¯𝑡+ ≥1𝑐, 𝑡¯𝑡+ light FSR Varying 𝛼FSR s (PS) in Powheg Box Res+ Pythia 8 𝑡¯𝑡+ ≥1𝑏 in Powheg Box+ Pythia 8 𝑡¯𝑡+ ≥1𝑐, 𝑡¯𝑡+ light 𝑡¯𝑡+ ≥1𝑏fractions Powheg Box+ Herwig 7 vs Powheg Box+ Pythia 8 𝑡¯𝑡+ 1𝑏, 𝑡¯𝑡+ ≥2𝑏 𝑝𝑏𝑏 T shape Shape mismodelling measured from data 𝑡¯𝑡+ ≥1𝑏 Table 3: Summary of the sources of systematic uncertainty for 𝑡¯𝑡+ jets modelling. The systematic uncertainties listed in the second section of the table are evaluated in such a way as to have no impact on the normalisation of the three 𝑡¯𝑡+ ≥1𝑏, 𝑡¯𝑡+ ≥1𝑐, and 𝑡¯𝑡+ light components in the phase-space selected in this analysis. The last column of the table indicates the 𝑡¯𝑡+ jets components to which a systematic uncertainty is assigned. All systematic uncertainty sources are treated as uncorrelated across the three components. Uncertainty source Description Table 3: Summary of the sources of systematic uncertainty for 𝑡¯𝑡+ jets modelling. The systematic uncertainties listed in the second section of the table are evaluated in such a way as to have no impact on the normalisation of the three 𝑡¯𝑡+ ≥1𝑏, 𝑡¯𝑡+ ≥1𝑐, and 𝑡¯𝑡+ light components in the phase-space selected in this analysis. 6.2 Theoretical modelling uncertainties After removing the overall normalisation difference by scaling the 𝑡¯𝑡+ ≥1𝑏background in the dilepton SR≥4 𝑗 ≥4𝑏(single-lepton SR≥6𝑗 ≥4𝑏), a weight is computed in each reconstructed 𝑝𝐻 T bin of the dilepton SR≥4 𝑗 ≥4𝑏(single-lepton SR≥6 𝑗 ≥4𝑏), which corrects the predicted 𝑡¯𝑡+ ≥1𝑏contribution so that the data and background model yields agree in each 𝑝𝐻 T bin. The derived weights are not applied to the nominal sample: instead they define the +1𝜎variation of an additional 16 0 100 200 300 400 500 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 0 200 400 600 800 1000 1200 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 0 100 200 300 400 500 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 0 2000 4000 6000 8000 10000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 300 350 400 450 500 550 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 0 200 400 600 800 1000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) Figure 4: Pre-fit distributions of the reconstructed Higgs boson candidate 𝑝𝐻 T for the (a) dilepton SR≥4𝑗 ≥4𝑏, (b) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c) single-lepton boosted SRboosted signal regions. The dashed line shows the 𝑡¯𝑡𝐻 signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations, except for the uncertainty in the 𝑘(𝑡¯𝑡+ ≥1𝑏) normalisation factor which is not defined pre-fit. The last bin includes the overflow. 300 350 400 450 500 550 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 6.2 Theoretical modelling uncertainties 0 200 400 600 800 1000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) 0 100 200 300 400 500 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 0 200 400 600 800 1000 1200 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 0 100 200 300 400 500 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 0 2000 4000 6000 8000 10000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) (b) (a) (c) Figure 4: Pre-fit distributions of the reconstructed Higgs boson candidate 𝑝𝐻 T for the (a) dilepton SR≥4𝑗 ≥4𝑏, (b) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c) single-lepton boosted SRboosted signal regions. The dashed line shows the 𝑡¯𝑡𝐻 signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations, except for the uncertainty in the 𝑘(𝑡¯𝑡+ ≥1𝑏) normalisation factor which is not defined pre-fit. The last bin includes the overflow. uncertainty in the 𝑡¯𝑡+ ≥1𝑏sample in each reconstructed 𝑝𝐻 T bin. The weights derived in the single-lepton resolved channel are also applied in the boosted channel. This uncertainty enters the signal extraction fit as a single nuisance parameter (𝑝𝑏𝑏 T shape), correlated across all channels, such that a pull of +1𝜎 corresponds to applying this weight, effectively correcting the reconstructed 𝑝𝐻 T spectrum. To account for variations in the 𝑡¯𝑡+≥1𝑏subcomponent fractions found in different predictions, an additional nuisance parameter is introduced to cover the largest discrepancy between two models for the fraction of 𝑡¯𝑡+ 1𝑏and 𝑡¯𝑡+ ≥2𝑏. The 1𝜎variation of this nuisance parameter corresponds to reducing the amount of 𝑡¯𝑡+ ≥2𝑏by 13% and increasing the amount of 𝑡¯𝑡+ 1𝑏by 22%. 6.2 Theoretical modelling uncertainties This uncertainty is correlated across all regions, and impacts each region differently due to the varying compositions of 𝑡¯𝑡+ ≥1𝑏. An uncertainty of 5% is considered for the cross-sections of the three single-top production modes [54, 55, 119, 120]. Uncertainties associated with the PS and hadronisation model, and with the NLO matching scheme, are evaluated by comparing, for each process, the nominal Powheg Box+ Pythia 8 sample with a sample produced using Powheg Box+ Herwig 7 and MadGraph5_aMC@NLO+ Pythia 8, respectively. The uncertainty associated with the interference between 𝑡𝑊and 𝑡¯𝑡production at NLO [58] is assessed by comparing the nominal Powheg Box+ Pythia 8 sample produced using the diagram removal scheme with the alternative sample produced with the same generator but using the diagram subtraction scheme. An uncertainty of 40% is assumed for the 𝑊+ jets cross-section, with an additional 30% normalisation uncertainty used for 𝑊+ heavy-flavour jets, taken as uncorrelated between events with two and more than two heavy-flavour jets. These uncertainties are based on variations of the factorisation and renormalisation scales and of the Sherpa matching parameters. An uncertainty of 35% is applied to the 𝑍+ jets normalisation, uncorrelated across jet bins, to account for both the variations of the scales and Sherpa matching parameters and the uncertainty in the extraction from data of the correction factor for the heavy-flavour component. The uncertainty in the 𝑡¯𝑡𝑉NLO cross-section prediction is 15% [121], split into PDF and scale uncertainties as for 𝑡¯𝑡𝐻. An additional 𝑡¯𝑡𝑉modelling uncertainty, related to the choice of PS and hadronisation model 17 and NLO matching scheme is assessed by comparing the nominal MadGraph5_aMC@NLO+ Pythia 8 samples with alternative ones generated with Sherpa. The uncertainty in the diboson background is assumed to be 50%, which includes uncertainties in the inclusive cross-section and additional jet production [122]. A 50% normalisation uncertainty is considered for the four-top background, covering effects from varying the factorisation and renormalisation scales, the PDFs and 𝛼s [123]. The small backgrounds from 𝑡𝑍𝑞and 𝑡𝑊𝑍are each assigned cross-section uncertainties; for 𝑡𝑍𝑞two uncertainties are used, 7.9% accounting for factorisation and renormalisation scale variations and 0.9% accounting for PDFs, and for 𝑡𝑊𝑍a single uncertainty of 50% is used [123]. Uncertainties in the associated production of a single top quark and a Higgs boson include factorisation and renormalisation scale variations as well as PDF uncertainties: they amount to +6.5/−14.9% (+6.5/−6.7%) and ±3.7% (±6.3%) for 𝑡𝐻𝑗𝑏(𝑡𝑊𝐻), respectively [20]. 6.2 Theoretical modelling uncertainties Finally, a 25% normalisation uncertainty is considered for the fake lepton background in the dilepton channel. 7 Results The distributions of the classification BDT in the signal regions, and the event yield or the Δ𝑅avg 𝑏𝑏distributions in the dilepton or single-lepton control regions, respectively, are combined in a profile likelihood fit to extract the signal, while simultaneously determining the yields and constraining the normalisation and shape of differential distributions of the most important background components. The binning of these distributions is optimised to maximise the analysis sensitivity while keeping the total MC statistical uncertainty in each bin to a level adjusted to avoid biases due to fluctuations in the predicted number of events. The statistical analysis is based on a binned likelihood function L(𝜇, 𝜃) constructed as a product of Poisson probability terms over all bins considered in the analysis. The likelihood function depends on the signal-strength parameter 𝜇, defined as 𝜇= 𝜎/𝜎SM (where 𝜎is the measured cross-section and 𝜎SM is the Standard Model prediction), and a set of nuisance parameters 𝜃which characterise the effects of systematic uncertainties in the signal and background expectations. They are implemented in the likelihood function as Gaussian or Poisson priors, with the exception of the unconstrained normalisation factor 𝑘(𝑡¯𝑡+ ≥1𝑏) for the 𝑡¯𝑡+ ≥1𝑏background, of which no prior knowledge from theory or subsidiary measurements is assumed. The statistical uncertainty in the prediction, which incorporates the statistical uncertainty arising from the limited number of simulated events, is included in the likelihood in the form of additional nuisance parameters, one for each of the considered bins. In the statistical analysis, the number of events expected in a given bin depends on 𝜇and 𝜃. The nuisance parameters 𝜃adjust the expectations for signal and background according to the corresponding systematic uncertainties, and their fitted values correspond to the amount that best fits the data. The test statistic 𝑡𝜇is defined as the profile likelihood ratio: 𝑡𝜇= −2 ln(L(𝜇, ˆˆ𝜃𝜇)/L( ˆ𝜇, ˆ𝜃)), where ˆ𝜇and ˆ𝜃are the values of the parameters that maximise the likelihood function, and ˆˆ𝜃𝜇are the values of the nuisance parameters that maximise the likelihood function for a given value of 𝜇[124]. This test statistic, as implemented in the RooStat framework [125, 126], is used to assess the compatibility of the observed data with the background-only hypothesis (i.e. for 𝜇= 0) and to make statistical inferences about 𝜇. The uncertainty in the best-fit value of the signal strength is extracted by finding the values of 𝜇that correspond to varying 𝑡𝜇by one unit. 7 Results 18 SR≥4𝑗 ≥4𝑏, 𝑝𝐻 T ∈[0,120) GeV SR≥4 𝑗 ≥4𝑏, 𝑝𝐻 T ∈[120,200) GeV SR≥4 𝑗 ≥4𝑏, 𝑝𝐻 T ∈[200,300) GeV SR≥4 𝑗 ≥4𝑏, 𝑝𝐻 T ∈[300,∞) GeV Pre-fit Post-fit Pre-fit Post-fit Pre-fit Post-fit Pre-fit Post-fit 𝑡¯𝑡𝐻 33.6 ± 4.1 12 ± 12 15.6 ± 1.8 5.5 ± 5.3 7.71 ± 0.89 2.7 ± 2.6 3.72 ± 0.44 1.3 ± 1.3 𝑡𝐻 0.249 ± 0.065 0.249 ± 0.064 0.148 ± 0.063 0.146 ± 0.061 0.043 ± 0.032 0.043 ± 0.031 0.031 ± 0.027 0.031 ± 0.025 𝑡¯𝑡+ ≥1𝑏 432 ± 59 546 ± 24 203 ± 27 263 ± 12 92 ± 14 116.9 ± 8.8 42 ± 15 37.9 ± 6.0 𝑡¯𝑡+ ≥1𝑐 27 ± 29 48.5 ± 9.1 11 ± 12 16.3 ± 5.0 4.0 ± 4.2 6.5 ± 1.4 1.9 ± 2.1 3.69 ± 0.96 𝑡¯𝑡+ 𝑍 12.5 ± 2.0 12.6 ± 2.0 7.4 ± 1.6 7.6 ± 1.6 4.18 ± 0.72 4.15 ± 0.70 2.05 ± 0.45 2.06 ± 0.44 𝑡¯𝑡+ 𝑊 0.75 ± 0.31 0.75 ± 0.31 0.38 ± 0.12 0.40 ± 0.11 0.27 ± 0.12 0.27 ± 0.11 0.124 ± 0.068 0.127 ± 0.068 𝑡¯𝑡+ light 3.6 ± 4.9 4.8 ± 6.2 0.97 ± 0.96 0.92 ± 0.74 0.46 ± 0.65 0.41 ± 0.47 0.22 ± 0.31 0.22 ± 0.25 𝑡¯𝑡𝑡¯𝑡 3.1 ± 1.5 3.0 ± 1.5 2.4 ± 1.2 2.3 ± 1.2 1.38 ± 0.70 1.36 ± 0.69 0.81 ± 0.41 0.79 ± 0.40 Fakes 3.7 ± 1.1 3.7 ± 1.1 1.33 ± 0.51 1.33 ± 0.51 0.40 ± 0.23 0.40 ± 0.23 0.57 ± 0.30 0.57 ± 0.30 Other sources 19.1 ± 6.9 19.3 ± 7.0 7.1 ± 4.4 7.7 ± 4.3 4.3 ± 4.0 4.5 ± 4.1 2.0 ± 1.5 2.0 ± 1.5 Total 536 ± 71 651 ± 21 249 ± 32 305 ± 11 114 ± 16 137.2 ± 8.1 53 ± 15 48.7 ± 5.7 Data 647 306 135 48 CR3𝑗 3𝑏hi CR≥4 𝑗 3𝑏hi CR≥4 𝑗 3𝑏lo Pre-fit Post-fit Pre-fit Post-fit Pre-fit Post-fit 𝑡¯𝑡𝐻 25.2 ± 3.1 8.8 ± 8.6 117 ± 13 42 ± 41 76.4 ± 8.4 27 ± 27 𝑡𝐻 1.26 ± 0.15 1.23 ± 0.15 2.06 ± 0.39 2.02 ± 0.38 1.19 ± 0.53 1.12 ± 0.50 𝑡¯𝑡+ ≥1𝑏 1900 ± 510 2010 ± 130 2810 ± 300 4070 ± 210 1730 ± 210 2550 ± 160 𝑡¯𝑡+ ≥1𝑐 350 ± 360 550 ± 130 700 ± 710 1190 ± 240 1500 ± 1500 2550 ± 470 𝑡¯𝑡+ 𝑍 11.1 ± 1.8 10.8 ± 1.7 57.1 ± 7.4 57.5 ± 7.3 51.7 ± 7.0 52.3 ± 6.7 𝑡¯𝑡+ 𝑊 1.88 ± 0.59 1.84 ± 0.55 10.8 ± 1.6 10.9 ± 1.6 21.5 ± 3.7 21.8 ± 3.4 𝑡¯𝑡+ light 128 ± 74 119 ± 61 200 ± 120 210 ± 120 850 ± 350 900 ± 340 𝑡¯𝑡𝑡¯𝑡 0.047 ± 0.026 0.044 ± 0.024 12.3 ± 6.1 12.0 ± 6.1 8.9 ± 4.5 8.8 ± 4.4 Fakes 6.3 ± 1.8 6.4 ± 1.8 47 ± 12 47 ± 12 56 ± 14 56 ± 14 Other sources 125 ± 35 125 ± 34 211 ± 62 211 ± 62 251 ± 73 257 ± 73 Total 2540 ± 630 2835 ± 54 4160 ± 810 5855 ± 79 4500 ± 1600 6431 ± 83 Data 2827 5865 6429 Table 4: Pre-fit and post-fit event yields in the dilepton channel (top) signal regions and (bottom) control regions. 7 Results Post- fit yields are after the inclusive fit in all channels. All uncertainties are included, taking into account correlations in the post-fit case. The 𝑘(𝑡¯𝑡+ ≥1𝑏) uncertainty is not defined pre-fit and therefore only included in the post-fit uncertainties. For the 𝑡¯𝑡𝐻signal, the pre-fit yield values correspond to the theoretical prediction and corresponding uncertainties, while the post-fit yield and uncertainties correspond to those in the inclusive signal-strength measurement. ‘Other sources’ refers to s-channel, t-channel, 𝑡𝑊, 𝑡𝑊𝑍, 𝑡𝑍𝑞, 𝑍+ jets and diboson events. Table 4: Pre-fit and post-fit event yields in the dilepton channel (top) signal regions and (bottom) control regions. Post- fit yields are after the inclusive fit in all channels. All uncertainties are included, taking into account correlations in the post-fit case. The 𝑘(𝑡¯𝑡+ ≥1𝑏) uncertainty is not defined pre-fit and therefore only included in the post-fit uncertainties. For the 𝑡¯𝑡𝐻signal, the pre-fit yield values correspond to the theoretical prediction and corresponding uncertainties, while the post-fit yield and uncertainties correspond to those in the inclusive signal-strength measurement. ‘Other sources’ refers to s-channel, t-channel, 𝑡𝑊, 𝑡𝑊𝑍, 𝑡𝑍𝑞, 𝑍+ jets and diboson events. Table 4: Pre-fit and post-fit event yields in the dilepton channel (top) signal regions and (bottom) control regions. Post- fit yields are after the inclusive fit in all channels. All uncertainties are included, taking into account correlations in the post-fit case. The 𝑘(𝑡¯𝑡+ ≥1𝑏) uncertainty is not defined pre-fit and therefore only included in the post-fit uncertainties. For the 𝑡¯𝑡𝐻signal, the pre-fit yield values correspond to the theoretical prediction and corresponding uncertainties, while the post-fit yield and uncertainties correspond to those in the inclusive signal-strength measurement. ‘Other sources’ refers to s-channel, t-channel, 𝑡𝑊, 𝑡𝑊𝑍, 𝑡𝑍𝑞, 𝑍+ jets and diboson events. Tables 4 and 5 show the observed and predicted signal and background event yields in all SRs and CRs before and after the inclusive fit to data. Post-fit values are summarised in Figure 5, where the precision increases post-fit due to profiling and the uncertainties can be observed to increase as a function of 𝑝𝐻 T , ranging from 2% to 12%. The SR BDT distributions are presented in Figures 6 and 7, while the Δ𝑅avg 𝑏𝑏 distributions in the single-lepton resolved CRs are shown in Figure 8. All distributions are compatible with the data. The normalisation factor for the 𝑡¯𝑡+ ≥1𝑏background is found to be 𝑘(𝑡¯𝑡+ ≥1𝑏) = 1.28 ± 0.08. 7 Results The best-fit 𝜇value is 𝜇= 0.35 ± 0.20 (stat.) +0.30 −0.28 (syst.) = 0.35+0.36 −0.34, corresponding to an observed (expected) significance of 1.0 (2.7) standard deviations with respect to the background-only hypothesis. This observed inclusive 𝜇and its uncertainty, common to all channels, cannot affect the shape of the signal distributions but only their normalisation, leading to post-fit signal yield uncertainties very close to 100%. 7 Results 19 SR≥6𝑗 ≥4𝑏, 𝑝𝐻 T ∈[0,120) GeV SR≥6𝑗 ≥4𝑏, 𝑝𝐻 T ∈[120,200) GeV SR≥6 𝑗 ≥4𝑏, 𝑝𝐻 T ∈[200,300) GeV SR≥6 𝑗 ≥4𝑏, 𝑝𝐻 T ∈[300,450) GeV SR≥6𝑗 ≥4𝑏, 𝑝𝐻 T ∈[450,∞) GeV Pre-fit Post-fit Pre-fit Post-fit Pre-fit Post-fit Pre-fit Post-fit Pre-fit Post-fit 𝑡¯𝑡𝐻 213 ± 29 76 ± 73 113 ± 15 40 ± 39 59.9 ± 7.8 21 ± 21 13.9 ± 2.0 4.8 ± 4.7 3.09 ± 0.49 1.0 ± 1.0 𝑡𝐻 3.01 ± 0.47 3.03 ± 0.44 1.81 ± 0.44 1.83 ± 0.40 1.24 ± 0.26 1.28 ± 0.25 0.26 ± 0.17 0.25 ± 0.14 0.000 ± 0.041 0.000 ± 0.041 𝑡¯𝑡+ ≥1𝑏 3160 ± 490 4530 ± 160 1530 ± 210 2050 ± 80 720 ± 130 865 ± 47 215 ± 61 240 ± 22 55 ± 27 44.7 ± 8.5 𝑡¯𝑡+ ≥1𝑐 510 ± 540 930 ± 190 220 ± 230 401 ± 83 96 ± 100 176 ± 36 26 ± 27 45 ± 10 6.9 ± 7.5 12.8 ± 3.2 𝑡¯𝑡+ 𝑊 7.0 ± 1.2 7.1 ± 1.1 4.31 ± 0.90 4.37 ± 0.84 2.47 ± 0.52 2.49 ± 0.46 1.05 ± 0.32 1.06 ± 0.30 0.47 ± 0.15 0.47 ± 0.14 𝑡¯𝑡+ 𝑍 77 ± 11 77 ± 10 44.6 ± 6.6 45.6 ± 6.3 30.1 ± 4.9 30.8 ± 4.8 11.5 ± 2.4 11.6 ± 2.3 2.05 ± 0.64 2.11 ± 0.64 𝑡¯𝑡+ light 180 ± 120 220 ± 130 85 ± 58 97 ± 58 37 ± 23 43 ± 25 10.5 ± 7.7 11.6 ± 7.8 2.2 ± 2.1 2.7 ± 2.3 Single top 𝑡𝑊 71 ± 40 76 ± 42 40 ± 26 42 ± 27 17.9 ± 7.6 18.3 ± 7.7 8.5 ± 7.9 9.5 ± 9.0 6.0 ± 5.3 6.0 ± 5.4 𝑡¯𝑡𝑡¯𝑡 15.9 ± 8.0 15.7 ± 7.9 12.6 ± 6.3 12.5 ± 6.3 7.7 ± 3.9 7.6 ± 3.8 2.7 ± 1.4 2.7 ± 1.3 0.98 ± 0.50 0.95 ± 0.49 Other top sources 46 ± 24 45 ± 24 23 ± 16 24 ± 16 13 ± 10 12.7 ± 9.6 4.3 ± 2.8 4.4 ± 2.6 1.08 ± 0.54 1.06 ± 0.54 𝑉& 𝑉𝑉+ jets 60 ± 24 60 ± 23 29 ± 11 29 ± 11 19.7 ± 8.3 19.7 ± 7.9 7.8 ± 3.4 7.8 ± 3.2 1.90 ± 0.88 1.84 ± 0.82 Total 4350 ± 810 6045 ± 82 2100 ± 360 2745 ± 48 1000 ± 180 1198 ± 33 301 ± 72 339 ± 16 80 ± 29 73.7 ± 7.2 Data 6047 2742 1199 331 75 SRboosted, 𝑝𝐻 T ∈[300,450) GeV SRboosted, 𝑝𝐻 T ∈[450,∞) GeV CR5 𝑗 ≥4𝑏lo CR5𝑗 ≥4𝑏hi Pre-fit Post-fit Pre-fit Post-fit Pre-fit Post-fit Pre-fit Post-fit 𝑡¯𝑡𝐻 35.1 ± 4.1 12 ± 12 8.5 ± 1.1 3.0 ± 2.9 61.7 ± 8.1 21 ± 21 62.1 ± 8.6 22 ± 21 𝑡𝐻 1.31 ± 0.31 1.31 ± 0.29 0.42 ± 0.10 0.42 ± 0.10 3.15 ± 0.41 3.15 ± 0.40 3.16 ± 0.42 3.18 ± 0.42 𝑡¯𝑡+ ≥1𝑏 246 ± 49 295 ± 23 55 ± 24 52.5 ± 9.3 1370 ± 160 1581 ± 89 1000 ± 150 1118 ± 51 𝑡¯𝑡+ ≥1𝑐 84 ± 90 156 ± 35 21 ± 23 38 ± 10 390 ± 410 650 ± 140 56 ± 59 93 ± 23 𝑡¯𝑡+ 𝑊 1.86 ± 0.39 1.88 ± 0.35 0.55 ± 0.18 0.56 ± 0.17 2.53 ± 0.53 2.58 ± 0.45 0.54 ± 0.13 0.53 ± 0.12 𝑡¯𝑡+ 𝑍 10.7 ± 2.1 10.9 ± 2.1 2.21 ± 0.60 2.32 ± 0.59 26.4 ± 3.7 26.0 ± 3.5 23.5 ± 3.4 23.0 ± 3.2 𝑡¯𝑡+ light 56 ± 26 61 ± 25 17 ± 10 16.2 ± 7.3 260 ± 120 270 ± 95 22 ± 16 20 ± 14 Single top 𝑡𝑊 13.1 ± 8.0 13.7 ± 8.3 6.1 ± 5.8 5.3 ± 4.6 58 ± 32 59 ± 32 27 ± 20 28 ± 20 𝑡¯𝑡𝑡¯𝑡 1.76 ± 0.89 1.74 ± 0.88 0.42 ± 0.22 0.41 ± 0.21 0.33 ± 0.17 0.31 ± 0.16 0.24 ± 0.13 0.23 ± 0.12 Other top sources 4.3 ± 3.2 4.4 ± 3.1 0.80 ± 0.78 0.82 ± 0.77 41 ± 16 41 ± 16 27 ± 11 26 ± 10 𝑉& 𝑉𝑉+ jets 12.4 ± 5.7 12.4 ± 5.4 4.3 ± 2.3 4.2 ± 2.0 42 ± 16 41 ± 15 24.2 ± 8.8 24.2 ± 8.5 Total 470 ± 120 571 ± 22 117 ± 38 123.8 ± 9.7 2260 ± 490 2694 ± 53 1250 ± 170 1359 ± 36 Data 581 118 2696 1362 Table 5: Pre-fit and post-fit event yields in the single-lepton (top) resolved signal regions and (bottom) boosted signal regions and control regions. Table 5: Pre-fit and post-fit event yields in the single-lepton (top) resolved signal regions and (bottom) boosted signal regions and control regions. Post-fit yields are after the inclusive fit in all channels. All uncertainties are included, taking into account correlations in the post-fit case. The 𝑘(𝑡¯𝑡+ ≥1𝑏) uncertainty is not defined pre-fit and therefore only included in the post-fit uncertainties. For the 𝑡¯𝑡𝐻signal, the pre-fit yield values correspond to the theoretical prediction and corresponding uncertainties, while the post-fit yield and uncertainties correspond to those in the inclusive signal-strength measurement. ‘Other top sources’ refers to s-channel, t-channel, 𝑡𝑊𝑍and 𝑡𝑍𝑞events. 7 Results Post-fit yields are after the inclusive fit in all channels. All uncertainties are included, taking into account correlations in the post-fit case. The 𝑘(𝑡¯𝑡+ ≥1𝑏) uncertainty is not defined pre-fit and therefore only included in the post-fit uncertainties. For the 𝑡¯𝑡𝐻signal, the pre-fit yield values correspond to the theoretical prediction and corresponding uncertainties, while the post-fit yield and uncertainties correspond to those in the inclusive signal-strength measurement. ‘Other top sources’ refers to s-channel, t-channel, 𝑡𝑊𝑍and 𝑡𝑍𝑞events. Table 5: Pre-fit and post-fit event yields in the single-lepton (top) resolved signal regions and (bottom) boosted signal regions and control regions. Post-fit yields are after the inclusive fit in all channels. All uncertainties are included, taking into account correlations in the post-fit case. The 𝑘(𝑡¯𝑡+ ≥1𝑏) uncertainty is not defined pre-fit and therefore only included in the post-fit uncertainties. For the 𝑡¯𝑡𝐻signal, the pre-fit yield values correspond to the theoretical prediction and corresponding uncertainties, while the post-fit yield and uncertainties correspond to those in the inclusive signal-strength measurement. ‘Other top sources’ refers to s-channel, t-channel, 𝑡𝑊𝑍and 𝑡𝑍𝑞events. 20 [0,120) GeV ∈ H T , p 4j ≥ 4b ≥ SR [120,200) GeV ∈ H T , p 4j ≥ 4b ≥ SR [200,300) GeV ∈ H T , p 4j ≥ 4b ≥ SR ) GeV ∞ [300, ∈ H T , p 4j ≥ 4b ≥ SR 3j 3b hi CR 4j ≥ 3b hi CR 4j ≥ 3b lo CR 0.8 0.9 1 1.1 Data / Pred. 1 10 2 10 3 10 4 10 5 10 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton Post-Fit Data H tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty (a) [0,120) GeV ∈ H T , p 4b ≥ 6j ≥ SR [120,200) GeV ∈ H T , p 4b ≥ 6j ≥ SR [200,300) GeV ∈ H T , p 4b ≥ 6j ≥ SR [300,450) GeV ∈ H T , p 4b ≥ 6j ≥ SR ) GeV ∞ [450, ∈ H T , p 4b ≥ 6j ≥ SR [300,450) GeV ∈ H T , p boosted SR ) GeV ∞ [450, ∈ H T , p boosted SR 4b lo ≥ 5j CR 4b hi ≥ 5j CR 0.8 0.9 1 1.1 Data / Pred. 7 Results 1 10 2 10 3 10 4 10 5 10 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton Post-Fit Data H tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty (b) Figure 5: Comparison of predicted and observed event yields in each of the control and signal regions in the (a) dilepton and (b) single-lepton channels after the fit to the data. The uncertainty band includes all uncertainties and their correlations. [0,120) GeV ∈ H T , p 4j ≥ 4b ≥ SR [120,200) GeV ∈ H T , p 4j ≥ 4b ≥ SR [200,300) GeV ∈ H T , p 4j ≥ 4b ≥ SR ) GeV ∞ [300, ∈ H T , p 4j ≥ 4b ≥ SR 3j 3b hi CR 4j ≥ 3b hi CR 4j ≥ 3b lo CR 0.8 0.9 1 1.1 Data / Pred. 1 10 2 10 3 10 4 10 5 10 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton Post-Fit Data H tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty (a) [0,120) GeV ∈ H T , p 4b ≥ 6j ≥ SR [120,200) GeV ∈ H T , p 4b ≥ 6j ≥ SR [200,300) GeV ∈ H T , p 4b ≥ 6j ≥ SR [300,450) GeV ∈ H T , p 4b ≥ 6j ≥ SR ) GeV ∞ [450, ∈ H T , p 4b ≥ 6j ≥ SR [300,450) GeV ∈ H T , p boosted SR ) GeV ∞ [450, ∈ H T , p boosted SR 4b lo ≥ 5j CR 4b hi ≥ 5j CR 0.8 0.9 1 1.1 Data / Pred. 1 10 2 10 3 10 4 10 5 10 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton Post-Fit Data H tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty (b) (b) (a) Figure 5: Comparison of predicted and observed event yields in each of the control and signal regions in the (a) dilepton and (b) single-lepton channels after the fit to the data. The uncertainty band includes all uncertainties and their correlations. 7 Results 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.5 0.75 1 1.25 Data / Pred. 0 50 100 150 200 250 300 350 400 450 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR [0,120) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.5 0.75 1 1.25 Data / Pred. 0 50 100 150 200 250 300 350 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR [120,200) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.5 0.75 1 1.25 Data / Pred. 0 20 40 60 80 100 120 140 160 180 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR [200,300) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.5 0.75 1 1.25 Data / Pred. 0 10 20 30 40 50 60 70 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR ) GeV ∞ [300, ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (d) Figure 6: Comparison between data and prediction for the BDT discriminant in the dilepton SRs after the inclusive fit to the data, for (a) 0 ≤𝑝𝐻 T < 120 GeV, (b) 120 ≤𝑝𝐻 T < 200 GeV, (c) 200 ≤𝑝𝐻 T < 300 GeV and (d) 𝑝𝐻 T ≥300 GeV. 7 Results The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.5 0.75 1 1.25 Data / Pred. 0 20 40 60 80 100 120 140 160 180 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR [200,300) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.5 0.75 1 1.25 Data / Pred. 0 50 100 150 200 250 300 350 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR [120,200) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.5 0.75 1 1.25 Data / Pred. 0 10 20 30 40 50 60 70 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR ) GeV ∞ [300, ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (d) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.5 0.75 1 1.25 Data / Pred. 0 50 100 150 200 250 300 350 400 450 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR [0,120) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. 7 Results (a) (b) (c) (d) (a) Figure 6: Comparison between data and prediction for the BDT discriminant in the dilepton SRs after the inclusive fit to the data, for (a) 0 ≤𝑝𝐻 T < 120 GeV, (b) 120 ≤𝑝𝐻 T < 200 GeV, (c) 200 ≤𝑝𝐻 T < 300 GeV and (d) 𝑝𝐻 T ≥300 GeV. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 21 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 500 1000 1500 2000 2500 3000 3500 4000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [0,120) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 200 400 600 800 1000 1200 1400 1600 1800 2000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [120,200) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 100 200 300 400 500 600 700 800 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [200,300) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 7 Results 0 50 100 150 200 250 300 350 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [300,450) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (d) 0.75 0.875 1 1.125 Data / Pred. 0 20 40 60 80 100 120 140 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR ) GeV ∞ [450, ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (e) 0.05 − 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 50 100 150 200 250 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR [300,450) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (f) 0.05 − 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 10 20 30 40 50 60 70 80 90 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR ) GeV ∞ [450, ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (g) Figure 7: Comparison between data and prediction for the BDT discriminant in the single-lepton SRs after the inclusive fit to the data. The resolved channel is shown for (a) 0 ≤𝑝𝐻 T < 120 GeV, (b) 120 ≤𝑝𝐻 T < 200 GeV, (c) 200 ≤𝑝𝐻 T < 300 GeV, (d) 300 ≤𝑝𝐻 T < 450 GeV and (e) 𝑝𝐻 T ≥450 GeV (yield only). The boosted channel is shown for (f) 300 ≤𝑝𝐻 T < 450 GeV and (g) 𝑝𝐻 T ≥450 GeV. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇 value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. 7 Results 0 10 20 30 40 50 60 70 80 90 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR ) GeV ∞ [450, ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (g) b) ( 0.05 − 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 50 100 150 200 250 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR [300,450) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (f) (a) 0.75 0.875 1 1.125 Data / Pred. 0 20 40 60 80 100 120 140 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR ) GeV ∞ [450, ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (e) (e) (f) (g) Figure 7: Comparison between data and prediction for the BDT discriminant in the single-lepton SRs after the inclusive fit to the data. The resolved channel is shown for (a) 0 ≤𝑝𝐻 T < 120 GeV, (b) 120 ≤𝑝𝐻 T < 200 GeV, (c) 200 ≤𝑝𝐻 T < 300 GeV, (d) 300 ≤𝑝𝐻 T < 450 GeV and (e) 𝑝𝐻 T ≥450 GeV (yield only). The boosted channel is shown for (f) 300 ≤𝑝𝐻 T < 450 GeV and (g) 𝑝𝐻 T ≥450 GeV. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇 value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 1.6 1.8 2 2.2 2.4 2.6 2.8 3 avg bb R ∆ 0.5 0.75 1 1.25 1.5 Data / Pred. 7 Results The uncertainty band includes all uncertainties and their correlations. 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 50 100 150 200 250 300 350 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [300,450) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (d) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 500 1000 1500 2000 2500 3000 3500 4000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [0,120) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 100 200 300 400 500 600 700 800 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [200,300) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 0 200 400 600 800 1000 1200 1400 1600 1800 2000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [120,200) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) (c) (a) (b) (d) c) (d) 0.05 − 0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 Classification BDT 0.75 0.875 1 1.125 Data / Pred. 7 Results 0 1000 2000 3000 4000 5000 6000 7000 8000 Events / bin-width ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b lo ≥ 5j CR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. 0 (a) 1.6 1.8 2 2.2 2.4 2.6 2.8 3 avg bb R ∆ 0.5 0.75 1 1.25 1.5 Data / Pred. 0 500 1000 1500 2000 2500 3000 3500 Events / bin-width ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b hi ≥ 5j CR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. 0 (b) Figure 8: Comparison between data and prediction for Δ𝑅avg 𝑏𝑏after the inclusive fit to the data in the single-lepton (a) CR5𝑗 ≥4𝑏lo and (b) CR5𝑗 ≥4𝑏hi control regions. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. The first (last) bin includes the underflow (overflow). 1.6 1.8 2 2.2 2.4 2.6 2.8 3 avg bb R ∆ 0.5 0.75 1 1.25 1.5 Data / Pred. 0 500 1000 1500 2000 2500 3000 3500 Events / bin-width ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b hi ≥ 5j CR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. 0 (b) 1.6 1.8 2 2.2 2.4 2.6 2.8 3 avg bb R ∆ 0.5 0.75 1 1.25 1.5 Data / Pred. 0 1000 2000 3000 4000 5000 6000 7000 8000 Events / bin-width ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b lo ≥ 5j CR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. 0 (a) (b) (a) Figure 8: Comparison between data and prediction for Δ𝑅avg 𝑏𝑏after the inclusive fit to the data in the single-lepton (a) CR5𝑗 ≥4𝑏lo and (b) CR5𝑗 ≥4𝑏hi control regions. 7 Results The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. The first (last) bin includes the underflow (overflow). 22 2.6 − 2.4 − 2.2 − 2 − 1.8 − 1.6 − 1.4 − 1.2 − 1 − 0.8 − (S/B) 10 log 0.8 1 1.2 1.4 1.6 Data / Bkgd =1.0) + Bkgd SM µ H ( tt =0.35) + Bkgd fit µ H ( tt 2 10 3 10 4 10 5 10 Events / 0.2 Data =1.0) SM µ H ( tt =0.35) fit µ H ( tt Background Bkgd Unc. ATLAS -1 = 13 TeV, 139 fb s ) Combined b H(b tt Single lepton and Dilepton Post-Fit Figure 9: Post-fit yields of signal (𝑆) and total background (𝐵) as a function of log(𝑆/𝐵), compared with data. Final-discriminant bins in all dilepton and single-lepton analysis regions are combined into bins of log(𝑆/𝐵), with the signal normalised to the SM prediction used for the computation of log(𝑆/𝐵). The signal is then shown normalised to the best-fit value and the SM prediction. The lower frame reports the ratio of data to background, and this is compared with the expected 𝑡¯𝑡𝐻-signal-plus-background yield divided by the background-only yield for the best-fit signal strength (solid red line) and the SM prediction (dashed orange line). 2.6 − 2.4 − 2.2 − 2 − 1.8 − 1.6 − 1.4 − 1.2 − 1 − 0.8 − (S/B) 10 log 0.8 1 1.2 1.4 1.6 Data / Bkgd =1.0) + Bkgd SM µ H ( tt =0.35) + Bkgd fit µ H ( tt 2 10 3 10 4 10 5 10 Events / 0.2 Data =1.0) SM µ H ( tt =0.35) fit µ H ( tt Background Bkgd Unc. ATLAS -1 = 13 TeV, 139 fb s ) Combined b H(b tt Single lepton and Dilepton Post-Fit Data / Bkgd 9: Post-fit yields of signal (𝑆) and total background (𝐵) as a function of log(𝑆/𝐵), compared with dat g y g g g( / ) p Final-discriminant bins in all dilepton and single-lepton analysis regions are combined into bins of log(𝑆/𝐵), with the signal normalised to the SM prediction used for the computation of log(𝑆/𝐵). 7 Results The signal is then shown normalised to the best-fit value and the SM prediction. The lower frame reports the ratio of data to background, and this is compared with the expected 𝑡¯𝑡𝐻-signal-plus-background yield divided by the background-only yield for the best-fit signal strength (solid red line) and the SM prediction (dashed orange line). The statistical uncertainty is obtained by repeating the fit to data after fixing all nuisance parameters to their post-fit values, with the exception of the free normalisation factors in the fit: 𝑘(𝑡¯𝑡+ ≥1𝑏) and 𝜇. The total systematic uncertainty is obtained by subtracting the statistical variance from the total variance, i.e. 𝜎syst = √︃ 𝜎2 tot −𝜎2 stat. The expected significance is computed from a fit to a pseudo-dataset, built using the pulls from the nominal fit when fixing 𝜇= 1. Figure 9 shows the event yield in data compared with the post-fit prediction for all events entering the analysis selection, grouped and ordered by the signal-to-background ratio of the corresponding final-discriminant bins. The global goodness of fit, including all input variables to the classification BDTs and to a fit using the saturated model [127], is 92%, validating the good post-fit modelling achieved. Some of the most important variables used in the classification BDTs are shown in Figure 10 for the dilepton channel, Figure 11 for the single-lepton resolved channel and Figure 12 for the single-lepton boosted channel. The probability of obtaining a level of agreement worse than observed between the fitted predictions and data was evaluated by calculating the 𝜒2 for a given number of degrees of freedom and integrating the cumulative probability distribution to +∞. For all channels combined, the mean probability is 80% for classification BDT outputs and 60% for classification BDT training variables in all SRs. Post-fit distributions of the reconstructed Higgs boson candidate mass in the three SRs are shown in Figure 13. The probability of the obtained signal strength being compatible with the SM prediction is 8.5%, estimated by redoing the fit while fixing 𝜇= 1. The measured signal strength is compatible with that obtained 23 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Reconstruction BDT 0.75 0.875 1 1.125 Data / Pred. 7 Results 0 20 40 60 80 100 120 140 160 180 200 220 240 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton [0,120) ∈ H T , p 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 0 0.5 1 1.5 2 2.5 bb avg η ∆ 0.75 0.875 1 1.125 1.25 Data / Pred. 0 100 200 300 400 500 600 700 800 900 Events / bin-width ATLAS -1 = 13 TeV, 139 fb s Dilepton [0,120) ∈ H T , p 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) Figure 10: Comparison between data and prediction for (a) the reconstruction BDT score for the Higgs boson candidate identified using Higgs boson information, and (b) the average Δ𝜂between 𝑏-tagged jets, after the inclusive fit to the data in the dilepton resolved channel for 0 ≤𝑝𝐻 T < 120 GeV. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 0 0.5 1 1.5 2 2.5 bb avg η ∆ 0.75 0.875 1 1.125 1.25 Data / Pred. 0 100 200 300 400 500 600 700 800 900 Events / bin-width ATLAS -1 = 13 TeV, 139 fb s Dilepton [0,120) ∈ H T , p 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 1 − 0.8 − 0.6 − 0.4 − 0.2 − 0 0.2 0.4 0.6 0.8 1 Reconstruction BDT 0.75 0.875 1 1.125 Data / Pred. 0 20 40 60 80 100 120 140 160 180 200 220 240 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton [0,120) ∈ H T , p 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. 7 Results (a) (b) (a) Figure 10: Comparison between data and prediction for (a) the reconstruction BDT score for the Higgs boson candidate identified using Higgs boson information, and (b) the average Δ𝜂between 𝑏-tagged jets, after the inclusive fit to the data in the dilepton resolved channel for 0 ≤𝑝𝐻 T < 120 GeV. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 Likelihood discriminant 0.75 0.875 1 1.125 Data / Pred. 0 500 1000 1500 2000 2500 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [0,120) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 1.6 1.8 2 2.2 2.4 2.6 2.8 3 avg bb R ∆ 0.75 0.875 1 1.125 Data / Pred. 0 500 1000 1500 2000 2500 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [0,120) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) Figure 11: Comparison between data and prediction for (a) the likelihood discriminant, and (b) the average Δ𝑅for all possible combinations of 𝑏-tagged jet pairs, after the inclusive fit to the data in the single-lepton resolved channel for 0 ≤𝑝𝐻 T < 120 GeV. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 1.6 1.8 2 2.2 2.4 2.6 2.8 3 avg bb R ∆ 0.75 0.875 1 1.125 Data / Pred. 0 500 1000 1500 2000 2500 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [0,120) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. 7 Results 0.6 0.65 0.7 0.75 0.8 0.85 0.9 0.95 1 Higgs candidate DNN-tagger P(H) 0.5 0.75 1 1.25 Data / Pred. 0 10 20 30 40 50 60 70 80 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR ) GeV ∞ [450, ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 0.6 0.65 0.7 0.75 0.8 0.85 0.9 0.95 1 Higgs candidate DNN-tagger P(H) 0.5 0.75 1 1.25 Data / Pred. 0 100 200 300 400 500 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR [300,450) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) Higgs candidate DNN-tagger P(H) (b) (a) Figure 12: Comparison between data and prediction for the DNN 𝑃(𝐻) output for the Higgs boson candidate after the inclusive fit to the data in the single-lepton boosted channel for (a) 300 ≤𝑝𝐻 T < 450 GeV and (b) 𝑝𝐻 T ≥450 GeV. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 100 105 110 115 120 125 130 135 140 Higgs boson candidate mass [GeV] 0.5 0.75 1 1.25 Data / Pred. 0 20 40 60 80 100 120 140 160 180 200 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) 50 100 150 200 250 300 350 400 Higgs boson candidate mass [GeV] 0.5 0.75 1 1.25 Data / Pred. 0 1000 2000 3000 4000 5000 6000 7000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. 7 Results (b) 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 Likelihood discriminant 0.75 0.875 1 1.125 Data / Pred. 0 500 1000 1500 2000 2500 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR [0,120) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) (b) (b) (a) Figure 11: Comparison between data and prediction for (a) the likelihood discriminant, and (b) the average Δ𝑅for all possible combinations of 𝑏-tagged jet pairs, after the inclusive fit to the data in the single-lepton resolved channel for 0 ≤𝑝𝐻 T < 120 GeV. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 24 0.6 0.65 0.7 0.75 0.8 0.85 0.9 0.95 1 Higgs candidate DNN-tagger P(H) 0.5 0.75 1 1.25 Data / Pred. 0 100 200 300 400 500 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR [300,450) GeV ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 0.6 0.65 0.7 0.75 0.8 0.85 0.9 0.95 1 Higgs candidate DNN-tagger P(H) 0.5 0.75 1 1.25 Data / Pred. 0 10 20 30 40 50 60 70 80 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR ) GeV ∞ [450, ∈ H T p Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) Figure 12: Comparison between data and prediction for the DNN 𝑃(𝐻) output for the Higgs boson candidate after the inclusive fit to the data in the single-lepton boosted channel for (a) 300 ≤𝑝𝐻 T < 450 GeV and (b) 𝑝𝐻 T ≥450 GeV. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. 7 Results (b) 50 100 150 200 250 300 Higgs boson candidate mass [GeV] 0.5 0.75 1 1.25 Data / Pred. 0 100 200 300 400 500 600 700 800 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 50 100 150 200 250 300 Higgs boson candidate mass [GeV] 0.5 0.75 1 1.25 Data / Pred. 0 100 200 300 400 500 600 700 800 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 50 100 150 200 250 300 350 400 Higgs boson candidate mass [GeV] 0.5 0.75 1 1.25 Data / Pred. 0 1000 2000 3000 4000 5000 6000 7000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 100 105 110 115 120 125 130 135 140 Higgs boson candidate mass [GeV] 0.5 0.75 1 1.25 Data / Pred. 0 20 40 60 80 100 120 140 160 180 200 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) Figure 13: Post-fit distributions of the reconstructed Higgs boson candidate mass for the (a) dilepton SR≥4𝑗 ≥4𝑏, (b) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c) single-lepton boosted SRboosted signal regions. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. The first (last) bin includes the underflow (overflow). (a) (b) (c) Figure 13: Post-fit distributions of the reconstructed Higgs boson candidate mass for the (a) dilepton SR≥4𝑗 ≥4𝑏, (b) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c) single-lepton boosted SRboosted signal regions. 7 Results The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. The first (last) bin includes the underflow (overflow). 13: Post-fit distributions of the reconstructed Higgs boson candidate mass for the (a) dilepton SR≥4𝑗 ≥4𝑏, (b Figure 13: Post-fit distributions of the reconstructed Higgs boson candidate mass for the (a) dilepton SR≥4𝑗 ≥4𝑏, (b) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c) single-lepton boosted SRboosted signal regions. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. The first (last) bin includes the underflow (overflow). 25 2 − 0 2 4 6 8 10 SM H ttσ / H ttσ = H ttµ Inclusive Dilepton l+jets boosted l+jets resolved 0.41 − +0.43 0.30 0.21 − +0.22 0.34 − +0.37 ( ) 0.57 − +0.61 0.32 0.42 − +0.45 0.38 − +0.41 ( ) 0.65 − +0.69 0.60 0.39 − +0.40 0.52 − +0.56 ( ) 0.34 − +0.36 0.35 0.20 − +0.20 0.28 − +0.30 ( ) Tot. ( Stat. Syst.) Total Stat. ATLAS SM compatibility: 8.5% =125 GeV H , m -1 =13 TeV, 139 fb s Figure 14: Fitted values of the 𝑡¯𝑡𝐻signal-strength parameter in the individual channels and in the inclusive signal strength measurement. Figure 14: Fitted values of the 𝑡¯𝑡𝐻signal-strength parameter in the individual channels and in the inclusive signal strength measurement. previously [27] from part of the dataset, and the impact of systematic uncertainties has been reduced by about a factor of two. The main improvements come from improved theoretical knowledge in 𝑡¯𝑡+ ≥1𝑏 modelling, from the much larger size of simulated event samples for systematic uncertainty estimation as well as from the refined 𝑏-tagging scale factors and jet energy scale and resolution measurements. previously [27] from part of the dataset, and the impact of systematic uncertainties has been reduced by about a factor of two. The main improvements come from improved theoretical knowledge in 𝑡¯𝑡+ ≥1𝑏 modelling, from the much larger size of simulated event samples for systematic uncertainty estimation as well as from the refined 𝑏-tagging scale factors and jet energy scale and resolution measurements. 7 Results Additionally, a large pull is observed in the 𝑡¯𝑡+≥1𝑏NLO matching uncertainty in the dilepton channel in the 0 ≤𝑝𝐻 T < 120 GeV bin, as shown in Figure 15 where it is ranked sixth for the impact on this measurement. Due to the large number of nuisance parameters entering into the likelihood fit, there is a non-negligible probability that any one of the 𝑡¯𝑡+ ≥1𝑏NLO matching uncertainties could be pulled to a value at least as extreme as that observed from a purely statistical standpoint. The probability is calculated to be 17%. Despite the large differences between models (see Section 6.2), the varying 𝑡¯𝑡+ ≥1𝑏composition in the CRs and SRs allows the 𝑡¯𝑡+ ≥1𝑏subcomponent fraction systematic uncertainty to be constrained. In general the fit mostly constrains the 𝑡¯𝑡+ ≥1𝑏modelling uncertainties and the normalisation of the 𝑡¯𝑡+ ≥1𝑐 background, which is pulled to 0.6𝜎and agrees very well with the previous publication [27]. To further validate the robustness of the fit, a pseudo-data sample was built from simulated events by replacing the nominal 𝑡¯𝑡+ ≥1𝑏background with the alternative 𝑡¯𝑡+ 𝑏¯𝑏MC sample generated with Sherpa 2.2.1. The fit to this pseudo-data sample did not reveal any significant bias in the signal extraction, the signal strength being compatible with unity within uncertainties. The fit is also performed with multiple signal strengths corresponding to the five ‘truth’ ˆ𝑝𝐻 T bins. Figure 18 shows the values obtained. The normalisation factor is found to be 𝑘(𝑡¯𝑡+ ≥1𝑏) = 1.28 ± 0.08, in perfect agreement with the single 𝜇fit value. The global goodness of fit is 88%, summarising the good post-fit modelling obtained. The probability that the obtained signal strengths are compatible with the SM predictions is 45%, estimated by redoing the fit while fixing the 𝜇value to 1 in the five bins. Overall, pulls and constraints similar to those in the inclusive measurement are observed. The measurement is dominated by systematic uncertainties in the lowest bin of ‘truth’ ˆ𝑝𝐻 T (mostly from the 𝑡¯𝑡+ ≥1𝑏background modelling), and by statistical uncertainties in the upper three bins. Cross-section upper limits are also derived in the STXS framework. In this case, the likelihood function is slightly different from the one used to extract signal strengths: the effects of signal scale and PDF uncertainties on the predicted cross-section are not included because, while affecting the signal-strength measurements, they do not affect the cross-section measurements. 7 Results The fit is repeated with three independent signal strengths, one each for the dilepton, single-lepton resolved and single-lepton boosted channels. Figure 14 shows the 𝜇value obtained for each channel and the single signal strength from the previous fit. In this fit the normalisation factor for the 𝑡¯𝑡+ ≥1𝑏background is found to be 𝑘(𝑡¯𝑡+ ≥1𝑏) = 1.27 ± 0.08, compatible with the value in the single 𝜇fit. The probability of obtaining a discrepancy between these three 𝜇values equal to or larger than the one observed is 90%. The measurement is largely dominated by systematic uncertainties. Their contributions to the fit to 𝜇are reported in Table 6. The dominant impact comes from the modelling of the 𝑡¯𝑡+ ≥1𝑏background, followed by the signal modelling, 𝑡𝑊modelling and 𝑏-tagging efficiency uncertainties. The largest observed pull on systematic uncertainties, as shown in Figure 15, is seen in the 𝑡¯𝑡+ ≥1𝑏ISR uncertainty, and is about 1.2𝜎, mostly driven by the renormalisation scale. This pull indicates that the data favours a softer renormalisation scale in the ME calculation, as also suggested in Ref. [128] where a lower scale in 𝑡¯𝑡𝑏¯𝑏calculations gives better agreement with 𝑡¯𝑡𝑏¯𝑏𝑗calculations. This effect was shown to not affect the BDT shapes in each individual region, while correcting a mismodelling in the distribution of the number of jets in the event (by adjusting the amount of additional radiation), which affects the categorisation of events. The distributions of the number of jets in the three SRs are shown in Figure 16 pre-fit and post-fit. Decorrelating this uncertainty between the dilepton and single-lepton channels leads to very similar fitted 𝜇values and nuisance parameter pulls. Another large pull is on the reconstructed 𝑝𝑏𝑏 T shape uncertainty in the 𝑡¯𝑡+≥1𝑏background, as expected from the pre-fit mismodelling (see Figure 4) and how this uncertainty is defined: a +1𝜎variation corresponds to correcting the reconstructed 𝑝𝐻 T shape such that it agrees between data and the background model (see Section 6.2). The sensitivity of the result to this uncertainty was tested by replacing the data-driven mismodelling with decorrelated free-floating 𝑡¯𝑡+ ≥1𝑏normalisation factors across the STXS bins and 26 analysis regions, and no bias was observed on the fitted signal strength. The reconstructed 𝑝𝐻 T distributions display good post-fit agreement, as shown in Figure 17 (to be compared with the pre-fit discrepancies shown in Figure 4). Table 6: Breakdown of the contributions to the uncertainties in 𝜇. The contributions from the different sources of uncertainty are evaluated after the fit. The Δ𝜇values are obtained by repeating the fit after having fixed a certain set of nuisance parameters corresponding to a group of systematic uncertainties, and then evaluating (Δ𝜇)2 by subtracting the resulting squared uncertainty of 𝜇from its squared uncertainty found in the full fit. The same procedure is followed when quoting the effect of the 𝑡¯𝑡+ ≥1𝑏normalisation. The total uncertainty is different from the sum in quadrature of the different components due to correlations between nuisance parameters existing in the fit. 7 Results Scale effects are still present in the statistical model though, via the ISR uncertainty, but with no impact on the overall cross-section. The inclusive cross-section of 507 fb is used to calculate these limits, scaled by the fraction of events in each ˆ𝑝𝐻 T bin to establish the fiducial cross-section for each STXS bin. The measured 95% confidence level (CL) cross-section upper limits in each STXS bin are shown in Figure 19, where the hatched uncertainty bands correspond to the theoretical uncertainty in the fiducial cross-section prediction in each bin. 27 27 Uncertainty source Δ𝜇 Process modelling 𝑡¯𝑡𝐻modelling +0.13 −0.05 𝑡¯𝑡+ ≥1𝑏modelling 𝑡¯𝑡+ ≥1𝑏NLO matching +0.21 −0.20 𝑡¯𝑡+ ≥1𝑏fractions +0.12 −0.12 𝑡¯𝑡+ ≥1𝑏FSR +0.10 −0.11 𝑡¯𝑡+ ≥1𝑏PS & hadronisation +0.09 −0.08 𝑡¯𝑡+ ≥1𝑏𝑝𝑏𝑏 T shape +0.04 −0.04 𝑡¯𝑡+ ≥1𝑏ISR +0.04 −0.04 𝑡¯𝑡+ ≥1𝑐modelling +0.03 −0.04 𝑡¯𝑡+ light modelling +0.03 −0.03 𝑡𝑊modelling +0.08 −0.07 Background-model statistical uncertainty +0.04 −0.05 𝑏-tagging efficiency and mis-tag rates 𝑏-tagging efficiency +0.03 −0.02 𝑐-mis-tag rates +0.03 −0.03 𝑙-mis-tag rates +0.02 −0.02 Jet energy scale and resolution 𝑏-jet energy scale +0.00 −0.01 Jet energy scale (flavour) +0.01 −0.01 Jet energy scale (pile-up) +0.00 −0.01 Jet energy scale (remaining) +0.01 −0.01 Jet energy resolution +0.02 −0.02 Luminosity +0.01 −0.00 Other sources +0.03 −0.03 Total systematic uncertainty +0.30 −0.28 𝑡¯𝑡+ ≥1𝑏normalisation +0.04 −0.07 Total statistical uncertainty +0.20 −0.20 Total uncertainty +0.36 −0.34 Table 6: Breakdown of the contributions to the uncertainties in 𝜇. The contributions from the different sources of uncertainty are evaluated after the fit. The Δ𝜇values are obtained by repeating the fit after having fixed a certain set of nuisance parameters corresponding to a group of systematic uncertainties, and then evaluating (Δ𝜇)2 by subtracting the resulting squared uncertainty of 𝜇from its squared uncertainty found in the full fit. The same procedure is followed when quoting the effect of the 𝑡¯𝑡+ ≥1𝑏normalisation. The total uncertainty is different from the sum in quadrature of the different components due to correlations between nuisance parameters existing in the fit. 28 2 − 1.5 − 1 − 0.5 − 0 0.5 1 1.5 2 θ ∆ )/ 0 θ - θ ( +light: PS & hadronisation tt tW: NLO matching H: cross-section (QCD scale) tt 1b: ISR ≥ + tt ) GeV ∞ [450, ∈ H T 1b: NLO match. ljets p ≥ + tt [300,450) GeV ∈ H T 1b: NLO match. 7 Results ljets p ≥ + tt H: PS & hadronisation tt tW: diagram subtraction shape bb T 1b: p ≥ + tt [120,200) GeV ∈ H T 1b: NLO match. dilep p ≥ + tt 1b) ≥ + t k(t H: NLO matching tt tW: PS & hadronisation 1b: NLO match. CR ljets ≥ + tt [0,120) GeV ∈ H T 1b: NLO match. dilep p ≥ + tt 1b: PS & hadronisation dilep ≥ + tt 1b: FSR ≥ + tt 1b fraction ≥ + tt [120,200) GeV ∈ H T 1b: NLO match. ljets p ≥ + tt [0,120) GeV ∈ H T 1b: NLO match. ljets p ≥ + tt 0.4 − 0.3 − 0.2 − 0.1 − 0 0.1 0.2 0.3 0.4 µ ∆ : µ Pre-fit impact on θ ∆ + θ = θ θ ∆ - θ = θ : µ Post-fit impact on θ ∆ + θ = θ θ ∆ - θ = θ Nuis. Param. Pull ATLAS -1 = 13 TeV, 139 fb s Combined 2 − 1.5 − 1 − 0.5 − 0 0.5 1 1.5 2 θ ∆ )/ 0 θ - θ ( +light: PS & hadronisation tt tW: NLO matching H: cross-section (QCD scale) tt 1b: ISR ≥ + tt ) GeV ∞ [450, ∈ H T 1b: NLO match. ljets p ≥ + tt [300,450) GeV ∈ H T 1b: NLO match. ljets p ≥ + tt H: PS & hadronisation tt tW: diagram subtraction shape bb T 1b: p ≥ + tt [120,200) GeV ∈ H T 1b: NLO match. dilep p ≥ + tt 1b) ≥ + t k(t H: NLO matching tt tW: PS & hadronisation 1b: NLO match. CR ljets ≥ + tt [0,120) GeV ∈ H T 1b: NLO match. dilep p ≥ + tt 1b: PS & hadronisation dilep ≥ + tt 1b: FSR ≥ + tt 1b fraction ≥ + tt [120,200) GeV ∈ H T 1b: NLO match. ljets p ≥ + tt [0,120) GeV ∈ H T 1b: NLO match. ljets p ≥ + tt 0.4 − 0.3 − 0.2 − 0.1 − 0 0.1 0.2 0.3 0.4 µ ∆ : µ Pre-fit impact on θ ∆ + θ = θ θ ∆ - θ = θ : µ Post-fit impact on θ ∆ + θ = θ θ ∆ - θ = θ Nuis. Param. 7 Results ljets p ≥ + tt H: PS & hadronisation tt tW: diagram subtraction shape bb T 1b: p ≥ + tt [120,200) GeV ∈ H T 1b: NLO match. dilep p ≥ + tt 1b) ≥ + t k(t H: NLO matching tt tW: PS & hadronisation 1b: NLO match. CR ljets ≥ + tt [0,120) GeV ∈ H T 1b: NLO match. dilep p ≥ + tt 1b: PS & hadronisation dilep ≥ + tt 1b: FSR ≥ + tt 1b fraction ≥ + tt [120,200) GeV ∈ H T 1b: NLO match. ljets p ≥ + tt [0,120) GeV ∈ H T 1b: NLO match. ljets p ≥ + tt 0.4 − 0.3 − 0.2 − 0.1 − 0 0.1 0.2 0.3 0.4 µ ∆ : µ Pre-fit impact on θ ∆ + θ = θ θ ∆ - θ = θ : µ Post-fit impact on θ ∆ + θ = θ θ ∆ - θ = θ Nuis. Param. Pull ATLAS -1 = 13 TeV, 139 fb s Combined Figure 15: Ranking of the 20 nuisance parameters with the largest post-fit impact on 𝜇in the fit. Nuisance parameters corresponding to statistical uncertainties in the simulated event samples are not included. The empty blue rectangles correspond to the pre-fit impact on 𝜇and the filled blue ones to the post-fit impact on 𝜇, both referring to the upper scale. The impact of each nuisance parameter, Δ𝜇, is computed by comparing the nominal best-fit value of 𝜇with the result of the fit when fixing the considered nuisance parameter to its best-fit value, ˆ𝜃, shifted by its pre-fit (post-fit) uncertainties ±Δ𝜃(±Δ ˆ𝜃). The black points show the pulls of the nuisance parameters relative to their nominal values, 𝜃0. These pulls and their relative post-fit errors, Δ ˆ𝜃/Δ𝜃, refer to the lower scale. The ‘ljets’ (‘dilep’) label refers to the single-lepton (dilepton) channel. 2 − 1.5 − 1 − 0.5 − 0 0.5 1 1.5 2 θ ∆ )/ 0 θ - θ ( +light: PS & hadronisation tt tW: NLO matching H: cross-section (QCD scale) tt 1b: ISR ≥ + tt ) GeV ∞ [450, ∈ H T 1b: NLO match. ljets p ≥ + tt [300,450) GeV ∈ H T 1b: NLO match. 7 Results 0 1000 2000 3000 4000 5000 6000 7000 8000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 4 5 6 7 8 9 ≥ Number of jets 0.2 0.6 1 1.4 Data / Pred. 0 100 200 300 400 500 600 700 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 6 7 8 9 10 11 12 13 ≥ Number of jets 0.2 0.6 1 1.4 Data / Pred. 0 1000 2000 3000 4000 5000 6000 7000 8000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 4 5 6 7 8 9 10 11 12 ≥ Number of small-R jets 0.2 0.6 1 1.4 Data / Pred. 0 50 100 150 200 250 300 350 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) 4 5 6 7 8 9 ≥ Number of jets 0.2 0.6 1 1.4 Data / Pred. 0 100 200 300 400 500 600 700 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (d) 6 7 8 9 10 11 12 13 ≥ Number of jets 0.2 0.6 1 1.4 Data / Pred. 7 Results Pull ATLAS -1 = 13 TeV, 139 fb s Combined 2 − 1.5 − 1 − 0.5 − 0 0.5 1 1.5 2 θ ∆ )/ 0 θ - θ ( & hadronisation NLO matching on (QCD scale) 1b: ISR ≥ + tt ) GeV ∞ [450, ∈ [300,450) GeV & hadronisation ram subtraction shape bb T 1b: p ≥ + [120,200) GeV 1b) ≥ + t k(t : NLO matching & hadronisation match. CR ljets [0,120) GeV ∈ H T ronisation dilep 1b: FSR ≥ + tt 1b fraction ≥ + tt [120,200) GeV [0,120) GeV ∈ H T 0.4 − 0.3 − 0.2 − 0.1 − 0 0.1 0.2 0.3 0.4 µ ∆ θ ∆ - θ θ ∆ - θ ull ATLAS -1 = 13 TeV, 139 fb s Combined Figure 15: Ranking of the 20 nuisance parameters with the largest post-fit impact on 𝜇in the fit. Nuisance parameters corresponding to statistical uncertainties in the simulated event samples are not included. The empty blue rectangles correspond to the pre-fit impact on 𝜇and the filled blue ones to the post-fit impact on 𝜇, both referring to the upper scale. The impact of each nuisance parameter, Δ𝜇, is computed by comparing the nominal best-fit value of 𝜇with the result of the fit when fixing the considered nuisance parameter to its best-fit value, ˆ𝜃, shifted by its pre-fit (post-fit) uncertainties ±Δ𝜃(±Δ ˆ𝜃). The black points show the pulls of the nuisance parameters relative to their nominal values, 𝜃0. These pulls and their relative post-fit errors, Δ ˆ𝜃/Δ𝜃, refer to the lower scale. The ‘ljets’ (‘dilep’) label refers to the single-lepton (dilepton) channel. 29 29 4 5 6 7 8 9 10 11 12 ≥ Number of small-R jets 0.2 0.6 1 1.4 Data / Pred. 0 50 100 150 200 250 300 350 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) 6 7 8 9 10 11 12 13 ≥ Number of jets 0.2 0.6 1 1.4 Data / Pred. 7 Results 0 1000 2000 3000 4000 5000 6000 7000 8000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (e) 4 5 6 7 8 9 10 11 12 ≥ Number of small-R jets 0.2 0.6 1 1.4 Data / Pred. 0 50 100 150 200 250 300 350 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (f) Figure 16: Pre-fit (top) and post-fit (bottom) distributions of the number of jets in the (a, d) dilepton SR≥4𝑗 ≥4𝑏, (b, e) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c, f) single-lepton boosted SRboosted signal regions. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the Standard Model expectation (the fitted 𝜇value from the inclusive fit) in the pre-fit (post-fit) distributions. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations, except in the pre-fit distributions where the uncertainty in the 𝑘(𝑡¯𝑡+ ≥1𝑏) normalisation factor is not defined. 4 5 6 7 8 9 ≥ Number of jets 0.2 0.6 1 1.4 Data / Pred. 0 100 200 300 400 500 600 700 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Pre-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) (b) 6 7 8 9 10 11 12 13 ≥ Number of jets 0.2 0.6 1 1.4 Data / Pred. 0 1000 2000 3000 4000 5000 6000 7000 8000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (e) (a) (b) (c) (c) 4 5 6 7 8 9 10 11 12 ≥ Number of small-R jets 0.2 0.6 1 1.4 Data / Pred. 7 Results 0 50 100 150 200 250 300 350 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (f) (a) 4 5 6 7 8 9 ≥ Number of jets 0.2 0.6 1 1.4 Data / Pred. 0 100 200 300 400 500 600 700 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (d) (d) (f) (e) Figure 16: Pre-fit (top) and post-fit (bottom) distributions of the number of jets in the (a, d) dilepton SR≥4𝑗 ≥4𝑏, (b, e) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c, f) single-lepton boosted SRboosted signal regions. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the Standard Model expectation (the fitted 𝜇value from the inclusive fit) in the pre-fit (post-fit) distributions. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations, except in the pre-fit distributions where the uncertainty in the 𝑘(𝑡¯𝑡+ ≥1𝑏) normalisation factor is not defined. Pre-fit (top) and post-fit (bottom) distributions of the number of jets in the (a, d) dilepton SR≥4𝑗 ≥4𝑏, (b, e) Figure 16: Pre-fit (top) and post-fit (bottom) distributions of the number of jets in the (a, d) dilepton SR 𝑗 ≥4𝑏, (b, e) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c, f) single-lepton boosted SRboosted signal regions. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the Standard Model expectation (the fitted 𝜇value from the inclusive fit) in the pre-fit (post-fit) distributions. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations, except in the pre-fit distributions where the uncertainty in the 𝑘(𝑡¯𝑡+ ≥1𝑏) normalisation factor is not defined. 30 0 100 200 300 400 500 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 7 Results 0 200 400 600 800 1000 1200 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) 0 100 200 300 400 500 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 0 2000 4000 6000 8000 10000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 300 350 400 450 500 550 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 0 200 400 600 800 1000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) Figure 17: Post-fit distributions of the reconstructed Higgs boson candidate 𝑝𝐻 T for the (a) dilepton SR≥4𝑗 ≥4𝑏, (b) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c) single-lepton boosted SRboosted signal regions. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. The last bin includes the overflow. 300 350 400 450 500 550 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 0 200 400 600 800 1000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton boosted SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (c) 0 100 200 300 400 500 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 7 Results 0 2000 4000 6000 8000 10000 Events ATLAS -1 = 13 TeV, 139 fb s Single lepton 4b ≥ 6j ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (b) 0 100 200 300 400 500 600 [GeV] T Higgs boson candidate p 0.5 0.75 1 1.25 Data / Pred. 0 200 400 600 800 1000 1200 Events ATLAS -1 = 13 TeV, 139 fb s Dilepton 4j ≥ 4b ≥ SR Post-Fit Data H tt H * tt 1b ≥ + tt tH 1c ≥ + tt + V tt + light tt Other Uncertainty *: normalised to total Bkg. (a) (b) (c) (a) Figure 17: Post-fit distributions of the reconstructed Higgs boson candidate 𝑝𝐻 T for the (a) dilepton SR≥4𝑗 ≥4𝑏, (b) single-lepton resolved SR≥6𝑗 ≥4𝑏and (c) single-lepton boosted SRboosted signal regions. The 𝑡¯𝑡𝐻signal yield (solid red) is normalised to the fitted 𝜇value from the inclusive fit. The dashed line shows the 𝑡¯𝑡𝐻signal distribution normalised to the total background prediction. The uncertainty band includes all uncertainties and their correlations. The last bin includes the overflow. 2 − 0 2 4 6 8 10 12 SM H ttσ / H ttσ = H ttµ Inclusive ) [GeV] ∞ [450, ∈ H T p , H ttµ [300,450) [GeV] ∈ H T p , H ttµ [200,300) [GeV] ∈ H T p , H ttµ [120,200) [GeV] ∈ H T p , H ttµ [0,120) [GeV] ∈ H T p , H ttµ 0.99 − +1.04 0.86 0.47 − +0.48 0.87 − +0.92 ( ) 1.02 − +1.03 -0.18 0.69 − +0.71 0.75 − +0.75 ( ) 0.86 − +0.90 1.05 0.68 − +0.70 0.53 − +0.57 ( ) 0.72 − +0.74 -0.19 0.55 − +0.58 0.47 − +0.45 ( ) 1.39 − +1.47 -0.10 0.91 − +1.06 1.05 − +1.03 ( ) 0.34 − +0.36 0.35 0.20 − +0.20 0.28 − +0.30 ( ) Tot. ( Stat. Syst.) Total Stat. ATLAS SM compatibility: 45% =125 GeV H , m -1 =13 TeV, 139 fb s Figure 18: Signal-strength measurements in the individual STXS ˆ𝑝𝐻 T bins, as well as the inclusive signal strength. 8 Conclusion Measurements of a Standard Model Higgs boson produced in association with a pair of top quarks and decaying into a pair of 𝑏-quarks are performed. The results are based on the Run 2 dataset of 𝑝𝑝collision data collected at √𝑠= 13 TeV by the ATLAS detector at the LHC, corresponding to an integrated luminosity of 139 fb−1. The event selection targets top-quark pair decays to a final state containing one or two leptons. Machine-learning techniques are used to discriminate between signal and background events, the latter being dominated by 𝑡¯𝑡+ jets production. The measured signal strength is 0.35+0.36 −0.34, corresponding to an observed (expected) significance of 1.0 (2.7) standard deviations. The probability of the obtained signal strength being compatible with the SM prediction is 8.5%. The measurement uncertainty is dominated by systematic uncertainties, despite significant improvement relative to the previous measurement [27], especially regarding theoretical knowledge of the 𝑡¯𝑡+ ≥1𝑏background process, which still drives the sensitivity. To further test the Standard Model, the first differential measurement of the 𝑡¯𝑡𝐻signal strength was performed in five bins of Higgs boson transverse momentum in the STXS framework, including a bin for specially selected boosted Higgs bosons with transverse momentum above 300 GeV. Upper limits on the STXS cross-sections are also derived. Observed results are compatible with Standard Model expectations within uncertainties. 7 Results 10 2 10 3 10 4 10 [fb] H ttσ 95% CL upper limit on Inclusive ) [GeV] ∞ [450, ∈ H T p [300,450) [GeV] ∈ H T p [200,300) [GeV] ∈ H T p [120,200) [GeV] ∈ H T p [0,120) [GeV] ∈ H T p =1) µ Expected ( σ 1 ± Expected σ 2 ± Expected Observed SM prediction ATLAS =125 GeV H , m -1 =13 TeV, 139 fb s Figure 19: 95% CL simplified template cross-section upper limits in the individual STXS ˆ𝑝𝐻 T bins, as well as the inclusive limit. The observed limits are shown (solid black lines), together with the expected limits both in the background-only hypothesis (dotted black lines) and in the SM hypothesis (dotted red lines). In the case of the expected limits in the background-only hypothesis, one- and two-standard-deviation uncertainty bands are also shown. The hatched uncertainty bands correspond to the theory uncertainty in the fiducial cross-section prediction in each bin. We thank CERN for the very successful operation of the LHC, as well as the support stafffrom our institutions without whom ATLAS could not be operated efficiently. 7 Results 2 − 0 2 4 6 8 10 12 SM H ttσ / H ttσ = H ttµ Inclusive ) [GeV] ∞ [450, ∈ H T p , H ttµ [300,450) [GeV] ∈ H T p , H ttµ [200,300) [GeV] ∈ H T p , H ttµ [120,200) [GeV] ∈ H T p , H ttµ [0,120) [GeV] ∈ H T p , H ttµ 0.99 − +1.04 0.86 0.47 − +0.48 0.87 − +0.92 ( ) 1.02 − +1.03 -0.18 0.69 − +0.71 0.75 − +0.75 ( ) 0.86 − +0.90 1.05 0.68 − +0.70 0.53 − +0.57 ( ) 0.72 − +0.74 -0.19 0.55 − +0.58 0.47 − +0.45 ( ) 1.39 − +1.47 -0.10 0.91 − +1.06 1.05 − +1.03 ( ) 0.34 − +0.36 0.35 0.20 − +0.20 0.28 − +0.30 ( ) Tot. ( Stat. Syst.) Total Stat. ATLAS SM compatibility: 45% =125 GeV H , m -1 =13 TeV, 139 fb s Figure 18: Signal-strength measurements in the individual STXS ˆ𝑝𝐻 T bins, as well as the inclusive signal strength. 31 31 10 2 10 3 10 4 10 [fb] H ttσ 95% CL upper limit on Inclusive ) [GeV] ∞ [450, ∈ H T p [300,450) [GeV] ∈ H T p [200,300) [GeV] ∈ H T p [120,200) [GeV] ∈ H T p [0,120) [GeV] ∈ H T p =1) µ Expected ( σ 1 ± Expected σ 2 ± Expected Observed SM prediction ATLAS =125 GeV H , m -1 =13 TeV, 139 fb s Figure 19: 95% CL simplified template cross-section upper limits in the individual STXS ˆ𝑝𝐻 T bins, as well as the inclusive limit. The observed limits are shown (solid black lines), together with the expected limits both in the background-only hypothesis (dotted black lines) and in the SM hypothesis (dotted red lines). In the case of the expected limits in the background-only hypothesis, one- and two-standard-deviation uncertainty bands are also shown. The hatched uncertainty bands correspond to the theory uncertainty in the fiducial cross-section prediction in each bin. Acknowledgements We thank CERN for the very successful operation of the LHC, as well as the support stafffrom our institutions without whom ATLAS could not be operated efficiently. 32 We acknowledge the support of ANPCyT, Argentina; YerPhI, Armenia; ARC, Australia; BMWFW and FWF, Austria; ANAS, Azerbaijan; SSTC, Belarus; CNPq and FAPESP, Brazil; NSERC, NRC and CFI, Canada; CERN; ANID, Chile; CAS, MOST and NSFC, China; Minciencias, Colombia; MEYS CR, Czech Republic; DNRF and DNSRC, Denmark; IN2P3-CNRS and CEA-DRF/IRFU, France; SRNSFG, Georgia; BMBF, HGF and MPG, Germany; GSRI, Greece; RGC and Hong Kong SAR, China; ISF and Benoziyo Center, Israel; INFN, Italy; MEXT and JSPS, Japan; CNRST, Morocco; NWO, Netherlands; RCN, Norway; MEiN, Poland; FCT, Portugal; MNE/IFA, Romania; JINR; MES of Russia and NRC KI, Russian Federation; MESTD, Serbia; MSSR, Slovakia; ARRS and MIZŠ, Slovenia; DSI/NRF, South Africa; MICINN, Spain; SRC and Wallenberg Foundation, Sweden; SERI, SNSF and Cantons of Bern and Geneva, Switzerland; MOST, Taiwan; TAEK, Turkey; STFC, United Kingdom; DOE and NSF, United States of America. In addition, individual groups and members have received support from BCKDF, CANARIE, Compute Canada and CRC, Canada; COST, ERC, ERDF, Horizon 2020 and Marie Skłodowska-Curie Actions, European Union; Investissements d’Avenir Labex, Investissements d’Avenir Idex and ANR, France; DFG and AvH Foundation, Germany; Herakleitos, Thales and Aristeia programmes co-financed by EU-ESF and the Greek NSRF, Greece; BSF-NSF and GIF, Israel; Norwegian Financial Mechanism 2014-2021, Norway; NCN and NAWA, Poland; La Caixa Banking Foundation, CERCA Programme Generalitat de Catalunya and PROMETEO and GenT Programmes Generalitat Valenciana, Spain; Göran Gustafssons Stiftelse, Sweden; The Royal Society and Leverhulme Trust, United Kingdom. The crucial computing support from all WLCG partners is acknowledged gratefully, in particular from CERN, the ATLAS Tier-1 facilities at TRIUMF (Canada), NDGF (Denmark, Norway, Sweden), CC-IN2P3 (France), KIT/GridKA (Germany), INFN-CNAF (Italy), NL-T1 (Netherlands), PIC (Spain), ASGC (Taiwan), RAL (UK) and BNL (USA), the Tier-2 facilities worldwide and large non-WLCG resource providers. Major contributors of computing resources are listed in Ref. [129]. Table 7: Variables used in the classification BDTs in the dilepton channel. For variables depending on 𝑏-tagged jets, only jets 𝑏-tagged using the 70% working point are considered. For variables from the reconstruction BDT, those with a † are from the BDT using Higgs boson information, those with no sign are from the BDT without Higgs boson information while for those with a ‡ both versions are used. A Input variables to the classification BDTs In this appendix, the full list of variables used as inputs to the classification BDT, described in Section 5.2, in each of the signal regions is reported. Variables are listed separately in Table 7 for the dilepton channel, in Table 8 for the resolved single-lepton channel and in Table 9 for the single-lepton boosted channel. Variables from the reconstruction BDT exploit the chosen jet–parton assignment (see Section 5.2). The 𝑏-tagging discriminant assigned to each jet and the large-𝑅jets used to build the Higgs-boson and top-quark candidates in the boosted category are defined in Section 4. Some kinematic and topological variables are built considering only 𝑏-tagged jets in the event. In the resolved and boosted single-lepton channels, 𝑏-tagged jets are defined as the four jets with the largest value of the 𝑏-tagging discriminant. If two jets have the same 𝑏-tagging discriminant value, they are ordered by decreasing jet 𝑝T value. In the dilepton channel, jets are required to pass the 70% working point to be 𝑏-tagged. 33 Variable Definition General kinematic variables 𝑚min 𝑏𝑏 Minimum invariant mass of a 𝑏-tagged jet pair 𝑚min Δ𝑅 𝑏𝑏 Invariant mass of the 𝑏-tagged jet pair with minimum Δ𝑅 𝑚max 𝑝T 𝑗𝑗 Invariant mass of the jet pair with maximum 𝑝T 𝑚max 𝑝T 𝑏𝑏 Invariant mass of the 𝑏-tagged jet pair with maximum 𝑝T Δ𝜂avg 𝑏𝑏 Average Δ𝜂for all 𝑏-tagged jet pairs 𝑁Higgs 30 𝑏𝑏 Number of 𝑏-tagged jet pairs with invariant mass within 30 GeV of the Higgs boson mass Variables from reconstruction BDT BDT outputs Output of the reco. BDT w/ Higgs info. for the combination selected by the reco. BDTs w/ or w/o Higgs info. ‡ 𝑚Higgs 𝑏𝑏 Higgs candidate mass Δ𝑅𝐻,𝑡¯𝑡 Δ𝑅between Higgs candidate and 𝑡¯𝑡candidate system † Δ𝑅min 𝐻,ℓ Minimum Δ𝑅between Higgs candidate and lepton Δ𝑅min 𝐻,𝑏 Minimum Δ𝑅between Higgs candidate and 𝑏-jet from top Variables used in the classification BDTs in the dilepton channel. For variables depending on 𝑏-ta 𝑏-tagged using the 70% working point are considered. For variables from the reconstruction BD re from the BDT using Higgs boson information, those with no sign are from the BDT without Hig on while for those with a ‡ both versions are used. General kinematic variables Table 7: Variables used in the classification BDTs in the dilepton channel. For variables depending on 𝑏-tagged jets, only jets 𝑏-tagged using the 70% working point are considered. A Input variables to the classification BDTs For variables from the reconstruction BDT, those with a † are from the BDT using Higgs boson information, those with no sign are from the BDT without Higgs boson information while for those with a ‡ both versions are used. 34 Variable Definition General kinematic variables Δ𝑅avg 𝑏𝑏 Average Δ𝑅for all 𝑏-tagged jet pairs Δ𝑅max 𝑝T 𝑏𝑏 Δ𝑅between the two 𝑏-tagged jets with the largest vector sum 𝑝T Δ𝜂max 𝑗𝑗 Maximum Δ𝜂between any two jets 𝑚min Δ𝑅 𝑏𝑏 Mass of the combination of two 𝑏-tagged jets with the smallest Δ𝑅 𝑁Higgs 30 𝑏𝑏 Number of 𝑏-tagged jet pairs with invariant mass within 30 GeV of the Higgs boson mass Aplanarity 1.5𝜆2, where 𝜆2 is the second eigenvalue of the momentum tensor [Phys. Rev. D 48 (1993) R3953] built with all jets 𝐻1 Second Fox–Wolfram moment computed using all jets and the lepton Variables from reconstruction BDT BDT output Output of the reconstruction BDT † 𝑚Higgs 𝑏𝑏 Higgs candidate mass 𝑚𝐻,𝑏lep top Mass of Higgs candidate and 𝑏-jet from leptonic top candidate Δ𝑅Higgs 𝑏𝑏 Δ𝑅between 𝑏-jets from the Higgs candidate Δ𝑅𝐻,𝑡¯𝑡 Δ𝑅between Higgs candidate and 𝑡¯𝑡candidate system † Δ𝑅𝐻,lep top Δ𝑅between Higgs candidate and leptonic top candidate Variables from likelihood calculations LHD Likelihood discriminant Variables from 𝑏-tagging 𝑤Higgs 𝑏-tag Sum of 𝑏-tagging discriminants of jets from best Higgs candidate from the reconstruction BDT 𝐵3 jet 3rd largest jet 𝑏-tagging discriminant 𝐵4 jet 4th largest jet 𝑏-tagging discriminant 𝐵5 jet 5th largest jet 𝑏-tagging discriminant 8: Input variables to the classification BDTs in the single-lepton resolved channel. For variables depe tagged jets, jets are sorted by their pseudo-continuous 𝑏-tag score, and by their 𝑝T when they have the o-continuous 𝑏-tag score. For variables from the reconstruction BDT, those with a † are from the BDT boson information, those with no † are from the BDT without Higgs boson information. Variable Definition General kinematic variables Δ𝑅avg 𝑏𝑏 Average Δ𝑅for all 𝑏-tagged jet pairs Δ𝑅max 𝑝T 𝑏𝑏 Δ𝑅between the two 𝑏-tagged jets with the largest vector sum 𝑝T Δ𝜂max 𝑗𝑗 Maximum Δ𝜂between any two jets 𝑚min Δ𝑅 𝑏𝑏 Mass of the combination of two 𝑏-tagged jets with the smallest Δ𝑅 𝑁Higgs 30 𝑏𝑏 Number of 𝑏-tagged jet pairs with invariant mass within 30 GeV of the Higgs boson mass Aplanarity 1.5𝜆2, where 𝜆2 is the second eigenvalue of the momentum tensor [Phys. Rev. A Input variables to the classification BDTs D 48 (1993) R3953] built with all jets 𝐻1 Second Fox–Wolfram moment computed using all jets and the lepton Variables from reconstruction BDT BDT output Output of the reconstruction BDT † 𝑚Higgs 𝑏𝑏 Higgs candidate mass 𝑚𝐻,𝑏lep top Mass of Higgs candidate and 𝑏-jet from leptonic top candidate Δ𝑅Higgs 𝑏𝑏 Δ𝑅between 𝑏-jets from the Higgs candidate Δ𝑅𝐻,𝑡¯𝑡 Δ𝑅between Higgs candidate and 𝑡¯𝑡candidate system † Δ𝑅𝐻,lep top Δ𝑅between Higgs candidate and leptonic top candidate Variables from likelihood calculations LHD Likelihood discriminant Variables from 𝑏-tagging 𝑤Higgs 𝑏-tag Sum of 𝑏-tagging discriminants of jets from best Higgs candidate from the reconstruction BDT 𝐵3 jet 3rd largest jet 𝑏-tagging discriminant 𝐵4 jet 4th largest jet 𝑏-tagging discriminant 𝐵5 jet 5th largest jet 𝑏-tagging discriminant 8: Input variables to the classification BDTs in the single-lepton resolved channel. For variables depe tagged jets, jets are sorted by their pseudo-continuous 𝑏-tag score, and by their 𝑝T when they have the o-continuous 𝑏-tag score. For variables from the reconstruction BDT, those with a † are from the BDT boson information, those with no † are from the BDT without Higgs boson information. General kinematic variables Table 8: Input variables to the classification BDTs in the single-lepton resolved channel. For variables depending on 𝑏-tagged jets, jets are sorted by their pseudo-continuous 𝑏-tag score, and by their 𝑝T when they have the same pseudo-continuous 𝑏-tag score. For variables from the reconstruction BDT, those with a † are from the BDT using Higgs boson information, those with no † are from the BDT without Higgs boson information. Table 8: Input variables to the classification BDTs in the single-lepton resolved channel. 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A Input variables to the classification BDTs 35 Variable Definition 𝑚Higgs 𝑏𝑏 Higgs candidate mass 𝑝𝐻 T Higgs candidate transverse momentum 𝜂Higgs lep 𝜂of the Higgs candidate relative to the lepton 𝑃(𝐻) DNN Higgs probability for the Higgs candidate 𝑚had top Hadronic top candidate mass 𝑝had top T Hadronic top candidate transverse momentum 𝜂lep had top 𝜂of the hadronic top candidate relative to the lepton 𝐵𝑖 had top 𝑖th largest jet 𝑏-tagging discriminant associated to the hadronic top candidate 𝑚lep top Leptonic top candidate mass 𝑝lep top T Leptonic top candidate transverse momentum 𝐵lep top 𝑏-tagging discriminant of the jet associated to the leptonic top candidate 𝑛jets Small-𝑅jets multiplicity Δ𝑅𝐻,had top Δ𝑅between the Higgs and the hadronic top candidates Δ𝑅𝐻,lep top Δ𝑅between the Higgs and the leptonic top candidates Δ𝑅had top,lep top Δ𝑅between the hadronic top and the leptonic top candidates 𝑝𝑡¯𝑡𝐻 T 𝑡¯𝑡𝐻system transverse momentum 𝑝𝑡¯𝑡 T 𝑡¯𝑡system transverse momentum 𝑤sum 𝑏-tag Sum of 𝑏-tagging discriminants of jets from Higgs, hadronic and leptonic top candidates 𝑤add jet 𝑏-tag Fraction of the sum of 𝑏-tagging discriminants of all jets not associated to Higgs or hadronic top candidates Table 9: Input variables to the classification BDT in the single-lepton boosted channel. 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Crépé-Renaudin56, F. Crescioli131, M. Cristinziani147, M. Cristoforetti73a,73b,b, , , g , g , p , , E. Cherepanova77, R. Cherkaoui El Moursli33e, E. Cheu6, K. Cheung61, L. Chevalier140, V. Chiarella49, G. Chiarelli69a, G. Chiodini65a, A.S. Chisholm19, A. Chitan25b, Y.H. Chiu171, M.V. Chizhov77,s, K. Choi10, A.R. Chomont70a,70b, Y. Chou99, Y.S. Chow115, T. Chowdhury31f, L.D. Christopher31f, M.C. Chu60a, X. Chu13a,13d, J. Chudoba136, J.J. Chwastowski82, D. Cieri111, K.M. Ciesla82, V. Cindro89, I.A. Cioară25b, A. Ciocio16, F. Cirotto67a,67b, Z.H. Citron175,k, M. Citterio66a, D.A. Ciubotaru25b, B.M. Ciungu162, A. Clark52, P.J. Clark48, J.M. Clavijo Columbie44, S.E. Clawson97, C. Clement43a,43b, L. Clissa21b,21a, Y. Coadou98, M. Cobal64a,64c, A. Coccaro53b, J. Cochran76, R.F. Coelho Barrue135a, R. Coelho Lopes De Sa99, S. Coelli66a, H. Cohen157, A.E.C. Coimbra34, B. Cole37, J. Collot56, P. Conde Muiño135a,135g, S.H. Connell31c, I.A. Connelly55, E.I. Conroy130, F. Conventi67a,ak, H.G. Cooke19, A.M. Cooper-Sarkar130, F. Cormier170, L.D. Corpe34, M. Corradi70a,70b, E.E. Corrigan94, F. Corriveau100,y, M.J. Costa169, F. Costanza4, D. Costanzo145, B.M. Cote123, G. Cowan91, J.W. Cowley30, K. Cranmer121, S. Crépé-Renaudin56, F. Crescioli131, M. Cristinziani147, M. Cristoforetti73a,73b,b, en157, A.E.C. Coimbra34, B. Cole37, J. Collot56, 47 V. Croft165, G. Crosetti39b,39a, A. Cueto34, T. Cuhadar Donszelmann166, H. Cui13a,13d, A.R. Cukierman149, W R Cunningham55 F Curcio39b,39a P Czodrowski34 M M Czurylo59b g y M.J. Da Cunha Sargedas De Sousa58a, J.V. Da Fonseca Pinto78b, C. Da Via97, W. Dabrowski81a, T. Dado45, S D hbi31f T D i102 C D ll i l 99 M D 38 G D’ 27 V D’A i 72a 72b J D 96 M.J. Da Cunha Sargedas De Sousa58a, J.V. Da Fonseca Pinto78b, C. Da Via97, W. Dabrowski81a, T. Dado45, S. Dahbi31f, T. Dai102, C. Dallapiccola99, M. Dam38, G. D’amen27, V. D’Amico72a,72b, J. Damp96, J.R. Dandoy132, M.F. Daneri28, M. Danninger148, V. Dao34, G. The ATLAS Collaboration Grabowska-Bold81a, K. Graham32, E. Gramstad129, S. Grancagnolo17, M. Grandi152, V. Gratchev133, P.M. Gravila25f, F.G. Gravili65a,65b, H.M. Gray16, C. Grefe22, I.M. Gregor44, P. Grenier149, C. Goy4, I. Grabowska-Bold81a, K. Graham32, E. Gramstad129, S. Grancagnolo17, M. Grandi152, V. Gratchev133, P.M. Gravila25f, F.G. Gravili65a,65b, H.M. Gray16, C. Grefe22, I.M. Gregor44, P. Grenier149, C. Goy , I. Grabowska Bold , K. Graham , E. Gramstad , S. Grancagnolo , M. Grandi , V. Gratchev133, P.M. Gravila25f, F.G. Gravili65a,65b, H.M. Gray16, C. Grefe22, I.M. Gregor44, P. Grenier149, K. Grevtsov44, C. Grieco12, N.A. Grieser124, A.A. Grillo141, K. Grimm29,l, S. Grinstein12,v, J.-F. Grivaz62, S. Groh96, E. Gross175, J. Grosse-Knetter51, C. Grud102, A. Grummer113, J.C. Grundy130, L. Guan102, j R. Gugel96, A. Guida44, T. Guillemin4, S. Guindon34, F. Guo13a, J. Guo58c, L. Guo62, Y. Guo102, Z. Guo98, R. Gugel96, A. Guida44, T. Guillemin4, S. Guindon34, F. Guo13a, J. Guo58c, L. Guo62, Y. Guo102, Z. Guo98, p , , , , , g , C. Gutschow92, C. Guyot140, C. Gwenlan130, C.B. Gwilliam88, E.S. Haaland129, A. Haas121, schow92, C. Guyot140, C. Gwenlan130, C.B. Gwilliam88, E.S. Haaland129, A. Haas121, M. Habedank , C. Haber , H.K. Hadavand , A. Hadef , S. Hadzic , M. Haleem , J. Haley , J.J. Hall145, G. Halladjian103, G.D. Hallewell98, L. Halser18, K. Hamano171, H. Hamdaoui33e, M. Hamer22, G.N. Hamity48, K. Han58a, L. Han13c, L. Han58a, S. Han16, Y.F. Han162, K. Hanagaki79,t, M. Hance141, M. Habedank , C. Haber , H.K. Hadavand , A. Hadef , S. Hadzic , M. Haleem , J. Haley , J.J. Hall145, G. Halladjian103, G.D. Hallewell98, L. Halser18, K. Hamano171, H. Hamdaoui33e, M. Hamer22, G.N. Hamity48, K. Han58a, L. Han13c, L. Han58a, S. Han16, Y.F. Han162, K. Hanagaki79,t, M. Hance141, y J.J. Hall145, G. Halladjian103, G.D. Hallewell98, L. Halser18, K. Hamano171, H. Hamdaoui33e, M. Hamer22, 48 58 13 58 16 162 79 141 M.D. Hank35, R. Hankache97, E. Hansen94, J.B. Hansen38, J.D. Hansen38, M.C. Hansen22, P.H. Hansen38, K. Hara164, T. Harenberg177, S. Harkusha104, Y.T. Harris130, P.F. Harrison173, N.M. Hartman149, M.D. Hank35, R. Hankache97, E. Hansen94, J.B. Hansen38, J.D. Hansen38, M.C. Hansen22, P.H. Hansen38, K Hara164 T Harenberg177 S Hark sha104 YT Harris130 PF Harrison173 N M Hartman149 g N.M. Hartmann110, Y. Hasegawa146, A. Hasib48, S. Hassani140, S. Haug18, R. Hauser103, M. H C.M. Hawkes19, R.J. Hawkings34, S. Hayashida112, D. Hayden103, C. Hayes102, R.L. Hayes170, g y y y y ays130, J.M. Hays90, H.S. Hayward88, S.J. Haywood139, F. He58a, Y. The ATLAS Collaboration He160, Y. He131, M.P. Heath4 y y y y V. Hedberg94, A.L. Heggelund129, N.D. Hehir90, C. Heidegger50, K.K. Heidegger50, W.D. Heidorn76, V. Hedberg94, A.L. Heggelund129, N.D. Hehir90, C. Heidegger50, K.K. Heidegger50, W.D. Hei g gg gg gg J. Heilman32, S. Heim44, T. Heim16, B. Heinemann44,ah, J.G. Heinlein132, J.J. Heinrich127, L. J. Hejbal136, L. Helary44, A. Held121, C.M. Helling141, S. Hellman43a,43b, C. Helsens34, J. Hejbal136, L. Helary44, A. Held121, C.M. Helling141, S. Hellman43a,43b, C. Helsens34, R.C.W. Henderson87, L. Henkelmann30, A.M. Henriques Correia34, H. Herde149, Y. Hernández Jiménez151, H. Herr96, M.G. Herrmann110, T. Herrmann46, G. Herten50, R. Hertenberger110, L. Hervas34, N.P. Hessey163a, H. Hibi80, S. Higashino79, E. Higón-Rodriguez169, K.H. Hiller44, S.J. Hillier19, M. Hils46, I. Hinchliffe16, F. Hinterkeuser22, M. Hirose128, S. Hirose164, D. Hirschbuehl177, B. Hiti89, O. Hladik136, J. Hobbs151, R. Hobincu25e, N. Hod175, M.C. Hodgkinson145, B.H. Hodkinson30, A. Hoecker34, J. Hofer44, D. Hohn50, T. Holm22, T.R. Holmes35, M. Holzbock111, L.B.A.H. Hommels30, B.P. Honan97, J. Hong58c, T.M. Hong134, Y. Hong51, J.C. Honig50, A. Hönle111, B.H. Hooberman168, W.H. Hopkins5, Y. Horii112, L.A. Horyn35, S. Hou154, J. Howarth55, J. Hoya86, M. Hrabovsky126, A. Hrynevich105, T. Hryn’ova4, P.J. Hsu61, S.-C. Hsu144, Q. Hu37, S. Hu58c, Y.F. Hu13a,13d,al, D.P. Huang92, X. Huang13c, Y. Huang58a, Y. Huang13a, Z. Hubacek137, F. Hubaut98, M. Huebner22, F. Huegging22, T.B. Huffman130, M. Huhtinen34, S.K. Huiberts15, R. Hulsken56, N. Huseynov77,z, J. Huston103, J. Huth57, R. Hyneman149, S. Hyrych26a, G. Iacobucci52, G. Iakovidis27, I. Ibragimov147, L. Iconomidou-Fayard62, P. Iengo34, R. Iguchi159, T. Iizawa52, Y. Ikegami79, A. Ilg18, N. Ilic162, H. Imam33a, R.C.W. Henderson87, L. Henkelmann30, A.M. Henriques Correia34, H. Herde149, Y. Hernández Jiménez151, H. Herr96, M.G. Herrmann110, T. Herrmann46, G. Herten50, R. Hertenberger110, L. Hervas34, N.P. Hessey163a, H. Hibi80, S. Higashino79, E. Higón-Rodriguez169, K.H. Hiller44, Y. Hernández Jiménez151, H. Herr96, M.G. Herrmann110, T. Herrmann46, G. Herten50, R. Hertenberger110, L Hervas34 N P Hessey163a H Hibi80 S Higashino79 E Higón-Rodriguez169 K H Hiller44 S.J. Hillier19, M. Hils46, I. Hinchliffe16, F. Hinterkeuser22, M. Hirose128, S. Hirose164, D. Hirschbuehl177, B. Hiti89, O. Hladik136, J. Hobbs151, R. Hobincu25e, N. Hod175, M.C. Hodgkinson145, B.H. Hodkinson30, , g , g , g , g , , , W.H. Hopkins5, Y. Horii112, L.A. Horyn35, S. Hou154, J. Howarth55, J. Hoya86, M. Hrabovsky126, A. Hrynevich105, T. Hryn’ova4, P.J. Hsu61, S.-C. Hsu144, Q. Hu37, S. Hu58c, Y.F. Hu13a,13d,al, D.P. Huang92, X. Huang13c, Y. Huang58a, Y. Huang13a, Z. Hubacek137, F. Hubaut98, M. Huebner22, F. Huegging22, T.B. Huffman130, M. Huhtinen34, S.K. Huiberts15, R. The ATLAS Collaboration Darbo53b, S. Darmora5, A. Dattagupta127, S D’A i 66a 66b C D id163b T D id k138 D R D i 47 B D i P ll32 I D 90 K D 7 J.R. Dandoy132, M.F. Daneri28, M. Danninger148, V. Dao34, G. Darbo53b, S. Darmora5, A. Dattagupta127, S. D’Auria66a,66b, C. David163b, T. Davidek138, D.R. Davis47, B. Davis-Purcell32, I. Dawson90, K. De7, R. De Asmundis67a, M. De Beurs115, S. De Castro21b,21a, N. De Groot114, P. de Jong115, H. De la Torre103, 13 70 70 71 71b 71 71b 152 R. De Asmundis67a, M. De Beurs115, S. De Castro21b,21a, N. De Groot114, P. de Jong115, H. De la Torre103, A. De Maria13c, D. De Pedis70a, A. De Salvo70a, U. De Sanctis71a,71b, M. De Santis71a,71b, A. De Santo152, A. Ezhilov133, F. Fabbri55, L. Fabbri21b,21a, G. Facini173, V. Fadeyev141, R.M. Fakhrutdinov118 y J. Falke22, S. Falke34, J. Faltova138, Y. Fan13a, Y. Fang13a, G. Fanourakis42, M. Fanti66a,66b, y S. Falciano70a, P.J. Falke22, S. Falke34, J. Faltova138, Y. Fan13a, Y. Fang13a, G. Fanourakis42, M. F g M. Faraj58c, A. Farbin7, A. Farilla72a, E.M. Farina68a,68b, T. Farooque103, S.M. Farrington48, P. Farthouat34, 48 G. Gaudio68a, P. Gauzzi70a,70b, I.L. Gavrilenko107, A. Gavrilyuk119, C. Gay170, G. Gaycken44, E.N. Gazis9, G. Gaudio68a, P. Gauzzi70a,70b, I.L. Gavrilenko107, A. Gavrilyuk119, C. Gay170, G. Gaycken44, E.N. Gazis9, y y y nta25b, C.M. Gee141, C.N.P. Gee139, J. Geisen94, M. Geisen96, C. Gemme53b, M.H. Genest56, S. Gentile70a,70b, S. George91, W.F. George19, T. Geralis42, L.O. Gerlach51, P. Gessinger-Befurt34, S. Gentile70a,70b, S. George91, W.F. George19, T. Geralis42, L.O. Gerlach51, P. Gessinger-Befurt34, g g g M. Ghasemi Bostanabad171, A. Ghosh166, A. Ghosh75, B. Giacobbe21b, S. Giagu70a,70b, g g g Ghasemi Bostanabad171, A. Ghosh166, A. Ghosh75, B. Giacobbe21b, S. Giagu70a,70b, g N. Giangiacomi162, P. Giannetti69a, A. Giannini67a,67b, S.M. Gibson91, M. Gignac141, D.T. Gil81b, N. Giangiacomi162, P. Giannetti69a, A. Giannini67a,67b, S.M. Gibson91, M. Gignac141, D.T. Gil81b, g g P.F. Giraud140, G. Giugliarelli64a,64c, D. Giugni66a, F. Giuli71a,71b, I. Gkialas8,h, P. Gkountoumis9, g g Gladilin109, C. Glasman95, P.C.F. Glaysher44, G.R. Gledhill127, M. Glisic127, I. Gnesi39b,d, A. Gongadze77, F. Gonnella19, J.L. Gonski37, S. González de la Hoz169, S. Gonzalez Fernandez12, A. Gongadze77, F. Gonnella19, J.L. Gonski37, S. González de la Hoz169, S. Gonzalez Fernandez12, 88 16 167 52 p G.R. Gonzalvo Rodriguez169, R.Y. González Andana142a, L. Goossens34, N.A. Gorasia19, G.R. Gonzalvo Rodriguez169, R.Y. González Andana142a, L. Goossens34, N.A. Gorasia19, M.I. Gostkin77, C.A. Gottardo114, M. Gouighri33b, V. Goumarre44, A.G. Goussiou144, N. Govender31c, C. Goy4, I. The ATLAS Collaboration Hulsken56, N. Huseynov77,z, J. Huston103, J. Huth57, R. Hyneman149, S. Hyrych26a, G. Iacobucci52, G. Iakovidis27, I. Ibragimov147, L. Iconomidou-Fayard62, P. Iengo34, R. Iguchi159, T. Iizawa52, Y. Ikegami79, A. Ilg18, N. Ilic162, H. Imam33a, 49 T. Ingebretsen Carlson43a,43b, G. Introzzi68a,68b, M. Iodice72a, V. Ippolito70a,70b, M. Ishino159, W. Islam176, G. Khoriauli172, E. Khramov77, J. Khubua155b, S. Kido80, M. Kiehn34, A. Kilgallon127, E. Kim160, G. Khoriauli172, E. Khramov77, J. Khubua155b, S. Kido80, M. Kiehn34, A. Kilgallon127, E. Kim160, Y.K. Kim35, N. Kimura92, A. Kirchhoff51, D. Kirchmeier46, C. Kirfel22, J. Kirk139, A.E. Kiryunin111, T. Kishimoto159, D.P. Kisliuk162, C. Kitsaki9, O. Kivernyk22, T. Klapdor-Kleingrothaus50, M. Klassen59a, Y.K. Kim35, N. Kimura92, A. Kirchhoff51, D. Kirchmeier46, C. Kirfel22, J. Kirk139, A.E. Kiryunin111, T. Kishimoto159, D.P. Kisliuk162, C. Kitsaki9, O. Kivernyk22, T. Klapdor-Kleingrothaus50, M. Klassen59a y p g C. Klein32, L. Klein172, M.H. Klein102, M. Klein88, U. Klein88, P. Klimek34, A. Klimentov27, F. Klimpel111, T. Klingl22, T. Klioutchnikova34, F.F. Klitzner110, P. Kluit115, S. Kluth111, E. Kn F. Klimpel111, T. Klingl22, T. Klioutchnikova34, F.F. Klitzner110, P. Kluit115, S. Kluth111, E. Kneringer74, T.M. Knight162, A. Knue50, D. Kobayashi85, R. Kobayashi83, M. Kobel46, M. Kocian149, T. Ko P. Kodys138, D.M. Koeck152, P.T. Koenig22, T. Koffas32, N.M. Köhler34, M. Kolb140, I. Kolets T. Komarek126, K. Köneke50, A.X.Y. Kong1, T. Kono122, V. Konstantinides92, N. Konstantinidis92 B. Konya94, R. Kopeliansky63, S. Koperny81a, K. Korcyl82, K. Kordas158, G. Koren157, A. Korn92, 51 12 145 109 115 111 S. Korn51, I. Korolkov12, E.V. Korolkova145, N. Korotkova109, B. Kortman115, O. Kortner111, r111, W.H. Kostecka116, V.V. Kostyukhin147,161, A. Kotsokechagia62, A. Kotwal47, S. Kortner111, W.H. Kostecka116, V.V. Kostyukhin147,161, A. Kotsokechagia62, A. Kotwal47, y g A. Koulouris34, A. Kourkoumeli-Charalampidi68a,68b, C. Kourkoumelis8, E. Kourlitis5, O. Kov y g uris34, A. Kourkoumeli-Charalampidi68a,68b, C. Kourkoumelis8, E. Kourlitis5, O. Kovanda152, ewski171, W. Kozanecki140, A.S. Kozhin118, V.A. Kramarenko109, G. Kramberger89, P. Kramer96, , , , , g , , D. Krasnopevtsev58a, M.W. Krasny131, A. Krasznahorkay34, J.A. Kremer96, J. Kretzschmar88, K. Kreul17, snopevtsev58a, M.W. Krasny131, A. Krasznahorkay34, J.A. Kremer96, J. Kretzschmar88, K. Kreul1 p y y eger162, F. Krieter110, S. Krishnamurthy99, A. Krishnan59b, M. Krivos138, K. Krizka16, g p umnack76, M.C. Kruse47, J.A. Krzysiak82, A. Kubota160, O. Kuchinskaia161, S. Kuday3a, N. Krumnack76, M.C. Kruse47, J.A. Krzysiak82, A. Kubota160, O. Kuchinskaia161, S. Kuday3a, D. Kuechler44, J.T. Kuechler44, S. Kuehn34, T. Kuhl44, V. Kukhtin77, Y. Kulchitsky104,ad, S. Kuleshov142c, M. Kumar31f, N. Kumari98, M. Kuna56, A. Kupco136, T. Kupfer45, O. Kuprash50, H. Kurashige80, L.L. Kurchaninov163a, Y.A. Kurochkin104, A. The ATLAS Collaboration Kurova108, M.G. Kurth13a,13d, E.S. Kuwertz34, M. Kuze160, A.K. Kvam144, J. Kvita126, T. Kwan100, K.W. Kwok60a, C. Lacasta169, F. Lacava70a,70b, H. Lacker17, D. Lacour131, N.N. Lad92, E. Ladygin77, R. Lafaye4, B. Laforge131, T. Lagouri142d, S. Lai51, I.K. Lakomiec81a, N. Lalloue56, J.E. Lambert124, S. Lammers63, W. Lampl6, C. Lampoudis158, E. Lançon27, U. Landgraf50, M.P.J. Landon90, V.S. Lang50, J.C. Lange51, R.J. Langenberg99, A.J. Lankford166, F. Lanni27, K. Lantzsch22, A. Lanza68a, A. Lapertosa53b,53a, J.F. Laporte140, T. Lari66a, F. Lasagni Manghi21b, M. Lassnig34, V. Latonova136, T.S. Lau60a, A. Laudrain96, A. Laurier32, M. Lavorgna67a,67b, S.D. Lawlor91, Z. Lawrence97, M. Lazzaroni66a,66b, B. Le97, B. Leban89, A. Lebedev76, M. LeBlanc34, T. LeCompte5, F. Ledroit-Guillon56, A.C.A. Lee92, G.R. Lee15, L. Lee57, S.C. Lee154, S. Lee76, L.L. Leeuw31c, B. Lefebvre163a, H.P. Lefebvre91, M. Lefebvre171, C. Leggett16, K. Lehmann148, N. Lehmann18, G. Lehmann Miotto34, W.A. Leight44, A. Leisos158,u, M.A.L. Leite78c, C.E. Leitgeb44, R. Leitner138, K.J.C. Leney40, T. Lenz22, S. Leone69a, C. Leonidopoulos48, A. Leopold150, 50 C. Leroy106, R. Les103, C.G. Lester30, M. Levchenko133, J. Levêque4, D. Levin102, L.J. Levinson175, D J Lewis19 B Li13b B Li58b C Li58a C-Q Li58c,58d H Li58a H Li58b H Li58b J Li58c K Li144 , , , , , , , P. Liu13a, Q. Liu58d,144,58c, X. Liu58a, Y. Liu44, Y. Liu13c,13d, Y.L. Liu102, Y.W. Liu58a, M. Livan68 y K. Lohwasser145, M. Lokajicek136, J.D. Long168, I. Longarini70a,70b, L. Longo34, R. Longo168, H. Lyons88, R. Lysak136, E. Lytken94, F. Lyu13a, V. Lyubushkin77, T. Lyubushkina77, H. Ma27, L.L. Ma58b, Y. Ma92, D.M. Mac Donell171, G. Maccarrone49, C.M. Macdonald145, J.C. MacDonald145, R. Madar36, W.F. Mader46, M. Madugoda Ralalage Don125, N. Madysa46, J. Maeda80, T. Maeno27, M. Maerker46, . yo s , . ysa , . yt e , . yu , V. yubus , . yubus a , . a , . . a , Y. Ma92, D.M. Mac Donell171, G. Maccarrone49, C.M. Macdonald145, J.C. MacDonald145, R. Madar36, W F Mader46 M Madugoda Ralalage Don125 N Madysa46 J Maeda80 T Maeno27 M Maerker46 O. Majersky26a, S. Majewski127, N. Makovec62, V. Maksimovic14, B. Malaescu131, Pa. Malecki8 j y j V.P. Maleev133, F. Malek56, D. Malito39b,39a, U. Mallik75, C. Malone30, S. Maltezos9, S. Malyuk J. Mamuzic169, G. Mancini49, J.P. Mandalia90, I. Mandić89, L. Manhaes de Andrade Filho78a, V.I. Martinez Outschoorn99, S. Martin-Haugh139, V.S. Martoiu25b, A.C. Martyniuk92, A. Marzin34, y g y Mchedlidze155b, M.A. McKay40, K.D. McLean171, S.J. McMahon139, P.C. McNamara101, J. Montejo Berlingen34, M. Montella123, F. Monticelli86, N. Morange62, A.L. The ATLAS Collaboration Moreira De Carvalho135a, M. Moreno Llácer169, C. Moreno Martinez12, P. Morettini53b, S. Morgenstern173, D. Mori148, M. Morii57, M. Morinaga159, V. Morisbak129, A.K. Morley34, A.P. Morris92, L. Morvaj34, P. Moschovakos34, J. Montejo Berlingen34, M. Montella123, F. Monticelli86, N. Morange62, A.L. Moreira De Carvalho135a, M. Moreno Llácer169, C. Moreno Martinez12, P. Morettini53b, S. Morgenstern173, D. Mori148, M. Morii57, M. Morinaga159, V. Morisbak129, A.K. Morley34, A.P. Morris92, L. Morvaj34, P. Moschovakos34, J. Montejo Berlingen34, M. Montella123, F. Monticelli86, N. Morange62, A.L. Moreira De Carvalho135a, M. Moreno Llácer169, C. Moreno Martinez12, P. Morettini53b, S. Morgenstern173, D. Mori148, M. Morii57, M Morinaga159 V Morisbak129 A K Morley34 A P Morris92 L Morvaj34 P Moschovakos34 j g , , , g , , M. Moreno Llácer169, C. Moreno Martinez12, P. Morettini53b, S. Morgenstern173, D. Mori148, M. Morii57, 159 129 34 92 34 34 51 B. Moser115, M. Mosidze155b, T. Moskalets50, P. Moskvitina114, J. Moss29,n, E.J.W. Moyse99, S. Muanza98, y J. Mueller134, R. Mueller18, D. Muenstermann87, G.A. Mullier94, J.J. Mullin132, D.P. Mungo66 g J.L. Munoz Martinez12, F.J. Munoz Sanchez97, M. Murin97, P. Murin26b, W.J. Murray173,139, y A. Murrone66a,66b, J.M. Muse124, M. Muškinja16, C. Mwewa27, A.G. Myagkov118,ae, A.J. Myers7 j y g y A.A. Myers134, G. Myers63, M. Myska137, B.P. Nachman16, O. Nackenhorst45, A.Nag Nag46, K. Nagai130, A.A. Myers134, G. Myers63, M. Myska137, B.P. Nachman16, O. Nackenhorst45, A.Nag Nag46, K. Nagai130, K Nagano79 J L Nagle27 E Nagy98 A M Nairz34 Y Nakahama112 K Nakamura79 H Nanjo128 F. Napolitano59a, R. Narayan40, E.A. Narayanan113, I. Naryshkin133, M. Naseri32, C. Nass22, T. Naumann44, A. Negri68a,68b, M. Negrini21b, C. Nellist114, C. Nelson100, K. Nelson102, S. Nemecek136, M. Nessi34,f, g g Y.W.Y. Ng166, B. Ngair33e, H.D.N. Nguyen106, R.B. Nickerson130, R. Nicolaidou140, D.S. Nielsen38, P. Nilsson27, H.R. Nindhito52, A. Nisati70a, N. Nishu2, R. Nisius111, T. Nitta174, T. Nobe159, D.L. Noel30, Nilsson27, H.R. Nindhito52, A. Nisati70a, N. Nishu2, R. Nisius111, T. Nitta174, T. Nobe159, D.L. No Noguchi83, I. Nomidis131, M.A. Nomura27, M.B. Norfolk145, R.R.B. Norisam92, J. Novak89, T. Nov g O. Novgorodova46, L. Novotny137, R. Novotny113, L. Nozka126, K. Ntekas166, E. Nurse92, g y y F.G. Oakham32,aj, J. Ocariz131, A. Ochi80, I. Ochoa135a, J.P. Ochoa-Ricoux142a, S. Oda85, S. O S. Oerdek167, A. Ogrodnik81a, A. Oh97, C.C. Ohm150, H. Oide160, R. Oishi159, M.L. Ojeda44, g Y. Okazaki83, M.W. O’Keefe88, Y. Okumura159, A. Olariu25b, L.F. Oleiro Seabra135a, S.A. Olivares Pino142d, D. Oliveira Damazio27, D. Oliveira Goncalves78a, J.L. Oliver166, M.J.R. Olsson166 A. Olszewski82, J. Olszowska82, Ö.O. The ATLAS Collaboration Öncel22, D.C. O’Neil148, A.P. O’neill130, A. Onofre135a,135e P.U.E. Onyisi10, R.G. Oreamuno Madriz116, M.J. Oreglia35, G.E. Orellana86, D. Orestano72a,72b N. Orlando12, R.S. Orr162, V. O’Shea55, R. Ospanov58a, G. Otero y Garzon28, H. Otono85, P.S. O , , , p , y , , , G.J. Ottino16, M. Ouchrif33d, J. Ouellette27, F. Ould-Saada129, A. Ouraou140,*, Q. Ouyang13a, M. Owen55 R.E. Owen139, K.Y. Oyulmaz11c, V.E. Ozcan11c, N. Ozturk7, S. Ozturk11c, J. Pacalt126, H.A. Pace K. Pachal47, A. Pacheco Pages12, C. Padilla Aranda12, S. Pagan Griso16, G. Palacino63, S. Palazzo48, S P l i i34 M P lk 81b P P l i81a D K P h l10 C E P di i52 J G P d V 91 P P i44 K. Pachal47, A. Pacheco Pages12, C. Padilla Aranda12, S. Pagan Griso16, G. Palacino63, S. Palazzo48, S. Palestini34, M. Palka81b, P. Palni81a, D.K. Panchal10, C.E. Pandini52, J.G. Panduro Vazquez91, P. Pani44, K. Pachal47, A. Pacheco Pages12, C. Padilla Aranda12, S. Pagan Griso16, G. Palacino63, S. Palazzo Pachal , A. Pacheco Pages , C. Padilla Aranda , S. Pagan Griso , G. Palacino , S. Palazzo , Palestini34, M. Palka81b, P. Palni81a, D.K. Panchal10, C.E. Pandini52, J.G. Panduro Vazquez91, P. Pa S. Palestini34, M. Palka81b, P. Palni81a, D.K. Panchal10, C.E. Pandini52, J.G. Panduro Vazquez91, P G. Panizzo64a,64c, L. Paolozzi52, C. Papadatos106, S. Parajuli40, A. Paramonov5, C. Paraskevopoulos9, 60b 130 175 162 29 30 F. Parodi53b,53a, E.W. Parrish116, J.A. Parsons37, U. Parzefall50, L. Pascual Dominguez157, V.R. Pas F. Parodi53b,53a, E.W. Parrish116, J.A. Parsons37, U. Parzefall50, L. Pascual Dominguez157, V.R. Pascuzzi16, F. Pasquali115, E. Pasqualucci70a, S. Passaggio53b, F. Pastore91, P. Pasuwan43a,43b, J.R. Pater97, , , , , g , , F. Pasquali115, E. Pasqualucci70a, S. Passaggio53b, F. Pastore91, P. Pasuwan43a,43b, J.R. Pater97, F. Pasquali115, E. Pasqualucci70a, S. Passaggio53b, F. Pastore91, P. Pasuwan43a,43b, J.R. Pater97, q q gg hak176, J. Patton88, T. Pauly34, J. Pearkes149, M. Pedersen129, L. Pedraza Diaz114, R. Pedro135a, q q gg A. Pathak176, J. Patton88, T. Pauly34, J. Pearkes149, M. Pedersen129, L. Pedraza Diaz114, R. Pedro1 y T. Peiffer51, S.V. Peleganchuk117b,117a, O. Penc136, C. Peng60b, H. Peng58a, M. Penzin161, B.S. Peralva78a, y T. Peiffer51, S.V. Peleganchuk117b,117a, O. Penc136, C. Peng60b, H. Peng58a, M. Penzin161, B.S. Peralva78a g g g A.P. Pereira Peixoto135a, L. Pereira Sanchez43a,43b, D.V. Perepelitsa27, E. Perez Codina163a, Peixoto135a, L. Pereira Sanchez43a,43b, D.V. Perepelitsa27, E. Perez Codina163a, M. Perganti9, p g L. Perini66a,66b, H. Pernegger34, S. Perrella34, A. Perrevoort115, K. The ATLAS Collaboration Peters44, R.F.Y. Peters97, L. Perini66a,66b, H. Pernegger34, S. Perrella34, A. Perrevoort115, K. Peters44, R.F.Y. Peters97, T.C. Petersen38, E. Petit98, V. Petousis137, C. Petridou158, P. Petroff62, F. Petrucci72a,72b, A. Petrukhin147, M. Pettee178, N.E. Pettersson34, K. Petukhova138, A. Peyaud140, R. Pezoa142e, p pp q F. Piazza66a,66b, A. Picazio99, R. Piegaia28, D. Pietreanu25b, J.E. Pilcher35, A.D. Pilkington97, F. Piazza66a,66b, A. Picazio99, R. Piegaia28, D. Pietreanu25b, J.E. Pilcher35, A.D. Pilkington97, A. Pizzini115, M.-A. Pleier27, V. Plesanovs50, V. Pleskot138, E. Plotnikova77, P. Podberezko117b,117a, A. Pizzini , M. A. Pleier , V. Plesanovs , V. Pleskot , E. Plotnikova , P. Podberezko , R. Poettgen94, R. Poggi52, L. Poggioli131, I. Pogrebnyak103, D. Pohl22, I. Pokharel51, G. Polesello68a, A. Poley148,163a, A. Policicchio70a,70b, R. Polifka138, A. Polini21b, C.S. Pollard130, Z.B. Pollock123, R. Poettgen94, R. Poggi52, L. Poggioli131, I. Pogrebnyak103, D. Pohl22, I. Pokharel51, G. Polesello68a, A. Poley148,163a, A. Policicchio70a,70b, R. Polifka138, A. Polini21b, C.S. Pollard130, Z.B. Pollock123, R. Poettgen , R. Poggi , L. Poggioli , I. Pogrebnyak , D. Pohl , I. Pokharel , G. Polesello , A. Poley148,163a, A. Policicchio70a,70b, R. Polifka138, A. Polini21b, C.S. Pollard130, Z.B. Pollock123, y V. Polychronakos27, D. Ponomarenko108, L. Pontecorvo34, S. Popa25a, G.A. Popeneciu25d, L. Portales4, D.M. Portillo Quintero163a, S. Pospisil137, P. Postolache25c, K. Potamianos130, I.N. Potrap77, C.J. Potter30, H. Potti1, T. Poulsen44, J. Poveda169, T.D. Powell145, G. Pownall44, M.E. Pozo Astigarraga34, A Prades Ibanez169 P Pralavorio98 M M Prapa42 S Prell76 D Price97 M Primavera65a p M.A. Principe Martin95, M.L. Proffitt144, N. Proklova108, K. Prokofiev60c, F. Prokoshin77, 52 S. Protopopescu27, J. Proudfoot5, M. Przybycien81a, D. Pudzha133, P. Puzo62, D. Pyatiizbyantseva108, S. Protopopescu27, J. Proudfoot5, M. Przybycien81a, D. Pudzha133, P. Puzo62, D. Pyatiizbyantseva108, p p y y y y J. Qian102, Y. Qin97, T. Qiu90, A. Quadt51, M. Queitsch-Maitland34, G. Rabanal Bolanos57, , Y. Qin97, T. Qiu90, A. Quadt51, M. Queitsch-Maitland34, G. Rabanal Bolanos57, F. Ragusa66a,66b, J.A. Raine52, S. Rajagopalan27, K. Ran13a,13d, D.F. Rassloff59a, D.M. Rauch44, S. Rave 55 175 34 129 145 68 68b F. Ragusa66a,66b, J.A. Raine52, S. Rajagopalan27, K. Ran13a,13d, D.F. Rassloff59a, D.M. Rauch44 B. Ravina55, I. Ravinovich175, M. Raymond34, A.L. Read129, N.P. Readioff145, D.M. Rebuzzi6 55, I. Ravinovich175, M. Raymond34, A.L. Read129, N.P. Readioff145, D.M. Rebuzzi68a,68b, ger27, K. Reeves41, D. Reikher157, A. Reiss96, A. Rej147, C. Rembser34, A. Renardi44, G. Redlinger27, K. Reeves41, D. Reikher157, A. Reiss96, A. Rej147, C. Rembser34, A. Renardi44 25b, M.B. Rendel111, A.G. Rennie55, S. Resconi66a, M. Ressegotti53b,53a, E.D. Resseguie16, M. Renda25b, M.B. The ATLAS Collaboration Rendel111, A.G. Rennie55, S. Resconi66a, M. Ressegotti53b,53a, E.D. Resseg S. Rettie92, B. Reynolds123, E. Reynolds19, M. Rezaei Estabragh177, O.L. Rezanova117 ie92, B. Reynolds123, E. Reynolds19, M. Rezaei Estabragh177, O.L. Rezanova117 P. Reznicek138, E. Ricci73a,73b, R. Richter111, S. Richter44, E. Richter-Was81b, M. Ridel131, P. Riec P. Riedler34, O. Rifki44, M. Rijssenbeek151, A. Rimoldi68a,68b, M. Rimoldi44, L. Rinaldi21b,21a, P. Riedler34, O. Rifki44, M. Rijssenbeek151, A. Rimoldi68a,68b, M. Rimoldi44, L. Rinaldi21b,21a, ij T.T. Rinn168, M.P. Rinnagel110, G. Ripellino150, I. Riu12, P. Rivadeneira44, J.C. Rivera Vergara171 F. Rizatdinova125, E. Rizvi90, C. Rizzi52, B.A. Roberts173, B.R. Roberts16, S.H. Robertson100,y, F. Rizatdinova125, E. Rizvi90, C. Rizzi52, B.A. Roberts173, B.R. Roberts16, S.H. Robertson100,y, , , j , , A. Rocchi71a,71b, C. Roda69a,69b, S. Rodriguez Bosca59a, A. Rodriguez Rodriguez50, A. Rocchi71a,71b, C. Roda69a,69b, S. Rodriguez Bosca59a, A. Rodriguez Rodriguez50, , , g , g g , A.M. Rodríguez Vera163b, S. Roe34, A.R. Roepe124, J. Roggel177, O. Røhne129, R.A. R g p gg j C.P.A. Roland63, J. Roloff27, A. Romaniouk108, M. Romano21b, A.C. Romero Hernandez168, C.P.A. Roland63, J. Roloff27, A. Romaniouk108, M. Romano21b, A.C. Romero Hernandez168, N. Rompotis88, M. Ronzani121, L. Roos131, S. Rosati70a, B.J. Rosser132, E. Rossi162, E. Rossi4, p E. Rossi67a,67b, L.P. Rossi53b, L. Rossini44, R. Rosten123, M. Rotaru25b, B. Rottler50, D. Rousseau6 E. Rossi67a,67b, L.P. Rossi53b, L. Rossini44, R. Rosten123, M. Rotaru25b, B. Rottler50, D. Rousseau D. Rousso30, G. Rovelli68a,68b, A. Roy10, A. Rozanov98, Y. Rozen156, X. Ruan31f, A.J. Ruby88 T.A. Ruggeri1, F. Rühr50, A. Ruiz-Martinez169, A. Rummler34, Z. Rurikova50, N.A. Rusakovich77, T.A. Ruggeri1, F. Rühr50, A. Ruiz-Martinez169, A. Rummler34, Z. Rurikova50, N.A. Rusakovich77 H.L. Russell34, L. Rustige36, J.P. Rutherfoord6, E.M. Rüttinger145, M. Rybar138, E.B. Rye129, A. Ryzhov118, J.A. Sabater Iglesias44, P. Sabatini169, L. Sabetta70a,70b, H.F-W. Sadrozinski141, A. Ryzhov118, J.A. Sabater Iglesias44, P. Sabatini169, L. Sabetta70a,70b, H.F-W. Sadrozinski141, R. Sadykov77, F. Safai Tehrani70a, B. Safarzadeh Samani152, M. Safdari149, S. Saha100, M. Sahinsoy111, A. Sahu177, M. Saimpert140, M. Saito159, T. Saito159, D. Salamani34, G. Salamanna72a,72b, A. Salnikov149, R. Sadykov , F. Safai Tehrani , B. Safarzadeh Samani , M. Safdari , S. Saha , M. Sahinsoy , A. Sahu177, M. Saimpert140, M. Saito159, T. Saito159, D. Salamani34, G. Salamanna72a,72b, A. Salnikov149, p 69, A. Salvador Salas12, D. Salvatore39b,39a, F. Salvatore152, A. Salzburger34, D. Sammel50, 158 58d 58 169 4 J. Salt , A. Salvador Salas , D. Salvatore , F. Salvatore , A. Salzburger , D. Sammel , D. Sampsonidis158, D. Sampsonidou58d,58c, J. Sánchez169, A. The ATLAS Collaboration Sanchez Pineda4, V. Sanchez Sebastian169, H. Sandaker129, C.O. Sander44, I.G. Sanderswood87, J.A. Sandesara99, M. Sandhoff177, C. Sandoval20b, D.P.C. Sankey139, M. Sannino53b,53a, A. Sansoni49, C. Santoni36, H. Santos135a,135b, S.N. Santpur16, A. Santra175, K.A. Saoucha145, A. Sapronov77, J.G. Saraiva135a,135d, J. Sardain98, O. Sasaki79, K. Sato164, C. Sauer59b, F. Sauerburger50, E. Sauvan4, P. Savard162,aj, R. Sawada159, C. Sawyer139, L. Sawyer93, D. Sampsonidis158, D. Sampsonidou58d,58c, J. Sánchez169, A. Sanchez Pineda4, V. Sanchez Sebastian169, H. Sandaker129, C.O. Sander44, I.G. Sanderswood87, J.A. Sandesara99, M. Sandhoff177, C. Sandoval20b, D.P.C. Sankey139, M. Sannino53b,53a, A. Sansoni49, C. Santoni36, H. Santos135a,135b, S.N. Santpur16, A. Santra175, K.A. Saoucha145, A. Sapronov77, J.G. Saraiva135a,135d, J. Sardain98, O. Sasaki79, K. Sato164, C Sauer59b F Sauerburger50 E Sauvan4 P Savard162,aj R Sawada159 C Sawyer139 L Sawyer93 D. Sampsonidis158, D. Sampsonidou58d,58c, J. Sánchez169, A. Sanchez Pineda4, V. Sanchez Sebastian169, H. Sandaker129, C.O. Sander44, I.G. Sanderswood87, J.A. Sandesara99, M. Sandhoff177, C. Sandoval20b, 139 53b 53 49 36 135 135b 16 H. Sandaker129, C.O. Sander44, I.G. Sanderswood87, J.A. Sandesara99, M. Sandhoff177, C. Sandoval20b, D.P.C. Sankey139, M. Sannino53b,53a, A. Sansoni49, C. Santoni36, H. Santos135a,135b, S.N. Santpur16, A. Santra175, K.A. Saoucha145, A. Sapronov77, J.G. Saraiva135a,135d, J. Sardain98, O. Sasaki79, K. Sato164, C S 59b S b 50 S 4 S d162 aj S d 159 C S 139 S 93 g aefer35, U. Schäfer96, A.C. Schaffer62, D. Schaile110, R.D. Schamberger151, E. Schanet110, C. Scharf17, N. Scharmberg97, V.A. Schegelsky133, D. Scheirich138, F. Schenck17, M. Schernau166, iavi53b,53a, L.K. Schildgen22, Z.M. Schillaci24, E.J. Schioppa65a,65b, M. Schioppa39b,39a, B. Schla K.E. Schleicher50, S. Schlenker34, K. Schmieden96, C. Schmitt96, S. Schmitt44, L. Schoeffel140 K.E. Schleicher50, S. Schlenker34, K. Schmieden96, C. Schmitt96, S. Schmitt44, L. Schoeffel140, oening59b, P.G. Scholer50, E. Schopf130, M. Schott96, J. Schovancova34, S. Schramm52, A. Schoening59b, P.G. Scholer50, E. Schopf130, M. Schott96, J. Schovancova34, S. Schramm52, F. Schroeder177, H-C. Schultz-Coulon59a, M. Schumacher50, B.A. Schumm141, Ph. Schune140, A. Schwartzman149, T.A. Schwarz102, Ph. Schwemling140, R. Schwienhorst103, A. Sciandra141, G. Sciolla24, F. Scuri69a, F. Scutti101, C.D. Sebastiani88, K. Sedlaczek45, P. Seema17, S.C. Seidel113, A. Seiden141, B.D. Seidlitz27, T. Seiss35, C. Seitz44, J.M. Seixas78b, G. Sekhniaidze67a, S.J. Sekula40, L. Selem4, N. Semprini-Cesari21b,21a, S. Sen47, C. Serfon27, L. Serin62, L. Serkin64a,64b, M. Sessa72a,72b, H. Severini124, S. Sevova149, F. Sforza53b,53a, A. Sfyrla52, E. Shabalina51, R. Shaheen150, J.D. Shahinian132, N.W. Shaikh43a,43b, D. Shaked Renous175, L.Y. Shan13a, M. Shapiro16, A. Sharma34, A.S. Sharma1, S. Sharma44, P.B. Shatalov119, K. Shaw152, S.M. Shaw97, P. Sherwood92, L. Shi92, C.O. Shimmin178, Y. Shimogama174, J.D. Shinner91, I.P.J. The ATLAS Collaboration Shipsey130, S. Shirabe52, M. Shiyakova77, J. Shlomi175, M.J. Shochet35, J. Shojaii101, D.R. Shope150, S. Shrestha123, E.M. Shrif31f, M.J. Shroff171, E. Shulga175, P. Sicho136, A.M. Sickles168, E. Sideras Haddad31f, O. Sidiropoulou34, A. Sidoti21b, F. Siegert46, Dj. Sijacki14, J.M. Silva19, M.V. Silva Oliveira34, S.B. Silverstein43a, S. Simion62, F. Schroeder177, H-C. Schultz-Coulon59a, M. Schumacher50, B.A. Schumm141, Ph. Schune140, , , , y , , , J.D. Shahinian132, N.W. Shaikh43a,43b, D. Shaked Renous175, L.Y. Shan13a, M. Shapiro16, A. Sharma34, A.S. Sharma1, S. Sharma44, P.B. Shatalov119, K. Shaw152, S.M. Shaw97, P. Sherwood92, L. Shi92, C.O. Shimmin178, Y. Shimogama174, J.D. Shinner91, I.P.J. Shipsey130, S. Shirabe52, M. Shiyakova77, J. Shlomi175, M.J. Shochet35, J. Shojaii101, D.R. Shope150, S. Shrestha123, E.M. Shrif31f, M.J. Shroff171, E. Shulga175, P. Sicho136, A.M. Sickles168, E. Sideras Haddad31f, O. Sidiropoulou34, A. Sidoti21b, F. Siegert46, Dj. Sijacki14, J.M. Silva19, M.V. Silva Oliveira34, S.B. Silverstein43a, S. Simion62, 53 R. Simoniello34, N.D. Simpson94, S. Simsek11b, P. Sinervo162, V. Sinetckii109, S. Singh148, S. Singh162, R. Simoniello34, N.D. Simpson94, S. Simsek11b, P. Sinervo162, V. Sinetckii109, S. Singh148, S. Singh162, S Sinha44 S Sinha31f M Sioli21b,21a I Siral127 S Yu Sivoklokov109 J Sjölin43a,43b A Skaf51 p g S. Sinha44, S. Sinha31f, M. Sioli21b,21a, I. Siral127, S.Yu. Sivoklokov109, J. Sjölin43a,43b, A. Ska E. Skorda94, P. Skubic124, M. Slawinska82, K. Sliwa165, V. Smakhtin175, B.H. Smart139, J. Smiesko138, S.Yu. Smirnov108, Y. Smirnov108, L.N. Smirnova109,r, O. Smirnova94, E.A. Smith35, H.A. Smith1 M. Smizanska87, K. Smolek137, A. Smykiewicz82, A.A. Snesarev107, H.L. Snoek115, S. Snyder27, M. Spousta138, A. Stabile66a,66b, R. Stamen59a, M. Stamenkovic115, A. Stampekis19, M. Standke22, y p G.H. Stark141, J. Stark98, D.M. Starko163b, P. Staroba136, P. Starovoitov59a, S. Stärz100, R. Staszewski82 G.H. Stark , J. Stark , D.M. Starko , P. Staroba , P. Starovoitov , S. Stärz , R. Stasz G. Stavropoulos42, P. Steinberg27, A.L. Steinhebel127, B. Stelzer148,163a, H.J. Stelzer134, p g O. Stelzer-Chilton163a, H. Stenzel54, T.J. Stevenson152, G.A. Stewart34, M.C. Stockton34, G. Stoicea25b, S l ki135a S S j k111 A S 46 S db 150 S S db 43a 43b S 124 T. Strebler98, P. Strizenec26b, R. Ströhmer172, D.M. Strom127, L.R. Strom44, R. Stroynowski40, , , , , , y , A. Strubig43a,43b, S.A. Stucci27, B. Stugu15, J. Stupak124, N.A. Styles44, D. Su149, S. Su58a, W. Su g g p y X. Su58a, K. Sugizaki159, V.V. Sulin107, M.J. Sullivan88, D.M.S. Sultan52, L. Sultanaliyeva107, S. Sultansoy3c, T. Sumida83, S. Sun102, S. Sun176, X. Sun97, O. Sunneborn Gudnadottir167, C.J.E M.R. Sutton152, M. The ATLAS Collaboration Svatos136, M. Swiatlowski163a, T. Swirski172, I. Sykora26a, M. Sykora138, T. Sykora138, D. Ta96, K. Tackmann44,w, A. Taffard166, R. Tafirout163a, R.H.M. Taibah131, R. Takashima84, K. , , , , , , T. Takeshita146, E.P. Takeva48, Y. Takubo79, M. Talby98, A.A. Talyshev117b,117a, K.C. Tam60b, N.M. Tamir157, A. Tanaka159, J. Tanaka159, R. Tanaka62, J. Tang58c, Z. Tao170, S. Tapia Araya76, S. Tapprogge96, A. Tarek Abouelfadl Mohamed103, S. Tarem156, K. Tariq58b, G. Tarna25b, G F T t lli66a P T 138 M T k 136 E T i39b 39a G T t 159 Y T l ti33e G N T l 10 S. Tapprogge96, A. Tarek Abouelfadl Mohamed103, S. Tarem156, K. Tariq58b, G. Tarna25b, pp gg q G.F. Tartarelli66a, P. Tas138, M. Tasevsky136, E. Tassi39b,39a, G. Tateno159, Y. Tayalati33e, G.N. Tay y y y W. Taylor163b, H. Teagle88, A.S. Tee176, R. Teixeira De Lima149, P. Teixeira-Dias91, H. Ten Kate34 W. Taylor163b, H. Teagle88, A.S. Tee176, R. Teixeira De Lima149, P. Teixeira-Dias91, H. Ten Kate34, J J T h115 K T hi159 J T 95 S T 12 M T 49 R J T h 162 y N Th i kl 48 J.J. Teoh115, K. Terashi159, J. Terron95, S. Terzo12, M. Testa49, R.J. Teuscher162,y, N. Themistokle T. Theveneaux-Pelzer17, O. Thielmann177, D.W. Thomas91, J.P. Thomas19, E.A. Thompson44, P.D. Thompson19, E. Thomson132, E.J. Thorpe90, Y. Tian51, V. Tikhomirov107,af, Yu.A. Tikhonov p p S. Timoshenko108, E.X.L. Ting1, P. Tipton178, S. Tisserant98, S.H. Tlou31f, A. Tnourji36, K. Tod S. Todorova-Nova138, S. Todt46, M. Togawa79, J. Tojo85, S. Tokár26a, K. Tokushuku79, E. Tolle g j mbs30, M. Tomoto79,112, L. Tompkins149, P. Tornambe99, E. Torrence127, H. Torres46, g j R. Tombs30, M. Tomoto79,112, L. Tompkins149, P. Tornambe99, E. Torrence127, H. Torres46, E. Torró Pastor169, M. Toscani28, C. Tosciri35, J. Toth98,x, D.R. Tovey145, A. Traeet15, C.J. Tre E. Torró Pastor169, M. Toscani28, C. Tosciri35, J. Toth98,x, D.R. Tovey145, A. Traeet15, C.J. Treado121, E. Torró Pastor169, M. Toscani28, C. Tosciri35, J. Toth98,x, D.R. Tovey145, A. Traeet15, C.J. Treado121, T. Trefzger172, A. Tricoli27, I.M. Trigger163a, S. Trincaz-Duvoid131, D.A. Trischuk170, W. Trischuk162, B. Trocmé56, A. Trofymov62, C. Troncon66a, F. Trovato152, L. Truong31c, M. Trzebinski82, A. Trzupek82, F. Tsai151, M. Tsai102, A. Tsiamis158, P.V. Tsiareshka104, A. Tsirigotis158,u, V. Tsiskaridze151, E.G. Tskhadadze155a, M. Tsopoulou158, Y. Tsujikawa83, I.I. Tsukerman119, V. Tsulaia16, S. Tsuno79, O. Tsur156, D. Tsybychev151, Y. Tu60b, A. Tudorache25b, V. Tudorache25b, A.N. Tuna34, S. Turchikhin77, I. Turk Cakir3a, R.J. Turner19, R. Turra66a, P.M. Tuts37, S. The ATLAS Collaboration Tzamarias158, P. Tzanis9, E. Tzovara96, K. Uchida159, F. Ukegawa164, P.A. Ulloa Poblete142b, G. Unal34, M. Unal10, A. Undrus27, G. Unel166, F.C. Ungaro101, K. Uno159, J. Urban26b, P. Urquijo101, G. Usai7, R. Ushioda160, M. Usman106, Z. Uysal11d, V. Vacek137, B. Vachon100, K.O.H. Vadla129, T. Vafeiadis34, C. Valderanis110, E. Valdes Santurio43a,43b, M. Valente163a, S. Valentinetti21b,21a, A. Valero169, R.A. Vallance19, A. Vallier98, J.A. Valls Ferrer169, T.R. Van Daalen144, P. Van Gemmeren5, S. Van Stroud92, I. Van Vulpen115, M. Vanadia71a,71b, W. Vandelli34, M. Vandenbroucke140, E.R. Vandewall125, D. Vannicola157, L. Vannoli53b,53a, R. Vari70a, E.W. Varnes6, C. Varni16, T. Varol154, D. Varouchas62, K.E. Varvell153, M.E. Vasile25b, L. Vaslin36, zger172, A. Tricoli27, I.M. Trigger163a, S. Trincaz-Duvoid131, D.A. Trischuk170, W. Trischuk162, g gg B. Trocmé56, A. Trofymov62, C. Troncon66a, F. Trovato152, L. Truong31c, M. Trzebinski82, A. Trzupek82, F. Tsai151, M. Tsai102, A. Tsiamis158, P.V. Tsiareshka104, A. Tsirigotis158,u, V. Tsiskaridze151, E.G. Tskhadadze155a, M. Tsopoulou158, Y. Tsujikawa83, I.I. Tsukerman119, V. Tsulaia16, S. Tsuno79, O. Tsur156, D. Tsybychev151, Y. Tu60b, A. Tudorache25b, V. Tudorache25b, A.N. Tuna34, S. Turchikhin77, I. Turk Cakir3a, R.J. Turner19, R. Turra66a, P.M. Tuts37, S. Tzamarias158, P. Tzanis9, E. Tzovara96, K. Uchida159, F. Ukegawa164, P.A. Ulloa Poblete142b, G. Unal34, M. Unal10, A. Undrus27, G. Unel166, F.C. Ungaro101, K. Uno159, J. Urban26b, P. Urquijo101, G. Usai7, R. Ushioda160, M. Usman106, Z. Uysal11d, V. Vacek137, B. Vachon100, K.O.H. Vadla129, T. Vafeiadis34, C. Valderanis110, E. Valdes Santurio43a,43b, M. Valente163a, S. Valentinetti21b,21a, A. Valero169, R.A. Vallance19, A. Vallier98, J.A. Valls Ferrer169, T.R. Van Daalen144, P. Van Gemmeren5, S. Van Stroud92, I. Van Vulpen115, M. Vanadia71a,71b, W. Vandelli34, M. Vandenbroucke140, E.R. Vandewall125, D. Vannicola157, L. Vannoli53b,53a, R. Vari70a, E.W. Varnes6, C. Varni16, T. Varol154, D. Varouchas62, K.E. Varvell153, M.E. Vasile25b, L. Vaslin36, B. Trocmé56, A. Trofymov62, C. Troncon66a, F. Trovato152, L. Truong31c, M. Trzebinski82, A. Trzupek82, F. Tsai151, M. Tsai102, A. Tsiamis158, P.V. Tsiareshka104, A. Tsirigotis158,u, V. Tsiskaridze151, 54 G.A. Vasquez171, F. Vazeille36, D. Vazquez Furelos12, T. Vazquez Schroeder34, J. Veatch51, V. Vecchio97, M J V 115 I V li k130 L M V l 162 F V l 135a 135c S V i 70a A V t 65a 65b quez171, F. Vazeille36, D. Vazquez Furelos12, T. Vazquez Schroeder34, J. Veatch51, V. Vecchio97, G.A. Vasquez171, F. Vazeille36, D. Vazquez Furelos12, T. Vazquez Schroeder34, J. Veatch51, V. Vecchio97, q q q M.J. Veen115, I. Veliscek130, L.M. Veloce162, F. Veloso135a,135c, S. Veneziano70a, A. Ventura65 q q q n115, I. Veliscek130, L.M. Veloce162, F. Veloso135a,135c, S. The ATLAS Collaboration p y y 3(𝑎)Department of Physics, Ankara University, Ankara;(𝑏)Istanbul Aydin University, Application and Research Center for Advanced Studies, Istanbul;(𝑐)Division of Physics, TOBB University of Economics 3(𝑎)Department of Physics, Ankara University, Ankara;(𝑏)Istanbul Aydin University, Application and Research Center for Advanced Studies, Istanbul;(𝑐)Division of Physics, TOBB University of Economics 55 5High Energy Physics Division, Argonne National Laboratory, Argonne IL; United States of America. 6 f h i i i f i i d S f i 6Department of Physics, University of Arizona, Tucson AZ; United States of America. 7Department of Physics, University of Texas at Arlington, Arlington TX; United States of Americ 8Physics Department, National and Kapodistrian University of Athens, Athens; Greece. 9Physics Department, National Technical University of Athens, Zografou; Greece. 10Department of Physics, University of Texas at Austin, Austin TX; United States of America. 11(𝑎)Bahcesehir University, Faculty of Engineering and Natural Sciences, Istanbul;(𝑏)Istanbul Bilgi ( ) iversity, Faculty of Engineering and Natural Sciences, Istanbul;(𝑐)Department of Physics, Bogazic y y g g p y g University, Istanbul;(𝑑)Department of Physics Engineering, Gaziantep University, Gaziantep; Turkey. 12Institut de Física d’Altes Energies (IFAE), Barcelona Institute of Science and Technology, Barcelona; Spain. University, Istanbul;(𝑑)Department of Physics Engineering, Gaziantep University, Gaziantep; Turkey. 12Institut de Física d’Altes Energies (IFAE), Barcelona Institute of Science and Technology, Barcelona; Spain. p 13(𝑎)Institute of High Energy Physics, Chinese Academy of Sciences, Beijing;(𝑏)Physics Department, Tsinghua University, Beijing;(𝑐)Department of Physics, Nanjing University, Nanjing;(𝑑)University of Chinese Academy of Science (UCAS), Beijing; China. 13(𝑎)Institute of High Energy Physics, Chinese Academy of Sciences, Beijing;(𝑏)Physics Department, Tsinghua University, Beijing;(𝑐)Department of Physics, Nanjing University, Nanjing;(𝑑)University of Chinese Academy of Science (UCAS) Beijing; China ( )Institute of High Energy Physics, Chinese Academy of Sciences, Beijing;( )Physics Department, Tsinghua University, Beijing;(𝑐)Department of Physics, Nanjing University, Nanjing;(𝑑)University of Tsinghua University, Beijing;(𝑐)Department of Physics, Nanjing University, Nanjing;(𝑑)University of 14Institute of Physics, University of Belgrade, Belgrade; Serbia. 15Department for Physics and Technology, University of Bergen, Bergen; Norway. 16 15Department for Physics and Technology, University of Bergen, Bergen; Norway. 16Physics Division, Lawrence Berkeley National Laboratory and University of California, Berkeley CA; United States of America. 16Physics Division, Lawrence Berkeley National Laboratory and University of California, Berkeley CA; United States of America. 16Physics Division, Lawrence Berkeley National Laboratory and University of California, Berkeley CA; United States of America. 17Institut für Physik, Humboldt Universität zu Berlin, Berlin; Germany. 18 18Albert Einstein Center for Fundamental Physics and Laboratory for High Energy Physics, University of Bern, Bern; Switzerland. The ATLAS Collaboration Veneziano70a, A. Ventura65a,65b, , , , , , A. Verbytskyi111, M. Verducci69a,69b, C. Vergis22, M. Verissimo De Araujo78b, W. Verkerke115 A. Verbytskyi111, M. Verducci69a,69b, C. Vergis22, M. Verissimo De Araujo78b, W. Verkerke115, y y , , g , j , A.T. Vermeulen115, J.C. Vermeulen115, C. Vernieri149, P.J. Verschuuren91, M. Vessella99, y y g j ermeulen115, J.C. Vermeulen115, C. Vernieri149, P.J. Verschuuren91, M. Vessella99, M.L. Vesterbacka121, M.C. Vetterli148,aj, A. Vgenopoulos158, N. Viaux Maira142e, T. Vickey145, M.L. Vesterbacka121, M.C. Vetterli148,aj, A. Vgenopoulos158, N. Viaux Maira142e, T. Vickey145 Vickey Boeriu145, G.H.A. Viehhauser130, L. Vigani59b, M. Villa21b,21a, M. Villaplana Perez169, O.E. Vickey Boeriu145, G.H.A. Viehhauser130, L. Vigani59b, M. Villa21b,21a, M. Villaplana Per E.M. Villhauer48, E. Vilucchi49, M.G. Vincter32, G.S. Virdee19, A. Vishwakarma48, C. Vittori21b,21a, Villhauer48, E. Vilucchi49, M.G. Vincter32, G.S. Virdee19, A. Vishwakarma48, C. Vittori21b,21a, Vivarelli152, V. Vladimirov173, E. Voevodina111, M. Vogel177, P. Vokac137, J. Von Ahnen44, I. Vivarelli152, V. Vladimirov173, E. Voevodina111, M. Vogel177, P. Vokac137, J. Von Ahnen44, E. Von Toerne22, B. Vormwald34, V. Vorobel138, K. Vorobev108, M. Vos169, J.H. Vossebeld88, M. Vozak97, E. Von Toerne22, B. Vormwald34, V. Vorobel138, K. Vorobev108, M. Vos169, J.H. Vossebeld88, M. Vozak97, R. Vuillermet34, O.V. Vujinovic96, I. Vukotic35, S. Wada164, C. Wagner99, W. Wagner177, S. Wahdan177, R. Vuillermet34, O.V. Vujinovic96, I. Vukotic35, S. Wada164, C. Wagner99, W. Wagner177, S. Wahdan177, S.D. Walker91, W. Walkowiak147, A.M. Wang57, A.Z. Wang176, C. Wang58a, C. Wang58c, H. Wang16, S. Zerradi33a, D. Zerwas62, B. Zhang13c, D.F. Zhang145, G. Zhang13b, J. Zhang5, K. Zhang13a, L. Zhang13c, M. Zhang168, R. Zhang176, S. Zhang102, X. Zhang58c, X. Zhang58b, Z. Zhang62, P. Zhao47, T. Zhao58b, Y. Zhao141, Z. Zhao58a, A. Zhemchugov77, Z. Zheng149, D. Zhong168, B. Zhou102, C. Zhou176, H. Zhou6, N. Zhou58c, Y. Zhou6, C.G. Zhu58b, C. Zhu13a,13d, H.L. Zhu58a, H. Zhu13a, J. Zhu102, Y. Zhu58a, X. Zhuang13a, K. Zhukov107, V. Zhulanov117b,117a, D. Zieminska63, N.I. Zimine77, S. Zimmermann50,*, J. Zinsser59b, M. Ziolkowski147, L. Živković14, A. Zoccoli21b,21a, K. Zoch52, T.G. Zorbas145, O. Zormpa42, W. Zou37, L. Zwalinski34. 1Department of Physics, University of Adelaide, Adelaide; Australia. 1Department of Physics, University of Adelaide, Adelaide; Australia. 2Department of Physics, University of Alberta, Edmonton AB; Canada. The ATLAS Collaboration 31(𝑎)Department of Physics, University of Cape Town, Cape Town;(𝑏)iThemba Labs, Western Cape;(𝑐)Department of Mechanical Engineering Science, University of Johannesburg, Johannesburg;(𝑑)National Institute of Physics, University of the Philippines Diliman 31(𝑎)Department of Physics, University of Cape Town, Cape Town;(𝑏)iThemba Labs, Western Cape;(𝑐)Department of Mechanical Engineering Science, University of Johannesburg, Johannesburg;(𝑑)National Institute of Physics University of the Philippines Diliman 56 (Philippines);(𝑒)University of South Africa, Department of Physics, Pretoria;( 𝑓)School of Physics, ilippines);(𝑒)University of South Africa, Department of Physics, Pretoria;( 𝑓)School of Physics, University of the Witwatersrand, Johannesburg; South Africa. University of the Witwatersrand, Johannesburg; South Africa. 32Department of Physics, Carleton University, Ottawa ON; Canada. 32Department of Physics, Carleton University, Ottawa ON; Canada. Hassan II, Casablanca;(𝑏)Faculté des Sciences, Université Ibn-Tofail, Kénitra;(𝑐)Faculté des Sciences Semlalia, Université Cadi Ayyad, LPHEA-Marrakech;(𝑑)LPMR, Faculté des Sciences, Université Mohamed Premier, Oujda;(𝑒)Faculté des sciences, Université Mohammed V, Rabat;( 𝑓)Mohammed VI Polytechnic University, Ben Guerir; Morocco. Semlalia, Université Cadi Ayyad, LPHEA-Marrakech;(𝑑)LPMR, Faculté des Sciences, Université Mohamed Premier, Oujda;(𝑒)Faculté des sciences, Université Mohammed V, Rabat;( 𝑓)Mohammed VI Polytechnic University, Ben Guerir; Morocco. 34CERN, Geneva; Switzerland. 35Enrico Fermi Institute, University of Chicago, Chicago IL; United States of America. 36LPC, Université Clermont Auvergne, CNRS/IN2P3, Clermont-Ferrand; France. 37Nevis Laboratory, Columbia University, Irvington NY; United States of America. 38Niels Bohr Institute, University of Copenhagen, Copenhagen; Denmark. 39( ) (𝑏) 38Niels Bohr Institute, University of Copenhagen, Copenhagen; Denmark. 39(𝑎)Dipartimento di Fisica, Università della Calabria, Rende;(𝑏)INFN Gru 39(𝑎)Dipartimento di Fisica, Università della Calabria, Rende;(𝑏)INFN Gruppo Collegato di Cosenza, Laboratori Nazionali di Frascati; Italy. Laboratori Nazionali di Frascati; Italy. Laboratori Nazionali di Frascati; Italy. y p , y, ; 41Physics Department, University of Texas at Dallas, Richardson TX; United States of America 42National Centre for Scientific Research "Demokritos", Agia Paraskevi; Greece. 42National Centre for Scientific Research "Demokritos", Agia Paraskevi; Greece. 43(𝑎)Department of Physics, Stockholm University;(𝑏)Oskar Klein Centre, Stockholm; Sweden. National Centre for Scientific Research Demokritos , Agia Paraskevi; Greece. 43(𝑎)Department of Physics, Stockholm University;(𝑏)Oskar Klein Centre, Stockholm; Sweden. 44Deutsches Elektronen-Synchrotron DESY, Hamburg and Zeuthen; Germany. 44Deutsches Elektronen-Synchrotron DESY, Hamburg and Zeuthen; Germany. 45Fakultät Physik , Technische Universität Dortmund, Dortmund; Germany. 45Fakultät Physik , Technische Universität Dortmund, Dortmund; Germany. 46Institut für Kern- und Teilchenphysik, Technische Universität Dresden, Dresden; Germany. 46Institut für Kern- und Teilchenphysik, Technische Universität Dresden, Dresd 47Department of Physics, Duke University, Durham NC; United States of America. 47Department of Physics, Duke University, Durham NC; United States of America. The ATLAS Collaboration 18Albert Einstein Center for Fundamental Physics and Laboratory for High Energy Physics, University of Bern, Bern; Switzerland. 19School of Physics and Astronomy, University of Birmingham, Birmingham; United Kingdo 20( ) 19School of Physics and Astronomy, University of Birmingham, Birmingham; United Kin 20(𝑎)Facultad de Ciencias y Centro de Investigaciónes, Universidad Antonio Nariño, 20(𝑎)Facultad de Ciencias y Centro de Investigaciónes, Universidad Antonio Nariño, ( ) Bogotá;(𝑏)Departamento de Física, Universidad Nacional de Colombia, Bogotá; Colombia. 21( ) (𝑏) Bogotá;(𝑏)Departamento de Física, Universidad Nacional de Colombia, Bogotá; Colombia. 21(𝑎)Dipartimento di Fisica e Astronomia A. Righi, Università di Bologna, Bologna;(𝑏)INFN Sezione di Bologna; Italy. 21(𝑎)Dipartimento di Fisica e Astronomia A. Righi, Università di Bologna, Bologna;(𝑏)INFN Sezione di Bologna; Italy. 22Physikalisches Institut, Universität Bonn, Bonn; Germany. 23Department of Physics, Boston University, Boston MA; United States of America. 24Department of Physics, Brandeis University, Waltham MA; United States of America. ( ) ( ) 24Department of Physics, Brandeis University, Waltham MA; United States of America. 25(𝑎)Transilvania University of Brasov, Brasov;(𝑏)Horia Hulubei National Institute of Physics and Nuclear ( ) p y y 25(𝑎)Transilvania University of Brasov, Brasov;(𝑏)Horia Hulubei National Institute of Physics and Nuclear Engineering Bucharest;(𝑐)Department of Physics Alexandru Ioan Cuza University of Iasi 25(𝑎)Transilvania University of Brasov, Brasov;(𝑏)Horia Hulubei National Institute of Physics and Nuclear Engineering Bucharest;(𝑐)Department of Physics Alexandru Ioan Cuza University of Iasi 25(𝑎)Transilvania University of Brasov, Brasov;(𝑏)Horia Hulubei National Institute of Physics and Engineering, Bucharest;(𝑐)Department of Physics, Alexandru Ioan Cuza University of Iasi, ( ) Iasi;(𝑑)National Institute for Research and Development of Isotopic and Molecular Technologies, Physics Department, Cluj-Napoca;(𝑒)University Politehnica Bucharest, Bucharest;( 𝑓)West University in Timisoara, Timisoara; Romania. 26(𝑎)Faculty of Mathematics, Physics and Informatics, Comenius University, Bratislava;(𝑏)Department of Subnuclear Physics, Institute of Experimental Physics of the Slovak Academy of Sciences, Kosice; Slovak Republic. 27Physics Department, Brookhaven National Laboratory, Upton NY; United States of America. 28Departamento de Física (FCEN) and IFIBA, Universidad de Buenos Aires and CONICET, Buenos Aires; Argentina. 30Cavendish Laboratory, University of Cambridge, Cambridge; United Kingdom. Department of Physics, Indiana University, Bloomington IN; United States of America. The ATLAS Collaboration 67(𝑎)INFN Sezione di Napoli;(𝑏)Dipartimento di Fisica, Università di Napoli, Napoli; Italy. 68(𝑎)INFN Sezione di Pavia;(𝑏)Dipartimento di Fisica, Università di Pavia, Pavia; Italy. 69(𝑎)INFN Sezione di Pisa;(𝑏)Dipartimento di Fisica E. Fermi, Università di Pisa, Pisa; Italy. 70(𝑎)INFN Sezione di Roma;(𝑏)Dipartimento di Fisica, Sapienza Università di Roma, Roma; Italy 1( ) (𝑏) 71(𝑎)INFN Sezione di Roma Tor Vergata;(𝑏)Dipartimento di Fisica, Università di Roma Tor Vergata, Roma; Italy. 71(𝑎)INFN Sezione di Roma Tor Vergata;(𝑏)Dipartimento di Fisica, Università di Roma Tor Vergata, Roma; Italy. 72(𝑎)INFN Sezione di Roma Tre;(𝑏)Dipartimento di Matematica e Fisica, Università Roma Tre, Roma; Italy. 72(𝑎)INFN Sezione di Roma Tre;(𝑏)Dipartimento di Matematica e Fisica, Università Roma Tre, Roma; Italy. 73(𝑎)INFN-TIFPA;(𝑏)Università degli Studi di Trento, Trento; Italy. 73(𝑎)INFN-TIFPA;(𝑏)Università degli Studi di Trento, Trento; Italy 75University of Iowa, Iowa City IA; United States of America. 75University of Iowa, Iowa City IA; United States of America. 76Department of Physics and Astronomy, Iowa State University, Ames IA; United States of America. 77Joint Institute for Nuclear Research, Dubna; Russia. 76Department of Physics and Astronomy, Iowa State University, Ames IA; United States of America. 77Joint Institute for Nuclear Research, Dubna; Russia. 77Joint Institute for Nuclear Research, Dubna; Russia. 77Joint Institute for Nuclear Research, Dubna; Russia. 78(𝑎)Departamento de Engenharia Elétrica, Universidade Federal de Juiz de Fora (UFJF), Juiz de 78(𝑎)Departamento de Engenharia Elétrica, Universidade Federal de Juiz de Fora (UFJF), Juiz de Fora;(𝑏)Universidade Federal do Rio De Janeiro COPPE/EE/IF, Rio de Janeiro;(𝑐)Instituto de Física, U i id d d Sã P l Sã P l B il p g , ( ), Fora;(𝑏)Universidade Federal do Rio De Janeiro COPPE/EE/IF, Rio de Janeiro;(𝑐)Instituto de Física, Fora;(𝑏)Universidade Federal do Rio De Janeiro COPPE/EE/IF, Rio de Janeiro;(𝑐)Instituto de Física, Fora;(𝑏)Universidade Federal do Rio De Janeiro COPPE/EE/IF, Rio de Jan Universidade de São Paulo, São Paulo; Brazil. 79KEK, High Energy Accelerator Research Organization, Tsukuba; Japan. 80Graduate School of Science, Kobe University, Kobe; Japan. 80Graduate School of Science, Kobe University, Kobe; Japan. The ATLAS Collaboration UPA - School of Physics and Astronomy, University of Edinburgh, Edinburgh; United Kingdom. 48SUPA - School of Physics and Astronomy, University of Edinburgh, Edinburgh; U 49INFN e Laboratori Nazionali di Frascati, Frascati; Italy. 49INFN e Laboratori Nazionali di Frascati, Frascati; Italy. 50Physikalisches Institut, Albert-Ludwigs-Universität Freiburg, Freiburg; Germany. 50Physikalisches Institut, Albert-Ludwigs-Universität Freiburg, Freiburg; Germany. 51II. Physikalisches Institut, Georg-August-Universität Göttingen, Göttingen; Germany. 52Département de Physique Nucléaire et Corpusculaire Université de Genève Genève; Switzerla . Physikalisches Institut, Georg-August-Universität Göttingen, Göttingen; Germany. Département de Physique Nucléaire et Corpusculaire, Université de Genève, Genève; Switzerland. ipartimento di Fisica, Università di Genova, Genova;(𝑏)INFN Sezione di Genova; Italy. 54II. Physikalisches Institut, Justus-Liebig-Universität Giessen, Giessen; Germany. 55SUPA - School of Physics and Astronomy, University of Glasgow, Glasgow; United Kingd SUPA School of Physics and Astronomy, University of Glasgow, Glasgow; United Kingdom. 56LPSC, Université Grenoble Alpes, CNRS/IN2P3, Grenoble INP, Grenoble; France. 56LPSC, Université Grenoble Alpes, CNRS/IN2P3, Grenoble INP, Grenoble; France. 57Laboratory for Particle Physics and Cosmology, Harvard University, Cambridge MA; United States of America. epartment of Modern Physics and State Key Laboratory of Particle Detection and Electronics, ( ) 58(𝑎)Department of Modern Physics and State Key Laboratory of Particle Detection and Electronics, University of Science and Technology of China, Hefei;(𝑏)Institute of Frontier and Interdisciplinary Science and Key Laboratory of Particle Physics and Particle Irradiation (MOE), Shandong University, University of Science and Technology of China, Hefei;(𝑏)Institute of Frontier and Interdisciplinary Science and Key Laboratory of Particle Physics and Particle Irradiation (MOE), Shandong University, Qingdao;(𝑐)School of Physics and Astronomy, Shanghai Jiao Tong University, Key Laboratory for Particle Astrophysics and Cosmology (MOE), SKLPPC, Shanghai;(𝑑)Tsung-Dao Lee Institute, Shanghai; China. 59(𝑎)Kirchhoff-Institut für Physik, Ruprecht-Karls-Universität Heidelberg, Heidelberg;(𝑏)Physikalisches Institut, Ruprecht-Karls-Universität Heidelberg, Heidelberg; Germany. p g g y 60(𝑎)Department of Physics, Chinese University of Hong Kong, Shatin, N.T., Hong Kong;(𝑏)Department of Physics, University of Hong Kong, Hong Kong;(𝑐)Department of Physics and Institute for Advanced Study, Hong Kong University of Science and Technology, Clear Water Bay, Kowloon, Hong Kong; China. 61Department of Physics, National Tsing Hua University, Hsinchu; Taiwan. 62IJCLab, Université Paris-Saclay, CNRS/IN2P3, 91405, Orsay; France. y y 63Department of Physics, Indiana University, Bloomington IN; United States of America. 57 64(𝑎)INFN Gruppo Collegato di Udine, Sezione di Trieste, Udine;(𝑏)ICTP, Trieste;(𝑐)Dipartimen Politecnico di Ingegneria e Architettura, Università di Udine, Udine; Italy. 65(𝑎)INFN Sezione di Lecce;(𝑏)Dipartimento di Matematica e Fisica, Università del Salento, L 66(𝑎)INFN Sezione di Milano;(𝑏)Dipartimento di Fisica, Università di Milano, Milano; Italy. The ATLAS Collaboration 81(𝑎)AGH University of Science and Technology, Faculty of Physics and Applied Computer Science, y p 81(𝑎)AGH University of Science and Technology, Faculty of Physics and Applied Computer Science, k (𝑏) i l h ki i f h i i ll i i i k l d 81(𝑎)AGH University of Science and Technology, Faculty of Physics and Applied Computer Science, Krakow;(𝑏)Marian Smoluchowski Institute of Physics Jagiellonian University Krakow; Poland Krakow;(𝑏)Marian Smoluchowski Institute of Physics, Jagiellonian University, Krakow; Polan 82 82Institute of Nuclear Physics Polish Academy of Sciences, Krakow; Poland. 83 83Faculty of Science, Kyoto University, Kyoto; Japan. 84Kyoto University of Education, Kyoto; Japan. 85Research Center for Advanced Particle Physics and Department of Physics, Kyushu University, Fu Japan. Japan. 86Instituto de Física La Plata Universidad Nacional de La Plata and CONICET La Plata; Argentina 86Instituto de Física La Plata, Universidad Nacional de La Plata and CONICET, La Plata; Argenti 87Physics Department, Lancaster University, Lancaster; United Kingdom. 88Oliver Lodge Laboratory, University of Liverpool, Liverpool; United Kingdom. 89Department of Experimental Particle Physics, Jožef Stefan Institute and Department of Physics University of Ljubljana, Ljubljana; Slovenia. 90School of Physics and Astronomy, Queen Mary University of London, London; United Kingdo 91 91Department of Physics, Royal Holloway University of London, Egham; United Kingdom. 92 92Department of Physics and Astronomy, University College London, London; United Kingdom. 92Department of Physics and Astronomy, University College London, 93Louisiana Tech University, Ruston LA; United States of America. 94Fysiska institutionen, Lunds universitet, Lund; Sweden. 95Departamento de Física Teorica C-15 and CIAFF, Universidad Autónoma de Madrid, Madrid; Spain. 96Institut für Physik, Universität Mainz, Mainz; Germany. 95Departamento de Física Teorica C-15 and CIAFF, Universidad Autónoma de Madrid, Madrid; Spain. 96Institut für Physik, Universität Mainz, Mainz; Germany. 95Departamento de Física Teorica C-15 and CIAFF, Universidad Autónoma de Madrid, Madrid; Spain. 96Institut für Physik Universität Mainz Mainz; Germany 97School of Physics and Astronomy, University of Manchester, Manchester; United Kingdom. 98CPPM, Aix-Marseille Université, CNRS/IN2P3, Marseille; France. 97School of Physics and Astronomy, University of Manchester, Manchester; United Kingdom 98 99Department of Physics, University of Massachusetts, Amherst MA; United States of America. 100Department of Physics, McGill University, Montreal QC; Canada. 99Department of Physics, University of Massachusetts, Amherst MA; United States of America. 100Department of Physics McGill University Montreal QC; Canada 99Department of Physics, University of Massachusetts, Amherst MA; United States of America. 100 99Department of Physics, University of Massachusetts, Amherst MA; United States of America. The ATLAS Collaboration 101School of Physics, University of Melbourne, Victoria; Australia. 101School of Physics, University of Melbourne, Victoria; Australia. 102Department of Physics, University of Michigan, Ann Arbor MI; United States of America. 102Department of Physics, University of Michigan, Ann Arbor MI; United States of America. 58 103Department of Physics and Astronomy, Michigan State University, East Lansing MI; United States of America. 104B.I. Stepanov Institute of Physics, National Academy of Sciences of Belarus, Minsk; Belarus. 105Research Institute for Nuclear Problems of Byelorussian State University, Minsk; Belarus. 106Group of Particle Physics, University of Montreal, Montreal QC; Canada. 107P.N. Lebedev Physical Institute of the Russian Academy of Sciences, Moscow; Russia. 108National Research Nuclear University MEPhI, Moscow; Russia. 109D.V. Skobeltsyn Institute of Nuclear Physics, M.V. Lomonosov Moscow State University, Moscow; Russia. 110Fakultät für Physik, Ludwig-Maximilians-Universität München, München; Germany. 111Max-Planck-Institut für Physik (Werner-Heisenberg-Institut), München; Germany. 112Graduate School of Science and Kobayashi-Maskawa Institute, Nagoya University, Nagoya; Japan. 113Department of Physics and Astronomy, University of New Mexico, Albuquerque NM; United States of America. 114Institute for Mathematics, Astrophysics and Particle Physics, Radboud University/Nikhef, Nijmegen; Netherlands. 115 115Nikhef National Institute for Subatomic Physics and University of Amsterdam, Amsterdam; Netherlands. 115Nikhef National Institute for Subatomic Physics and University of Amsterdam, Amsterdam; Netherlands. 116Department of Physics, Northern Illinois University, DeKalb IL; United States of America. 116Department of Physics, Northern Illinois University, DeKalb IL; United States of America. 117(𝑎)Budker Institute of Nuclear Physics and NSU, SB RAS, Novosibirsk;(𝑏)Novosibirsk State University Novosibirsk; Russia. 118 116Department of Physics, Northern Illinois University, DeKalb IL; United States of America. 117(𝑎)Budker Institute of Nuclear Physics and NSU, SB RAS, Novosibirsk;(𝑏)Novosibirsk State University Novosibirsk; Russia. 118Institute for High Energy Physics of the National Research Centre Kurchatov Institute, Protvino; Russia. 119Institute for Theoretical and Experimental Physics named by A.I. Alikhanov of National Research Centre "K rchato Instit te" Mosco ; R ssia 118Institute for High Energy Physics of the National Research Centre Kurchatov Institute, Protvino; Russia. 119Institute for Theoretical and Experimental Physics named by A.I. Alikhanov of National Research Centre "Kurchatov Institute", Moscow; Russia. 120(𝑎)New York University Abu Dhabi, Abu Dhabi;(𝑏)United Arab Emirates University, Al Ain;(𝑐)University of Sharjah, Sharjah; United Arab Emirates. 120(𝑎)New York University Abu Dhabi, Abu Dhabi;(𝑏)United Arab Emirates University, Al Ain;(𝑐)University of Sharjah, Sharjah; United Arab Emirates. y j j 121Department of Physics, New York University, New York NY; United States of America. The ATLAS Collaboration 122Ochanomi Uni er it Ot ka B nk o k Tok o Japan 121Department of Physics, New York University, New York NY; United States of America. 122 121Department of Physics, New York University, New York NY; United States of America. 122Ochanomizu University, Otsuka, Bunkyo-ku, Tokyo; Japan. 123Ohio State University, Columbus OH; United States of America. 124 124Homer L. Dodge Department of Physics and Astronomy, University of Oklahoma, Norman OK States of America. 125Department of Physics, Oklahoma State University, Stillwater OK; United States of Americ 125Department of Physics, Oklahoma State University, Stillwater OK; United States of America. 126 126Palacký University, Joint Laboratory of Optics, Olomouc; Czech Republic. 126Palacký University, Joint Laboratory of Optics, Olomouc; Czech Republic. 127Institute for Fundamental Science, University of Oregon, Eugene, OR; United States of America. 128 127Institute for Fundamental Science, University of Oregon, Eugene, OR; United States 128Graduate School of Science, Osaka University, Osaka; Japan. 128Graduate School of Science, Osaka University, Osaka; Japan. 129Department of Physics, University of Oslo, Oslo; Norway. 130 129Department of Physics, University of Oslo, Oslo; Norway. 130 130Department of Physics, Oxford University, Oxford; United Kingdom. 130Department of Physics, Oxford University, Oxford; United Kingdom. 131LPNHE, Sorbonne Université, Université Paris Cité, CNRS/IN2P3, Paris; France. 132 132Department of Physics, University of Pennsylvania, Philadelphia PA; United States of America 133 133Konstantinov Nuclear Physics Institute of National Research Centre "Kurchatov Institute", PNPI, St. Petersburg; Russia. 134Department of Physics and Astronomy, University of Pittsburgh, Pittsburgh PA; United States of America. 134Department of Physics and Astronomy, University of Pittsburgh, Pittsburgh PA; United States of A i 135(𝑎)Laboratório de Instrumentação e Física Experimental de Partículas - LIP, Lisboa;(𝑏)Departamento de Física, Faculdade de Ciências, Universidade de Lisboa, Lisboa;(𝑐)Departamento de Física, Universidade de Coimbra Coimbra;(𝑑)Centro de Física Nuclear da Universidade de Lisboa Lisboa;(𝑒)Departamento de 135(𝑎)Laboratório de Instrumentação e Física Experimental de Partículas - LIP, Lisboa;(𝑏)Departamento de Física, Faculdade de Ciências, Universidade de Lisboa, Lisboa;(𝑐)Departamento de Física, Universidade de Coimbra, Coimbra;(𝑑)Centro de Física Nuclear da Universidade de Lisboa, Lisboa;(𝑒)Departamento de Física, Universidade do Minho, Braga;( 𝑓)Departamento de Física Teórica y del Cosmos, Universidad de 59 Granada, Granada (Spain);(𝑔)Instituto Superior Técnico, Universidade de Lisboa, Lisboa; Portugal. 136 136Institute of Physics of the Czech Academy of Sciences, Prague; Czech Republic. 137Czech Technical University in Prague, Prague; Czech Republic. 138Charles University, Faculty of Mathematics and Physics, Prague; Czech Republic. 139Particle Physics Department, Rutherford Appleton Laboratory, Didcot; United Kingdom. The ATLAS Collaboration 140 139Particle Physics Department, Rutherford Appleton Laboratory, Didcot; United Kingdom. 140IRFU CEA Université Paris Saclay Gif sur Yvette; France 140IRFU, CEA, Université Paris-Saclay, Gif-sur-Yvette; France. 141Santa Cruz Institute for Particle Physics, University of California Santa Cruz, Santa Cruz CA; United States of America. 142(𝑎)Departamento de Física, Pontificia Universidad Católica de Chile, Santiago;(𝑏)Instituto de Investigación Multidisciplinario en Ciencia y Tecnología, y Departamento de Física, Universidad de La Serena;(𝑐)Universidad Andres Bello, Department of Physics, Santiago;(𝑑)Instituto de Alta Investigación, Universidad de Tarapacá, Arica;(𝑒)Departamento de Física, Universidad Técnica Federico Santa María, Valparaíso; Chile. 144Department of Physics, University of Washington, Seattle WA; United States of America. 144Department of Physics, University of Washington, Seattle WA; United States of America. 146Department of Physics, Shinshu University, Nagano; Japan. 147Department Physik, Universität Siegen, Siegen; Germany. 148Department of Physics, Simon Fraser University, Burnaby BC; Canada. 149SLAC National Accelerator Laboratory, Stanford CA; United States of Ameri 150Department of Physics, Royal Institute of Technology, Stockholm; Sweden. 151 151Departments of Physics and Astronomy, Stony Brook University, Stony Brook NY; United States of America. 152Department of Physics and Astronomy, University of Sussex, Brighton; United Kingdom 153 153School of Physics, University of Sydney, Sydney; Australia. 5 154Institute of Physics, Academia Sinica, Taipei; Taiwan. 155(𝑎)E. Andronikashvili Institute of Physics, Iv. Javakhishvili Tbilisi State University, Tbilisi; 155(𝑎)E. Andronikashvili Institute of Physics, Iv. Javakhishvili Tbilisi State University, Tbilisi;(𝑏)High E Ph i I tit t Tbili i St t U i it Tbili i G i 155(𝑎)E. Andronikashvili Institute of Physics, Iv. Javakhishvili Tbilis ergy Physics Institute, Tbilisi State University, T Energy Physics Institute, Tbilisi State University, Tbilisi; Georgia. 156Department of Physics, Technion, Israel Institute of Technology, Haifa; Israel. 157Raymond and Beverly Sackler School of Physics and Astronomy, Tel Aviv University, 158Department of Physics, Aristotle University of Thessaloniki, Thessaloniki; Greece. 159International Center for Elementary Particle Physics and Department of Physics, University of Tokyo; Japan. 160Department of Physics, Tokyo Institute of Technology, Tokyo; Japan. 160Department of Physics, Tokyo Institute of Technology, Tokyo; Japan. 161 161Tomsk State University, Tomsk; Russia. 162Department of Physics, University of Toronto, Toronto ON; Canada. 163( ) (𝑏) 162Department of Physics, University of Toronto, Toronto ON; Canada. 163(𝑎)TRIUMF, Vancouver BC;(𝑏)Department of Physics and Astronomy, York University, Toronto ON; Canada. 164 p y , y , ; 163(𝑎)TRIUMF, Vancouver BC;(𝑏)Department of Physics and Astronomy, York University, Toronto ON; Canada. Canada. 𝑐Also at Center for High Energy Physics, Peking University; China. 𝑑Also at Centro Studi e Ricerche Enrico Fermi; Italy. 𝑒Also at CERN, Geneva; Switzerland. 𝑓Also at Département de Physique Nucléaire et Corpusculaire, Université de Genève, Genève; Switzerland. 𝑔Also at Departament de Fisica de la Universitat Autonoma de Barcelona, Barcelona; Spain. ℎ ℎAlso at Department of Financial and Management Engineering, University of the Aegean, Chios; Greece. 𝑖Also at Department of Physics and Astronomy, Michigan State University, East Lansing MI; United States of America. 𝑗Also at Department of Physics and Astronomy, University of Louisville, Louisville, KY; United States of America. 𝑘Also at Department of Physics, Ben Gurion University of the Negev, Beer Sheva; Israel. 𝑙Also at Department of Physics, California State University, East Bay; United States of America. lso at Department of Physics, California State University, East Bay; United States of America. 𝑚Also at Department of Physics, California State University, Fresno; United States of America. 𝑚Also at Department of Physics, California State University, Fresno; United States of Americ 𝑛Also at Department of Physics, California State University, Sacramento; United States of America. 𝑛Also at Department of Physics, California State University, Sacramento; United States of America 𝑜Also at Department of Physics, King’s College London, London; United Kingdom. 𝑜Also at Department of Physics, King’s College London, London; United Kingdom. Department of Physics, St. Petersburg State Polytechnical University, St. Petersburg; Russia. 𝑝Also at Department of Physics, St. Petersburg State Polytechnical University, St. Peters 𝑞Also at Department of Physics, University of Fribourg, Fribourg; Switzerland. Department of Physics, University of Fribourg, Fribourg; Switzerland. 𝑟Also at Faculty of Physics, M.V. Lomonosov Moscow State University, Moscow; Russia. 𝑠Also at Faculty of Physics, Sofia University, ’St. Kliment Ohridski’, Sofia; Bulgaria. 𝑡Also at Graduate School of Science, Osaka University, Osaka; Japan. 𝑢Also at Hellenic Open University, Patras; Greece. 𝑣Also at Institucio Catalana de Recerca i Estudis Avancats, ICREA, Barcelona; Spain. 𝑤Also at Institut für Experimentalphysik, Universität Hamburg, Hamburg; Germany. 𝑥Also at Institute for Particle and Nuclear Physics, Wigner Research Centre for Physics, Budapest; Hungary. 𝑦Also at Institute of Particle Physics (IPP); Canada. 𝑧Also at Institute of Physics, Azerbaijan Academy of Sciences, Baku; Azerbaijan. 𝑎𝑎Also at Institute of Theoretical Physics, Ilia State University, Tbilisi; Georgia. 𝑎𝑏Also at Instituto de Fisica Teorica, IFT-UAM/CSIC, Madrid; Spain. 𝑎𝑑Also at Joint Institute for Nuclear Research, Dubna; Russia. 𝑎𝑒Also at Moscow Institute of Physics and Technology State University, Dolgoprudny; Russia. Canada. ision of Physics and Tomonaga Center for the History of the Universe, Faculty of Pure and Applie i i f k b k b 164Division of Physics and Tomonaga Center for the History of the Universe, Faculty of Pure and Applied Sciences, University of Tsukuba, Tsukuba; Japan. Division of Physics and Tomonaga Center for the History of the Universe, Faculty of Pure and Applied Sciences, University of Tsukuba, Tsukuba; Japan. artment of Physics and Astronomy, Tufts University, Medford MA; United States of America. 166Department of Physics and Astronomy, University of California Irvine, Irvine CA; United States of America. 167Department of Physics and Astronomy, University of Uppsala, Uppsala; Sweden. 167Department of Physics and Astronomy, University of Uppsala, Uppsala; Sweden. 169Instituto de Física Corpuscular (IFIC), Centro Mixto Universidad de Valencia - CSIC, Valencia; Spain. 169Instituto de Física Corpuscular (IFIC), Centro Mixto Universidad de Valencia - CSIC, Valencia; Spain. p 170Department of Physics, University of British Columbia, Vancouver BC; Canada. 60 171Department of Physics and Astronomy, University of Victoria, Victoria BC; Canada. 172Fakultät für Physik und Astronomie, Julius-Maximilians-Universität Würzburg, Würzburg; Ge 172Fakultät für Physik und Astronomie, Julius-Maximilians-Universität Würzburg, Würzburg; Germany. 173Department of Physics, University of Warwick, Coventry; United Kingdom. 174 Fakultät für Physik und Astronomie, Julius-Maximilians-Universität Würzburg, Würzburg; Germany. 173Department of Physics, University of Warwick, Coventry; United Kingdom. 173Department of Physics, University of Warwick, Coventry; United Kingdom. 174Waseda University, Tokyo; Japan. 175Department of Particle Physics and Astrophysics, Weizmann Institute of Science, Rehovot; 176 175Department of Particle Physics and Astrophysics, Weizmann Institute of Science, Rehovot; Israel. 176Department of Physics University of Wisconsin Madison WI; United States of America 176Department of Physics, University of Wisconsin, Madison WI; United States of America. 177Fakultät für Mathematik und Naturwissenschaften, Fachgruppe Physik, Bergische Universität Wuppertal, Wuppertal; Germany. 178 177Fakultät für Mathematik und Naturwissenschaften, Fachgruppe Physik, Bergische Universität Wuppertal, Wuppertal; Germany. 178Department of Physics, Yale University, New Haven CT; United States of America. 178Department of Physics, Yale University, New Haven CT; United States of America. p y , U v y, w v C ; U S 𝑎Also at Borough of Manhattan Community College, City University of New York, New York NY; United States of America. 𝑏 𝑎Also at Borough of Manhattan Community College, City University of New York, New York NY; United States of America. 𝑏Also at Bruno Kessler Foundation, Trento; Italy. 𝑏Also at Bruno Kessler Foundation, Trento; Italy. 𝑐Also at Center for High Energy Physics, Peking University; China. 𝑎𝑗Also at TRIUMF, Vancouver BC; Canada. 𝑎𝑘Also at Università di Napoli Parthenope, Napoli; Italy. Canada. o at National Research Nuclear University MEPhI, Moscow; Russi 𝑎𝑔Also at Physics Department, An-Najah National University, Nablus; Palestine. 61 𝑎ℎAlso at Physikalisches Institut, Albert-Ludwigs-Universität Freiburg, Freiburg; Germany. 𝑎𝑖Also at The City College of New York, New York NY; United States of America. y g 𝑎𝑗Also at TRIUMF, Vancouver BC; Canada. 𝑎𝑘Also at Università di Napoli Parthenope, Napoli; Italy. 𝑎𝑙Also at University of Chinese Academy of Sciences (UCAS), Beijing; China. 𝑎𝑚Also at Yeditepe University, Physics Department, Istanbul; Turkey. 62
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https://openalex.org/W1907436083
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Twin Clouds: Secure Cloud Computing with Low Latency
Sven Bugiel
English
Spoken
6,214
10,743
To cite this version: Sven Bugiel, Stefan Nürnberger, Ahmad-Reza Sadeghi, Thomas Schneider. Twin Clouds: Secure Cloud Computing with Low Latency. 12th Communications and Multimedia Security (CMS), Oct 2011, Ghent, Belgium. pp.32-44, ￿10.1007/978-3-642-24712-5_3￿. ￿hal-01596191￿ Distributed under a Creative Commons Attribution 4.0 International License ⋆A preliminary version of this paper was published as extended abstract in [7]. Center for Advanced Security Research Darmstadt, Technische Universit¨at Darmstadt, Germany {sven.bugiel,stefan.nuernberger,ahmad.sadeghi,thomas.schneider} @trust.cased.de Center for Advanced Security Research Darmstadt, Technische Universit¨at Darmstadt, Germany {sven.bugiel,stefan.nuernberger,ahmad.sadeghi,thomas.schneider} @trust.cased.de Abstract. Cloud computing promises a cost effective enabling technol- ogy to outsource storage and massively parallel computations. However, existing approaches for provably secure outsourcing of data and arbitrary computations are either based on tamper-proof hardware or fully homo- morphic encryption. The former approaches are not scaleable, while the latter ones are currently not efficient enough to be used in practice. We propose an architecture and protocols that accumulate slow secure computations over time and provide the possibility to query them in parallel on demand by leveraging the benefits of cloud computing. In our approach, the user communicates with a resource-constrained Trusted Cloud (either a private cloud or built from multiple secure hardware modules) which encrypts algorithms and data to be stored and later on queried in the powerful but untrusted Commodity Cloud. We split our protocols such that the Trusted Cloud performs security-critical pre- computations in the setup phase, while the Commodity Cloud computes the time-critical query in parallel under encryption in the query phase. Keywords: Secure Cloud Computing, Cryptographic Protocols, Verifi- able Outsourcing, Secure Computation Twin Clouds: Secure Cloud Computing with Low Latency (Full Version)⋆ Low Latency (Full Version)⋆ HAL Id: hal-01596191 https://inria.hal.science/hal-01596191v1 Submitted on 27 Sep 2017 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 Introduction Many enterprises and other organizations need to store and compute on a large amount of data. Cloud computing aims at renting such resources on demand. Today’s cloud providers offer both, highly available storage (e.g., Amazon’s Elas- tic Block Store [2]) and massively parallel computing resources (e.g., Amazon’s Elastic Compute Cloud (EC2) with High Performance Computing (HPC) Clus- ters [3]) at low costs, as they can share resources among multiple clients. On the other hand, sharing resources poses the risk of information leakage. Cur- rently, there is no guarantee that security objectives stated in Service Level Agreements (SLA) are indeed fulfilled. Consequently, when using the cloud, the client is forced to blindly trust the provider’s mechanisms and configuration [9]. However, this is accompanied by the risk of data leakage and industrial espionage due to a malicious insider at the provider or due to other customers with whom they share physical resources in the cloud [32]. Example applications that need to protect sensitive data include, but are not limited to, processing of personal health records or payroll databases. Access usually occurs not very frequently, but needs to be processed very fast while privacy of the data should be preserved. Due to regulatory reasons, contractual obligations, or protection of intellectual property, cloud clients require confidentiality of their outsourced data, that com- putations on their data were processed correctly (verifiability), and that no tampering happened (integrity). Secure outsourcing of arbitrary computations on data is particularly difficult to fulfill if the client does not trust the cloud provider at all. Some cryptographic methods allow specific computations on en- crypted data [4,18], or to securely and verifiably outsource storage [24]. Secure computation of arbitrary functions, e.g., arbitrary statistics or queries, on confidential data can be achieved based on fully homomorphic encryption as shown in [10,8]. However, these schemes are not yet usable in practice due to their poor efficiency. Furthermore, in a multi-client scenario, cryptography alone is not sufficient and additional assumptions have to be made such as using tamper-proof hardware [42]. Still, secure hardware which provides a shielded execution environment does not scale well as it is expensive and relatively slow. Our Approach. We propose a model for secure computation of arbitrary func- tions with low latency using two clouds (twins). The resource-constrained Trusted Cloud is used for pre-computations whereas the untrusted, but powerful Com- modity Cloud is used to achieve low latency (cf. Fig. 1 Introduction In the Query Phase, the Trusted Cloud performs only few computations (independent of the function’s size). 3. Scalability and Low Latency. Our approach is highly scalable as both clouds can be composed from multiple nodes. In the Query Phase, the Trusted Cloud performs only few computations (independent of the function’s size). 4. Multiple Clients. Our protocols can be extended to multiple clients such that the Commodity Cloud securely and non-interactively computes on the clients’ input data. 2 Related Work Here, we summarize related works for secure outsourcing of storage and arbitrary computations based on Trusted Computing (§2.1), Secure Hardware (§2.2), Se- cure Computation (§2.3), and Architectures for Secure Cloud Computing (§2.4). 1 Introduction 1). Our approach allows to separate the computations into their security and performance aspects: security- critical operations are performed by the Trusted Cloud in the Setup Phase, whereas performance-critical operations are performed on encrypted data in par- allel by the Commodity Cloud in the Query Phase. Analogous to electricity, this can be seen as a battery that can be charged over night with limited amperage and later provides energy rapidly during discharge. In the Setup Phase, the Trusted Cloud encrypts the outsourced data and pro- grams using Garbled Circuits (GC) [43] which requires only symmetric crypto- graphic operations and a constant amount of memory. In the time-critical Query Phase, the Trusted Cloud verifies the results computed by the Commodity Cloud under encryption. Our proposed solution is transparent as the Client uses the Trusted Cloud as a proxy that provides a clearly defined interface to manage the outsourced data, programs, and queries. We minimize the communication over the secure channel (e.g., SSL/TLS) between Client and Trusted Cloud. Commodity Cloud Trusted Cloud Client High Bandwidth Channel Untrusted Storage Secure Channel Fig. 1. Twin Clouds model with Client, Trusted Cloud, and Commodity Cloud. Fig. 1. Twin Clouds model with Client, Trusted Cloud, and Commodity Cloud. Outline and Contribution. After summarizing related work in §2 and pre- liminaries in §3 we present the following contributions in the respective sections: In §4 we present our model for secure outsourcing of data and arbitrary compu- tations with low latency using two clouds. The Trusted Cloud is mostly involved in the Setup Phase, while queries are evaluated under encryption and in parallel by the untrusted Commodity Cloud. In §5 we give an instantiation of our model based on GCs, the currently most efficient method for secure computation. Our proposed solution has several advantages over previous proposals (cf. §2): 1. Communication Efficiency. We minimize the communication between the client and the Trusted Cloud as only a program, i.e., a very compact descrip- tion of the function, is transferred and compiled on-the-fly into a circuit. 2. Transparency. The client communicates with the Trusted Cloud over a secure channel and clear interfaces that abstract from the underlying cryptography. 2. Transparency. The client communicates with the Trusted Cloud over a secure channel and clear interfaces that abstract from the underlying cryptography. 3. Scalability and Low Latency. Our approach is highly scalable as both clouds can be composed from multiple nodes. 2.1 Trusted Computing The most prominent approach to Trusted Computing technology was specified by the Trusted Computing Group (TCG) [40]. The TCG proposes to extend common computing platforms with trusted components in software and hard- ware, which enable the integrity measurement of the platform’s software stack at boot-/load-time (authenticated boot, [35]) and the secure reporting of these measurements to a remote party (remote attestation, [14]). Thus, it provides the means to achieve verifiability and transparency of a trusted platform’s software state. Trusted Computing enables the establishment of trusted execution envi- ronments in commodity cloud infrastructures [37,36]. However, the reliable and efficient attestation of execution environments at run-time remains an open re- search problem. Trusted Computing is orthogonal to our approach and could be used to augment the Trusted Cloud with attestation capabilities. 2.2 Secure Hardware / HSMs Cryptographic co-processors, such as the IBM 4765 or 4764 [19], provide a high- security, tamper-resistant execution environment for sensitive cryptographic op- erations. Such co-processors are usually certified, e.g., according to FIPS or Common Criteria. Hardware Security Modules (HSM) or Smartcards addition- ally provide a secure execution environment to execute custom programs. As secure hardware is usually expensive, relatively slow, and provides only a lim- ited amount of secure memory and storage, it does not qualify as building block for a cost-efficient, performant, and scalable cloud computing infrastructure. 2.3 Secure Computation Secure computation allows mutually distrusting parties to securely perform com- putations on their private data without involving a trusted third party. Existing approaches for secure computation are either based on computing with encrypted functions (called Garbled Circuits), or computing on encrypted data (using ho- momorphic encryption) as summarized in the following. Garbled Circuits. Yao’s Garbled Circuits (GC) [43] allow secure computation with encrypted functions. On a high level, one party (called constructor) “en- crypts” the function to be computed using symmetric cryptography and later, the other party (called evaluator) decrypts the function using keys that corre- spond to the input data (called “garbled values”). We give a detailed description of GCs later in §3.2. Although GCs are very efficient as they use only symmetric cryptographic primitives, their main disadvantage is that each GC can be evalu- ated only once and its size is linear in the size of the evaluated function. As used in several works (e.g., [28,1,13,23,17]), the trusted GC creator can generate GCs in a setup phase and subsequently GCs are evaluated by one or more untrusted parties. Afterwards, the GC creator can verify efficiently that the computations indeed have been performed correctly (verifiability). Our protocols in §5 use GCs in commodity clouds that are composed from off-the-shelf hardware. In particu- lar our protocols do not require that the cloud is equipped with trusted hardware modules (as proposed in [20,21,34,26]), while they could benefit from hardware accelerators such as FPGAs or GPUs (cf. [23]). Homomorphic Encryption. Homomorphic Encryption (HE) allows to com- pute on encrypted data without using additional helper information. Tradi- tional HE schemes are restricted to specific operations (e.g., multiplications for RSA [33], additions for Paillier [29], or additions and up to one multipli- cation for [6]). They allow to outsource specific computations, e.g., encryption and signatures [18], to untrusted workers, but require interaction to compute arbitrary functions. Recently, Fully HE (FHE) schemes have been proposed for arbitrary computations on encrypted data [11,38,41]. When combined with GCs for verifiability (cf. above), FHE allows to securely outsource data and arbitrary computations [10,8]. However, FHE is not yet sufficiently efficient to be used in practical applications [38,12]. Multiple Data Owners. The setting of secure outsourcing of data and computa- tions can be generalized to multiple parties who provide their encrypted inputs to an untrusted server that non-interactively computes the verifiably correct re- sult under encryption. 2.3 Secure Computation However, using cryptography alone, this is only possible for specific functions [15], but not arbitrary ones [42]. This impossibility result can be overcome by using a trusted third party, in our case the Trusted Cloud. 2.4 Architectures for Secure Cloud Computing We combine advantages of the following architectures for secure cloud computing. An architecture for Signal Processing in the Encrypted Domain (SPED) in com- modity computing clouds is described in [39]. SPED is based on cryptographic concepts such as secure multiparty computation or homomorphic encryption, which enable the secure and verifiable outsourcing of the signal processing. The authors propose a middleware architecture on top of a commodity cloud which implements secure signal processing by using SPED technologies. The client communicates via a special API, provided by a client-side plugin, with the mid- dleware in order to submit new inputs and retrieve results. However, the authors do not elaborate on how to instantiate their protocols efficiently and do not an- swer problems regarding the feasibility of their approach. For instance, if GCs are used, they need to be transferred between the client-side plugin and the middleware which requires a large amount of communication. We parallelize the client plugin within the Trusted Cloud, provide a clear API that abstracts from cryptographic details, and give complete protocols. Another architecture for secure cloud computing was proposed in [34]. The au- thors propose to use a tamper-proof hardware token which generates GCs in a setup phase that are afterwards evaluated in parallel by the cloud. The token receives the description of a boolean circuit and generates the corresponding GC using a constant amount of memory (using the protocol of [22]). The hardware token is integrated into the infrastructure of the cloud service provider either in form of a Smartcard provided by the client, or as a cryptographic co-processor. We overcome several restrictions of this architecture by transferring smaller pro- gram descriptions instead of boolean circuits, virtualizing the hardware token in the Trusted Cloud, and providing a clear API for the client. This idea of secure outsourcing of data and computations based on a tamper- proof hardware token was extended to the multi-cloud scenario in [26]. In this scenario, multiple non-colluding cloud providers are equipped with a tamper- proof hardware token each. On a conceptual level, the protocol of [26] is similar to that of [34]: The token outputs helper information, i.e., multiplication tu- ples (resp. garbled tables in [34]), to the associated untrusted cloud provider who uses this information within a secure multi-party computation protocol ex- ecuted among the cloud providers (resp. for non-interactive computation under encryption) based on additive secret-sharing (resp. garbled circuits). 2.4 Architectures for Secure Cloud Computing The tokens in both protocols need to implement only symmetric cryptographic primitives (e.g., AES or SHA) and require only a constant amount of memory. In contrast, our Twin Clouds protocol is executed between two clouds (one trusted and one untrusted) and does not require trusted hardware. Our constructions make use of the following building blocks. Our constructions make use of the following building blocks. 3.1 Encryption and Authentication Confidentiality and authenticity of data can be guaranteed with symmetric cryp- tography: either with a combination of symmetric encryption (e.g., AES) and a Message Authentication Code (MAC, e.g., HMAC), or by using authenticated encryption, a special mode of operation of a block cipher (e.g., EAX [5]). Notation. bx = AuthEnc(x) denotes the authentication and encryption of data x; x = DecVer(bx) denotes the corresponding verification and decryption process. 3.2 Garbled Circuits (GC) Arbitrary functions can be computed securely based on Yao’s Garbled Circuits (GC) [43]. Compared to FHE (cf. §2.3), GCs are highly efficient as they use only symmetric cryptographic primitives but require helper information (cf. Fig. 2). The main idea of GCs is that the constructor generates an encrypted version of the function f (represented as boolean circuit), called garbled circuit ef. For this, it assigns to each wire Wi of f two randomly chosen garbled values ew0 i , ew1 i that correspond to the respective values 0 and 1. Note that ewj i does not reveal any information about its plain value j as both keys look random. Then, for each gate of f, the constructor creates helper information in form of a garbled constructor y = f(x) Verify function f gate Gi W1W2 W3 ∧ garbled circuit ￿f garbled table ￿Ti ￿w1 ￿w2 ￿w3 ∧ evaluator ￿f ￿y = ￿f(￿x) EvaluateGC ￿x data x CreateGC Garble Fig. 2. Overview of Garbled Circuits CreateGC Fig. 2. Overview of Garbled Circuits table eTi that allows to decrypt only the output key from the gate’s input keys (details below). The garbled circuit ef consists of the garbled tables of all gates. Later, the evaluator obtains the garbled values ex corresponding to the inputs x of the function and evaluates the garbled circuit ef by evaluating the garbled gates one-by-one using their garbled tables. Finally, the evaluator obtains the corresponding garbled output values ey which allow the constructor to decrypt them into the corresponding plain output y = f(x). Security and Verifiability. GCs are secure against malicious evaluator (cf. [13]) and demonstration of valid output keys implicitly proves that the computation was performed correctly (cf. [10]). To guarantee security and verifiability, a GC can be evaluated only once, i.e., a new GC must be created for each evaluation. Efficient GC constructions. The efficient GC construction of [25], provably se- cure in the random oracle model, provides “free XOR” gates, i.e., XOR gates have no garbled table and negligible cost for evaluation. For each 2-input non- XOR gate the garbled table has size ≈4t bits, where t is the symmetric security parameter (e.g., t = 128); creation of the garbled table requires 4 invocations of a cryptographic hash function (e.g., SHA-256) and evaluation needs 1 invo- cation. 3.3 Circuit Compiler The functions to be computed securely can be expressed in a compact way in a hardware description language and compiled automatically into a boolean cir- cuit. A prominent example is Fairplay’s [27] Secure Function Description Lan- guage (SFDL) which resembles a simplified version of a hardware description language, e.g., Verilog or VHDL (Very high speed integrated circuit Hardware Description Language), and supports types, variables, functions, boolean oper- ators (∧, ∨, ⊕, . . . ), arithmetic operators (+, −), comparison (<, ≥, =, . . . ), and control structures like if-then-else or for-loops with constant range. Other can- didates for compact description and compilation into boolean circuits are the languages and tools provided by [30,16]. As shown in [16], the compilation into a circuit can be implemented with a low memory footprint. In principle, it would be possible to compile algorithms formulated in any standard programming lan- guage such as C or Java into a boolean circuit, as every computable function can be expressed as boolean circuit of polynomial size. Notation. C = Compile(P) denotes compilation of program P into circuit C. 3.2 Garbled Circuits (GC) As shown in [22], generation of GCs requires only a constant amount of memory (independent of the size of the evaluated function) and only symmet- ric cryptographic operations (e.g., SHA-256). The implementation results of [31] show that evaluation of GCs can be performed efficiently on today’s hardware: GC evaluation of the reasonably large AES functionality (22,546 XOR; 11,334 non-XOR gates) took 2s on a single core of an Intel Core 2 Duo with 3.0 GHz. Notation. ex is the garbled value corresponding to x. eC is the GC for boolean circuit C (with |C| non-XOR gates). ey = eC(ex) denotes evaluation of eC on ex. 4 Twin Clouds Model Our Twin Clouds model, depicted in Fig. 1 on page 3, allows secure outsourcing of data and arbitrary computations with low latency to an untrusted commodity cloud. In our model, the Client makes use of the services offered by a cloud service provider to outsource its data and computations thereon into the provider’s Commodity Cloud in a secure way. The confidentiality and the integrity of the outsourced data must be protected against a potentially malicious provider, and the correctness of the outsourced computations must be verifiable by the Client. Due to the assumed large size of the Client’s data and/or the computational complexity of the computations thereon, it is not possible to securely outsource the data to the Commodity Cloud and let the Client execute its computations locally after retrieving back the entire data. Instead, the computations must be performed by the Commodity Cloud without interaction with the Client. To achieve these goals and satisfy the above mentioned security requirements, the Twin Cloud model uses a Trusted Cloud as proxy between the Client and the Commodity Cloud. The Trusted Cloud provides a resource-restricted execution environment and infrastructure that is fully trusted by the Client. As the re- sources of the Trusted Cloud are restricted, relatively expensive, and potentially slow, the computations can also not be performed within the Trusted Cloud. Instead, the Trusted Cloud is a transparent proxy that adds the needed se- curity properties (integrity, confidentiality, verifiability) on top of the services provided by the fast but insecure Commodity Cloud. It provides an interface for secure storage and computations to the Client while abstracting from the ser- vice provider’s cloud infrastructure. This interface (e.g., a web-frontend or API) allows to securely submit data, programs, and queries to be securely stored and computed. The low-bandwidth connection between Client and Trusted Cloud is secured by a secure channel (e.g., SSL/TLS). The Trusted Cloud is used mostly during a Setup Phase, but performs only few computations during the time-critical Query Phase. It is assumed to have a small amount of storage only; if larger amounts of data need to be stored, they can be securely outsourced to the Commodity Cloud’s untrusted storage. To allow this secure outsourcing of storage, the Trusted Cloud is connected to the Commodity Cloud over an unprotected high-bandwidth channel. 4 Twin Clouds Model A possible instantiation of the Trusted Cloud can be a private cloud of the Client (e.g., his existing IT infrastructure). Alternatively, the Trusted Cloud could be a cluster of virtualized cryptographic co-processors (e.g., the IBM 4765 [19] or other Hardware Security Modules) which are offered as a service by a third party and which provide the necessary hardware-based security features to implement a secure remote execution environment trusted by the Client. 5 Twin Clouds Protocols To efficiently instantiate the Twin Clouds model of §4 we use a “battery” for secure computations: In the Setup Phase, the battery is charged by pre- computing encrypted (garbled) data and functions within the resource-limited Trusted Cloud. Later, in the Query Phase, the battery is rapidly discharged by evaluating these encryptions in parallel within the Commodity Cloud. Simplification. To ease presentation, we assume a single client who outsources a single program P. However, our protocols naturally extend to multiple pro- grams and clients. We also assume that the Trusted Cloud takes appropriate measures to protect against replay attacks, e.g., an internal database of ran- domly chosen keys for each authenticated encryption and GC with associated garbled data. Interface. The Client accesses the Trusted Cloud over a secure channel and the following interface which abstracts from all underlying cryptographic details: During the Setup Phase, the Client provides the data D to be outsourced and the program P (formulated in a Hardware Description Language, cf. §3.3) to be computed. Later, in the Query Phase, the Client issues a query q which should be processed as fast as possible resulting in the response r = P(q, D) output to the Client. Additionally, the Client can update the stored data D or program P. Protocol Overview. On a high-level, our protocols work as follows: The Trusted Cloud stores Client’s data D and program P securely in the Com- modity Cloud. Then, the Trusted Cloud retrieves back D and re-encrypts it into its garbled equivalent eD, and generates GCs eC from P; both are stored in the Commodity Cloud. Later, the Client’s query q is encrypted and sent to the Commodity Cloud which computes the garbled result er = eC(eq, eD) under encryption (using a pre-computed eC which is deleted afterwards). Finally, the Trusted Cloud verifies the garbled result and sends r = P(q, D) to the Client. We describe the details of the two phases next. Actions invoked by the Client are denoted by Latin letters and automatically triggered actions by Greek ones. b) Modify Program. Whenever the Client provides a new or modified program P (b1), P is stored securely as bP = AuthEnc(P) (cf. §3.1) in the Commodity Cloud (a2). Whenever P is modified, all pre-computed GCs eC can be deleted. (a2). Whenever P is modified, all pre-computed GCs eC can be deleted. a) Modify Data. When the Client provides new or modified data D to be out- sourced (a1), D is stored securely as bD = AuthEnc(D) (cf. §3.1) in the Com- modity Cloud (a2). Whenever D is modified, the garbled data eD is re-generated (cf. α below) and all pre-computed GCs eC can be deleted. b) Modify Program. Whenever the Client provides a new or modified program P (b1), P is stored securely as bP = AuthEnc(P) (cf. §3.1) in the Commodity Cloud 5.1 Setup Phase Whenever D or P is changed or the Trusted Cloud has capacities for pre-computations, new GCs are generated. For this, the Trusted Cloud requests the securely stored program bP from the Commodity Cloud (β1), recovers the program P = DecVer( bP) (cf. §3.1), compiles it into a boolean circuit C = Compile(P) (cf. §3.3), generates a new GC eC = Garble(C) (cf. §3.2), and stores this back into the Commodity Cloud (β2). β) Garble Program. Whenever D or P is changed or the Trusted Cloud has capacities for pre-computations, new GCs are generated. For this, the Trusted Cloud requests the securely stored program bP from the Commodity Cloud (β1), recovers the program P = DecVer( bP) (cf. §3.1), compiles it into a boolean circuit C = Compile(P) (cf. §3.3), generates a new GC eC = Garble(C) (cf. §3.2), and stores this back into the Commodity Cloud (β2). 5.1 Setup Phase The Setup Phase, depicted in Fig. 3, consists of the following use-cases. D ,P, D ,C Trusted Cloud Client Commodity Cloud D= AuthEncD a1 D a2 D b1 P P=AuthEncP b2  P D=DecVerD D=GarbleD 2D 1D P=DecVerP C=CompileP C=CreateGCC 2 C 1 P Fig. 3. Setup Phase: a,b) Client registers data D and program P to be stored securely in the Commodity Cloud. α) Updates of D require re-generation of garbled data eD. β) Updates of P require re-generation of garbled circuits eC. Fig. 3. Setup Phase: a,b) Client registers data D and program P to be stored securely in the Commodity Cloud. α) Updates of D require re-generation of garbled data eD. β) Updates of P require re-generation of garbled circuits eC. a) Modify Data. When the Client provides new or modified data D to be out- sourced (a1), D is stored securely as bD = AuthEnc(D) (cf. §3.1) in the Com- modity Cloud (a2). Whenever D is modified, the garbled data eD is re-generated (cf. α below) and all pre-computed GCs eC can be deleted. a) Modify Data. When the Client provides new or modified data D to be out- sourced (a1), D is stored securely as bD = AuthEnc(D) (cf. §3.1) in the Com- modity Cloud (a2). Whenever D is modified, the garbled data eD is re-generated (cf. α below) and all pre-computed GCs eC can be deleted. a) Modify Data. When the Client provides new or modified data D to be out- sourced (a1), D is stored securely as bD = AuthEnc(D) (cf. §3.1) in the Com- modity Cloud (a2). Whenever D is modified, the garbled data eD is re-generated (cf. α below) and all pre-computed GCs eC can be deleted. b) Modify Program. Whenever the Client provides a new or modified program P (b1), P is stored securely as bP = AuthEnc(P) (cf. §3.1) in the Commodity Cloud (a2). Whenever P is modified, all pre-computed GCs eC can be deleted. α) Garble Data. Whenever D is changed, the garbled data eD must be re- generated. For this, the Trusted Cloud requests the securely stored data bD from the Commodity Cloud (α1), recovers the data D = DecVer( bD) (cf. §3.1), gen- erates the corresponding garbled data eD = Garble(D) (cf. §3.2), and stores this back into the Commodity Cloud (α2). β) Garble Program. Analysis Analysis In the following we analyze the security and efficiency properties of our protocols. Security Analysis. The security of our protocols stems from the fact that the Trusted Cloud is a secure execution environment, whereas the adversary can have full control over the Commodity Cloud and all communication channels. More specifically, our protocols are secure against a malicious Commodity Cloud provider as well as external adversaries: The Commodity Cloud is neither able to successfully modify nor to learn the outsourced data bD or program bP as these are authenticated and encrypted (cf. §3.1). The security and verifiability properties of GCs (cf. §3.2) ensure that the Commodity Cloud also cannot successfully modify or learn eq, eD, eC, er, or intermediate results of the computation. Clearly, the Commodity Cloud learns an upper bound on the size of all data which can be circumvented by appropriate padding. The same holds true for external attackers that also cannot interfere with the communication between Client and Trusted Cloud due to the usage of a secure channel (e.g., SSL/TLS). Efficiency Analysis. The communication between Client and Trusted Cloud is minimized as only data and a compact program are transferred over the se- cure channel, while the communication between Trusted Cloud and Commodity Cloud is dominated by the transfer of eC of size ≈4t · |C| bits, where t is the symmetric security parameter, e.g., t = 128 (cf. §3.2). The Commodity Cloud’s storage is dominated by t · (|D| + 4|C|) bits for eD and eC, while the Trusted Cloud needs only low memory/storage. The dominating factor of the compu- tation complexity are 4|C| hash function evaluations by the Trusted Cloud in the Setup Phase and |C| parallel hash function evaluations by the Commodity Cloud in the Query Phase. Note that many functionalities such as queries on or statistics over large databases naturally allow parallelization. Finally, we’d like to emphasize that our protocols can be used to securely out- source data and arbitrary computations thereon, use only symmetric-key cryp- tographic primitives, and do not rely on tamper-proof hardware. A prototype implementation to verify their practical efficiency is left as future work. 5.2 Query Phase The query phase depicted in Fig. 4 consists of the following use-case: r=Verifyr c2 q c3 r q=Garbleq r=C q, D c1 q c4 r=Pq , D Client Trusted Cloud Commodity Cloud D ,P, D ,CX Fig. 4. Query Phase: Client sends query q to the Trusted Cloud to be computed by the Commodity Cloud under encryption (c). The used GC eC is deleted afterwards. Client Fig. 4. Query Phase: Client sends query q to the Trusted Cloud to be computed by the Commodity Cloud under encryption (c). The used GC eC is deleted afterwards. c) Process Query. When the Client sends a query q for secure evaluation (c1), the Trusted Cloud converts q into its garbled equivalent eq = Garble(q) (cf. §3.2) which is forwarded to the Commodity Cloud (c2). The Commodity Cloud computes the garbled response er = eC(eq, eD) by evaluating a pre-computed GC eC (cf. §3.2) in parallel and deleting it afterwards. The garbled result er is returned to the Trusted Cloud (c3) which verifies the correctness of the result r = Verify(er) (cf. §3.2) and returns r = P(q, D) to the Client. 5.3 References 1. J. Algesheimer, C. Cachin, J. Camenisch, and G. Karjoth. Cryptographic security for mobile code. In Security and Privacy, pages 2–11. IEEE, 2001. 2. Amazon. Elastic Block Store (EBS). http://aws.amazon.com/ebs, 2011. 3. Amazon. Elastic Compute Cloud (EC2). http://aws.amazon.com/ec2, 2011. 4. M. Atallah, K. Pantazopoulos, J. Rice, and E. Spafford. Secure outsourcing of scientific computations. Advances in Computers, 54:216–272, 2001. 5. M. Bellare, P. 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Chemical Group-Based Metabolome Analysis Identifies Candidate Plasma Biomarkers Associated With Residual Feed Intake in Beef Steers
Godstime Taiwo
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ORIGINAL RESEARCH published: 18 January 2022 doi: 10.3389/fanim.2021.783314 Chemical Group-Based Metabolome Analysis Identifies Candidate Plasma Biomarkers Associated With Residual Feed Intake in Beef Steers Godstime Taiwo 1, Modoluwamu Idowu 1, Shelby Collins 1, Taylor Sidney 1, Matthew Wilson 1, Andres Pech-Cervantes 2 and Ibukun M. Ogunade 1* 1 Division of Animal and Nutritional Sciences, West Virginia University, Morgantown, WV, United States, 2 Agricultural Research Station, Fort Valley State University, Fort Valley, GA, United States 1 Division of Animal and Nutritional Sciences, West Virginia University, Morgantown, WV, United States, 2 Agricultural Research Station, Fort Valley State University, Fort Valley, GA, United States We applied chemical group-based metabolomics to identify blood metabolic signatures associated with residual feed intake in beef cattle. A group of 56 crossbred growing beef steers (average BW = 261.3 ± 18.5 kg) were adapted to a high-forage total mixed ration in a confinement dry lot equipped with GrowSafe intake nodes for period of 49 d to determine their residual feed intake classification (RFI). After RFI determination, weekly blood samples were collected three times from beef steers with the lowest RFI [most efficient (HFE); n = 8] and highest RFI and least-efficient [least efficient (LFE); n = 8]. Plasma was prepared by centrifugation and composited for each steer. Metabolome analysis was conducted using a chemical isotope labeling (CIL)/liquid chromatography–mass spectrometry, which permitted the analysis of metabolites containing amine/phenol-, carboxylic acid-, and carbonyl-chemical groups, which are metabolites associated with metabolisms of amino acids, fatty acids, and carbohydrates, respectively. A total number of 495 amine/phenol-containing metabolites were detected and identified; pathway analysis of all these metabolites showed that arginine biosynthesis and histidine metabolism were enriched (P < 0.10) in HFE, relative to LFE steers. Biomarker analyses of the amine/phenol-metabolites identified methionine, 5-aminopentanoic acid, 2-aminohexanedioic acid, and 4-chlorolysine as candidate biomarkers of RFI [false discovery rate ≤0.05; Area Under the Curve (AUC) > 0.90]. A total of 118 and 330 metabolites containing carbonyl- and carboxylic acid-chemical groups, respectively were detected and identified; no metabolic pathways associated with these metabolites were altered and only one candidate biomarker (methionine sulfoxide) was identified. These results identified five candidate metabolite biomarkers of RFI in beef cattle which are mostly associated with amino acid metabolism. Further validation using a larger cohort of beef cattle of different genetic pedigree is required to confirm these findings. Keywords: metabolome, amino acid, metabolism, methionine, lysine degradation Edited by: Otávio R. Machado Neto, São Paulo State University, Brazil Edited by: Otávio R. Machado Neto, São Paulo State University, Brazil Reviewed by: Welder A. Baldassini, São Paulo State University, Brazil Rozaihan Mansor, Putra Malaysia University, Malaysia *Correspondence: Ibukun M. Ogunade ibukun.ogunade@mail.wvu.edu Reviewed by: Welder A. Baldassini, São Paulo State University, Brazil Rozaihan Mansor, Putra Malaysia University, Malaysia *Correspondence: Ibukun M. Ogunade ibukun.ogunade@mail.wvu.edu Specialty section: This article was submitted to Animal Nutrition, a section of the journal Frontiers in Animal Science Received: 26 September 2021 Accepted: 10 December 2021 Published: 18 January 2022 Animals, Feeding, RFI Determination, and Blood Sample Collection Due to rising feed costs, efficiency of feed nutrient use for better growth performance continues to be of significant interest (Holmgren and Feuz, 2015). Residual feed intake (RFI), a measure of feed efficiency in beef cattle, is known to be moderately heritable (Koch et al., 1963; Herd et al., 2004) and has been improved over the years via genetic selection (Arthur et al., 2001). However, factors other than genetic factors, including differences in host metabolism and gut microbiome contribute to variation in RFI (Herd and Arthur, 2009; Myer et al., 2017). Consequently, several studies have focused on understanding the physiological mechanisms that cause differences in RFI, the difference between an animal’s actual intake vs. its predicted feed intake based on average daily gain (ADG) and metabolic body weight (Koch et al., 1963; Herd and Arthur, 2009). Animals with low (negative) RFI values consume less feed than expected and are feed efficient whereas animals with high (positive) RFI values consume more feed than expected and are feed inefficient (Koch et al., 1963). The research procedures were approved by the Institutional Animal Care and Use Committees of West Virginia University (protocol number 1608003693). A group of 56 crossbred growing beef steers (average BW = 261.3 ± 18.5 kg) were adapted to a high-forage total mixed ration (TMR; primarily consisting of corn silage; ground hay; and a ration balancing supplement; CP = 13.2%, NDF = 45.9%, and NEg = 0.93 Mcal/kg) in a dry lot equipped with GrowSafe intake nodes. The dry lot was comprised of five pens of 1,500 m2 (with 312 m2 under roof), each served by six GrowSafe 8000 (GrowSafe Systems Ltd., Airdrie, Alberta, Canada) feeding nodes. Steers were assigned to the pens at random and identified with a passive, half-duplex, transponder ear tag (Allflex USA Inc., Dallas–Fort Worth, TX) before entry into the test facility. Specifically, the steers were allowed to adjust to the feeding facilities for 15 days before the start of the trial. After the adjustment period, individual feed intake was measured over 49 days. Daily BW for each animal were regressed on time using simple linear regression to calculate beginning BW, mid-test BW, and average daily gain (ADG). Animals, Feeding, RFI Determination, and Blood Sample Collection Animal ADG and metabolic mid-test BW (MMTW = mid- test BW0.75) were regressed against individual average daily dry matter intake (DMI), and RFI was calculated as the residual or the difference between the predicted value of the regression and the actual measured value based on the following equation: Y = β0 + β1X1 + β2X2 + ε, where Y is the observed DMI (kg/d), β0 is the regression intercept, β1 and β2 are the partial regression coefficients, X1 is the MMTW (kg), X2 is the ADG (kg/d), and ε indicates the RFI (kg/d) (Durunna et al., 2011). In recent years, the advent of metabolomics has provided an opportunity to comprehensively analyze multiple metabolites in biological samples. Indeed, several studies have applied metabolomics to provide insight into the metabolic status of animals with varying RFI with a twin-goal of identifying blood metabolic signatures that could be used as predictive biomarkers due to the high cost associated with the direct measurement of RFI in animals (Goldansaz et al., 2020). Studies that have attempted to identify candidate biomarkers of RFI mostly applied analytical tools, such as nuclear magnetic resonance and liquid chromatography–mass spectrometry (LC-MS) (Connolly et al., 2019; Goldansaz et al., 2020). However, due to limited sensitivity and/or quantitative accuracy of these methods, only a small number of high-abundance metabolites can be analyzed (Pan and Raftery, 2007; Imperlini et al., 2016). The chemical isotope labeling (CIL) LC-MS is a metabolomics technique that provides a new opportunity to perform chemical-group- based metabolome profiling (Zhao and Li, 2020). This method can detect thousands of metabolites based on their chemical groups (such as amine/phenol, carbonyl, and carboxylic acid chemical groups) in biological samples thereby allowing a holistic view of the metabolome with highly accurate metabolite quantification (Zhao et al., 2019). Metabolites containing amine/phenol, carbonyl, and carboxylic acid chemical groups are common intermediates and/or end products of metabolisms of amino acids, carbohydrate (such as glucose), and fatty acids, respectively. Due to the functional roles of amino acids, carbohydrate, and fatty acids and their associated metabolic pathways on animal health and productivity, we hypothesized that metabolites related to their metabolisms could serve as candidate biomarkers of RFI. Animals, Feeding, RFI Determination, and Blood Sample Collection Therefore, the objective of this study was to analyze the plasma amine/phenol-, carbonyl-, and carboxylic acid-metabolome of crossbred beef steers divergent for high and low RFI to identify blood metabolic signatures that could serve as candidate biomarkers for divergent RFI in beef cattle. g At the end of the feed efficiency trial and after the RFI values were available, all animals were ranked by RFI coefficients. Based on the RFI coefficients, the most-efficient with the lowest RFI (HFE; n = 8) and the least-efficient with the highest RFI (LFE; n = 8) beef steers were selected, kept separate from other beef steers, and fed the same diet for additional 21 days (designated in this study as d 50 – 70). Blood samples from HFE and LFE steers were collected from the coccygeal vessels before the morning feeding on d 56, 63, and 70 into 10-mL vacutainer tubes containing sodium heparin (Vacutainer, Becton Dickinson, Franklin Lakes, NJ). Immediately after collection, the blood samples were placed on ice, and thereafter centrifuged at 1,500 × g for 20 min at 4◦C to harvest the plasma. The plasma samples were then frozen at −80◦C until later analysis. Citation: Taiwo G, Idowu M, Collins S, Sidney T, Wilson M, Pech-Cervantes A and Ogunade IM (2022) Chemical Group-Based Metabolome Analysis Identifies Candidate Plasma Biomarkers Associated With Residual Feed Intake in Beef Steers. Front. Anim. Sci. 2:783314. doi: 10.3389/fanim.2021.783314 January 2022 | Volume 2 | Article 783314 Frontiers in Animal Science | www.frontiersin.org Plasma Metabolome and Feed Efficiency Taiwo et al. Frontiers in Animal Science | www.frontiersin.org RESULTS The results of the performance of LFE and HFE steers are shown in Table 1. The average RFI values of HFE and LFE steers were −1.93 and 2.01 kg/d, respectively. The initial BW, final BW, and ADG were similar between the two groups (P > 0.05); however, LFE steers had greater (P = 0.01) DMI (16.0 kg/d) than HFE steers (11.9 kg/d). Sample Preparation for Metabolome Analysis Pathway analysis of all metabolites was also performed with a Bos taurus KEGG pathway library using global test for enrichment method and relative-betweeness centrality for topology analysis, to determine altered nutrient pathways between the two groups of animals. Amine/Phenol-Metabolome Associated With Divergent RFI g A total number of 495 amine/phenol-containing metabolites were detected and identified (Supplementary Table 1). The PLS-DA plot showed clear separation between the two groups of steers using the first two principal components with 12.2 and 8.5% of explained variance (Figure 1), indicating that plasma amine/phenol-metabolome of the beef steers is associated with selection for RFI. A total of 42 differentially abundant (FDR ≤0.05) metabolites were detected between HFE and LFE steers (Figure 2). Plasma concentrations of 21 metabolites, including isomers of 4-chlorolysine, citrulline, ornithine, arginine, histamine, taurine, carnosine were greater (FDR ≤ 0.05) in HFE steers while 21 metabolites, including 3 isomers of 5-aminopentanoic acid, methionine, prolyl-methionine, and 2-aminohexanedioic acid were greater (FDR ≤0.05) in LFE steers (Table 2). The results of the ROC analysis revealed that four metabolites (methionine, 5-aminopentanoic acid, 2-aminohexanedioic acid, and 4-chlorolysine) with respective AUC values of 0.969, 0.906, 0.953, and 0.938 had sufficient Sample Preparation for Metabolome Analysis y The plasma samples collected on d 56, 63, and 70 were composited for each steer. Metabolites from the composited samples were first extracted using methanol-protein precipitation method as previously described by Zhao et al. (2019). The extracts were then re-dissolved in 200 µL water and stored at −80◦C until metabolome analysis was performed. January 2022 | Volume 2 | Article 783314 Frontiers in Animal Science | www.frontiersin.org 2 Plasma Metabolome and Feed Efficiency Taiwo et al. TABLE 1 | Performance of beef steers with divergent residual feed intake. HFE LFE SE P-value RFI −1.93 2.01 0.32 0.01 Initial BW (kg) 258 258 11.2 0.95 Final BW (kg) 276 278 4.07 0.57 ADG 0.76 0.86 0.17 0.58 DMI 11.9 16.0 0.66 0.01 HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. TABLE 1 | Performance of beef steers with divergent residual feed intake. | Performance of beef steers with divergent residual feed intake. CIL/LC-MS-Based Metabolomics Analysis In-depth untargeted metabolome profiling of the extracted plasma was done using a CIL/LC-MS-based technique. The technique uses a differential 12C-/13C-isotope labeling to derivatize metabolites based on their chemical groups (amines/phenols, carboxylic acids, and carbonyls) (Zhao et al., 2019). Detailed description of the sample analysis including metabolite labeling, sample normalization using LC–ultraviolet quantification of the labeled metabolites, and LC-MS operating conditions and set-up have been described in a previous study (Zhao et al., 2019). Relative quantification of the 12C-/13C-labeled metabolites based on peak ratio values was analyzed using a Bruker Compact quadrupole time-of-flight MS (Bruker, Billerica, MA) linked to an UltiMate 3000 ultra-high-performance LC system (Thermo Scientific, MA). For each plasma sample, a total number of 16 LC-MS data files were generated (8 HFE samples and 8 LFE samples). identify those metabolites that differed [false discovery rate (FDR) ≤0.05] between LFE and HFE steers. The utility of the metabolites with FDR ≤0.05 to serve as potential biomarkers of RFI was further tested using a receiver operating characteristic (ROC) curves as calculated by the ROCCET web server (Xia et al., 2013). Area under the curve (AUC), a value that combines sensitivity and specificity for a diagnostic test was used (Xia et al., 2013). Metabolites having AUC > 0.90 were chosen as potential biomarkers associated with RFI (Xia et al., 2013). Metabolite Data Processing and Identification All 16 raw LC-MS data files were processed using IsoMS Pro 1.0 using the procedures described by Mung and Li (2017). Briefly, the 12C-/13C-peak pairs were extracted from each run by the IsoMS software. In this step, the redundant pairs (those of adduct ions and dimers) and noise signal (having a singlet peak) were filtered out, only retaining a protonated ion of a peak pair for one true metabolite and then, the peak intensity ratio was calculated for each peak pair. The IsoMS-Quant program was then used to determine the chromatographic peak ratio of each peak pair and to generate the final metabolite-intensity table (Huan and Li, 2015). Metabolite identification was done using a two-tier identification approach. In tier 1, peak pairs from metabolite- intensity tables were searched against a chemical isotope-labeled (CIL) metabolite library based on accurate mass and retention time (RT) (Huan and Li, 2015). This CIL library contains 1,060 unique endogenous metabolites including 711 amines/phenols, 187 carboxylic acids, 85 hydroxyls, and 77 carbonyls. In tier 2, linked identity (LI) library was used for the identification of the remaining peak pairs based on accurate mass and predicted RT information. The LI Library contains over 2,000 metabolic- pathway-related metabolites extracted from the KEGG database (Li et al., 2013). Frontiers in Animal Science | www.frontiersin.org Statistical Analysis Metabolite FC (HFE/LFE) FDR 4-Chloro-L-lysine 1.58 0.01 Threoninyl-hydroxyproline 1.43 0.01 Mesalazine 1.39 0.01 Isomer 1 of 4-Chloro-L-lysine 1.27 0.02 Isomer 2 of 4-chloro-L-lysine 1.24 0.03 Asparaginyl-alanine 1.23 0.02 Carnosine 1.23 0.01 Creatinine 1.21 0.03 Histamine 1.20 0.01 Benzyl salicylic acid 1.19 0.01 Taurine 1.17 0.01 Glutamate 1.16 0.01 Creatine 1.16 0.01 L-alpha-aspartyl-L-hydroxyproline 1.13 0.01 Arginyl-cysteine 1.12 0.04 Imidazoleacetic acid 1.12 0.05 Valyl-glutamate 1.12 0.01 Isomer of N-formimino-L-glutamic acid 1.11 0.05 Citrulline 1.11 0.03 Methylguanidine 1.10 0.04 Ornithine 1.09 0.02 5-Aminopentanoic acid 0.90 0.01 Isomer 1 of 5-aminopentanoic acid 0.93 0.00 Isomer 2 of 5-aminopentanoic acid 0.90 0.01 Methionine 0.89 0.01 Isomer of methionine 0.88 0.02 5-Hydroxylysine 0.88 0.02 4-Guanidinobutanal 0.87 0.01 2-Hydroxy-4-methylbenzaldehyde 0.86 0.05 L-Cysteinylglycine disulfide 0.86 0.02 Azetidinecarboxylic acid 0.86 0.03 Isoleucyl-alanine 0.85 0.01 Glutamyl-glutamine 0.85 0.03 Prolyl-methionine 0.84 0.03 Cystathionine sulfoxide 0.84 0.03 2-Aminohexanedioic acid 0.83 0.00 Glutaminyl-glutamic acid 0.83 0.01 Hydroxyprolyl-cysteine 0.83 0.03 Salsoline-1-carboxylic acid 0.81 0.02 Glutaminyl-methionine 0.80 0.02 Butylparaben 0.79 0.03 Methionyl-glutamic acid 0.79 0.01 HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake; FC, fold change relative to LFE. Only metabolites with false discovery rate (FDR) ≤0.05 are shown. analysis of all metabolites showed histidine metabolism were enrich to LFE steers (Figure 5). Carbonyl-Metabolome Divergent RFI A total of 118 carbonyl-contain and identified (Supplementary T showed a slight overlap, indicatin carbonyl-metabolome of both gro differentially abundant (FDR ≤0 (Figure 6B). Plasma concentrati acetoacetic acid and 7-oxohepta ≤0.05) in HFE whereas three m 4-oxobutanoic acid, glycolaldehy were greater (FDR ≤0.05) in All the differentially abundant <0.9 indicating that none of t and sensitivity to qualify as cand high and low RFI values. Pathwa metabolites revealed no altered (Supplementary Figure 1). Carboxylic Acid-Metab With Divergent RFI A total of 330 carboxyl-contain and identified (Supplementary T showed a slight overlap, indica carboxyl-metabolome between H A total of five differentially abun were detected (Figure 7B). Pla metabolites (5-carboxy-alpha-chr hydroxynicotinic acid, N-acetyl-L 0.05) in HFE whereas only one me was greater (FDR ≤0.05) in L ROC analysis revealed that on AUC value of 0.938 had sufficien qualify as candidate biomarker o values (Figure 8). Pathway analy metabolites revealed no altered (Supplementary Figure 2). DISCUSSION Metabolites containing amine/ common intermediate and/or metabolism (Zhao et al., 201 contributes largely to the prod to its functional roles in variou processes in the cells of animals and reproduction. Statistical Analysis Altered plasm f h b f h TABLE 2 | Differentially abundant amine/phenol-metabolites in beef steers with divergent residual feed intake. Metabolite FC (HFE/LFE) FDR 4-Chloro-L-lysine 1.58 0.01 Threoninyl-hydroxyproline 1.43 0.01 Mesalazine 1.39 0.01 Isomer 1 of 4-Chloro-L-lysine 1.27 0.02 Isomer 2 of 4-chloro-L-lysine 1.24 0.03 Asparaginyl-alanine 1.23 0.02 Carnosine 1.23 0.01 Creatinine 1.21 0.03 Histamine 1.20 0.01 Benzyl salicylic acid 1.19 0.01 Taurine 1.17 0.01 Glutamate 1.16 0.01 Creatine 1.16 0.01 L-alpha-aspartyl-L-hydroxyproline 1.13 0.01 Arginyl-cysteine 1.12 0.04 Imidazoleacetic acid 1.12 0.05 Valyl-glutamate 1.12 0.01 Isomer of N-formimino-L-glutamic acid 1.11 0.05 Citrulline 1.11 0.03 Methylguanidine 1.10 0.04 Ornithine 1.09 0.02 5-Aminopentanoic acid 0.90 0.01 Isomer 1 of 5-aminopentanoic acid 0.93 0.00 Isomer 2 of 5-aminopentanoic acid 0.90 0.01 Methionine 0.89 0.01 Isomer of methionine 0.88 0.02 5-Hydroxylysine 0.88 0.02 4-Guanidinobutanal 0.87 0.01 2-Hydroxy-4-methylbenzaldehyde 0.86 0.05 L-Cysteinylglycine disulfide 0.86 0.02 Azetidinecarboxylic acid 0.86 0.03 Isoleucyl-alanine 0.85 0.01 Glutamyl-glutamine 0.85 0.03 Prolyl-methionine 0.84 0.03 Cystathionine sulfoxide 0.84 0.03 2-Aminohexanedioic acid 0.83 0.00 Glutaminyl-glutamic acid 0.83 0.01 Hydroxyprolyl-cysteine 0.83 0.03 Salsoline-1-carboxylic acid 0.81 0.02 Glutaminyl-methionine 0.80 0.02 Butylparaben 0.79 0.03 Methionyl-glutamic acid 0.79 0.01 HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake; FC, fold change relative to LFE. O l b li i h f l di (FDR) 0 0 h TABLE 2 | Differentially abundant amine/phenol-metabolites in beef steers with divergent residual feed intake. analysis of all metabolites showed that arginine biosynthesis and histidine metabolism were enriched (P < 0.10) in HFE, relative to LFE steers (Figure 5). Carbonyl-Metabolome Associated With Divergent RFI Divergent RFI A total of 118 carbonyl-containing metabolites were detected and identified (Supplementary Table 2). The PLSDA score plot showed a slight overlap, indicating little or no alterations in the carbonyl-metabolome of both groups (Figure 6A). A total of five differentially abundant (FDR ≤0.05) metabolites were detected (Figure 6B). Plasma concentrations of two metabolites (ethyl acetoacetic acid and 7-oxoheptanoic acid) were greater (FDR ≤0.05) in HFE whereas three metabolites (2-hydroxymethyl- 4-oxobutanoic acid, glycolaldehyde, and koeniginequinone B were greater (FDR ≤0.05) in LFE steers (data not shown). All the differentially abundant metabolites had AUC values <0.9 indicating that none of them had sufficient specificity and sensitivity to qualify as candidate biomarkers of divergent high and low RFI values. Pathway analysis of all the carbonyl- metabolites revealed no altered (P > 0.10) metabolic pathway (Supplementary Figure 1). Statistical Analysis Metabolite intensity values of each chemical group (amine/phenol, carbonyl, hydroxyl, and carboxylic acid) were separately imported MetaboAnalyst 5.0 software (https://www. metaboanalyst.ca/) for statistical analysis (Chong et al., 2019). Prior to statistical testing, log-transformation, normalization by median, and autoscaling of the data were performed. Median normalization was performed with the aim of eliminating undesirable inter-sample variations, and to ensure individual samples were truly comparable to one another. Auto-scaling was applied to make metabolites more comparable to each other in magnitude. Partial least squares discriminant analysis (PLS-DA) scores plot was generated to visualize the metabolome difference between treatments. Volcano plot analysis was performed to Frontiers in Animal Science | www.frontiersin.org January 2022 | Volume 2 | Article 783314 3 Taiwo et al. Plasma Metabolome and Feed Efficiency FIGURE 1 | PLS-DA scores plot of amine/phenol-metabolome of LFE and HFE steers. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. FIGURE 1 | PLS-DA scores plot of amine/phenol-metabolome of LFE and HFE steers. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. FIGURE 2 | Volcano plot showing the differentially abundant amine/phenol-containing metabolites. Metabolites with false discovery ratio ≤0.05 (red or blue) are differentially increased or reduced in HFE, relative to LFE. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. FIGURE 2 | Volcano plot showing the differentially abundant amine/phenol-containing metabolites. Metabolites with false discovery ratio ≤0.05 (red or blue) are differentially increased or reduced in HFE, relative to LFE. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. Frontiers in Animal Science | www.frontiersin.org January 2022 | Volume 2 | Article 783314 4 Plasma Metabolome and Feed Efficiency Taiwo et al. TABLE 2 | Differentially abundant amine/phenol-metabolites in beef steers with divergent residual feed intake. Statistical Analysis Metabolite FC (HFE/LFE) FDR 4-Chloro-L-lysine 1.58 0.01 Threoninyl-hydroxyproline 1.43 0.01 Mesalazine 1.39 0.01 Isomer 1 of 4-Chloro-L-lysine 1.27 0.02 Isomer 2 of 4-chloro-L-lysine 1.24 0.03 Asparaginyl-alanine 1.23 0.02 Carnosine 1.23 0.01 Creatinine 1.21 0.03 Histamine 1.20 0.01 Benzyl salicylic acid 1.19 0.01 Taurine 1.17 0.01 Glutamate 1.16 0.01 Creatine 1.16 0.01 L-alpha-aspartyl-L-hydroxyproline 1.13 0.01 Arginyl-cysteine 1.12 0.04 Imidazoleacetic acid 1.12 0.05 Valyl-glutamate 1.12 0.01 Isomer of N-formimino-L-glutamic acid 1.11 0.05 Citrulline 1.11 0.03 Methylguanidine 1.10 0.04 Ornithine 1.09 0.02 5-Aminopentanoic acid 0.90 0.01 Isomer 1 of 5-aminopentanoic acid 0.93 0.00 Isomer 2 of 5-aminopentanoic acid 0.90 0.01 Methionine 0.89 0.01 Isomer of methionine 0.88 0.02 5-Hydroxylysine 0.88 0.02 4-Guanidinobutanal 0.87 0.01 2-Hydroxy-4-methylbenzaldehyde 0.86 0.05 L-Cysteinylglycine disulfide 0.86 0.02 Azetidinecarboxylic acid 0.86 0.03 Isoleucyl-alanine 0.85 0.01 Glutamyl-glutamine 0.85 0.03 Prolyl-methionine 0.84 0.03 Cystathionine sulfoxide 0.84 0.03 2-Aminohexanedioic acid 0.83 0.00 Glutaminyl-glutamic acid 0.83 0.01 Hydroxyprolyl-cysteine 0.83 0.03 Salsoline-1-carboxylic acid 0.81 0.02 Glutaminyl-methionine 0.80 0.02 Butylparaben 0.79 0.03 Methionyl-glutamic acid 0.79 0.01 HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake; FC, fold change relative to LFE. Only metabolites with false discovery rate (FDR) ≤0.05 are shown. specificity and sensitivity to qualify as candidate biomarkers of divergent high and low RFI values (Figure 3). The box plots showing the distributions of these candidate biomarkers in LFE and HFE steers are shown in Figure 4. Results of the pathway analysis of all metabolites showed that arginine biosynthesis and histidine metabolism were enriched (P < 0.10) in HFE, relative to LFE steers (Figure 5). Carbonyl-Metabolome Associated With Divergent RFI A total of 118 carbonyl-containing metabolites were detected and identified (Supplementary Table 2). The PLSDA score plot showed a slight overlap, indicating little or no alterations in the carbonyl-metabolome of both groups (Figure 6A). A total of five differentially abundant (FDR ≤0.05) metabolites were detected (Figure 6B). Plasma concentrations of two metabolites (ethyl acetoacetic acid and 7-oxoheptanoic acid) were greater (FDR ≤0.05) in HFE whereas three metabolites (2-hydroxymethyl- 4-oxobutanoic acid, glycolaldehyde, and koeniginequinone B were greater (FDR ≤0.05) in LFE steers (data not shown). All the differentially abundant metabolites had AUC values <0.9 indicating that none of them had sufficient specificity and sensitivity to qualify as candidate biomarkers of divergent high and low RFI values. Pathway analysis of all the carbonyl- metabolites revealed no altered (P > 0.10) metabolic pathway (Supplementary Figure 1). Carboxylic Acid-Metabolome Associated With Divergent RFI g A total of 330 carboxyl-containing metabolites were detected and identified (Supplementary Table 3). The PLSDA score plot showed a slight overlap, indicating slight alterations in the carboxyl-metabolome between HFE and LFE steers (Figure 7A). A total of five differentially abundant (FDR ≤0.05) metabolites were detected (Figure 7B). Plasma concentrations of four metabolites (5-carboxy-alpha-chromanol, ureidoacrylic acid, 6- hydroxynicotinic acid, N-acetyl-L-proline) were greater (FDR ≤ 0.05) in HFE whereas only one metabolite (methionine sulfoxide) was greater (FDR ≤0.05) in LFE steers. The results of the ROC analysis revealed that only methionine sulfoxide with AUC value of 0.938 had sufficient specificity and sensitivity to qualify as candidate biomarker of divergent high and low RFI values (Figure 8). Pathway analysis of all the carboxylic acid- metabolites revealed no altered (P > 0.10) metabolic pathway (Supplementary Figure 2). Statistical Analysis Carboxylic Acid-Metabolome Associated With Divergent RFI A total of 330 carboxyl-containing metabolites were detected and identified (Supplementary Table 3). The PLSDA score plot showed a slight overlap, indicating slight alterations in the carboxyl-metabolome between HFE and LFE steers (Figure 7A). A total of five differentially abundant (FDR ≤0.05) metabolites were detected (Figure 7B). Plasma concentrations of four metabolites (5-carboxy-alpha-chromanol, ureidoacrylic acid, 6- hydroxynicotinic acid, N-acetyl-L-proline) were greater (FDR ≤ 0.05) in HFE whereas only one metabolite (methionine sulfoxide) was greater (FDR ≤0.05) in LFE steers. The results of the ROC analysis revealed that only methionine sulfoxide with AUC value of 0.938 had sufficient specificity and sensitivity to qualify as candidate biomarker of divergent high and low RFI values (Figure 8). Pathway analysis of all the carboxylic acid- metabolites revealed no altered (P > 0.10) metabolic pathway (Supplementary Figure 2). DISCUSSION Metabolites containing amine/phenol chemical group are common intermediate and/or end products of amino acid metabolism (Zhao et al., 2019). Amino acid metabolism contributes largely to the productivity of farm animals due to its functional roles in various biochemical and metabolic processes in the cells of animals including growth, production, and reproduction. Altered plasma amine/phenol-metabolome of the beef steers suggests the significance of amino acid metabolism to productivity and feed efficiency of those animals. In this study, four amine/phenol-containing metabolites were identified as candidate biomarkers to classify beef steers into high and low-RFI groups: methionine, 5-aminopentanoic TABLE 2 | Differentially abundant amine/phenol-metabolites in beef steers with divergent residual feed intake. DISCUSSION Metabolites containing amine/phenol chemical group are common intermediate and/or end products of amino acid metabolism (Zhao et al., 2019). Amino acid metabolism contributes largely to the productivity of farm animals due to its functional roles in various biochemical and metabolic processes in the cells of animals including growth, production, and reproduction. Altered plasma amine/phenol-metabolome of the beef steers suggests the significance of amino acid metabolism to productivity and feed efficiency of those animals. In this study, four amine/phenol-containing metabolites were identified as candidate biomarkers to classify beef steers into high and low-RFI groups: methionine, 5-aminopentanoic specificity and sensitivity to qualify as candidate biomarkers of divergent high and low RFI values (Figure 3). The box plots showing the distributions of these candidate biomarkers in LFE and HFE steers are shown in Figure 4. Results of the pathway specificity and sensitivity to qualify as candidate biomarkers of divergent high and low RFI values (Figure 3). The box plots showing the distributions of these candidate biomarkers in LFE and HFE steers are shown in Figure 4. Results of the pathway January 2022 | Volume 2 | Article 783314 Frontiers in Animal Science | www.frontiersin.org 5 Plasma Metabolome and Feed Efficiency Taiwo et al. FIGURE 3 | Biomarker analysis of plasma amine/phenol metabolome. ROC curve analysis of candidate plasma amine/phenol biomarkers (methionine, 5-aminopentanoic acid, 2-aminohexanedioic acid, and 4-chlorolysine) of beef steer with divergent RFI values. FIGURE 3 | Biomarker analysis of plasma amine/phenol metabolome. ROC curve analysis of candidate plasma amine/phenol biomarkers (methionine, 5-aminopentanoic acid, 2-aminohexanedioic acid, and 4-chlorolysine) of beef steer with divergent RFI values. via S-adenosyl methionine, for synthesis of choline, carnitine, creatine, and phospholipids which are all essential for improved skeletal muscle and hepatic lipid metabolism for energy supply especially during reduced supply of glucose. In this study, lower plasma level of methionine in HFE steers was accompanied with higher plasma levels of taurine and creatine, which are known to regulate lipid metabolism in humans and farm animals (da Silva et al., 2014; Karisa et al., 2014; Ibrahim et al., 2019; Li et al., 2021). In a similar study, Karisa et al. (2014) reported that plasma concentration of creatine was associated with RFI. In the same study, creatine was reported to interact with AMP activated acid, 6-aminohexanoic acid, 4-chlorolysine, and 7-cyano-7- carbaguanine. Relative concentration of plasma methionine was lower in HFE, relative to LFE steers. DISCUSSION Methionine is known to be the first limiting amino acid in growing beef cattle when microbial protein is the only source of amino acids (Richardson and Hatfield, 1978), and its deficiency in diet has been reported to be associated with poor growth performance in growing beef cattle (Ragland-Gray et al., 1997). In addition to the role of methionine in tissue protein synthesis, methionine can serve as a precursor for synthesis of other amino acids such as taurine, cysteine, apolipoprotein, and can donate its methyl groups, January 2022 | Volume 2 | Article 783314 Frontiers in Animal Science | www.frontiersin.org 6 Taiwo et al. Plasma Metabolome and Feed Efficiency FIGURE 4 | Relative distributions of the candidate plasma amine/phenol biomarkers of beef steer with divergent RFI values. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. FIGURE 4 | Relative distributions of the candidate plasma amine/phenol biomarkers of beef steer with divergent RFI values. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. FIGURE 5 | Pathway analysis of the amine/phenol-metabolites of beef steers with divergent RFI values. Metabolic pathways with –log10(P) ≥1.0 (equivalent to P ≤0.10) are enriched in HFE steers, relative to LFE. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. protein kinase which is known to stimulate hepatic and skeletal muscle fatty acid oxidation. When there is an insufficient glucose supply due to low DMI, as observed in HFE steers, to meet energy demands for growth and other physiological processes, there is normally an increased hepatic lipid catabolism to generate acetyl- CoA, which can enter the citric acid cycle to generate energy in the form of ATP and/or be converted to oxidative fuels including ketones (Rui, 2014). In support of our results, several studies have reported differences in tissue mitochondrial function, and amino acid and energy metabolisms in animals divergent for low and high RFI (Bottje and Carstens, 2009; Baldassini et al., 2018; Mukiibi et al., 2018). In a previous study, Mukiibi et al. (2018) reported upregulation of hepatic genes responsible for lipid secretion, transport and efux in more-efficient beef cattle compared to less-efficient ones. In dairy cattle, Salleh et al. (2018) reported that RFI status is associated with regulation of energy via hepatic lipid metabolism. Frontiers in Animal Science | www.frontiersin.org DISCUSSION Considering these facts, we speculate that reduced plasma concentration of methionine in HFE steers was probably due to its increased uptake by the hepatic cells to synthesize other metabolites that aid lipid beta-oxidation to compensate for reduced energy supply due to low DMI. FIGURE 5 | Pathway analysis of the amine/phenol-metabolites of beef steers with divergent RFI values. Metabolic pathways with –log10(P) ≥1.0 (equivalent to P ≤0.10) are enriched in HFE steers, relative to LFE. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. FIGURE 5 | Pathway analysis of the amine/phenol-metabolites of beef steers with divergent RFI values. Metabolic pathways with –log10(P) ≥1.0 (equivalent to P ≤0.10) are enriched in HFE steers, relative to LFE. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. 4-chlorolysine, a derivative of lysine, was identified as a candidate biomarker of RFI in this study. Lysine plays a significant role in tissue protein synthesis and energy metabolism (Tome and Bos, 2007). Plasma lysine concentration has been reported to be associated with RFI in two previous studies in beef heifer and steer (Karisa et al., 2014; Jorge-Smeding et al., 2019), although no AUC values were provided in both studies. In our study, higher level of 4-chlorolysine in HFE steers also corresponded to higher levels of 5-aminopentanoic acid and 2-aminohexanedioic acid, which were also identified as candidate biomarkers in this study. 5-aminopentanoic acid and 2-aminohexanedioic acid are intermediate products of lysine degradation (Guidetti and Schwarcz, 2003). In fact, in a recent study, 2-aminohexanedioic acid, also known as aminoadipic acid, has been previously identified as a candidate serum metabolite biomarker of RFI in sheep (Goldansaz et al., 2020). A study in rat revealed induced cell death and reduced tissue protein synthesis with in vitro supplementation of aminoadipic acid (Nishimura January 2022 | Volume 2 | Article 783314 7 Plasma Metabolome and Feed Efficiency Taiwo et al. FIGURE 6 | (A) PLS-DA scores plot of carbonyl-metabolome of LFE and HFE steers; (B) Volcano plot showing the differentially abundant carbonyl-containing metabolites. Metabolites with false discovery ratio ≤0.05 (red or blue) are differentially increased or reduced in HFE, relative to LFE. HFE, beef steers with negative esidual feed intake; LFE, beef steers with positive residual feed intake. al., 2000). Frontiers in Animal Science | www.frontiersin.org DISCUSSION Thus, a high level of 4-chlorolysine and low levels 2 aminohexanedioic acid and 5 aminopentanoic acid would steers. Glutamate promotes neural functioning, cell proliferation, and the production of other amino acids (Wünschiers et al FIGURE 6 | (A) PLS-DA scores plot of carbonyl-metabolome of LFE and HFE steers; (B) Volcano plot showing the differentially abundant carbonyl-containing metabolites. Metabolites with false discovery ratio ≤0.05 (red or blue) are differentially increased or reduced in HFE, relative to LFE. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. steers. Glutamate promotes neural functioning, cell proliferation, and the production of other amino acids (Wünschiers et al., 2012; Holeˇcek, 2020). Histamine can function as a homeostatic neurotransmitter while carnosine exhibits anti-inflammatory and cytoprotective effects by scavenging free radicals and reducing protein glycation mostly in skeletal muscle (Mendelson, 2008; Wünschiers et al., 2012; Holeˇcek, 2020). Arginine biosynthesis pathway synthesizes arginine and several intermediate products including citrulline and ornithine, all of which were increased in et al., 2000). Thus, a high level of 4-chlorolysine and low levels of 2-aminohexanedioic acid and 5-aminopentanoic acid would be expected to result in increased tissue protein synthesis in HFE steers. Two amino acid metabolism-related pathways, histidine metabolism and arginine biosynthesis, were enriched in HFE steers, relative to LFE. Histidine metabolism results in production of several metabolites including glutamate, histamine, and carnosine, all of which were increased in HFE January 2022 | Volume 2 | Article 783314 Frontiers in Animal Science | www.frontiersin.org 8 Plasma Metabolome and Feed Efficiency Taiwo et al. GURE 7 | (A) PLS-DA scores plot of carboxyl-acid-metabolome of LFE and HFE steers; (B) Volcano plot showing the differentially abundant carboxylic id-containing metabolites. Metabolites with false discovery ratio ≤0.05 (red or blue) are differentially increased or reduced in HFE, relative to LFE. HFE, beef steers th negative residual feed intake; LFE, beef steers with positive residual feed intake. E t A i i h l i th t l f l ll di i i t t l ti t LFE t O lt ith i FIGURE 7 | (A) PLS-DA scores plot of carboxyl-acid-metabolome of LFE and HFE steers; (B) Volcano plot showing the differentially abundant carboxylic acid-containing metabolites. Metabolites with false discovery ratio ≤0.05 (red or blue) are differentially increased or reduced in HFE, relative to LFE. ETHICS STATEMENT ) Several studies that analyzed the hepatic transcriptome of beef cattle with divergent RFI reported altered expressions of genes related to lipid and carbohydrate metabolisms (Mukiibi et al., 2018; Higgins et al., 2019), indicating possibility of differences in their hepatic metabolisms which would be expected to lead to alterations in blood concentrations of their metabolites. In our study, none of the plasma metabolites related to carbohydrate and fatty acid metabolisms (carbonyl- and carboxylic acid- metabolome), except methionine sulfoxide, which is an oxidized form of methionine, qualified as candidate biomarkers in this study. In fact, very few related metabolites were differentially abundant, and no associated metabolic pathways were different between HFE and LFE steers. These results were unexpected given the significant roles of carbohydrate and fatty acid metabolisms to the health and productivity of ruminants. In fact, blood glucose, an important carbonyl-containing metabolite and non-esterified fatty acids (NEFA), which are carboxylic acid- containing metabolites, are often used as markers of health and energy status in ruminants (Gleghorn et al., 2004; Adewuyi et al., 2005). A possible explanation for the lack of difference may be because glucose is in continuous supply via gluconeogenesis in ruminants (Young, 1977). Increased concentrations of blood NEFA reflect extensive fat mobilization from body reserves due to negative energy balance and fatty acid release from adipocytes most especially during lactation period in high-yielding dairy The animal study was reviewed and approved by Institutional Animal Care and Use Committees of West Virginia University. CONCLUSION The findings of the present study demonstrate differences in the plasma amine/phenol-metabolome of beef steers with divergent high and low RFI values indicating an association between blood amino acid metabolic signatures and RFI divergence in beef steers. Two amino acid metabolic pathways, histidine metabolism and arginine biosynthesis, were found to be associated with RFI. Five candidate metabolite biomarkers of divergent RFI related to amino acid metabolism pathway (methionine, methionine sulfoxide, 5-aminopentanoic acid, 2-aminohexanedioic acid, and 4-chlorolysine) were identified in this study. Validation studies using a larger cohort of beef cattle of different genetic pedigree are needed to confirm the robustness of the candidate plasma biomarkers identified in this study. FIGURE 8 | Biomarker analysis of plasma carboxylic acid-metabolome. ROC curve analysis of methionine sulfoxide. DATA AVAILABILITY STATEMENT ornithine, aspartate, lysine, and valine with RFI in beef cattle, although no AUC values for these metabolites were reported (Karisa et al., 2014; Clemmons et al., 2017; Jorge-Smeding et al., 2019). The original contributions presented in the study are included in the article/Supplementary Material, further inquiries can be directed to the corresponding author. FUNDING This work was funded by West Virginia University Experimental Station (scientific article number 3419) in support of U.S. Department of Agriculture hatch multi-state regional project W-3010. DISCUSSION HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. FIGURE 7 | (A) PLS-DA scores plot of carboxyl-acid-metabolome of LFE and HFE steers; (B) Volcano plot showing the differentially abundant carboxylic acid-containing metabolites. Metabolites with false discovery ratio ≤0.05 (red or blue) are differentially increased or reduced in HFE, relative to LFE. HFE, beef steers with negative residual feed intake; LFE, beef steers with positive residual feed intake. HFE steers. Arginine helps in the control of normal cell division, wound healing, and removal of ammonia via the urea cycle (Rhoads and Wu, 2009; Wünschiers et al., 2012). Enrichment of these aforementioned pathways and their associated metabolites in HFE steers is evidence of better health and immune status, relative to LFE steers. Our results concur with prior investigations that have attempted to associate blood metabolites with RFI in cattle; several of these studies have reported an association of a good number of amino acid metabolism-related metabolites including creatine, tyrosine, glycine, glutamine, January 2022 | Volume 2 | Article 783314 Frontiers in Animal Science | www.frontiersin.org 9 Plasma Metabolome and Feed Efficiency Taiwo et al. cows (Bowden, 1971). Unlike in dairy cows, there is a little need for an extensive body fat mobilization which is not expected to cause a significant change in blood NEFA (Clemmons et al., 2017). In agreement with our results, two previous studies observed no differences in blood glucose and NEFA in beef cattle divergent for low and high RFI (Bourgon et al., 2017; Clemmons et al., 2017). FIGURE 8 | Biomarker analysis of plasma carboxylic acid-metabolome. ROC curve analysis of methionine sulfoxide. AUTHOR CONTRIBUTIONS IO and MW designed the experiment. GT, IO, SC, TS, and MI conducted the experiment and analyzed the data. IO, GT, and AP-C drafted the manuscript. IO reviewed the final manuscript together with GT and MI. All authors contributed to the article and approved the submitted version. Frontiers in Animal Science | www.frontiersin.org REFERENCES Non-esterified fatty acids and ketone bodies in blood as indicators of nutritional status in ruminants: a review. Canad. J. Anim. Sci. 51, 1–13. doi: 10.4141/cjas71-001 Li, Y., Zang, Y., Zhao, X., Liu, L., Qiu, Q., Ouyang, K., et al. (2021). Dietary supplementation with creatine pyruvate alters rumen microbiota protein function in heat-stressed beef cattle. Front. Microbiol. 12:715088. doi: 10.3389/fmicb.2021.715088 Chong, J., Wishart, D. S., and Xia, J. (2019). Using MetaboAnalyst 4.0 for comprehensive and integrative metabolomics data analysis. Curr. Protoc. Bioinformatics 68:e86. doi: 10.1002/cpbi.86 Mendelson, S. D. 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SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/fanim. 2021.783314/full#supplementary-material Frontiers in Animal Science | www.frontiersin.org January 2022 | Volume 2 | Article 783314 10 Plasma Metabolome and Feed Efficiency Taiwo et al. REFERENCES Histidine in health and disease: metabolism, physiological importance, and use as a supplement. Nutrients 12:848. doi: 10.3390/nu12030848 Tome, D., and Bos, C. (2007). Lysine Requirement through the Human Life Cycle. J. Nutri. 137, 1642–1645. doi: 10.1093/jn/137.6.1642S Holmgren, L., and Feuz, D. (2015). 2015 Costs and Returns for a 200 Cow, Cow- Calf Operation. All Current Publications, paper 711. Available online at: http:// digitalcommons.usu.edu/extension_curall/711 (accessed July 08, 2021). Wünschiers, R., Jahn, M., Jahn, D., Schomburg, I., Peifer, S., Heinzle, E., et al. 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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. Young, J. (1977). Gluconeogenesis in cattle: Significance and methodology. J. Dairy Sci. 60, 1–15. doi: 10.3168/jds.S0022-0302(77) 83821-6 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. Zhao, S., Li, H., Han, W., Chan, W., and Li, L. (2019). Metabolomic coverage of chemical-group-submetabolome analysis: group classification and four- channel chemical isotope labeling LC-MS. Anal. Chem. 91, 12108–12115. doi: 10.1021/acs.analchem.9b03431 Copyright © 2022 Taiwo, Idowu, Collins, Sidney, Wilson, Pech-Cervantes and Ogunade. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). 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. Frontiers in Animal Science | www.frontiersin.org January 2022 | Volume 2 | Article 783314 REFERENCES The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms. Zhao, S., and Li, L. (2020). Chemical derivatization in LC-MS-based metabolomics study. Trends. Anal. Chem. 131, 115988. doi: 10.1016/j.trac.2020. 115988 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. January 2022 | Volume 2 | Article 783314 Frontiers in Animal Science | www.frontiersin.org 12
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A implementação do Auxílio Emergencial como medida excepcional de proteção social
Bruno Baranda Cardoso
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Bruno Baranda Cardoso 1 1 Ministério da Cidadania, Brasília / DF – Brazil 1 Ministério da Cidadania, Brasília / DF – Brazil Emergency Aid, instituted by Law 13982, of 2020, is one of the biggest initiatives of the Brazilin Federal Government to minimize the economic effects of the COVID-19 pandemic. This aid is directed at the most vulnerable population, among them, the beneficiaries of the conditional cash transfer program “Bolsa Família” (PBF) and those enrolled in the single registry for social protection “Cadastro Único para Programas Sociais do Governo Federal” (CadÚnico). The benefit also covers informal employees, self-employed and individual microentrepreneurs (MEI). Based on documentary analysis and through direct observation, this study sought to outline the process of implementing emergency aid measures, within the framework established by the Ministry of Citizenship (MC), through the system-level bureaucracy approach. Keywords: COVID-19; emergency aid; system-level bureaucracy; Cadastro Único; public policy implem A implementação do Auxílio Emergencial como medida excepcional de proteção social O Auxílio Emergencial, instituído pela Lei nº 13.982, de 2020, é uma das maiores iniciativas do Governo Federal para minimizar os efeitos econômicos da pandemia do coronavírus (COVID-19) para a parte mais vulnerável da população, entres eles os beneficiários do Programa Bolsa Família (PBF) e os inscritos no Cadastro Único para Programas Sociais do Governo Federal (CadÚnico), cidadãos que já tinham algum tipo de relacionamento com políticas de assistência social. Além desses, o benefício abrange também trabalhadores informais, autônomos e microempreendedores individuais (MEI). Com base na análise documental e por meio de observação direta, este estudo buscou delinear o processo de implementação do Auxílio Emergencial, no âmbito do arranjo estabelecido pelo Ministério da Cidadania (MC), através da abordagem da burocracia de nível de sistema. Palavras-chave: COVID-19; auxílio emergencial; burocracia de nível de sistema; Cadastro Único; implementação de políticas públicas. La implementación de la Ayuda de Emergencia como medida excepcional de protección social La Ayuda de Emergencia, instituida por la Ley n. 13.982, de 2020, es una de las mayores iniciativas del Gobierno Federal Brasileño para minimizar los efectos económicos de la pandemia de coronavirus (COVID-19) para la parte más vulnerables de la población, entre ellas, los beneficiarios del “Programa Bolsa Família” (PBF) y aquellos inscritos en el Registro Único para Programas Sociales del Gobierno Federal” (CadÚnico), ciudadanos que ya tenían algún tipo de relación con las políticas de asistencia social. Además de estos, el beneficio también abarca a trabajadores informales, autónomos e microempresarios individuales (MEI). Basado en el análisis documental y a través de la observación directa, este estudio buscó esbozar el proceso de implementación de la Ayuda de Emergencia, en el marco establecido por el Ministerio de Ciudadanía (MC), a través del enfoque de burocracia a nivel de sistema. BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1052 ISSN: 1982-3134 DOI: http://dx.doi.org/10.1590/0034-761220200267x Article received on April 30, 2020 and accepted on June 19, 2020. [Translated version] Note: All quotes in English translated by this article’s translator. ISSN: 1982-3134 DOI: http://dx.doi.org/10.1590/0034-761220200267x Article received on April 30, 2020 and accepted on June 19, 2020. [Translated version] Note: All quotes in English translated by this article’s translator. BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1052 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection 1. INTRODUCTION Among the measures adopted to combat the coronavirus pandemic (COVID-19), the one that has stood out to minimize the social effects of the restrictive measures and social distancing has been the creation of the Emergency Aid instituted by Law 13982 of 2020.h The Emergency Aid created by this law is a mixture of Basic Income for Good Citizenship, created by Law 10835 of 2004 and the Unemployment Insurance Program instituted by Law 7998 of 1990, though the former was never regulated by the federal government and the latter has dealt strictly with unemployed formal workers who fulfill some requirements. This new aid covers a gap in the social protection of so-called informal workers as long as they meet the conditions stipulated by the law. i Implementing the benefit has its particular characteristics, however, which will be explored in this article and mainly have to do with complying with the institutional configuration which supports the conduct of federal government policy, strategies to identify the target public, and the implementation of Emergency Aid. h The article presents the experiences of implementing Emergency Aid, oriented by the literature of public policy. The public policy cycle is subdivided into five stages: assembling the agenda, formulating policy, making policy decisions, implementing the policy, and evaluating the policy (Howlett, Ramesh, & Perl, 2013). The focus of this article, therefore, is the stage of implementation. The focus of our analysis within the context of the public policy cycle will be on implementation, or in other words, the moment when a created policy is put into practice. To do this, the analysis will use the concept of public action arrangements and instruments, in order to identify the actors responsible for the implementation and how the form of action and preexisting relationships influence the singular characteristics of the implementations of this benefit. h The urgency to adopt solutions allied with restrictive measures and social distancing was decisive in the use of ICT (information and communication technology) solutions in the implementation of Emergency Aid. To analyze this experience, we have used street-level and system-level bureaucracy approaches. BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 2. THE CONFORMITY OF THE EMERGENCY AID’S INSTITUTIONAL ARRANGEMENT WITHIN THE FEDERAL GOVERNMENT With the publication of Decree 10316 of 2020, we can identify the definition of the responsibility of several governmental agencies in the implementation of Emergency Aid, because the internal articulation to make inputs viable for the identification of the target public precedes this act. hi The first measure announced by the government which signaled the creation of Emergency Aid by the Ministry of Economy on March 18, 2020 which was later formalized by Law 13982. It is important to point out that, at the time, restrictive measures and social distancing had already been decreed in most Brazilian states to confront this public health emergency. This fact greatly increased the complexity of implementing the policy and operationalizing the payment of aid, as will be seen below. Decree 10316 of 2020, in article 4, established that it was the responsibility of the Ministry of Citizenship to “manage the emergency aid for all beneficiaries” and that of the Ministry of Economy to “act jointly with the Ministry of Citizenship (MC) to identify criteria to identify the beneficiaries of emergency aid.” BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1053 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection In this manner, it was established that the Ministry of Citizenship would lead the implementation of the Emergency Aid, without distinction in terms of the target public. However, other actors which were essential to the implementation of the policy were notably absent: Federal Savings Bank (CEF) and the Social Security Information Technology Company (Dataprev). The absence of these government agencies would make it impossible to identify the institutional arrangement established for the implementation of the benefit. To understand the implementation of public policy, it is important to understand the State not as a single actor, but as an environment within which there are interactions between various agents which play important roles and perform various actions in the everyday production of public policy, in contrast to an illusory vision of decisions and formulations taking place at important moments. In truth, public policies are produced by virtue of continual everyday interactions between various actors (Pires, 2016). BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 2. THE CONFORMITY OF THE EMERGENCY AID’S INSTITUTIONAL ARRANGEMENT WITHIN THE FEDERAL GOVERNMENT Utilizing the conceptual definition used by Gomide and Pires (2014), an arrangement is “a group of rules, mechanisms and processes which define the particular form that actors and interests are coordinated in the implementation of a specific public policy.” Thus, as a complement to the decree, Administrative Rule nº 351/MC of 2020 designated Dataprev as the operating agent responsible for acting in the treatment of information designed to generate the payments of the Emergency Aid. The referred to Regulation cites the figure of the paying agent without, however, designating any actor in this role or defining its attributes. In practice, however, the CEF – which operationalizes the payment of the Programa Bolsa Família (PBF), and the Unemployment Insurance Program, among others – was responsible for the operationalization of the Emergency Aid, or in other words, it was the paying agent, but its formal designation as such and the definition that various responsibilities of the various units of the MC had executed were pending publication in a normative act. Within the context of the MC, the Department of the Unified Registry – responsible for the Cadastro Único – and the Department of Information Management – for informational solutions – both under the Secretariat of Information Evaluation and Management, together with the Secretariat of Income for Citizenship – responsible for the PBF – and the Sub-secretariat of Information Technology, were the agents responsible for validating the parameters, payment testing, and other acts subsequent to the operationalization of the Emergency Aid. In this manner, despite the effort made to establish the roles of the actors participating in the implementation of the Emergency Aid through norms, the arrangement in practice extends beyond the contents of the decree and regulation cited above. These norms are the important instruments used to establish several relationships, but they are not necessarily responsible for the creation of the arrangements and also do not reveal the totality of the relationships contained within these arrangements. In other words, seeking to understand and represent the arrangement just through normative acts would present a myopic view of the institutional configuration involved in the production of public policy. In the case of the Emergency Aid, the conformation of the arrangement was influenced by the preexisting relationships between public agencies, derived from their participation in other public BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2. THE CONFORMITY OF THE EMERGENCY AID’S INSTITUTIONAL ARRANGEMENT WITHIN THE FEDERAL GOVERNMENT 2020 Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1054 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection policies. This calls attention to the fact that the creation of new institutional arrangements, above all in situations which require quick responses, is not done from scratch and is conditioned by the already existing arrangements in operation within the context of other public policies. The instrumentalization of these relationships will be described in greater detail later in this article. 3. STRATEGIES TO IDENTIFY THE TARGET PUBLIC Informal workers was the term used to designate the target public of this Emergency Aid in its official announcement. However, the identification of citizens belonging to this category is not trivial, due to the various categories of workers created by contemporary legislation. In reading the text of the law, it is possible to identify inclusive criteria, such as individual micro- entrepreneurs (MEI), individual contributors to Social Security and informal workers, as well as the exclusionary criteria, such as age, income, having an active formal job, being entitled to social security or assistance benefits, unemployment insurance, or federal cash transfer program, except the PBF. The establishment of these criteria in an objective manner, was of extreme importance in making the implementation of the benefit viable. As we have seen, in addition to informal workers, the law contemplates several categories of autonomous workers – including individual Social Security contributors – and individual micro- entrepreneurs (MEI). In describing the informal worker in item c of article 2, the law offers two kinds of beneficiaries: those inscribed in the Cadastro Único, and those who through self-declaration, fulfill the requirements of Subsection IV, which deals with income. Thus, in a summary manner, we can identify the target public as: Thus, in a summary manner, we can identify the target public as: a) Individual micro-entrepreneurs (MEI); b) Individual Social Security contributors;h c) Those registered in the Cadastro Único; People not included in the previous hypotheses, through self-declaration. d) People not included in the previous hypotheses, through self-declaration. Some citizens within groups “a”, “b” and “c” can be identified in a relatively simple manner, because they possess some kind of administrative record, derived from their relationship with government programs, including social security and assistance programs. The challenge established in implementing the policy would thus be the definition of a way to promote the identification of those citizens who, for unknown reasons, are invisible to social protection policies. An important reservation related to groups “a” and “b” is that both are fruit of recent measures for the social security formalization of self-employed workers who have instituted the Simplified Social Security Plan or the MEI, generating a generalized expansion of social security coverage (Ansiliero, Costanzi, & Fernandes, 2020), but are not contemplated by the unemployment insurance program due to the nature of their self-employed work. BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 4. THE IMPLEMENTATION OF EMERGENCY AID The implementation of Emergency Aid, with its necessary urgency, was only possible due to the broader context of social policies generated by the MC, including being listed in the Cadastro Único and in the PBF. So, to understand how preexisting arrangements and instruments have influenced the implementation of Emergency Aid, we will analyze some of its particularities. In this sense, as instruments, we have considered technical and social devices created to promote the relationship, within the arrangements, between public agents and policy beneficiaries (Pires, 2016). As pointed out by Lotta and Favareto (2016), based on the analysis of the arrangement it is possible to observe central variables (such as the distinguishing of the target public) to understand the way in which the involved actors define themselves and conduct governance, the decision-making process, and degrees of autonomy. To Pires (2016), the arrangements offer ways to construct the governance model intended to execute the actions, constituting the ‘space’ for recognizing actors and permitting the construction of an integrated view of public policy. The operationalization of a new program depends on an apparatus of internal structures and norms, because it is within this arrangement that the program will be absorbed, translated and adapted so that it may be established and adjusted to the agencies and actors who will implement it. The implementation of the MC’s Emergency Aid cannot be dissociated from its arrangements and instruments in such a way that “the new is interpreted based on the known” (Lima & D’Ascenzi, 2013). The Cadastro Único, created in 2001 by Decree 3877, was regulated by Decree 6135 of 2007, which characterized it as an “identification instrument and the socioeconomic characterization of Brazilian low-income families” and determined its essential role “in the selection of beneficiaries and the integration of federal government social programs designed to meet the needs of this public.” In this manner, it is possible to identify the Cadastro Único as the main instrument of the federal government used to identify citizens who, before its creation, were not listed in databases, and also generate socioeconomic information such as family composition, income and other conditions of life. The Cadastro Único currently contains data on more than 74 million citizens1 and is used by various federal programs, with the largest user program being the Bolsa Familia. 3. STRATEGIES TO IDENTIFY THE TARGET PUBLIC As we will see below, based on the responsibility of the MC for the implementation of requirements for Emergency Aid, a distinct categorization dynamic will be addressed in this section. BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1055 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection 1 Retrieved from https://aplicacoes.mds.gov.br/sagi/cecad20/painel03.php 4. THE IMPLEMENTATION OF EMERGENCY AID Given this existing context in the MC, the subdivision of the target public materialized in the following manner: a) PBF beneficiaries;h ih ose registered in the Cadastro Único (who are not Bolsa Familia beneficiaries); and those b) Those registered in the Cadastro Único (who are not Bolsa Familia beneficiaries); and utside of the Registry (other citizens not registered in the Cadastro Único). c) Outside of the Registry (other citizens not registered in the Cadastro Único). This subdivision is important because it characterizes the distinct manner in which access to the Emergency Aid is instrumentalized, and the effects produced by these choices, which make it possible to assimilate the identification dimensions of various target publics based on the experiences of the MC (Lascoumes & Le Galès, 2012). The beneficiaries of the PBF were contemplated in an automatic manner, or, in the administrative jargon, ‘by default’. This means that all of those who met the Emergency Aid rules received the benefit automatically, without any need for requests or new application. In this manner, verification routines were established for the beneficiaries who met the requisites for granting the Emergency Aid and verifying whether the value of this benefit was greater than that from the PBF. For those who met these criteria, the regular PBF payment was suspended while Emergency Aid payments were made, following the same procedure and respecting the same calendar as the PBF. i For those who are not beneficiaries of the PBF and are registered in the Cadastro Único, the access format is identical; the difference lies only in relation to the way of payment; in this case through Digital Social Savings Account (Poupança Social Digital) or by a checking or savings account. i Finally, the other citizens not registered in the Cadastro Único are identified internally as ‘Outside of the Registry’, there was a need to provide digital requirements on the CEF website or their apps designed for this purpose.2 Thus, with the exception of those ‘Outside the Registry’, all other citizens who were already beneficiaries of the PBF or registered in the Cadastro Único were included by default in the Emergency Aid recipients. 2 Retrieved from https://auxilio.caixa.gov.br/ 4. THE IMPLEMENTATION OF EMERGENCY AID More than ten years ago, the Cadastro Único was already observed to be a tool that could be widely used due to its three essential characteristics: broad census information (for the poor population), registry data (with identification and address data) and for its broad identification of information about the conditions of these families’ lives (Barros, Carvalho, & Mendonça, 2009). The Programa Bolsa Família, created in 2003 by Provisional Measure 132, which was converted into Law 10836 in 2004, is the greatest approximation of Basic Citizenship Income, whose objective is to “provide everyone with a guarantee of the satisfaction of their basic needs,” even though the PBF possesses characteristics which distance it from Basic Citizenship Income, including its access requirements, such as family income, and its maintenance requirements, called conditionalities. 1 Retrieved from https://aplicacoes.mds.gov.br/sagi/cecad20/painel03.php BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1056 BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1056 1056 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection It should be emphasized that the CEF is the operating agent of the Cadastro Único and the PBF, which demonstrates great synergy between this institution and the MC, reinforcing the thesis of Emergency Aid’s taking advantage of preexisting arrangements and instruments. It should be emphasized that the CEF is the operating agent of the Cadastro Único and the PBF, which demonstrates great synergy between this institution and the MC, reinforcing the thesis of Emergency Aid’s taking advantage of preexisting arrangements and instruments. In addition, it is important to recognize the institution of the Work Group (Grupo de Trabalho) through Administrative Rule 995/GM/MC of 2019, designed to propose measures to improve routines, procedures and qualifications based on the Cadastro Único database, which among other things has permitted the realization of a study, in partnership with Dataprev, “with the goal of analyzing the link of formal income for people registered in the Cadastro Único” (Grupo de Trabalho, 2019), a routine similar to the verification of the meeting of criteria for the Emergency Aid. RAP | The Implementation of Emergency Aid as an exceptional measure of social protection RAP | The Implementation of Emergency Aid as an exceptional measure of social protection According to the data in Box 1, approximately half of the target public of the Emergency Aid was unknown to the MC, because they were not PBF beneficiaries and were not registered in the Cadastro Único, which generated additional complexity for the implementation of the policy. NUMBER OF BENEFICIARIES BY TARGET PUBLIC BOX 1 Target public Number in millions Proportion PBF Beneficiaries 19.2 32.5% Registered in the Cadastro Único 10.5 17.8% Outside the Registry 29.3 49.7% Total 59 100% Source: Adapted from the CEF (2020).3 Target public Number in millions Proportion PBF Beneficiaries 19.2 32.5% Registered in the Cadastro Único 10.5 17.8% Outside the Registry 29.3 49.7% Total 59 100% Source: Adapted from the CEF (2020).3 Another important aspect to be made concerns the speed in creating and making these instruments available to provide viable access to the Emergency Aid for the ‘Outside the Registry’ public just five days after the promulgation of the law. Remote requirements in themselves, may already be considered an innovation, illustrative of the growing importance of digital bureaucracy e-government in Brazil and abroad – according to dashboard indicators for federal services,4 188 agencies offered 3,554 services through the website, with 1,952 of them being totally digital. Digital inclusion, however, is still a challenge in Brazil and has proved to be the great enemy of implementing the Emergency Aid and the remotely created instruments, due to problems with access and the difficulty of the registration process itself, even though this was designed to be a simplified experience for the user. Data from the 2019 ICT Household Survey, conducted by the Regional Center for Studies of the Development of the Information Society, reveal, for example, that only 83% of urban individuals already accessed the internet, while just 61% of rural residents have accessed. For internet users, the most utilized device in any of these areas is the cell phone (99%). It also should be noted, when the survey deals with households with internet access, 75% of urban households have access and only 51% of rural households. 3 Retrieved from https://caixanoticias.caixa.gov.br/noticia/20795/auxilio-emergencial-clique-aqui-para-ver-os-ultimos-numeros 4 Retrieved from http://painelservicos.servicos.gov.br/ p p g 5 Retrieved from http://www.caixa.gov.br/voce/poupanca-e-investimentos/poupanca-social-digital/Paginas/default.aspx 4 Retrieved from http://painelservicos.servicos.gov.br/ 4. THE IMPLEMENTATION OF EMERGENCY AID Solutions were developed for the remote registration of those ‘Outside the Registry’: website, app and telephone center, which demonstrates innovative mobilization to face these challenges and they make it possible to conduct a massive benefit registration to avoid a run on bank branches or units of Social Assistance Reference Centers (CRAS). BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1057 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection In addition, despite the difficulty in measuring ‘quality’ it should be taken into consideration: ‘[...] the diversity and adaptability of the product to customers, the variety and alternatives of financial services, proper regulation and supervision of financial products and services, as well as financial consumer protection policies and financial education.’ (Roa, 2015).h In this sense, data from the study The Brazilian’s relationship with money (O brasileiro e sua relação com o dinheiro) (Banco Central do Brasil, 2018) reveals that 60% of people interviewed most often use cash as a form of payment. In other words, despite the efforts to digitalize this benefit, what was observed after cash withdrawals were permitted was the opposite of what was desired during the pandemic with crowds of people in lines at CEF branches to withdrawal their Emergency Aid payment. As well thought out as a solution may be, it cannot change peoples’ habits and customs by itself, which are based on a history of distrust of banks and the government. One way to fill this gap and bring large financial institutions closer to the public, according to Gonzalez, Diniz, and Pozzebon (2015), is through partnerships with micro-finance institutions, taking advantage of the ‘knowledge and skills that “local proximity” provides and thereby creating room for the diversification of microfinance services in ways that maximize their outreach and, we hope, their social impact’. According to the authors, ‘to render a more equitable service to society, the financial system has to move toward the former’. As we have seen, preexisting arrangements have been preponderant in making the implementation of this Emergency Aid viable, because without the expertise of the MC in policies such as the Cadastro Único and the PBF, which contemplate relationships with the CEF and Dataprev, the complexity of coordinating this new benefit could have made it inviable or may not have led to a satisfactory result in such a short timeframe. In addition, instruments of public action such as the Cadastro Único and all the routines and flows derived from its operationalization, have shaped the implementation of the Emergency Aid. In order to make the analysis and processing of standard or remote requirements viable, it was necessary to create a kind of task force to cross-reference the databases, verifying criteria and identifying citizens to be considered in the providing of Emergency Aid. RAP | The Implementation of Emergency Aid as an exceptional measure of social protection Another innovative solution created together with the Emergency Aid is ‘Digital Social Savings Account’ (Poupança Social Digital), a kind of simplified savings account, exempt from monthly maintenance fees, whose app permits payments and transfers, virtual card transactions, and cash withdrawals without a card in ATM and lotteries.5 According to data from the Report of Financial Citizenship (Banco Central do Brasil, 2017), there is a relative stability in the number of people with banking relationships – roughly 86% of the BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1058 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection adult population. Of those who do not use banking services, 58% explained that they do not have banking accounts due to a lack of money or the high cost of maintenance. This same report argues: “The implementation of digital solutions can meet the needs of the portion of the population which considers the maintenance costs of a bank account too high, given that these solutions tend to be lower in cost” (Global Findex [2017 as cited by the Banco Central do Brasil, 2017]). To Roa (2015), the utilization of the term “financial inclusion” is preferable to looking at the number of people who use banking services, because there can be confusion with people believing this refers to access to services which are offered exclusively by private banks. The author also argues that financial inclusion has three dimensions: access, use and quality. In effect, the creation of Digital Social Savings Account can be considered a first step in the direction of financial inclusion (access), but it should not be seen as financial inclusion in itself. If the citizen has ‘access’, but does not use or rarely uses financial services, this is also a problem of financial inclusion. BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection Some details regarding how this task force functioned will be analyzed to contrast with the ‘system-level bureaucracy’ approach of Bovens and Zouridis (2002). BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1059 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection 5. STREET, SCREEN AND SYSTEM LEVEL BUREAUCRACY IN THE IMPLEMENTATION OF EMERGENCY AID As described above, in the Emergency Aid case, it is possible to observe the inexistence of the ‘street- level bureaucracy’, understood to be those public agents who are on the front line of providing customer service to citizens “and have discretion to exercise authority” (Lipsky, 2019). From the point of view of Lima and D’Ascenzi (2013), “if having discretion on one hand is indispensable to the development of activities, on the other, its exercise makes it possible to modify public policy in revealing the conceptions of its formulators”. In the opposite way, we were able to observe a high level of competence in the implementation of the Emergency Aid in high and mid-level bureaucrats of MC. This was due to the automatic nature of the known target public analysis, those registered in the Cadastro Único and PBF beneficiaries, and the development of remote customer service tools to handle the registration of the other citizens. From the point of view of Lascoumes and Le Galès (2012), instruments of public action can serve deep transformations and focus attention on analyzing changes in public policies. Bovens and Zouridis (2002), in describing the way in which the State organizes itself through compliance with the law and providing customer service to citizens, verify an evolution through three levels: ‘street-level bureaucracy’ (Lipsky, 2019), ‘screen-level bureaucracy’ and finally, ‘system-level bureaucracy’. The main characteristics of these levels are described in Box 2. COMPARISON OF CHARACTERISTICS BOX 2 BOX 2 Street-level bureaucracy Screen-level bureaucracy System-level bureaucracy Role of ICT Supportive Leading Decisive Functions of ICT Data registration Case assessment and virtual assembly line Execution, control, and external communication Human interference with individual cases Full Partial None Organizational backbone Case managers Production managers Systems designers Organizational boundaries Strict, with regard to other organizations Strict, both within and between organizations Fluid, both within and between organizations Legal regime Open, ample discretion, single legal framework Detailed, little discretion, single legal framework Detailed, no executive discretion, exchange between legal domains Source: Bovens and Zouridis (2002). 1060 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection The initial and most common level of implementation of a public policy occurs on the street level, which according to the conception of Lipsky (2019), has great discretion, even though it is limited by norms and supervision. In addition, it has a certain autonomy, and therefore can generate some inconformity. 5. STREET, SCREEN AND SYSTEM LEVEL BUREAUCRACY IN THE IMPLEMENTATION OF EMERGENCY AID At this level, ICT is usually used for support, with its main function being to load the data. Bovens and Zouridis (2002) observe an intermediate level between the street-level bureaucracy and the system level, which they call screen-level bureaucracy. On this level, there is a preponderance of limiting the street-level bureaucrats through the use of software. Unlike the initial stage in which the public agent has a large degree of discretion and autonomy, the screen level is the system which conducts the process, limiting the actions of the agents. Finally, the most technological implementation level is the system-level bureaucracy. On this level, the citizen interacts directly with the software, eliminating direct human interference. The ICT assumes the role of execution, and situations which are not foreseen in the programming will require system updates to handle them. According to this logic, the implementation of Emergency Aid is clearly realized by the system- level bureaucracy, because through the arrangement established by the MC, it was possible to connect with actors such as Dataprev and CEF, which made the use of instruments such as the CNIS, CPF, and Cadastro Único databases, among others, to make the necessary verifications of the requirements for conceding the benefit viable. The argument of Bovens and Zouridis (2002) is that, with the use of ICT, there has been a structural change in various executive public agencies and that due to this, the implementation of the law can be improved with almost all decisions pre-programmed with algorithms and decision trees. The intensive use of technology to implement this Emergency Aid was possible due to the capacities constructed by the quick mobilization of knowledge, institutions and organizations (Skocpol & Finegold, 1982 as cited by Souza, 2017). Another characteristic of system-level bureaucracy pointed out by Bovens and Zouridis (2002) is that it is only when the citizen complaint that the specialized employee is put into action – for example, a dispute or an administrative appeal. Within this context, the Emergency Aid still does not have the structure to receive or judge an administrative appeal, as foreseen in article 56 of Law 9784 of 1999, this being one of the gaps that needs to be filled. 5. STREET, SCREEN AND SYSTEM LEVEL BUREAUCRACY IN THE IMPLEMENTATION OF EMERGENCY AID h Thus, with most cases being treated in a computerized manner, through the cross-referencing of information, the role that remains for street-level bureaucrats is to deal with the remaining cases and the realignment of information with the database based on their interpretation of policy implementation. This realignment is essential so that adjustments and increments in the utilized instruments may be made. BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 6. CONCLUSION As we have seen, the implementation (still underway) of the Emergency Aid was possible to be made by a group of factors which allowed for a quick response to the challenge of providing income to citizens who cannot work due to restrictive measures and social distancing. The main highlighted factors are: the leading role of the MC; the previous existence of public action instruments, with databases and information on low income Brazilian families (Cadastro BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1061 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection Único); the existence of a conditional cash transfer program (PBF); the existing arrangement for the operationalization of these programs (relationship with the CEF); and the recent arrangement for the improvement of the Cadastro Único database (relationship with Dataprev). Other important and innovative factors in the implementation of Emergency Aid have been: the creation of remote request solutions; such as apps, website, and the creation of ‘Digital Social Savings Account’ (Poupança Social Digital), which have been adopted with the objective of avoiding crowds, collaborating with social distancing measures. However, as we have seen, these items have not been enough by themselves. Due to many beneficiaries having the financial habit of using cash (more than 59 million people), the digital solutions and the concentration on cash withdrawals within a single paying agent, have proved to be insufficient, generating lines and crowds in the CEF branches, which is a reason why solutions could have been thought up, such as utilizing a consortium of banks or including micro-finance institutions, following the argument that ‘an inclusive financial system should include many other actors’ (Gonzalez, Diniz, & Pozzebon, 2015). Even so, it is possible to say that Digital Social Savings Account has the potential to be one of the instruments for the financial inclusion of citizens. The concept of public policy has acquired a new face through the intensive use of information and communications technology firms, as we have verified through the arrangement led by MC, with the participation of CEF and Dataprev, having been the great differential in the implementation of the Emergency Aid. One concern raised by Bovens and Zouridis (2002), however, is pertinent to this case under analysis. BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 REFERENCES Ansiliero, G., Costanzi, R. N., & Fernandes, A. Z. (2020). Análise descritiva das políticas públicas de inclusão previdenciária dos trabalhadores autônomos: o plano simplificado de previdência social e o microempreendedor individual. (Texto para Discussão nº 2546). Rio de Janeiro, RJ: Ipea. Howlett, M., Ramesh, M., & Perl, A. (2013). Política pública: seus ciclos e subsistemas: uma abordagem integral. São Paulo, SP: Campus. Barros, R. P., Carvalho, M., & Mendonça, R. (2009). Sobre as utilidades do Cadastro Único. (Texto para Discussão nº 1414). Rio de Janeiro, RJ: Ipea. Lascoumes, P., & Le Galès, P. (2012). A ação pública abordada pelos seus instrumentos. Revista Pós Ciências Sociais, 9(18). Retrieved from http://www. periodicoseletronicos.ufma.br/index.php/rpcsoc/ article/view/1331/1048 Banco Central do Brasil. (2017). Relatório de Cidadania Financeira. Brasília, DF. Retrieved from https://www.bcb.gov.br/nor/relcidfin/cap01.html Banco Central do Brasil. (2018). O brasileiro e sua relação com o dinheiro. Brasília, DF. Retrieved from https://www.bcb.gov.br/content/cedulasemoedas/ pesquisabrasileirodinheiro/Apresentacao_ brasileiro_relacao_dinheiro_2018.pdf Lima, L. L., & D’Ascenzi, L. (2013). Implementação de políticas públicas: perspectivas analíticas. Revista de sociologia e política, 21(48), 101-110. Lipsky, M. (2019). Burocracia em nível de rua: dilemas do indivíduo nos serviços públicos. Brasília, DF: Enap. Bovens, M., & Zouridis, S. (2002). From street‐level to system‐level bureaucracies: how information and communication technology is transforming administrative discretion and constitutional control. Public Administration Review, 62(2), 174-184. Lotta, G., & Favareto, A. (2016). Desafios da integração nos novos arranjos institucionais de políticas públicas no Brasil. Revista de Sociologia e Política, 24(57), 49-65. Centro Regional de Estudos para o Desenvolvimento da Sociedade da Informação. (2019). Domicílios, T.I.C. 2019. São Paulo, SP: Author. Retrieved from https://www.cetic.br/pt/pesquisa/domicilios/ indicadores/ Pires, R. (2016). Intersetorialidade, arranjos institucionais e instrumentos da ação pública. Cadernos de Estudos Desenvolvimento Social em Debate, 26, 67-80. Roa, M. J. (2015). Financial inclusion in Latin America and the Caribbean: access, usage and quality. México, DF: Center for Latin America Monetary Studies. Gomide, A., & Pires, R. (2014). Capacidades estatais e democracia: arranjos institucionais de políticas públicas. Brasília, DF: Ipea. Souza, C. (2017). Modernização do Estado e construção de capacidade burocrática para a implementação de políticas federalizadas. Revista de Administração Pública, 51(1), 27-45. Retrieved from https://doi.org/10.1590/0034-7612150933 Gonzalez, L., Diniz, E. H., & Pozzebon, M. (2015). The value of proximity finance: how the traditional banking system can contribute to microfinance. Innovations: Technology, Governance, Globalization, 10(1-2), 125-137. 6. CONCLUSION If on one hand, we can celebrate the reduction in arbitrary power in the implementation of rules by street-level bureaucrats, the system-level bureaucracy presents a concern with the possibility that these actors can exercise discretionary power in selecting criteria and constructing information system rules. In other words, independent of their level, these actors wield discretion over people, and their choices can affect the implementation of a public policy. h f There are also concerns regarding not only the implementation of Emergency Aid, but also other public policies which are going through a digital transformation, such as: the challenges of the digital and financial inclusion of citizens; the need to open channels where the citizen can appeal decisions as envisaged by the Administrative Process Law; and the strengthening of protest mechanisms, so that it will be possible to point out inconsistencies, difficulties and other situations which have not been previously planned for by these systems. These mechanisms are vital to realigning system-level bureaucracy and improving the rules of information systems, and promoting a debate which results in the formation of an agenda to discuss legislative increments or reformulations, and also contributes to accountability. One suggestion for further research on the implementation of Emergency Aid is related to the identification of ‘invisible’ citizens, those who have been identified just because of the gravity of the pandemic. Finally, public policies, and especially those which seek to provide economic help at times of emergency, need to be compatible with the realities of their citizens. If, in part the digital evolution promoted by the federal government can be celebrated by some, the design of these policies also needs to envision more traditional doors for those who have difficulties in gaining access and for those who are denied access entirely. BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1062 RAP | The Implementation of Emergency Aid as an exceptional measure of social protection Grupo de Trabalho para Aperfeiçoamento do Processo de Averiguação Cadastral do Cadastro Único para Programas Sociais do Governo Federal. (2019). Relatório final. Brasília, DF. Retrieved from https://aplicacoes.mds.gov.br/sagirmps/ ferramentas/docs/Relato%CC%81rio%20GT%20 cadastro%20%C3%BAnico.pdf Grupo de Trabalho para Aperfeiçoamento do Processo de Averiguação Cadastral do Cadastro Único para Programas Sociais do Governo Federal. (2019). Relatório final. Brasília, DF. Retrieved from https://aplicacoes.mds.gov.br/sagirmps/ ferramentas/docs/Relato%CC%81rio%20GT%20 cadastro%20%C3%BAnico.pdf Bruno Baranda Cardoso https://orcid.org/0000-0001-6122-5092 Master’s Student in Public Policy and Development at the Institute of Applied Economic Research (IPEA); Specialist in Public Management at the National School of Public Administration (ENAP); Director of the Department of Training and Dissemination of the Secretariat of Information Evaluation and Management of the Ministry of Citizenship (DFD/SAGI/MC). E-mail: brunobaranda@gmail.com https://orcid.org/0000-0001-6122-5092 BRAZILIAN JOURNAL OF PUBLIC ADMINISTRATION | Rio de Janeiro 54(4):1052-1063, July – Aug. 2020 1063 1063
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Ultra High Performance Concrete - A Technical Study
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Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac ac ABSTRACT The obligations imposed on the construction sector enhanced awareness of various concrete difficulties. These problems include the unevenness and instability of the matrix, as well as its poor durability, high weight-to-strength ratio, low ductility, and low tensile to compressive strength ratio. In 1994, employing an optimum particle size distribution of cement in combination with fine and ultrafine particles was discovered to enhance the compressive strength of concrete to higher than 120 MPa by increasing the compactness of cementitious matrix can increase the compressive strength of concrete elements. The resulting concrete is known as ultra-high strength concrete, and it is distinguished for its great durability, self- compatibility, and high strength. The concept of UHPC was first introduced by Larrard in 1994. This technique has enabled the construction of concrete structures that are lighter, larger, or have a greater span than conventional designs. It is a potential construction material for future sustainable and resilient infrastructure. This technology's primary principle is the use of methodical remedies to get beyond the inherent problems with traditional concrete. INTRODUCTION reducing the water to cement ratio alone is insufficient to achieve the desired qualities. In addition, an optimized packing is required of fine and ultrafine particles; the size distribution, as well as the shape and texture quality of these particles must all be carefully controlled. Recently, many researchers have employed new raw green materials and innovative technologies to address the related challenges and broaden the use of this advanced fibrous concrete composite while retaining its outstanding short-term and long-term durability features. By the turn of this century, an amazing advanced development in concrete was accomplished by applying ultra-high- performance concrete technology, known by the acronym, UHPC. In spite of the previous improvements, still there was a need for: (a) concrete with higher strength; (b) a solution to stop the penetration of Chloride ions and other harmful materials into the concrete which would lead to iron rebar corrosion and poor concrete durability; and (c) alternative materials that could substitute Portland cement to reduce the CO2 emissions discharged into the atmosphere during cement production. In response, a new concrete technique known as Ultra-High-Performance Concrete, or UHPC, was created that could satisfy the required standards. Its creation is predicated on the knowledge that J Sreelakshmi 1, Jikhil Joseph 2* 1BTech Student, Dept of Civil Engineering , Govt Engineering College Thrissur 2Assistant Professor*, Dept of Civil Engineering , Govt Engineering College Thrissur J Sreelakshmi 1, Jikhil Joseph 2* 1BTech Student, Dept of Civil Engineering , Govt Engineering College Thrissur 2Assistant Professor*, Dept of Civil Engineering , Govt Engineering College Thrissur *Corresponding Author E-Mail Id:-jikhil@gectcr.ac.in *Corresponding Author E-Mail Id:-jikhil@gectcr.ac.in Ultra High Performance Concrete - A Technical Study J Sreelakshmi 1, Jikhil Joseph 2* 1BTech Student, Dept of Civil Engineering , Govt Engineering College Thrissur 2Assistant Professor*, Dept of Civil Engineering , Govt Engineering College Thrissur TESTING strength produced by such attacks by comparing the sample’s compressive strength after exposure to the attack to its original strength, thereby determining the sample resistance to chemical attacks. Immersing concrete samples in a sulphate/ chloride environment for 6–18 months, followed by expansion and mass loss tests, determines concrete’s capacity to withstand chemical assaults over time. Evaluation of chloride ion penetration is considered an essential test because it allows to determine concrete durability and concrete ability to resistance chemical attacks, thus determining the concrete’s service under harsh conditions. The colorimetric method, which is a simple and quick procedure, is employed in numerous studies. Although few studies utilize this method to determine the degree of chloride penetration, earlier research indicates three colorimetric methods that mostly use silver nitrate salt (AgNO3). This technique involves spraying a 0.1 mol/l solution of silver nitrate over the inner surface of the concrete to determine the chloride penetration depth. Spraying potassium chromate (K2CrO4) and silver nitrate (AgNO3) combined helps identify chloride-containing concrete. Spraying fluorescein/silver nitrate solution offers better and deeper results. Chemical assaults on UHPC may also be assessed by calculating the decline in compressive ac improved fibrous and cementitious concrete. It possesses three to sixteen times the compressive strength of ordinary concrete and 300 times the ductility and energy absorption of high-performance concrete (HPC). It is produced with a low water/cement (w/c) ratio, which ranges between 0.15 and 0.25. It is commonly composed of Portland cement, fine aggregate, SF, a water-reducing additive with a high range of effectiveness, and fibres. The higher performance properties of UHPC are the result of upgraded mineral matrix microstructural features and optimization of the bonding between concrete matrix components. The mechanical properties of UHPC makes it a perfect material for applications where strength is a primary design criterion and concrete structural element sizes can be lowered to make them smaller, thinner, and more aesthetically acceptable. Fig.1:-Composition of UHPC Fig.1:-Composition of UHPC PROPERTIES With high compressive strength (120–250 MPa), particle packing density (0.825– 0.855), tensile strength (15–20 MPa), and exceptional durability, ultra-high performance concrete (UHPC) is an HBRP Publication Page 32-42 2023. All Rights Reserved Page 32 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac ac in outdoor or extreme environment exposure situations. It exhibits better ductile behaviour, with a high capacity to distort and support tensile and flexural loads even after early cracking patterns. UHPC is also a desirable choice for bridge construction in high-traffic areas as it provides long and stronger spans and thus creates additional space available for use. UHPC is often regarded as the material of choice when it comes to seismic design reasons. UHPC is a feasible option for enhancing the long-term viability of buildings and infrastructure facilities. UHPC may also be more sustainable because the higher concrete durability allows for reduced maintenance. It can be used as granular or recycled numerous times for the building of roadways. Because not all of the cement in UHPC is hydrated during the hardening process, the unhydrated cement is available for subsequent reactions, leading to this recyclability. The combination of these characteristics, which results in a thick, homogeneous matrix with extremely low porosity, gives UHPC exceptional durability in terms of carbonation, corrosion, and transport abilities. reinforcement. Due to its high dynamic modulus value, high bond strength capacity, and better bond durability in comparison to other forms of concrete, RPC has been shown in experimental research to have outstanding repair and retrofit potentials for compressive and flexural strengthening. Based on the aforementioned studies and reports, UHPC is considered an outstanding material for use in outdoor or severely exposed environments because of its great durability and resistance to chemical attacks. ADVANTAGES The UHPC matrix's density has been increased. This calls for the removal of coarse aggregates and the distribution of ultrafine particles at the microstructure level to fill the spaces between bigger particles. Enhancing the UHPC packing mechanism would undoubtedly boost the strength, durability, and overall effectiveness of UHPC concrete. It is appropriate for concrete structures subject to hostile conditions. The superior durability and longevity of UHPC increase service life and reduce maintenance cycles HBRP Publication Page 32-42 2023. All Rights Reserved Page 33 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac RECENT DEVELOPMENTS With the continuous related research, UHPCs are being used in a growing number of applications because of their superior performance and the diversity of relevant additives that may be employed to improve UHPC parameters and overcome UHPC shortage. The worldwide UHPC market size was evaluated at $892 million in 2016 and is anticipated to rise by 8.6% to $1,867.3 million by 2025, according to a market study by concrete. The UHPC market has drawn attention from around the world in a number of countries, including Austria, Australia, New Zealand, and South Korea. German, Italian, French, Canadian, Japanese, Malaysian, Dutch, Slovenian, and American countries. Recent developments at UHPC have led to increased interest in the company’s architectural components, namely sunshades, cladding, and roof components. Due to developments in UHPC technology, office floors may now have column-free bays of 18.5 m by 18.5 m, allowing for more layout and interior design flexibility. With long-span, residential multi-story structures may feature column-free parking on the lower levels, improving space utilisation and occupant safety. To achieve UHPC with super strength properties, high durability, and more sustainability, several factors should be considered such as removing coarse aggregate of more than 5 mm, minimizing w/c ratio via superplasticizers, and substituting OPC with a number of other possibilities of supplementary cementitious materials (SCMs), such as ground granulated blast furnace slag (GGBS), fly ash (FA), metakaolin (MK), rice husk ash (RHA). Removing the larger coarse aggregate and lowering the w/c ratio result in a more compacted matrix and homogeneous microstructure. Several investigations recently show that incorporating fibres into UHPC improves several strength indices, including flexibility and ductility. Recent research advocate lowering SCM particle size to boost pozzolanic reactivity. Nano silica 100 nm or less is stronger than micro silica in UHPC systems Using DSP and MDF as components, paste/concrete creation is one method of enhancing UHPCs' strength characteristics. The compressive strengths of concrete made with DSP paste and concrete vary from 120 to 270 MPa, while the compressive strengths of concrete made with MDF paste and concrete are larger than 200 MPa. Two distinct techniques are also introduced in previous studies aimed at developing the optimal UHPC mix design. The first strategy is “densified tiny particles,” and it refers to developing a Several investigations recently show that incorporating fibres into UHPC improves several strength indices, including flexibility and ductility. ac outside service loads. This is the case even when unharmed UHPC is in good condition. granular matrix with a compressive strength of 150–200 MPa. This strategy is based on the inclusion of mineral additives and fibres, leading to low porosity. The matrix-free macro flaws are discussed in the second strategy. In order to reduce the number of pores, this method considers mixing in a modified polymer. This sort of concrete mix becomes vulnerable to water intrusion and creep because the polymer hardens over time. Despite the fact that both methods produce a compact and brittle material, research on the first approach is still ongoing. Despite UHPC’s advantages, its advantages, widespread application in construction is limited by a lack of design guidelines and requirements for predicting performance and the need for unique batching, mixing, and curing. It is typically successful at a laboratory scale, but the mixing difficulties increase dramatically for large-scale operations, which may result in the mixer malfunctioning. The volume production of the batch is thus limited. In addition, because of the high volume of SCMs and the low w/c ratio of UHPC, the value of drying shrinkage is over 800 με. Besides, under restricted conditions, UHPC structures are in danger of cracking and/or delamination. As a result, despite the fact that high-strength steel fibres are capable of good ductility and flexibility for UHPC, the cost of high-strength steel fibres accounts for around 35% of total manufacturing costs. However, it is difficult to decrease the percentage of steel fibre content while maintaining or improving flexural and tensile performance. This is because of the difficulty in achieving this balance. Additionally, despite the fact that unharmed UHPC has outstanding durability, fractures are inevitable in UHPC buildings that are exposed to Due to its low permeability and reduced w/c ratio, UPHC exhibits exceptional carbonation resistance. Although UHPC’s cement content is twice that of typical concrete, only 44 % of UHPC is needed for a broad column. Up to 70% of the weight of an identical building made with conventional or prestressed reinforced concrete (RC) components can be saved by using UHPC. Due to its ability to reduce maintenance costs and carbon impact, UHPC structures are sustainable. In addition, most UHPC bridges are more durable than conventional RC bridges and have a more appealing look, lower volume, and self-weight. As a consequence of its strong chloride resistance and long lifespan, UHPC is considered to be an alternative for preventing the corrosion of HBRP Publication Page 32-42 2023. All Rights Reserved Page 34 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac RECENT DEVELOPMENTS The inclusion of fibre reinforcement may greatly enhance the flexural, tensile, and shear strengths of UHPC, hence improving its ductile behaviour under tension. Additionally, the steel bars may have a significant quantity of steel fibres will ultimately result in a HBRP Publication Page 32-42 2023. All Rights Reserved Page 35 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac ac reinforced concrete building that is both strong and lightweight. reinforced concrete building that is both strong and lightweight. change while producing economically viable and more durable products. The CCS separates and stores CO2 from industrial waste gases in two stages. Geological locations such as saline aquifers, impermeable rock formations, exhausted oil and gas fields, and deep coal seams are often used for CO2 storage. However, the efficacy of this technique is limited because of the high initial expenditures, undetermined prospective storage capacity, unexpected long-term implications and stability of the store, rising public resistance to this plan, high energy prices, and the related indirect repercussions. Minerals may also be carbonated using another method. It involves a more expedited type of weathering naturally occurring silicate rocks that are abundant in calcium and magnesium. These rocks have the ability to trap CO2, and as a result, they generate carbonates that are stable and useful. In the case of partially replacing OPC with RHA in a UHPC mix, the Ca(OH)2 content is reduced by 45 % after 28 days and 65 % after 91 days. However, the calcium hydroxide content is reduced by up to 70% after 28 days and by 90% after 91 days when SF is used. SF has a stronger capacity to reduce Ca(OH)2 at later ages compared to RHA. The CH concentration in UHPC is typically low due to the consumption of CH by highly reactive SF during pozzolanic reaction. Because of its deep microstructure, UHPC is resistant to carbonation, making it ideal for capturing CO2. Increasingly, researchers throughout the globe are studying how to make UHPCs while simultaneously reducing their carbon footprint and up-front material costs. environmental effect of UHPC may be reduced by optimizing the addition binder and curing strategies. RECENT DEVELOPMENTS To accomplish this, several methods are used, including: (1) using fillers and a significant amount of SCMs to reduce the amount of cement in the mixture (850 kg/m3); (2) reducing the amount of binder in the mixture (1200 kg/m3); (3) substituting quartz sand or regular concrete sand for finely ground quartz sand; (4) using hybrid fibre systems; and (5) using standardised curing in place of heat curing for less energy consumption. By reducing production costs, these initiatives increase the marketability and use of UHPC system. Geological storage is limited by its high cost and unreliability. The cost of the mineral carbonation approach is increased since reactions take place at high temperatures, under high pressure, and/or after undergoing chemical treatment. An alternative and sustainable solution for capturing CO2 is via concrete, which is becoming known as CO2-based concrete. Concrete has the ability to store CO2 emitted by cement manufacturing plants. Instead of transferring CO2 to remote geological storage (often depleted oil and gas reservoirs), CO2 captured from cement factories can be injected into concrete systems, where it combines with free calcium ions to produce calcium carbonate (CaCO3). CO2 Concrete By subjecting new UHPC mix to pressured carbon curing, it is possible to store up to 80 kg of extra CO2 every litre of UHPC. Calculating CO2 absorption using DOC values shows that carbon cured materials absorb more CO2. I dditi th hi h t t t f In addition, the high cement content of UHPC contributes to its expensiveness as well as its significant carbon impact. CO2 Concrete CO2 Concrete Although concrete contributes up to 8 % of CO2 emissions, global urbanization, economic expansion, and infrastructure development in many developing nations continue to drive demand for concrete. CO2 capture through emission reductions and the use of green raw materials provide the combined benefit of addressing climate The market for CO2-based concrete may quadruple by 2025 (from $50 billion to $200 billion), increasing CO2 reduction by 15 times (from 0.2 billion tonnes to 0.7 billion tonnes). Similarly, actions that are both purposeful and timely have the HBRP Publication Page 32-42 2023. All Rights Reserved Page 36 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac in the pore solution, CO2 may react with calcium-rich hydration products like Portlandite (CH) and C–S–H to create CaCO3. This reaction takes place in the presence of CO2. potential to have a major influence on the size of the market as well as the capacity to minimize CO2 emissions for goods that are based on CO2. In addition to mineral ions like Ca2+ and Mg2+ that are dissolved Fig.2:-Emission sources for CO2 technologies Fig.2:-Emission sources for CO2 technologies operate as weak spots within the concrete matrix, leading to an unhomogeneous microstructure and poor strength performance. In terms of lowering carbon emissions, GGBS is a great SCM and an alternative to cement; nevertheless, because to its latent pozzolanic reactivity, it exhibits a slowdown in early-age strength. In this sense, while retaining a high GGBS content, autoclaving can increase compressive strength to more than 250 MPa. It is also being investigated if GGBS and slag from electric-arc furnaces may substitute cement and fine aggregate. Strategies for capturing CO2 in concrete include the carbonation of component minerals, the sequestration of hydrated carbon, and rapid carbonation during the carbon curing process. Mineral carbonation accounts for the majority of CCS production. By subjecting new UHPC mix to pressured carbon curing, it is possible to store up to 80 kg of extra CO2 every litre of UHPC. Calculating CO2 absorption using DOC values shows that carbon cured materials absorb more CO2. Strategies for capturing CO2 in concrete include the carbonation of component minerals, the sequestration of hydrated carbon, and rapid carbonation during the carbon curing process. Mineral carbonation accounts for the majority of CCS production. Sustainability UHPC h th UHPC has the potential to be a sustainable material because of its increased durability, ecological qualities, economic advantages, and recyclability in a wide variety of contexts. Environmental concerns such as climate change and depletion of natural resources are increasing dramatically because of the increase in non-environmentally friendly activities. As a result, the focus on sustainability aspects in the construction However, by using different materials in place of cement, either one or both of these costs may be reduced. In UHPCs, the degree of hydration (DOH) of cement is roughly 40 %. The replacement of cement with other materials in an effort to increase the DOH is a challenging problem because to the possibility of a decrease in mechanical strength. Due to their lower pozzolanic reactivity than cement particles, unreacted SCMs particles might HBRP Publication Page 32-42 2023. All Rights Reserved Page 37 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac UHPC and timber are evaluated. The UHPC component of the bridge deck may be maintenance-free for 100 years (or more), resulting in extremely low annual CO2 emissions because of reduced maintenance works and a smaller overall amount of material used in the design. In addition, a number of earlier studies concluded that the UHPC has a less impact on the ozone layer, a lower potential to cause damage to the environment, and generates a smaller amount of emissions of greenhouse gases. UHPC uses 50 % less energy than NSC. UHPC has increased durability, ecological aspects, economic advantages, and recycle-ability in many applications, which may minimize energy consumption and maintenance labour compared to NSC. UHPC and timber are evaluated. The UHPC component of the bridge deck may be maintenance-free for 100 years (or more), resulting in extremely low annual CO2 emissions because of reduced maintenance works and a smaller overall amount of material used in the design. UHPC and timber are evaluated. The UHPC component of the bridge deck may be maintenance-free for 100 years (or more), resulting in extremely low annual CO2 emissions because of reduced maintenance works and a smaller overall amount of material used in the design. sector, such as the recycled or recyclable materials has become more urgent. Recycled materials are usually referred to as “green materials” because they consume less energy and enable manufacturing of high-performance, eco-friendly cement and concrete. Sustainability UHPC h th For many buildings, using UHPC may minimize the quantity of construction materials required. UHPC has a larger cement content per cubic yard than conventional concrete, although structural parts frequently need less material. Therefore, the total quantity of cement used for UHPC design solutions is equivalent to or less than conventional concrete. In addition, a number of earlier studies concluded that the UHPC has a less impact on the ozone layer, a lower potential to cause damage to the environment, and generates a smaller amount of emissions of greenhouse gases. UHPC uses 50 % less energy than NSC. UHPC has increased durability, ecological aspects, economic advantages, and recycle-ability in many applications, which may minimize energy consumption and maintenance labour compared to NSC. Due to its capacity to tolerate violent and severe environments, sustainable UHPC is an effective way to boost building sustainability. According to the carbon footprint assessment of UHPC with dehydrated cementitious powder (DCP), the developed UHPC is considered a sustainable and clean product. Another step towards sustainability and a means of fulfilling sustainability regulations that various government bodies may soon adopt is the substitution of alternative mineral components and powders for cement in concrete applications. Furthermore, a very low water content can be employed in UHPC combinations, and it can reach 0.08 %. The optimal w/c ratio for UHPCs is between 0.20 and 0.13, where part of the cement used with mixing water hydrates and the rest is replaced by QP and other pozzolanic materials. Due to the decreased water content, a significant amount of the cement used is left unreacted; a portion of the cement is replaced with QP and other SCMs with pozzolanic qualities, such as recyclable trash and industrial byproducts. In UHPC mixes, these SCMs can be used in considerable concentrations. These pozzolanic materials have substantial environmental advantages over cement as well. p Fly ashes, which are utilized in UHPC, are by-products of the power sector and weigh lighter compared with the OPC. Therefore, the UHPC containing by-products such as fly ash is a step toward sustainability because it uses material that would otherwise be discarded. For instance, reducing the contamination of soil, groundwater, and dust can result in a sustainable UHPC with excellent strength properties and great durability. A large amount of SCMs decreases hydration temperature, microstructure thickness, and carbonation resistance; it also reduces unit cost per compressive strength. Strength Despite UHPC’s ultra-high strength, this concrete remains a fragile material when subjected to overbearing or dynamic loads. Rebars are used to provide it the right amount of ductility, allowing it can support a range of loads. Rebars and UHPC can be used to create a composite section that minimises the concrete sections and lowers total construction costs. Sustainability UHPC h th A high Early studies demonstrate that utilizing UHPC instead of standard strength concrete in bridge design has environmental benefits. The life-cost assessment and energy consumption of an innovative bridge design that use both HBRP Publication Page 32-42 2023. All Rights Reserved Page 38 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac ac replacement volume of FA up to 60 % is examined as a substitute to cement. may be used to minimize the void ratio in UHPC. The penetration of chloride into concrete made from three different types of cement, including blast furnace cement CEM III/A and sulphate cement, was also studied. FA, SRC, and OPC. The findings of a quick chloride penetration test using ASTM C1202 reveal that concrete made from blast furnace cement is superior than concrete made from any of the other two types of cement in terms of its resistance to chloride penetration. Also discussed is concrete’s carbonation process. CO2 from the atmosphere combines with Ca(OH)2 to make CaCO3. This reaction lowers pH from 12 to 13 to 7. The steel’s protective layer collapses as the acidity of the concrete around it rises. Concrete’s electrical conductivity rises, causing corrosion. To avoid this, replace a large amount of the cement in UHPC with other SCMs. Due to the consumption of Ca(OH)2 by pozzolanic processes, cementitious gels like CSH and SASH gel are produced in greater and stronger quantities, decreasing concrete permeability and preventing CO2 from travelling through the structure. Using segmented components of bridge structures made of ultrahigh-performance fiber-reinforced concrete (UHPFRC) and prefabricated segmental bridge columns (PSBCs) improved seismic performance in terms of energy dissipation capacity, dynamic behaviours, and impact resistance. APPLICATIONS New building construction, structural strengthening, retrofitting, precast components, and other unique applications use UHPC. UHPC is widely utilized in bridge structures, comprising cast in-situ connections, columns, long-lasting bridge girders and decks. Due to its excellent mechanical qualities and advantageous long-term performance, UHPC is widely employed in domestic and worldwide construction industries, notably in high- rise buildings, long-span precast or prestressed bridge girders, and maritime, aviation, and military construction applications. Investigations of UHPC structures exposed to chlorides are also conducted. Strong resistance to chloride penetration and, eventually, great resistance to steel reinforcement corrosion are the results of the UHPC structure's low permeability and low void ratio. Several research have looked at the impact of replacing cement content to resist chloride penetration with FA, RHA, and other SCMs. According to studies, using cement in place of 30% FA increases chloride penetration resistance by 8%. In 2003, the 50-meter-high Sakata Mirai pedestrian bridge in Japan was completed with UHPC. The bridge demonstrates how the perforated mesh in the UHPC superstructure can reduce the weight of the structure and exhibit unique and attractive aesthetic features. Mixed cement, which comprises by- product materials, is also explored, and it HBRP Publication Page 32-42 2023. All Rights Reserved Page 39 ac Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac Fig.3:-Sakata-Mirai bridge, Sakata, Japan Fig.3:-Sakata-Mirai bridge, Sakata, Japan strain rates, as well as penetration resistance and blast resistance. Acoustic panels, like those used in Monaco's underground railway station, are made using UHPC. UHPC panels include microscopic holes throughout them that produce an atmosphere that is not only visually pleasing but also bright. Other benefits of UHPC are that it is lightweight, impact-resistant, and non-combustible. Because of its resistance to the pollution caused by automobiles and the de-icing salts used in the area, acoustic panels made with UHPC were also erected beside a highway in Chatellerault, France. The Tokyo International Airport was the location of the construction of the world’s first segmental UHPC composite deck road bridge in 2008, which is considered the longest road bridge constructed with UHPC in the world. In 2014, the Westminster Drive Bridge project in Canada was completed using longitudinal joints to link superstructure components. ac ac UHPC was used in the construction of high-speed railway cover plates in China, the renovation of nuclear reactor containment walls, and the building of the Beaucaire and Caderousse Dams in France. The usage of analogous technologies may now be advantageous for other deteriorating projects because these materials have been so effective in repair and rehabilitation applications. The hydraulic infrastructure of the Hosokawa River Tunnel and the UHPC slab erected above water at Haneda Airport in Japan were both repaired and restored with the help of UHPC. LRT station in Canada, which has this material. One example of a similar use may be found at a French waste-water treatment facility, which uses precast thin curve shells; the roofs of the Jean Bouin stadium in Paris and the Olympic Museum in Lausanne, Switzerland; the cladding for the Qatar National Museum; and the façade at Terminal 1 of Rabat Airport in Morocco. Due to the increased costs associated with rehabilitation and reinforcement processes, repairing and strengthening failing concrete structures is a significant socioeconomic burden. UHPC is used in marine areas as well because of how well it resists harmful pollutants. There are cases when the employment of UHPC in marine projects produces positive results. This is because UHPC has less permeability than normal concrete, which can prevent the infiltration of dangerous chemicals and, in turn, considerably boost the durability of composite parts. In the past, places near to the beach were where chloride-induced corrosion was most dangerous to RC structures. Other uses for UHPC include the construction, overlaying, maintenance, and reinforcement of marine infrastructure like piers and oil platforms. It is necessary to develop fresh concepts for restoring concrete structures. Future concrete projects will simply require preventative maintenance, with no or little service interruptions, to maintain their long-term viability. UHPC is commonly used as an overlay to restore ancient concrete structures due to its excellent characterisation, which enhances the mechanical and longevity properties of the structure while needing less maintenance. On a bridge in Switzerland that spans the La Morge River, UHPC overlay was first used. UHPC was utilised in the project to rebuild the severely damaged bridge deck and curbing. APPLICATIONS In 2017, the Kampung Kampung Teluk Bridge (420 m long) held the world record for the longest multiple-span road bridge superstructure built with UHPC precast girders. The bridge super-structure is made up of 20 precast UHPC U-beams. Future tunnels, wind turbine towers, and nuclear power plants may use UHPC. UHPC’s ability to reduce structural element thickness helps build more efficient tunnel systems with larger equipment areas. Similarly, the use of UHPC components allows for the building of wind turbine towers that are both higher and slenderer, which results in an increase in the amount of energy that can be generated. UHPC is the perfect material for usage in nuclear power plants since it has superior radiation shielding capabilities and stronger blast durability than other materials. This increases the amount of security provided for crucial infrastructure. p p In 2013, the building of 55 UHPC bridges in the United States and Canada started, some of which are still under construction as well as approximately 22 UHPC bridges in Europe and 27 in Asia and Australia. Girders, deck panels, protective overlays, and connections between components are all possible uses for ultra-high- performance composites (UHPC). The UHPC has the potential to be utilised in barrier protection system deployment or as a significant part of vital infrastructure in structures like buildings, bridges, and other types of security infrastructure. Massive amounts of research are being done on the mechanical characteristics of UHPC that have been exposed to high UHPC may also be used for roofs and canopies, as is shown by the Shawnessy HBRP Publication Page 32-42 2023. All Rights Reserved Page 40 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac ac the most cutting-edge cementing material technologies. the most cutting-edge cementing material technologies. providing concrete industry professionals with hands-on experience so they are knowledgeable in the use of advanced concrete technologies since they lack relevant industry experience. UHPC with superior mechanical and durability features as well as sustainability may be manufactured by enhancing uniformity and packing density. With this technology, building structures that are lighter, bigger, or have a greater span than traditional designs is now feasible. Thanks to its unique workability, new concrete may be cast in irregular or extremely thin shapes to create structures with an aesthetically pleasing look or exceptional polish. However, the usage of UHPC in construction is constrained since it is not economically feasible to replace regular concrete in the majority of applications. Significant expense of some composite materials (e.g., steel fibres might cost more than the remaining matrix elements combined), maintenance costs, and non- adherence to conventional design criteria are economic factors. CONCLUSION The placed prefabricated UHPC curb has no fractures after one year of service. UHPC is suited for both new construction and the rehabilitation and retrofitting of RC structures because to its low porosity and high level of durability. This critical review has reported up-to-date development trends of UHPC, exploring that UHPC possesses an incredible set of capabilities that were previously unimaginable. UHPC achieved much greater strength and durability capabilities than other equivalent concrete grades as a result of a large reduction in the volume and size of pores. As a result, UHPC has a long lifespan due to its capacity to withstand the test of time. Given the high level of emissions produced by concrete, the building sector plays a critical role in lowering these emissions. UHPC is one of Due to its exceptional qualities of having a dense microstructure and high flexural strength, UHPC has the potential to be employed in specific circumstances when a longer span length is needed. According to publications that have been publicly available, HBRP Publication Page 32-42 2023. All Rights Reserved Page 41 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 Journal of Advanced Cement & Concrete Technology Volume 6 Issue 2 ac ac REFERENCES 1. Amran, M., Huang, S. S., Onaizi, A. M., Makul, N., Abdelgader, H. S., & Ozbakkaloglu, T. (2022). Recent trends in ultra-high performance concrete (UHPC): Current status, challenges, and future prospects. Construction and Building Materials, 352, 129029. 2. Bajaber, M. A., & Hakeem, I. Y. (2021). UHPC evolution, development, and utilization in construction: A review. Journal of Materials Research and Technology, 10, 1058-1074. 3. Aïtcin, P.C., and D. Mitchell (2012). History and development of UHPC. PCI Journal 57:74-89. Consequently, a growing number of researchers, bridge, and engineers are becoming interested in the applications of UHSC. They acknowledge the material’s significant potential for application in bridge construction along with its limited use to date. However, several technological issues, such as restricted design codes and complex manufacturing and curing procedures, have yet to be overcome. 4. Russell, H. G., Graybeal, B. A., & Russell, H. G. (2013). Ultra-high performance concrete: A state-of-the- art report for the bridge community (No. FHWA-HRT-13- 060). United States. Federal Highway Administration. Office of Infrastructure Research and Development. 5. Li, V.C., et al. (2002). Mechanical behavior of engineered cementitious composites. Journal of Materials in Civil Engineering 14.3 (2002): 191- 201. 5. Li, V.C., et al. (2002). Mechanical behavior of engineered cementitious composites. Journal of Materials in Civil Engineering 14.3 (2002): 191- 201. To fully use UHPC’s enormous potential, the sector has to work more closely with academic institutions, governments, building owners, and end-users. UHPC experts confront extra difficulties in Page 42 HBRP Publication Page 32-42 2023. All Rights Reserved Page 42
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.. 11.2 11.5 | 17.4 19.6 | 19.5 19.2 24.2 33.2 34.3 35.6 42.9 49.8 5.0 5.7 6.2 | 14.1 | 16.9 20.0 25.6 29.8 42.0 52.7 59.9 71.6 93.0 100.6 Griechenland Irland Island 0.7 0.8 0.8 1.0 0.9 1.0 1.1 1.1 1.4 1.6 2.0 1.9 2.3 2.1 Italien 57.5 60.6 62.0 64.0 | 58.9 56.7 57.9 60.1 71.6 84.7 89.4 98.8 111.9 119.1 Japan 65.5 67.7 69.3 62.4 60.9 69.2 64.5 65.7 73.3 94.7 106.1 114.4 126.2 141.3 Kanada 26.1 29.2 31.6 33.9 36.1 40.2 38.8 40.4 44.1 50.3 55.8 60.5 64.8 66.0 Korea 22.8 23.4 26.3 25.6 26.5 30.5 29.1 28.4 33.0 41.9 45.1 49.9 63.3 76.0 Luxemburg 10.7 12.0 12.7 14.2 | 16.9 20.0 19.8 20.5 25.4 33.9 40.9 50.7 65.4 70.8 18.0 Mexiko 9.7 10.6 11.1 11.5 11.7 13.7 12.7 12.7 12.5 14.0 16.1 16.2 17.5 Neuseeland 4.5 4.7 4.2 3.8 4.3 4.4 4.4 5.4 6.8 8.2 8.7 8.1 9.4 8.9 Niederlande 45.9 47.2 49.0 49.7 | 52.1 49.3 51.3 56.0 63.2 73.7 80.1 84.7 96.4 105.2 44.8 Norwegen 13.7 14.8 15.7 15.5 16.4 17.8 18.4 19.4 21.7 25.2 29.9 33.2 40.4 Österreich 24.3 24.6 21.9 23.2 23.5 23.1 24.0 25.9 32.5 37.9 42.4 45.6 54.3 62.0 Polen 10.7 9.7 8.9 10.8 8.4 10.4 9.8 10.0 11.2 13.5 16.3 20.6 28.9 35.6 Portugal .. 7.9 7.7 8.8 | 9.3 9.0 9.4 10.3 12.3 14.7 15.2 18.4 23.2 26.2 Schweden 16.4 17.5 18.4 19.7 21.7 22.7 23.0 23.3 30.7 38.9 43.1 49.7 64.5 72.1 77.9 Schweiz 26.4 26.7 26.2 28.2 29.7 30.7 29.6 30.9 36.3 43.9 49.7 54.8 65.7 Slowak. Rep. 2.5 2.2 2.3 2.4 2.1 2.2 2.5 2.8 3.3 3.7 4.4 5.4 7.0 8.5 Spanien 40.3 44.5 43.9 48.4 | 52.5 52.6 55.8 59.9 74.2 86.2 94.8 106.4 127.6 142.6 22.1 Tschech. Rep. 6.7 8.2 7.2 7.6 7.1 6.9 7.1 7.1 7.8 9.6 11.8 13.9 16.8 Türkei 14.9 13.1 19.2 23.2 16.4 19.5 15.2 14.0 18.0 22.9 26.8 25.4 28.6 34.8 Ungarn 4.3 5.0 5.7 5.9 5.6 5.6 6.6 6.9 8.0 10.3 12.9 13.7 17.3 20.0 Ver. Königreich 84.5 96.5 107.4 114.7 123.8 124.0 126.4 141.0 167.2 206.9 216.7 247.1 301.4 312.9 Ver. Staaten 219.2 239.5 256.1 262.8 281.9 298.6 286.2 292.3 304.3 353.1 389.1 435.9 504.8 549.6 Euroraum .. .. 246.4 263.5 | 265.3 268.3 283.0 310.5 372.6 452.5 503.7 553.8 673.2 745.5 OECD insgesamt .. .. 996.8 | 1 043.4 | 1 083.4 1 129.1 | 1 132.4 1 200.1 | 1 381.8 1 656.7 1 823.4 2 035.7 2 386.4 2 652.9 Brasilien 6.1 4.7 6.0 7.6 7.2 9.5 9.3 9.6 10.4 12.6 16.0 19.5 24.0 30.5 Chile 3.3 3.6 3.9 4.0 3.9 4.1 4.1 4.4 5.1 6.0 7.1 7.8 8.8 10.8 China 19.1 20.6 24.6 23.9 26.2 30.4 33.3 39.7 46.7 62.4 74.4 92.0 122.0 147.1 Estland 0.9 1.1 1.3 1.5 1.5 1.5 1.6 1.7 2.2 2.8 3.2 3.5 4.4 5.2 Indien 6.9 7.5 9.1 11.7 14.5 16.7 17.3 19.5 23.9 38.3 52.6 69.7 86.9 103.1 15.2 Indonesien 5.5 6.6 6.9 4.5 4.6 5.2 5.5 6.7 5.3 12.0 12.9 11.5 12.5 Israel 8.0 8.3 9.2 10.1 12.3 15.4 12.9 12.2 13.7 16.0 17.4 19.2 21.1 24.1 Russ. Föderation 10.6 13.3 14.1 12.4 9.1 9.6 11.4 13.6 16.2 20.6 25.0 31.1 39.4 51.3 Slowenien 2.0 2.1 2.0 2.0 1.9 1.9 1.9 2.3 2.8 3.5 4.0 4.5 5.7 7.4 Südafrika 4.6 5.1 5.4 5.4 5.2 5.0 4.8 5.0 8.3 9.7 11.2 12.0 13.6 12.6 1 2 http://dx.doi.org/10.1787/824477670776 Relatives jährliches Wachstum der Dienstleistungsausfuhr Wachstum im Zeitraum 1998-2008, OECD insgesamt = 1.0 2.5 2.0 1.5 1.0 0.5 0.0 1 2 http://dx.doi.org/10.1787818537802643 DIE OECD IN ZAHLEN UND FAKTEN 2010 © OECD 2010 73 GLOBALISIERUNG • HANDEL HANDELSPARTNER Bei der Struktur des OECD-Warenhandels – Ursprung der Einfuhren und Bestimmung der Ausfuhren – hat sich in den vergangenen zehn Jahren ein bedeutender Wandel vollzogen. Er war die Folge der Veränderungen in der Verteilung des weltweiten Einkommens sowie der Globalisierung – vor allem der Verlagerung von Fertigungsaktivitäten aus OECD-Ländern in die übrige Welt. Definition Die hier dargestellten Daten geben einen Überblick über die gesamten Einfuhren und Ausfuhren der OECD-Länder und veranschaulichen den Warenhandel sowohl innerhalb des OECD-Raums als auch zwischen den OECD-Ländern und dem Rest der Welt. Die Definitionen der Warenein- und -ausfuhren sind unter „Internationaler Handel mit Gütern“ zu finden. Vergleichbarkeit Die OECD-Länder gehen bei der Erstellung ihrer Warenhandelsstatistiken von gemeinsamen Definitionen und Verfahren aus. Diese Statistiken sind also vergleichbar und qualitativ hochwertig. Die Beseitigung der Zollschranken infolge der Schaffung des europäischen Binnenmarkts hatte zur Folge, dass die EU-Länder gezwungen waren, zur Erfassung der Handelsströme auf ein System überzugehen, das auf Stichprobenerhebungen bei Exporteuren und Importeuren beruht. Dadurch hat sich die Verlässlichkeit der Statistiken für den Warenhandel innerhalb der EU etwas verringert. Die Statistiken für den Warenhandel zwischen den EU-Mitgliedstaaten und Drittländern wurden dadurch jedoch nicht beeinträchtigt. Die Nordamerikanische Freihandelszone NAFTA vereint Kanada, Mexiko und die Vereinigten Staaten. Zu den OECDLändern im Raum Asien/Ozeanien zählen Australien und Neuseeland sowie Japan und Korea. Nicht-OECD-Amerika erstreckt sich auf die Karibik, Südamerika und Zentralamerika, mit Ausnahme Mexikos. Zu Nicht-OECD-Asien gehören Zentralasien, China, der indische Subkontinent und Südostasien. Der Nahe Osten umfasst die arabischen Golfstaaten, den Iran, Israel, Jordanien, den Libanon, die Palästinensischen Autonomiegebiete und die Arabische Republik Syrien. Quelle • OECD (2009), International Trade by Commodity Statistics, OECD, Paris. Weitere Informationen Analysen Überblick Der Anteil des OECD-internen Handels an den Ein- und Ausfuhren der OECD-Länder hat seit 1988 kontinuierlich abgenommen. Während die Einfuhren aus OECD-Ländern an den gesamten OECD-Importen 1988 noch 80% ausmachten, waren es 2008 nur 65%. Bei den Ausfuhren war der Rückgang des OECD-internen Handels weniger ausgeprägt; er verringerte sich von 81% im Jahr 1988 auf 74% im Jahr 2008. Die OECD-Importe aus Nicht-OECD-Asien haben sich im Betrachtungszeitraum von 7% auf 18% aller Importe erhöht, während die Ausfuhren in diese Länder von 7,5% auf 11% zugenommen haben. Beim Handel zwischen dem OECDRaum und China hat sich ein weitreichender Wandel vollzogen. Während 1988 etwas mehr als 1% der gesamten Importe der OECD-Länder aus China kamen, hatte sich dieser Anteil 2008 auf 10% erhöht. Die Bedeutung Chinas als Bestimmungsland für OECD-Exporte hat weniger drastisch zugenommen; hier ist der Anteil von 1% im Jahr 1988 auf 4% im Jahr 2008 gewachsen. • OECD, IOM und Weltbank (Hrsg.) (2004), Trade and Migration: Building Bridges for Global Labour Mobility, OECD, Paris. • OECD (2004), Agriculture, Trade and the Environment: The Dairy Sector, OECD, Paris. • OECD (2004), Trade and Competitiveness in Argentina, Brasilien and Chile Not as Easy as A-B-C, OECD, Paris. • OECD (2005), OECD Trade Policy Studies – Environmental Requirements and Market Access, OECD, Paris. • OECD (2005), Trade and Structural Adjustment: Embracing Globalisation, OECD, Paris. • OECD (2006), The Development Dimension – Aid for Trade: Making it Effective, OECD, Paris. Statistiken • OECD (2009), Monthly Statistics of International Trade, OECD, Paris. • OECD (2009), Statistics on International Trade in Services, OECD, Paris. Zur Methodik • VN, Europäische Kommission, IWF, OECD, UNCTAD und WTO (2002), Manual on Statistics of International Trade in Services, Vereinte Nationen, New York. Online-Datenbanken • ITCS International Trade by Commodity Statistics. • Monthly International Trade. Websites • OECD International Trade Statistics, www.oecd.org/std/its. 74 DIE OECD IN ZAHLEN UND FAKTEN 2010 © OECD 2010 GLOBALISIERUNG • HANDEL HANDELSPARTNER Warenhandel der OECD-Länder: Partnerländer und -regionen Einfuhr In Prozent der gesamten Wareneinfuhr der OECD-Länder Ausfuhr In Prozent der gesamten Warenausfuhr der OECD-Länder Warenhandel In Prozent des gesamten Warenhandels der OECD-Länder 1990 2000 2005 2008 1990 2000 2005 2008 1990 2000 2005 2008 OECD insgesamt 77.8 73.0 67.2 65.5 80.5 79.0 75.4 74.1 79.1 75.8 71.3 69.6 G7 52.1 47.5 40.2 37.3 51.8 51.0 46.1 43.0 52.0 49.2 43.0 40.0 NAFTA 16.7 21.7 16.0 14.9 18.4 26.1 21.5 18.5 17.5 23.8 18.6 16.6 Kanada 4.5 5.6 4.6 4.2 4.1 4.8 4.0 3.6 4.3 5.3 4.3 3.9 Mexiko 1.5 3.3 2.7 2.6 1.5 3.0 2.3 2.2 1.5 3.2 2.5 2.4 Ver. Staaten 10.7 12.8 8.7 8.0 12.8 18.3 15.1 12.7 11.7 15.4 11.7 10.3 OECD-Asien und Ozeanien 10.0 9.4 7.5 6.1 7.3 6.5 5.4 5.1 8.7 8.0 6.6 5.6 Japan 7.1 6.3 4.6 3.3 4.1 3.4 2.5 2.2 5.6 4.9 3.7 2.8 Korea 1.7 2.0 1.8 1.7 1.8 1.8 1.7 1.7 1.7 1.9 1.8 1.7 OECD-Europa 51.3 42.0 43.5 44.5 55.0 46.4 48.5 50.5 53.1 44.0 46.1 47.3 Belgien-Luxemburg 3.9 2.6 2.6 3.2 4.5 3.2 3.2 3.8 4.2 2.8 3.4 3.5 Deutschland 12.4 9.2 10.2 10.2 10.6 8.8 9.0 9.4 11.6 9.0 9.7 9.8 Frankreich 6.9 5.1 4.9 4.2 8.1 6.0 6.2 5.3 7.4 5.5 5.5 4.7 Italien 5.2 3.7 3.1 3.5 5.1 3.7 3.5 3.7 5.2 3.7 3.3 3.6 Niederlande 4.5 3.5 3.8 4.1 4.8 3.9 3.7 4.2 4.6 3.7 3.8 4.1 Österreich 1.3 1.0 1.2 1.3 1.6 1.4 1.5 1.6 1.4 1.2 1.3 1.4 Schweden 1.9 1.5 1.5 1.4 1.8 1.4 1.4 1.5 1.9 1.5 1.5 1.5 Schweiz 2.1 1.4 1.1 1.5 2.6 1.7 1.4 1.9 2.4 1.6 1.4 1.7 Spanien 1.8 1.9 2.1 2.2 2.7 2.8 3.4 3.2 2.2 2.4 2.7 2.7 Ver. 1.5 2.0 1.5 .. 1.7 2.0 1.4 .. 1.8 2.4 3.7 4.6 2.1 1.9 3.4 4.9 1.9 2.2 3.6 4.8 Afrika Südafrika Asien Europa Estland .. 0.1 0.1 0.1 .. 0.1 0.1 0.1 .. 0.1 0.1 0.1 0.1 1.4 2.1 2.7 0.1 0.6 1.2 2.0 0.1 1.0 1.7 2.4 .. 0.1 0.2 0.2 .. 0.2 0.2 0.3 .. 0.2 0.2 0.2 Naher Osten 3.5 3.5 3.9 4.2 2.6 2.2 2.8 3.1 3.0 2.9 3.4 3.7 Israel 0.4 0.5 0.4 0.4 0.4 0.6 0.5 0.4 0.4 0.6 0.5 0.4 Russ. Föderation Slowenien 1 2 http://dx.doi.org/10.1787/824503768206 Warenhandel der OECD-Länder: Partnerländer und -regionen In Prozent des gesamten Warenhandels der OECD-Länder 2008 1988 80.4 35 69.6 30 25 20 15 10 5 0 1 2 http://dx.doi.org/10.1787/818556324750 DIE OECD IN ZAHLEN UND FAKTEN 2010 © OECD 2010 75 GLOBALISIERUNG • HANDEL ZAHLUNGSBILANZ Beim Saldo der Leistungsbilanz handelt es sich um die Differenz zwischen den laufenden Einnahmen aus dem Ausland und den laufenden Zahlungen an das Ausland. Ist dieser Saldo positiv, kann das Land den Überschuss zur Tilgung seiner Auslandsschulden, zum Erwerb ausländischer Vermögenswerte oder für Ausleihungen an andere Länder verwenden. Ist der Saldo negativ, muss das Defizit über Kreditaufnahme im Ausland oder Veräußerung zuvor erworbener ausländischer Vermögenswerte finanziert werden. Definition Bei den laufenden Transaktionen handelt es sich um Aus- und Einfuhr von Gütern, Aus- und Einfuhr von Dienstleistungen wie Reisen, internationaler Fracht- und Personentransport, Versicherungs- und Finanzdienstleistungen, Einkommensströme in Form von Löhnen und Gehältern, Dividenden und Zinsen sowie sonstige Investitionseinkommen (d.h. Vermögenseinkommen im Sinne des Systems der Volkswirtschaftlichen Gesamtrechnungen) und laufende Übertragungen, darunter staatliche Transferleistungen (d.h. internationale Zusammenarbeit), Rücküberweisungen von ausländischen Arbeitskräften oder andere Transfers wie Geschenke, Erbschaften und Lotteriepreisgelder. Es ist zu beachten, dass die Investitionseinkommen einbehaltene Gewinne (d.h. Gewinne, die nicht in Form von Dividenden an den direkten Investor ausgeschüttet werden) von ausländischen Tochtergesellschaften oder Filialen umfassen. Im Allgemeinen werden Gewinne aus Direktinvestitionsunternehmen wie Überweisungen an den direkten Investor im Ausland behandelt, wobei der effektiv im Sitzland dieser Unternehmen einbehaltene Teil des Gewinns dann in der Leistungsbilanz als reinvestierte Erträge aus ausländischen Direktinvestitionen (Sollposten) und auf dem Finanzkonto als Direktinvestitionen des Auslands (mit entgegengesetztem Vorzeichen) ausgewiesen wird. Vergleichbarkeit Die Daten wurden den gemäß dem Zahlungsbilanzhandbuch (BPM5) des Internationalen Währungsfonds (IWF) erstellten Zahlungsbilanzstatistiken entnommen. Der IWF verfolgt aufmerksam die von seinen Mitgliedstaaten veröffentlichten Zahlungsbilanzstatistiken im Rahmen der regelmäßigen Tagungen der für die Erstellung der Zahlungsbilanz zuständigen Stellen. Daraus resultiert eine relativ gute Vergleichbarkeit der länderspezifischen Daten. Da alle Gewinne von Direktinvestitionsunternehmen wie Überweisungen an den Direktinvestor behandelt werden, selbst wenn in der Praxis ein großer Teil davon vielleicht im Sitzland durch das Direktinvestitionsunternehmen einbehalten wird, führt die Präsenz von Direktinvestitionsunternehmen in einer Volkswirtschaft tendenziell zu einer Verringerung ihres Leistungsbilanzsaldos. Es ist auch zu beachten, dass der Saldo der Wertpapieranlagen für die Leistungsbilanzsalden eine wachsende Rolle spielt. Überblick Die Leistungsbilanzsalden sind seit 1990 in Australien, Mexiko, Neuseeland, Spanien, dem Vereinigten Königreich und den Vereinigten Staaten durchgehend negativ; das hängt z.T. mit der Behandlung der Gewinne von Direktinvestitionsunternehmen zusammen. Der Wertpapieranlagensaldo und der Warensaldo hatten bis zu der jüngsten Weltwirtschaftskrise deutliche Auswirkungen auf die Trendentwicklung der Leistungsbilanzsalden. Zu den Ländern, die den gesamten Zeitraum hindurch Leistungsbilanzüberschüsse verzeichneten, gehören Japan, Luxemburg, die Niederlande, Norwegen und die Schweiz. Seit 1990 haben sich in den Leistungsbilanzen Deutschlands, Kanadas und Österreichs durchweg positive Saldenumschwünge vollzogen. Die Leistungsbilanzentwicklung im Durchschnitt der drei Jahre bis 2008, ausgedrückt in Prozent des BIP, verzeichnete Defizite von 5% des BIP oder mehr in Island (wo das durchschnittliche Defizit 30% erreichte), Griechenland, Portugal, Spanien, Neuseeland, Ungarn, der Slowakischen Republik, der Türkei, den Vereinigten Staaten und Australien. Überschüsse von mehr als 5% des BIP verbuchten Norwegen, die Schweiz, Schweden, Luxemburg, die Niederlande und Deutschland. 76 Quelle • OECD (2010), Main Economic Indicators, OECD, Paris. Weitere Informationen Analysen • OECD (2006), Export Credit Financing Systems in OECD Member Countries and Non-Member Economies, OECD, Paris. Zur Methodik • IWF (1993), Handbuch zur Zahlungsbilanzstatistik, 5. Auflage, IWF, Washington DC. • VN, Europäische Kommission, IWF, OECD, UNCTAD und WTO (2002), Manual on Statistics of International Trade in Services, Vereinte Nationen, New York. Online-Datenbanken • Main Economic Indicators. • OECD Economic Outlook Statistics. Websites • OECD Economic Outlook – Sources and Methods, www.oecd.org/eco/sources-and-methods. DIE OECD IN ZAHLEN UND FAKTEN 2010 © OECD 2010 GLOBALISIERUNG • HANDEL ZAHLUNGSBILANZ Leistungsbilanz In Prozent des BIP 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 Australien -5.0 -3.6 -2.8 -4.7 -5.1 -3.6 -1.9 -3.7 -5.2 -5.9 -5.5 -5.1 -6.1 2008 -4.4 Belgien 5.4 5.0 5.5 5.2 | 5.1 4.0 3.4 4.6 4.1 3.5 2.6 2.0 2.2 -2.5 2.2 Dänemark 0.7 1.4 0.4 -0.9 1.9 1.6 2.6 2.9 3.5 2.3 4.3 3.0 1.5 Deutschland -1.2 -0.6 -0.5 -0.7 | -1.3 -1.7 0.0 2.1 1.9 4.7 5.1 6.5 7.9 6.7 Finnland 4.1 4.0 5.6 5.6 | 6.2 8.1 8.6 8.8 5.2 6.6 3.6 4.5 4.2 3.0 Frankreich 0.7 1.3 2.7 2.6 | 3.1 1.6 1.9 1.4 0.8 0.6 -0.4 -0.5 -1.0 -2.3 Griechenland .. .. -3.9 -2.7 | -3.8 -7.8 | -7.3 -6.8 -6.6 -5.9 -7.4 -11.3 -14.5 -14.5 Irland 2.6 2.8 2.3 | 0.8 | 0.2 -0.4 -0.7 -0.9 0.0 -0.6 -3.5 -3.5 -5.3 -5.3 Island 0.7 -1.8 -1.8 -6.7 -6.8 -10.1 -4.3 1.5 -4.8 -9.8 -16.2 -25.7 -20.1 -44.2 -3.4 Italien 2.2 3.1 2.8 1.9 | 0.7 -0.5 -0.1 -0.8 -1.3 -0.9 -1.7 -2.6 -2.4 Japan 2.1 1.4 | 2.3 3.1 2.6 2.6 2.1 2.9 3.2 3.7 3.6 3.9 4.8 3.2 Kanada -0.8 0.5 -1.3 -1.2 0.3 2.7 2.3 1.7 1.2 2.3 1.9 1.4 1.0 0.5 -0.7 Korea -1.6 -4.0 -1.5 11.2 5.3 2.3 1.6 0.9 1.9 3.9 1.8 0.6 0.6 Luxemburg 12.1 11.2 10.4 9.2 | 8.4 13.2 8.8 10.5 8.1 11.9 11.0 10.3 9.7 5.4 Mexiko -0.5 -0.7 -1.7 -3.5 -2.7 -2.9 -2.6 -2.0 -1.0 -0.7 -0.5 -0.5 -0.8 -1.5 Neuseeland -5.0 -5.7 -6.3 -3.9 -6.2 -5.2 -2.7 -3.8 -4.1 -6.2 -8.3 -8.5 -8.0 -8.8 Niederlande 6.1 5.1 6.5 3.2 | 3.8 1.9 2.4 2.5 5.5 7.5 7.3 9.3 8.7 4.8 Norwegen 3.5 6.8 6.3 0.0 5.6 15.0 16.1 12.5 12.3 12.7 16.3 17.3 14.1 18.5 Österreich -2.9 -2.9 -2.5 -1.7 -1.7 -0.7 -0.8 2.7 1.7 2.2 2.2 2.8 3.6 3.2 Polen -1.7 -0.9 -2.7 -4.0 -6.9 -6.0 -3.1 -2.8 -2.5 -4.0 -1.2 -2.8 -4.8 -5.1 Portugal .. -4.2 -5.9 -7.0 | -8.5 -10.2 -9.9 -8.1 -6.1 -7.6 -9.5 -10.0 -9.4 -12.1 Schweden 3.3 3.5 4.1 3.8 4.1 3.8 3.8 4.0 7.2 6.7 7.0 8.5 8.8 9.8 Schweiz 6.5 7.0 9.3 9.2 10.8 12.1 8.2 8.8 13.3 13.4 14.0 15.2 10.0 2.4 Slowak. Rep. 2.6 -9.3 -8.5 -8.9 -4.8 -3.4 -8.3 -7.9 -5.9 -7.8 -8.5 -7.9 -5.3 -6.5 Spanien -0.3 -0.2 -0.1 -1.2 | -2.9 -4.0 -3.9 -3.3 -3.5 -5.3 -7.4 -9.0 -10.0 -9.6 Tschech. Rep. -2.5 -6.6 -6.2 -2.0 -2.4 -4.8 -5.3 -5.5 -6.3 -5.2 -1.3 -2.6 -3.2 -3.1 Türkei -1.0 -1.0 -1.0 0.7 -0.4 -3.7 1.9 -0.3 -2.5 -3.7 -4.6 -6.0 -5.9 -5.7 Ungarn -3.3 -3.8 -4.3 -6.9 | -7.7 -8.5 -6.0 -6.9 -8.0 -8.3 -7.2 -7.4 -6.8 -7.1 Ver. Königreich -1.2 -0.8 -0.1 -0.4 -2.4 -2.6 -2.1 -1.7 -1.6 -2.1 -2.6 -3.3 -2.7 -1.6 Ver. Staaten -1.5 -1.6 -1.7 -2.5 -3.2 -4.2 -3.9 -4.3 -4.7 -5.3 -6.0 -6.0 -5.2 -4.9 .. .. 0.2 -0.1 -0.7 -1.3 -1.1 -1.1 -1.0 -0.9 -1.5 -1.6 -1.3 -1.6 Brasilien OECD insgesamt -1.8 -2.2 -2.7 -3.0 -2.2 -2.0 -1.8 -0.6 0.3 0.8 0.9 0.8 0.1 -1.4 -2.0 Chile -2.1 -4.1 -4.4 -4.9 0.1 -1.2 -1.6 -0.9 -1.1 2.2 1.2 4.9 4.4 China 0.1 0.4 1.6 1.3 0.8 0.7 0.5 1.0 1.1 1.5 3.0 4.1 5.2 5.4 Estland -4.2 -8.4 -11.1 -8.6 -4.3 -5.4 -5.2 -10.6 -11.3 -11.3 -10.0 -16.9 -17.8 -9.4 Indien -0.5 -0.5 -0.3 -0.5 -0.2 -0.3 0.1 0.4 0.5 0.0 -0.4 -0.4 -0.4 -1.1 Indonesien -1.5 -1.6 | -0.9 0.9 1.2 1.6 1.3 1.4 1.3 0.2 0.0 1.4 1.2 0.0 Israel -5.0 -4.9 -3.0 -0.9 -1.8 -1.8 -1.6 -1.1 0.5 1.7 3.1 5.0 2.8 1.0 Russ. Föderation 2.2 2.8 0.0 0.1 12.6 18.0 11.1 8.5 8.2 10.1 11.1 9.6 5.9 6.1 Slowenien -0.3 0.2 0.3 -0.6 -3.2 -2.7 0.2 1.0 -0.8 -2.6 -1.7 -2.5 -4.8 -6.2 Südafrika -1.1 -0.7 -0.9 -0.8 -0.2 -0.1 0.1 0.3 -0.6 -1.9 -2.4 -3.7 -4.4 -4.3 1 2 http://dx.doi.org/10.1787/824532532285 Leistungsbilanz In Prozent des BIP Dreijahresdurchschnitt am Ende des Zeitraums Dreijahresdurchschnitt zu Beginn des Zeitraums 20 10 0 -10 -20 -30 -40 1 2 http://dx.doi.org/10.1787/818557825873 DIE OECD IN ZAHLEN UND FAKTEN 2010 © OECD 2010 77 GLOBALISIERUNG • ADI UND MULTINATIONALE UNTERNEHMEN ADI-STRÖME UND -BESTÄNDE ADI und multinationale Unternehmen GLOBALISIERUNG Ausländische Direktinvestitionen (ADI) sind ein Schlüsselelement der internationalen wirtschaftlichen Integration. Durch ADI entstehen direkte, stabile und dauerhafte Verbindungen zwischen Volkswirtschaften. ADI fördern den Transfer von Technologie und Know-how zwischen den Ländern und ermöglichen es der Wirtschaft des Ziellandes, ihre Produkte in größerem Umfang auf den internationalen Märkten abzusetzen. Schließlich stellen sie eine zusätzliche Finanzierungsquelle für Investitionen dar und können in einem geeigneten politischen Umfeld ein wichtiges Instrument zur Unternehmensentwicklung darstellen. Definition Laut Definition handelt es sich bei ADI um Investitionen, die von einer in einer Volkswirtschaft ansässigen Unternehmenseinheit mit der Absicht vorgenommen werden, eine dauerhafte Beteiligung an einem in einer anderen Volkswirtschaft ansässigen Unternehmen zu erwerben. Eine „dauerhafte Beteiligung“ impliziert das Bestehen einer langfristigen Geschäftsbeziehung zwischen dem Direktinvestor und dem Unternehmen sowie ein erhebliches Maß an Einflussnahme durch den Direktinvestor auf das Management des Unternehmens. Das grundlegende Kriterium ist ein Anteil von mindestens 10% der Aktien mit Stimmrechten, durch die der Investor seinen Einfluss ausübt. Eine Kontrolle des betreffenden Unternehmens durch den ausländischen Investor (Besitz von über 50% der Stimmrechtsanteile) ist mithin nicht erforderlich. Bericht erstattenden Volkswirtschaft gehalten werden; Direktinvestitionsexporte sind Unternehmensbeteiligungen, die von der Bericht erstattenden Volkswirtschaft im Ausland gehalten werden. In der Tabelle über ADI-Bestände ist auch deren Verteilung nach weit gefassten Industriebranchen, nämlich dem Verarbeitenden Gewerbe und dem Dienstleistungssektor, aufgeschlüsselt. Mittelabflüsse sind ein allgemeines Anzeichen für Desinvestitionen oder die Auswirkung umfangreicher Rückzahlungen von Darlehen zwischen Unternehmen. Vergleichbarkeit Die ADI-Bestände sollten zu Marktpreisen verbucht werden. Die meisten OECD-Länder stützen sich bei der Berechnung der Daten jedoch in Abweichung von den internationalen Standards auf die Buchwerte der Unternehmen. Diese können wesentlich von den Marktwerten abweichen. In den einzelnen Ländern gelten auch für die Schätzung von Buchwerten unterschiedliche Regeln. Trotz der jüngst erzielten Verbesserungen bestehen ebenfalls Unterschiede zwischen den von den Ländern angewandten Methoden in Bezug auf ADI-Abflüsse und -Zuflüsse. Die Gesamtwerte für den OECD-Raum betreffen die Länder, für die Daten vorliegen. Bei den Werten für 2007 und 2008 handelt es sich um vorläufige Daten. Alle Direktinvestitionsimporte sind Unternehmensbeteiligungen, die von gebietsfremden Unternehmenseinheiten in der Überblick Die Quartalsstatistiken zeigen, dass die ADI-Flüsse der OECDLänder infolge der Rezession, die 2008 begonnen hatte, im ersten Halbjahr 2009 drastisch eingebrochen sind. In der ersten Hälfte des Jahres 2009 sind die Zuflüsse im Verhältnis zum letzten Quartal 2008 um 50% zurückgegangen und die Abflüsse um 40%. Dieser Rückgang folgte dem des Jahres 2008, als die ADI-Zuflüsse weltweit um 35% und die Abflüsse um 19% gesunken waren. Diese Verluste sind wesentlich ausgeprägter als jene, die im Jahr 2001 nach dem Investitionsboom von Ende der 1990er Jahre verzeichnet wurden. Der damalige Rückgang der ADIZuflüsse in den OECD-Raum setzte sich bis 2004 fort, wo sie wieder um bescheidene 8% anzogen, während die Abflüsse kräftiger um 41% stiegen. Das globale Umfeld für ausländische Direktinvestitionen verbesserte sich 2006 dank des starken makroökonomischen Wachstums, der stabilen Aktienkurse und der hohen Unternehmensrentabilität weiter. Multinationale Konzerne mit Sitz in Schwellenländern erwarben in diesem Zeitraum zunehmend Unternehmen in OECD-Ländern. Ferner wurden 2006 umfangreiche Investitionen von Finanzinvestoren, wie Beteiligungsgesellschaften, verzeichnet. Die Direktinvestitionen im OECD-Raum nahmen 2007 um 31% weiter zu und erreichten 1 583 Mrd. US-$. Ende 2007 lagen die ADI-Bestände der OECD-Länder bei 11 Bill. US-$ für Zuflüsse und bei 13 Bill. US-$ für Abflüsse. Die Bestände der Direktinvestitionsexporte und -importe für die Vereinigten Staaten und das Vereinigte Königreich sind die umfangreichsten innerhalb des OECD-Raums. Außerhalb dieses Raums blieb China zu Ende 2007 der Hauptempfänger von ADI, während seine eigenen Investitionsflüsse ins Ausland begrenzt sind. 78 Quelle • OECD (2006), Reviews of Foreign Direct Investment, OECD, Paris. • OECD (2008), OECD Reviews of Innovation Policy: China, OECD, Paris. Weitere Informationen Statistiken • OECD (2002), Measuring Globalisation: The Role of Multinationals in OECD Economies, OECD, Paris. • OECD (2005), Measuring Globalisation: OECD Economic Globalisation Indicators, OECD, Paris. Zur Methodik • IWF, OECD (1999), Report on the Survey of Implementation of Methodological Standards for Direct Investment. • OECD (1996), OECD Benchmark Definition of Foreign Direct Investment, Third edition, OECD, Paris. • OECD (2001), Non-Tariff Measures in the ICT Sector: A Survey, OECD, Paris. • OECD (2005), Measuring Globalisation: OECD Handbook on Economic Globalisation Indicators, OECD, Paris. Websites • OECD International Investment, www.oecd.org/daf/investment. DIE OECD IN ZAHLEN UND FAKTEN 2010 © OECD 2010 GLOBALISIERUNG • ADI UND MULTINATIONALE UNTERNEHMEN ADI-STRÖME UND -BESTÄNDE ADI-Bestände im In- und Ausland Mio. US-Dollar Direktinvestitionsexporte (Bestände) Australien Dänemark Deutschland Direktinvestitionsimporte (Bestände) 1990 1995 2000 2004 2005 2006 2007 1990 1995 2000 2004 2005 2006 2007 30 495 53 009 85 385 203 776 175 541 225 393 289 669 73 615 104 074 111 138 263 390 213 530 260 803 341 837 .. 24 703 73 112 126 311 129 283 148 326 179 787 .. 23 801 73 585 116 489 116 443 134 463 157 801 130 760 233 107 486 750 814 671 830 650 1 012 236 1 248 883 74 067 104 367 462 529 719 261 647 936 800 237 1 001 709 Finnland 11 227 14 993 52 109 85 023 81 860 96 208 115 813 5 132 8 465 24 272 57 379 54 802 70 569 92 148 Frankreich 110 121 204 430 445 087 845 451 868 469 1 044 456 1 291 546 84 931 191 433 259 773 641 807 628 017 762 151 950 297 Griechenland .. .. 5 852 13 791 13 602 19 560 31 650 .. .. 14 113 28 482 29 189 41 317 53 221 Irland .. .. 27 925 106 692 104 152 120 728 145 862 .. .. 127 088 207 647 163 530 156 491 193 451 Island 75 177 663 4 025 10 085 13 753 27 285 147 149 491 1 998 4 696 7 674 11 994 Italien 60 195 106 319 180 274 280 481 293 475 378 931 520 087 60 009 65 347 121 169 220 720 224 079 294 878 364 839 Japan 201 440 238 452 278 441 370 544 386 581 449 567 542 614 9 850 33 508 50 322 96 984 100 899 107 634 132 851 Kanada 84 813 118 106 237 647 372 652 388 317 450 287 521 653 112 850 123 182 212 723 315 247 341 630 376 404 497 204 Korea .. .. .. 32 166 38 683 49 187 74 777 .. .. .. 87 766 104 879 119 143 121 956 Luxemburg .. 4 703 7 927 27 883 32 691 42 358 72 912 .. 18 503 23 492 49 733 43 650 60 671 80 145 Mexiko .. .. .. 21 673 29 641 36 447 44 703 22 424 41 130 97 170 202 885 223 830 243 121 267 807 Neuseeland .. 7 676 6 065 13 957 11 584 12 825 15 066 .. 25 728 28 070 52 640 52 230 63 055 70 941 Niederlande 106 896 172 675 305 459 587 252 615 727 757 870 876 920 68 729 116 051 243 730 477 218 451 234 513 301 724 076 Norwegen 10 889 22 521 34 022 80 950 92 923 120 425 143 025 12 404 19 836 30 261 79 413 76 322 95 662 121 593 Österreich 4 747 11 832 24 820 69 806 71 807 105 697 156 043 11 097 21 363 31 165 70 714 82 551 111 072 163 404 Polen .. 539 1 018 3 354 6 279 14 319 19 371 109 7 843 34 233 86 633 90 741 125 601 175 863 Portugal .. .. 19 793 43 940 41 965 53 984 67 708 .. 18 973 32 043 66 970 63 340 88 461 115 315 Schweden 50 720 73 143 123 260 214 736 208 777 265 546 327 297 12 636 31 089 93 998 196 305 171 818 227 330 289 957 Schweiz 66 087 142 481 232 176 400 590 431 980 559 970 657 911 34 245 57 064 86 810 197 679 170 156 264 952 337 536 Slowak. Rep. .. 139 379 842 597 1 325 1 609 .. 1 297 4 761 21 881 23 656 33 612 40 702 Spanien .. 36 547 167 718 282 294 305 427 413 605 590 587 .. 110 291 156 347 407 472 384 538 460 583 605 140 Tschech. Rep. .. 345 738 3 759 3 610 5 017 8 556 .. 7 350 21 647 57 246 60 662 79 838 112 396 Türkei .. .. 3 668 7 060 8 315 8 866 12 210 .. .. 19 209 38 523 71 299 95 078 157 649 .. 278 1 279 6 022 7 810 12 561 17 595 569 11 304 22 856 62 624 61 970 82 115 100 328 Ver. Königreich Ungarn 229 307 304 865 897 845 1 247 190 1 198 637 1 454 903 1 841 206 203 905 199 772 438 631 701 913 840 652 1 139 154 1 263 781 Ver. Staaten 616 655 885 506 1 531 607 2 498 494 2 651 721 2 948 172 3 451 482 505 346 680 066 1 421 017 1 727 062 1 874 263 2 154 062 2 450 132 EU27 insgesamt .. .. .. 4 627 432 4 575 957 5 810 496 7 471 726 .. .. .. 4 405 989 4 548 405 5 913 974 7 575 624 OECD insgesamt 9 040 191 10 822 522 13 293 826 1 292 065 2 021 985 4 242 644 7 254 082 7 372 545 8 969 431 10 996 072 1 714 426 2 656 546 5 231 017 8 765 384 davon: Verarbeitendes Gewerbe 36% 37% 27% 22% 24% 24% .. 37% 37% 30% 27% 25% 25% Dienstleistungen 53% 57% 68% 73% 72% 72% .. 50% 57% 67% 69% 70% 69% .. .. .. .. 69 196 79 259 113 925 136 103 .. .. .. 161 259 195 562 236 186 328 455 Chile .. .. 11 154 17 413 21 359 26 596 32 695 .. .. 45 753 60 541 74 196 80 297 99 488 China .. .. .. 52 704 64 493 90 630 115 960 .. .. .. 368 970 471 549 614 383 703 667 Estland .. .. 259 1 419 1 940 3 596 6 174 .. .. 2 645 10 059 11 290 12 727 16 815 Indien .. .. 2 609 10 072 12 832 27 036 44 080 .. .. 20 278 44 669 50 614 70 870 105 429 Brasilien .. Indonesien .. .. .. -102 -1 762 1 042 353 .. .. .. 15 858 41 187 54 534 59 125 Israel .. 2 867 9 091 18 493 23 010 38 741 48 466 365 5 741 22 556 31 471 35 691 48 137 55 699 491 232 Russ. Föderation .. 2 420 20 141 107 291 146 679 216 488 370 161 .. 345 32 204 122 295 180 228 265 873 Slowenien .. 490 768 3 025 3 290 4 547 7 197 .. 1 763 2 893 7 590 7 236 8 985 14 048 Südafrika 15 010 23 301 32 325 39 083 37 706 50 826 65 878 9 210 15 014 43 451 64 451 78 986 87 765 110 415 1 2 http://dx.doi.org/10.1787/824532554644 ADI-Bestände In Prozent des BIP, 2007 oder letztes verfügbares Jahr ADI-Abflüsse ADI-Zuflüsse 250 200 150 100 50 0 1 2 http://dx.doi.org/10.1787/818560207840 DIE OECD IN ZAHLEN UND FAKTEN 2010 © OECD 2010 79 GLOBALISIERUNG • ADI UND MULTINATIONALE UNTERNEHMEN ADI-STRÖME UND -BESTÄNDE ADI-Zuflüsse Mio. US-Dollar Australien Belgien 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 11 963 6 111 7 633 6 003 3 268 13 950 8 297 16 996 7 975 37 334 -31 999 27 883 44 326 46 565 .. .. .. .. .. .. .. 16 265 33 508 43 583 34 351 58 926 110 795 59 564 Dänemark 4 180 768 2 799 7 726 16 748 33 803 11 525 6 646 2 612 -10 721 12 892 2 709 11 851 10 708 24 891 Deutschland 12 025 6 573 12 243 24 597 56 077 198 313 26 419 53 571 32 398 -10 195 47 411 57 175 56 415 Finnland 1 063 1 109 2 116 12 141 4 610 8 836 3 732 8 053 3 322 2 828 4 747 7 656 12 353 -4 192 Frankreich 23 679 21 960 23 171 30 984 46 546 43 258 50 485 49 079 42 538 32 585 84 887 71 882 103 886 96 990 Griechenland 1 198 1 196 1 089 72 561 1 108 1 589 50 1 276 2 103 606 5 366 1 918 5 083 Irland 1 442 2 616 2 710 8 856 18 211 25 784 9 653 29 350 22 803 -10 614 -31 670 -5 545 30 597 -12 278 Island 9 83 148 148 67 170 173 91 328 654 3 075 3 992 3 062 -379 Italien 4 816 3 535 4 962 4 280 6 911 13 377 14 873 14 558 16 430 16 824 19 959 39 261 40 209 16 999 Japan 41 228 3 224 3 193 12 743 8 318 6 244 9 239 6 324 7 819 2 778 -6 503 22 548 24 418 Kanada 9 255 9 633 11 522 22 803 24 747 66 796 27 670 22 146 7 486 -445 25 693 59 765 108 404 44 689 Korea 1 776 2 325 2 844 5 412 9 333 9 283 3 528 2 392 3 526 9 246 6 309 3 586 1 579 2 200 .. .. .. .. .. .. .. 115 242 89 287 78 687 116 107 125 251 186 260 80 373 Mexiko 9 679 10 087 14 165 8 612 13 844 18 028 29 802 23 722 16 475 23 659 21 922 19 316 27 278 21 950 Neuseeland 2 850 3 922 1 917 1 826 940 1 344 -113 1 658 2 450 2 547 1 472 7 760 2 494 1 975 Niederlande 12 307 16 660 11 137 36 925 41 206 63 866 51 937 25 060 21 063 4 602 47 763 7 454 118 398 -9 063 Norwegen 2 409 3 207 3 982 3 935 6 792 7 095 2 122 791 3 472 2 544 5 414 6 413 4 435 -95 Österreich 1 904 4 429 2 656 4 534 2 975 8 842 5 921 357 7 151 3 892 10 777 7 938 29 592 13 525 15 980 Luxemburg Polen 3 658 4 500 4 914 6 368 7 276 9 446 5 697 4 121 4 867 12 873 10 281 19 643 22 733 Portugal 660 1 344 2 362 3 005 1 157 6 637 6 232 1 801 7 155 1 936 3 927 10 908 3 056 3 525 Schweden 14 447 5 437 10 967 19 843 61 001 23 433 10 905 12 270 4 981 11 022 9 915 27 261 22 079 40 395 Schweiz 2 224 3 078 6 642 8 942 11 714 19 266 8 859 6 284 16 505 933 -949 30 854 49 261 17 407 241 396 231 707 429 2 383 1 584 4 144 2 161 3 033 2 427 4 700 3 269 3 410 Spanien 6 285 6 821 6 388 11 798 18 744 39 582 28 347 39 249 25 844 24 775 25 005 26 903 68 842 65 412 Tschech. Rep. Slowak. Rep. 2 562 1 428 1 301 3 716 6 326 4 980 5 645 8 483 2 109 4 975 11 654 5 465 10 446 10 704 Türkei 885 722 805 940 783 982 3 352 1 082 1 702 2 785 10 031 20 185 22 046 18 171 Ungarn 5 102 3 300 4 171 3 337 3 313 2 763 3 936 2 994 2 137 4 508 7 711 7 536 6 096 6 552 Ver. Königreich 19 968 24 441 33 245 74 349 87 973 118 824 52 650 24 052 16 846 56 002 175 973 148 850 183 412 95 968 Ver. Staaten 319 737 57 776 86 502 105 603 179 045 289 444 321 274 167 021 84 372 63 750 145 966 112 638 241 961 275 758 EU27 insgesamt .. .. .. .. .. .. .. .. .. 230 952 573 183 638 587 810 471 469 615 OECD insgesamt 225 299 246 334 301 456 524 242 896 253 1 292 729 632 802 584 118 468 481 505 739 751 107 1 044 551 1 583 400 1 021 184 Brasilien 4 859 11 200 19 650 31 913 28 576 32 779 22 457 16 590 10 144 18 166 15 066 18 782 34 585 45 058 Chile 2 957 4 815 5 271 4 628 8 761 4 860 4 200 2 550 4 307 7 173 6 984 7 298 12 577 16 787 147 791 China 35 849 40 180 44 237 43 751 38 753 38 399 44 241 49 308 47 077 54 937 79 127 78 095 138 413 Estland 201 150 266 581 305 387 542 285 919 966 2 941 1 787 2 737 1 969 Indien 2 144 2 426 3 577 2 635 2 169 3 584 5 472 5 626 4 323 5 771 7 606 20 336 25 127 41 169 Indonesien 4 346 6 194 4 677 -241 -1 866 -4 550 -2 977 145 -597 1 896 8 336 4 914 6 928 8 340 Israel 1 350 1 397 1 634 1 737 3 763 5 919 4 179 1 910 4 087 2 529 4 270 14 762 9 961 10 544 Russ. Föderation 73 053 2 065 2 579 4 865 2 761 3 309 2 714 2 748 3 377 7 958 15 444 12 886 29 701 55 073 Slowenien 150 173 335 216 107 136 503 1 660 302 831 540 649 1 483 1 808 Südafrika 1 248 816 3 811 550 1 503 969 7 270 1 480 783 701 6 522 -184 5 737 9 632 1 2 http://dx.doi.org/10.1787/824545340160 ADI-Zuflüsse Mio. US-Dollar Durchschnitt 2006-2008 160 Durchschnitt 1995-1997 1 216 279 640 258 140 120 100 80 60 40 20 0 - 20 1 2 http://dx.doi.org/10.1787/818627720265 80 DIE OECD IN ZAHLEN UND FAKTEN 2010 © OECD 2010 GLOBALISIERUNG • ADI UND MULTINATIONALE UNTERNEHMEN ADI-STRÖME UND -BESTÄNDE ADI-Abflüsse Mio. .. .. .. .. .. .. 12 288 38 359 34 038 32 640 50 713 93 919 68 146 Dänemark 3 063 2 519 4 207 4 477 17 006 26 533 13 364 5 708 1 139 -10 371 16 194 8 447 20 523 27 299 156 160 Deutschland 39 052 50 806 41 794 88 837 108 692 56 567 39 691 18 963 5 827 20 559 75 848 127 287 179 572 Finnland 1 497 3 597 5 292 18 642 6 616 24 035 8 372 7 378 -2 282 -1 080 4 220 4 808 7 656 1 626 Frankreich 15 758 30 419 35 581 48 613 126 859 177 482 86 783 50 486 53 197 56 762 114 964 110 737 169 105 199 963 Griechenland Irland .. .. .. -276 552 2 137 616 655 413 1 030 1 450 4 169 5 339 2 646 820 728 1 014 3 902 6 109 4 630 4 066 11 035 5 555 18 079 14 304 15 332 20 778 13 202 Island 25 63 56 74 123 393 342 320 373 2 553 7 063 5 255 12 866 -8 100 Italien 5 731 6 465 12 245 16 078 6 722 12 318 21 476 17 138 9 079 19 273 41 795 42 091 90 797 43 754 Japan 22 628 23 419 25 991 24 155 22 747 31 539 38 349 32 280 28 799 30 963 45 830 50 244 73 545 127 981 Kanada 11 462 13 094 23 059 34 349 17 250 44 678 36 037 26 761 22 935 43 341 27 540 44 404 59 631 77 626 Korea 3 552 4 670 4 449 4 740 4 198 4 999 2 420 2 617 3 426 4 650 4 291 8 127 15 276 12 794 .. .. .. .. .. .. .. 125 770 99 863 84 083 124 542 110 781 250 865 103 931 Luxemburg .. .. .. .. .. .. 4 404 891 1 253 4 432 6 474 5 758 8 260 690 Neuseeland Mexiko 1 783 -1 240 -1 566 401 1 073 609 -1 082 372 879 -456 -1 520 501 3 234 100 Niederlande 20 176 32 098 24 522 36 475 57 611 75 649 50 602 32 046 44 076 29 181 131 738 65 211 28 549 53 117 Norwegen 2 855 6 098 5 290 2 542 5 834 9 510 807 5 760 6 065 5 317 21 970 21 321 15 589 28 074 Österreich 1 131 1 935 1 988 2 745 3 301 5 741 3 138 5 812 7 143 8 305 11 138 13 678 33 387 28 159 Polen 42 53 45 316 31 17 -89 229 301 904 3 406 8 862 4 647 3 387 Portugal 685 729 2 092 4 029 3 191 8 134 6 263 -149 6 590 7 457 2 110 7 143 5 491 2 102 Schweden 11 214 5 025 12 648 24 379 21 929 40 970 7 348 10 598 21 131 21 124 26 215 23 553 37 812 40 189 Schweiz 12 214 16 150 17 748 18 769 33 264 44 698 18 326 8 212 15 443 26 282 50 994 75 860 49 677 86 255 43 63 95 147 -377 29 65 11 247 -21 149 512 384 258 4 158 5 590 12 547 18 938 44 384 58 224 33 113 32 744 28 745 60 567 41 804 100 305 138 523 77 168 1 895 Slowak. Rep. Spanien Tschech. Rep. 37 153 25 127 90 43 165 206 207 1 014 -19 1 469 1 621 Türkei 113 110 251 367 645 870 497 143 480 780 1 064 924 2 106 2 585 Ungarn 59 -4 462 278 250 620 368 278 1 644 1 119 2 179 3 876 3 742 1 637 Ver. Königreich 43 560 34 056 61 620 122 861 201 437 233 488 58 885 50 347 62 439 91 083 80 818 86 285 275 521 110 407 Ver. Staaten 98 750 91 885 104 803 142 644 224 934 159 212 142 349 154 460 149 564 316 223 36 235 241 244 398 597 332 012 EU27 insgesamt .. .. .. .. .. .. .. .. .. 281 845 532 598 662 661 883 596 634 725 OECD insgesamt 315 418 343 381 410 570 651 061 1 046 374 1 244 645 689 263 621 210 629 093 887 450 887 452 1 262 315 2 023 813 1 630 842 20 457 Brasilien 1 384 -467 1 042 2 721 1 690 2 282 -2 258 2 482 249 9 471 2 517 28 203 7 067 Chile 752 1 133 1 463 1 483 2 558 3 987 1 610 343 1 606 1 563 2 183 2 742 3 009 6 891 China 2 000 2 114 2 563 2 634 1 775 916 6 884 2 518 -152 1 805 11 306 21 160 16 995 53 471 Estland 3 40 137 6 83 63 200 132 156 268 688 1 111 1 737 1 089 Indien 117 239 113 48 79 510 1 398 1 678 1 879 2 179 2 978 14 344 17 280 18 362 5 861 Indonesien 603 600 178 .. .. .. .. .. .. 3 408 3 065 2 641 4 675 Israel 820 815 923 1 124 829 3 335 687 981 2 086 4 533 2 946 14 944 6 782 7 719 Russ. Föderation 605 922 3 185 1 270 2 208 3 177 2 533 3 966 9 727 13 782 12 768 23 151 45 916 52 629 Slowenien -10 7 31 -6 48 65 133 151 476 550 629 905 1 574 1 465 Südafrika 2 494 1 048 2 324 1 634 1 584 277 -3 515 -402 553 1 305 909 5 929 2 982 -2 305 1 2 http://dx.doi.org/10.1787/824555606076 ADI-Abflüsse Mio. US-Dollar Durchschnitt 2006-2008 160 Durchschnitt 1995-1997 1 639 324 727 356 140 120 100 80 60 40 20 0 - 20 1 2 http://dx.doi.org/10.1787/818643108775 DIE OECD IN ZAHLEN UND FAKTEN 2010 © OECD 2010 81 GLOBALISIERUNG • ADI UND MULTINATIONALE UNTERNEHMEN BESCHÄFTIGUNG IN AUSLÄNDISCHEN TOCHTERGESELLSCHAFTEN Die Unternehmen der OECD-Länder verfolgen zunehmend globale Strategien und errichten im Ausland Verkaufs-, Marketing-, Produktions- und Forschungseinheiten, um neu entstehendem Wettbewerbsdruck zu begegnen. Bei einer Analyse des Gewichts und des volkswirtschaftlichen Beitrags von Tochtergesellschaften unter ausländischer Kontrolle in den Gastländern stellen daher Indikatoren über deren Aktivität eine wichtige Ergänzung zu den Informationen über ausländische Direktinvestitionen dar. Während bereits seit Anfang der 1980er Jahre Daten für das Verarbeitende Gewerbe vorlagen, begann die OECD erst in der zweiten Hälfte der 1990er Jahre mit der Erfassung von Daten zu den Aktivitäten von Tochtergesellschaften unter ausländischer Kontrolle im Dienstleistungssektor. Es sind noch nicht für alle OECD-Länder Daten verfügbar. Definition Eine Tochtergesellschaft unter ausländischer Kontrolle ist definiert als ein Unternehmen, an dem ein einzelner ausländischer Investor über 50% der Aktien mit Stimmrechten hält.
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SCRIPTA THEOLOGICA 19(1987/1-2) RESEÑAS del Evangelio y, por fin, a una cristología en clave también de praxis de liberación. La tercera parte, que constituye, con la anterior, el núcleo esencial de la obra, estudia la evangelización en sus diversos aspectos. Asentado que la evangelización es la misión esencial de la Iglesia (cap. VI), trata luego, como consecuencias para aplicar en la América Latina de 1979, de la Iglesia como llamada a realizar el Evangelio mediante la opción preferencial por los pobres (cap. VII), de la colaboración de una nueva sociedad (cap. VIII), de la intervención activa de los cristianos en el campo político (cap . IX) de la evangelización de la cultura (cap. X), de la religiosidad popular (cap. XI), y, por fin, de vivir el Evangelio en clave de comunión y participación, teniendo como modelo las Comunidades Eclesiales de Base (cap. XII). Una cuarta parte, más breve, está dedicada a los gestores de la evangelización, procurando acotar los ámbitos de responsabilidad y autonomía propio de la Jerarquía, de los miembros de la vida consagrada y del laicado. El autor no se plantea en ningún momento, de forma detenida, el problema que deriva de la existencia de diversas formas de entender la liberación y la reflexión teológica sobre ella lo interpreta el Documento de Puebla desde una óptica cercana a la teología de la liberación de Gustavo Gutiérrez, Leonardo Boff, etc., lo que implica desconocer algunas de las preocupaciones de fondo de ese Documento. 1. Adeva Alfonso FRANCIA, Escuelas de Catequistas en España, Central Catequística Salesiana (<<Catequistas en formación», 5), Madrid 1985; 114 pp., 16,5 x 24. El autor, hasta hace poco Director del Centro de Estudios Catequéticos 550 de Sevilla, ofrece en este libro una reflexión personal sobre las escuelas de formación de catequistas en España. También intenta ayudar a los responsables de este tema a organizar y mejorar lo existente. El estudio tiene seis capítulos y unos apéndices. En el texto se analizan los conceptos fundamentales de la catequesis, sus fuentes, los catequistas, escuelas de catequistas, plan y materiales para la formación de los cate:quistas. Los anexos son algunos cuestionarios y especialmente información sobre el Centro de Estudios Catequéticos de Sevilla. Este libro no recoge el importante documento de los obispos de la Comisión Episcopal de Enseñanza y Cate:quesis, El catequista y su formación. Orientaciones pastorales (Madrid, 8IX-1985), que sin duda daría orden y profundidad a la obra. Nos parece que sobran las ilustraciones, que no aportan nada y son a veces un tanto grotescas. Por último, la falta de una exposición más detallada del concepto de catequesis sería necesaria para saber qué catequistas necesita hoy día la Iglesia: el «mini-diccionario del catequista» inicial (pp. 13-16) nos parece insuficiente. J. Pujol José Ramón URBIETA, Pastoral de juventud, Ed. Secretariado Trinitario, (<<Mundo y Dios», 32), Salamanca 1986, 113 pp., 12 x 18. El autor se plantea el problema de la pastoral de juventud partiendo de un análisis de las distintas posiciones que tienen los jóvenes hoy día ante el mensaje evangélico. Después expone diversas opciones pastorales. La mitad del libro se dedica a describir el propio proyecto de pastoral para la juventud. El proyecto presentado se basa en tres pilares fundamentales. En primer lugar, la convocatoria, que supone.
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69 Níobe era hija de Tántalo y mujer de Anfión, rey de Tebas. Ella, orgullosa del número de sus hijos, se creyó superior a Letona, que sólo tenía dos, Apolo y Diana, que indignados con tal presunción mataron a flechazos a todos los hijos de Níobe, y los dioses, compadecidos de ella la transformaron en roca. 70 CLEMENTE DE ALEJANDRÍA, El Protréptico, 103, 4 (Se utiliza la edición bilingüe de M. MERINO, El Protréptico, Ciudad Nueva, Fuentes Patrísticas 21: Madrid, 2006, pp. 293-295). Palabra y Razón | 91 A. Gerónimo. “Claves antropológicas del pensamiento de Clemente de Alejandría” en Palabra y Razón. Revista de Teología, Filosofía y Ciencias de la Religión. Nº 17 Julio 2020, pp 76-99 https://doi.org/10.29035/pyr.17.76 que, perseguida, permanece indemne)71. Clemente quiere que la persona que no es creyente, como mínimo, busque la verdad sinceramente, y que se pare a reflexionar sobre las consecuencias que tiene adorar a los ídolos. Se queja de que los no creyentes apenas reflexionan en el momento de satisfacer sus pasiones, y en cambio, emplean mucho tiempo en pensar si conviene o no conviene creer, por lo cual Clemente les invita a hacer exactamente lo contrario: “En efecto, hay que poner en duda, si uno se debe embriagar, por así decir; en cambio, vosotros os embriagáis antes de examinarlo. Y si uno puede ultrajar no os intriga, sino más bien con cuánta rapidez debéis maltratar. En verdad, únicamente preguntáis si hay que ser piadoso, y si hay que adherirse ahora a este sabio y a Cristo; ahora bien, pensáis entonces que eso es digno de reflexión y examen, sin entender que eso es lo que siempre conviene a Dios”72. En estos textos, el Alejandrino pretende dar argumentos a los no creyentes para llevarlos a la fe. Se puede observar en ellos –según la mirada de Clemente–, un énfasis en el valor de la inteligencia, que no obstante, estima como importante la libertad73, y que termina con la persuasión del provecho de creer en Cristo. El maestro de Alejandría ha buscado ver cuál es la raíz más profunda que dificulta el acto de creer. Esta raíz está en la dureza del corazón y la ceguera del entendimiento. La condición platónica de una vida justa como legitimación para observar la verdad es elevada al plano más personal del Evangelio. De esta manera Clemente no tiene motivos para despreciar a la sabiduría con el fin de llamar a los griegos a la fe. Únicamente introduce en ella la dimensión de la libertad y del compromiso moral. También aborda el Alejandrino el tema de la inutilidad de la ciencia humana frente a la sabiduría divina; “¿no ha hecho Dios necia la sabiduría de este mundo?”74 Sin embargo, estas palabras que asume como suyas no le conducen al desprecio de la filosofía griega, sino más bien a la crítica sobre su mal empleo. Clemente atribuye a los no creyentes que no reconocen a Dios el hecho de acabar en una pseudo-ciencia, es decir, en una sabiduría aparente, puesto que el Alejandrino piensa que deberían 71 Cf. A. ORBE, “La teología del Espíritu Santo”, en Estudios Valentinianos, vol. IV, Analecta Gregoriana 158: Roma, 1966, p. 597. 72 CLEMENTE DE ALEJANDRÍA, El Protréptico, 95, 4 (FuP 21, p. 279). 73 Para estudiar el tema de la relación entre verdad y libertad; cf. J. J. SANGUINETI, El conocimiento humano. Una perspectiva filosófica, Palabra: Madrid, 2005, pp. 334-338. 74 Cf. CLEMENTE DE ALEJANDRÍA, Stromata, I, 88, 1 (FuP 7, p. 261). Clemente cita aquí 1 Cor 1, 20. Palabra y Razón | 92 A. Gerónimo. “Claves antropológicas del pensamiento de Clemente de Alejandría” en Palabra y Razón. Revista de Teología, Filosofía y Ciencias de la Religión. Nº 17 Julio 2020, pp 76-99 https://doi.org/10.29035/pyr.17.76 asumir los conocimientos científicos en orden a la contemplación de la sabiduría. En la perspectiva clementina resulta esencial la defensa de la sabiduría de la cruz, que, por otra parte, no implica en el mismo autor alejandrino una valoración negativa sobre la filosofía, sino un planteamiento más profundo de la contemplación filosófica, muy característico de la filosofía cristiana75. La realidad es que Clemente debió vivir en sus carnes la incredulidad de los ambientes paganos intelectuales de la ciudad de Alejandría ante temas como la encarnación, pasión, muerte y resurrección de Cristo76. La reacción de nuestro autor es la de reprochar a los griegos su insensatez y la de presentar la dureza de corazón para explicar su banalización de la sabiduría. A este respecto, el siguiente escrito del Alejandrino resulta muy revelador: “Así, pues, la presencia del Salvador no ha motivado a los insensatos, a los de corazón duro, ni a los incrédulos, sino a los sensatos, a los dóciles y también a los que creen. Pero los que no han querido obedecer a la llamada, separándose de los que han respondido voluntariamente a la misma, son necios, insensatos e incrédulos. Mas para los llamados sean judíos o griegos, Cristo es poder de Dios y sabiduría divina77. Ahora bien, ¿sería mejor interpretar la expresión no hizo Dios necia la sabiduría del mundo78 en el sentido de que no la hizo necia, para que no parezca que Dios es la causa de la dureza del corazón de aquellos, al hacer necia la sabiduría? Por el contrario, puesto que son realmente sabios, se hacen responsables en mayor medida de no haber creído el anuncio. En efecto, la elección y el rechazo de la verdad es libre”79. Al ser rechazada la verdad que debía creerse por falta de fidelidad o de docilidad, la sabiduría racional se vuelve necia, ignorante. Para el Alejandrino, la verdad que no es asumida con las adecuadas disposiciones del corazón, tiende a oscurecerse. Clemente ha querido poner de este modo las condiciones intelectuales necesarias para que se pueda dar el paso del paganismo a la verdad del cristianismo. El paso a creer, esto es, a la fe, puede suceder en un alma 75 Cf. J. J. SANGUINETI, La antropología educativa de Clemente Alejandrino…, p. 111. 76 Posiblemente fuera una experiencia cercana a la que vivió san Pablo en el Areópago de Atenas al predicar que Cristo había muerto y resucitado; cf. Hch 17, 22-34. 77 PCf. 1 Cor 1, 24. 78 Cf. 1 Cor 1, 20. 79 CLEMENTE DE ALEJANDRÍA, Stromata, I, 88, 6-8 – 89, 1 (FuP 7, p. 263). Palabra y Razón | 93 A. Gerónimo. “Claves antropológicas del pensamiento de Clemente de Alejandría” en Palabra y Razón. Revista de Teología, Filosofía y Ciencias de la Religión. Nº 17 Julio 2020, pp 76-99 https://doi.org/10.29035/pyr.17.76 sensible ante la contemplación de la verdad. 6. Influencia platónica en la antropología de Clemente de Alejandría Las obras de Clemente de Alejandría son, quizás, las que reflejan de una forma más fiel la filosofía platónica dentro del pensamiento que desarrollaron los primeros autores intelectuales del cristianismo en los primeros siglos de nuestra era. Debido a que la inmensa mayoría de las religiones antiguas no tenían una preocupación moral, y únicamente la filosofía –desde Sócrates–, proponía una norma de vida, a ella se dirige Clemente. ¿Y cómo lo hace? Pues reproduciendo especialmente a Platón, que según su criterio es “el filósofo” por excelencia, puesto que su filosofía era la más repleta de valores religiosos. En opinión de M. C. Isart, si Clemente admira tanto a Platón es porque nadie antes había hablado mejor de Dios. En contraposición, con el estoicismo fue muy duro en este sentido porque materializó a la divinidad80, aunque tomara de él elementos de su moral81. Una primera expresión de la influencia de Platón en nuestro autor se puede ver en la teoría de los dos mundos. Son numerosas las citas del Alejandrino referidas a los dos cosmos. Así pues, para Clemente, uno es el mundo sensible o visible y otro el mundo inteligible o invisible, y coloca entre los dos una distancia infinita82. De modo que si uno está ligado al mundo de los cuerpos sólo podrá captar el de los cuerpos. De ahí se deriva la necesidad de llegar al mundo invisible para captar la verdadera realidad, éste es el mundo en donde está el verdadero ser83. Platón pensaba que el único modo de llegar al mundo inteligible era mediante el conocimiento, y más en concreto, la dialéctica. Esta ciencia es para Platón la ciencia del bien y de la verdad, el punto más elevado de la sabiduría, con la cual se accedería al mundo inteligible. No obstante, en el pensamiento de Clemente todo este saber es un instrumento útil como preparación previa ante el mundo inteligible. Por tanto, la filosofía y la dialéctica no serían suficientes para alcanzar el mundo de las ideas. Bien es cierto que el cristianismo también utiliza la idea de los dos 80 Cf. CLEMENTE DE ALEJANDRÍA, El Protréptico, 66, 3 (FuP 21, p. 213). 81 Cf. M. C. ISART, “Clemente de Alejandría y la filosofía griega” en Anuario de estudios filológicos, Vol. 15, 1992, p. 25. 82 Cf. J. MEIFORT, Der Platonismus bei Clemens von Alexandrien, Heidelberger Adhandlungen zur Philosophie und ihrer Geschichte, Vol. 17: Tubinga, 1928, pp. 11-19. 83 Cf. J. A. LLAMAS MARTÍNEZ, “Influencias platónicas en el pensamiento de Clemente de Alejandría”, en Educación XXI, Vol. 4, 2001, pp. 242-243. Palabra y Razón | 94 A. Gerónimo. “Claves antropológicas del pensamiento de Clemente de Alejandría” en Palabra y Razón. Revista de Teología, Filosofía y Ciencias de la Religión. Nº 17 Julio 2020, pp 76-99 https://doi.org/10.29035/pyr.17.76 mundos, y Clemente se sirve de la filosofía platónica en este sentido, pero a diferencia de Platón, el Alejandrino introduce “un matiz religioso”84. De este modo, el mundo platónico inteligible abarca en Clemente el mundo de la fe. Además, hay otro punto diferencial entre nuestro autor y la teoría platónica. Para Clemente se establecen tres grados de conocimiento a recorrer. Llamas Martínez lo explica de manera convincente: “En primer lugar estaría la esfera de los conocimientos sensibles, aquello que se muestra a nuestros sentidos. En un lugar intermedio estarían los conocimientos comprendidos por la antigua filosofía y la Antigua Profecía, toda esta esfera contiene conocimientos auxiliares, y a la que Clemente define como egkúklion paideía, por la que se accedería a la esfera del mundo superior, último grado y suprema verdad, en la que […] ya sitúa Clemente el mundo de la fe”85. En relación con el tema platónico de los dos mundos, estaría la influencia que ejerce Platón sobre nuestro autor en la cuestión antropológica de la relación cuerpo-alma. Para ambos, estas dos realidades corresponderían a cada uno de los dos mundos. El alma al mundo inteligible, el cuerpo al mundo sensible. Cuando el Alejandrino trata la cuestión del alma racional y su creación en el hombre, se decanta por la tradición platónica y no por la estoica. Según Platón, el alma procede del mundo inteligible y se incorpora de forma violenta al mundo sensible. Sin embargo, en Clemente se observa una clara diferencia. El alma aparece por creación, y de forma natural se adhiere al cuerpo humano, posibilitando al hombre un dinamismo para la perfección. El maestro alejandrino se ve forzado a acomodar el pensamiento cristiano al pensamiento filosófico de su tiempo cuando habla del alma y de su división tripartita, de la que Platón ya había hecho referencia anteriormente. Clemente se sirve de la adaptación que ya había iniciado Filón, sin renunciar al lenguaje introducido posteriormente por el estoicismo. El Alejandrino toma de Platón la triple división del alma86: nous (alma racional), thymós (alma irascible) y epithymía (alma apetitiva). Pero Clemente elige la terminología paulina –que está influida en parte por el estoicismo–, a pesar de que el contenido es platónico, por lo que 84 J. A. LLAMAS MARTÍNEZ, “Influencias platónicas en el pensamiento de Clemente de Alejandría”, p. 243. 85 J. A. LLAMAS MARTÍNEZ, “Influencias platónicas en el pensamiento de Clemente de Alejandría”, p. 243. 86 Cf. L. RIVERA – A. VALENTINETTI, El libro y la carne (hermenéutica del libro), Universidad de Sevilla Secretariado de Publicaciones: Sevilla, 1998, pp. 96-97. Palabra y Razón | 95 A. Gerónimo. “Claves antropológicas del pensamiento de Clemente de Alejandría” en Palabra y Razón. Revista de Teología, Filosofía y Ciencias de la Religión. Nº 17 Julio 2020, pp 76-99 https://doi.org/10.29035/pyr.17.76 prefiere entender al hombre perfecto y total como compuesto de tres elementos87: sárx (cuerpo), psyché (alma racional) y pnéuma (espíritu). Al respecto dice: “por otra parte con el tres se podría entender la pasión, la concupiscencia y la razón; o también, la carne, el alma y el espíritu, según otra explicación”88. Aunque el alma racional, igual que en el pensamiento de Platón, es la encargada de gobernar el cuerpo en Clemente, se da en él un intento por cristianizar el dualismo platónico introduciendo una cierta unidad dinámica en el hombre. Por tanto, según Llamas Martínez se añade una cierta novedad en el concepto de hombre aportada por los pensadores del siglo II, entre los que se encuentra Clemente, en el que hay una clara distinción entre psyché y pneúma89. De esta manera, en opinión de Fernández Ardanaz, el hombre –para el intelectual cristiano–, está compuesto de alma y cuerpo, en el que el término psyché significa el soplo divino, por el cual el hombre participa racionalmente de Dios, y queda proyectado dinámicamente a una participación superior, que vendría significada por el tercer elemento del que se compone el ser humano (pnéuma), que perfecciona y salva al hombre por la fe90. Cabe destacar que Merino y Redondo91, sobre este mismo tema de la división del alma, discrepan con Meifort92, defendiendo que no se trata de una división tricotómica del alma en la estructura del hombre, como éste pretende, sino que Rohde93 ha demostrado que Platón se refería a tres clases diversas de ciudadanos. Por tanto, es mejor hablar de trinomía y no de tricotomía, puesta que esta última parte supone partes de un todo. Dentro de la antropología, otro de los temas donde se puede ver una indudable influencia platónica es en la búsqueda de la semejanza con 87 Cf. J. A. LLAMAS MARTÍNEZ, “Influencias platónicas en el pensamiento de Clemente de Alejandría”, p. 245 88 CLEMENTE DE ALEJANDRÍA, Strom., III, 68, 5 (FuP 10, p. 417). La primera división (pasión, concupiscencia y razón) recibe el nombre de trinómica y fue realizada por el pensamiento platónico-estoico, y la segunda (carne, alma y espíritu) alude a la que hace san Pablo en la 1ª Carta a los Tesalonicenses, aunque en este caso invierte el orden de los tres miembros y sustituye “cuerpo” por carne”; cf. M. SPANNEUT, Le Stoïcisme des Pères de l’Église…, pp. 167-175; cf. J. BERNARD, Die apologetische Methode bei Klemens von Alexandrien. Apologetik als Entfaltung der Theologie, Erfurter Theologische Studien 21: Leipzig, 1968, pp. 135-136. 89 Cf. J. A. LLAMAS MARTÍNEZ, “Influencias platónicas en el pensamiento de Clemente de Alejandría”, p. 245. 90 Cf. S. FERNÁNDEZ ARDANAZ, El mito del “hombre nuevo” en el siglo II: el diálogo cristianismo-helenismo, Fundación Universitaria Española: Madrid, 1991, p. 97. 91 Cf. M. MERINO – E. REDONDO, Clemente de Alejandría. El pedagogo, Ciudad Nueva, Fuentes Patrísticas 5: Madrid, 1994, p. 503. 92 Cf. J. MEIFORT, Der Platonismus bei Clemens von Alexandrien…, p. 25. 93 Cf. E. ROHDE, Psyche, Laterza: Bari, 1970, pp. 597-604. Palabra y Razón | 96 A. Gerónimo. “Claves antropológicas del pensamiento de Clemente de Alejandría” en Palabra y Razón. Revista de Teología, Filosofía y Ciencias de la Religión. Nº 17 Julio 2020, pp 76-99 https://doi.org/10.29035/pyr.17.76 la divinidad. La mayor parte de los autores que han estudiado esta cuestión coinciden en la dependencia clara que presenta el maestro alejandrino de Platón, a pesar de que toda esta temática llega a Clemente por vías como la bíblica o la filoniana94. Si queremos entender el aspecto de la semejanza con la divinidad es necesario matizar que, aunque los primeros intelectuales cristianos vieron en Platón un cierto monoteísmo, sin embargo, no es plenamente extrapolable la idea platónica de Dios a la idea de Clemente. Así pues, para el Alejandrino –influido en esta cuestión por el estoicismo y por la fe que profesaba–, Dios es un ser que se preocupa, que es providente y conduce la historia del hombre. Ambos –Platón y Clemente– hablan de una especie de liberarse ético para poder llegar a lo divino y de la importancia de contemplarlo. No obstante, esto no basta. No son suficientes el conocimiento y la gnosis para acceder a Dios. Clemente afirma la existencia de una fe irracional que permita la divinización del gnóstico en Dios, argumento que se desconoce en Platón, en el que lo divino se encuentra en el punto más elevado de la dialéctica95. La semejanza con la divinidad es para Platón el fin último. Por eso, la finalidad de unirse místicamente a la divinidad se lograría con la razón. Además, esta semejanza no implica un salir de la propia esencia del hombre. Según la visión de Llamas Martínez, “Esta visión platónica de la semejanza tiene en Clemente algunos matices en los que difiere de Platón, y que son explicables en el contexto filosófico y religioso que le tocó vivir al alejandrino. Así, en la época helenística la semejanza con la divinidad sirvió para expresar el sentimiento religioso del momento. Toda filosofía tiene un telos, y Clemente busca el telos de la filosofía, que encuentra reflejado en el Platonismo Medio. La novedad de Clemente respecto de Platón consiste en que la razón no basta para alcanzar la semejanza, en contra de lo que opinaba Platón. Alcanzar la semejanza lleva implícita una experiencia religiosa. El creyente tiene que buscar constantemente en la fe esta semejanza. Es por la entrega amorosa a Dios por la que se alcanza dicha semejanza, para nuestro autor, y no basta con poner el pensamiento y la razón en el Ser Supremo. Para el alejandrino existen dos caminos para llegar a esta meta: la prudencia y reflexión personal, por una parte, y la praxis moral, por otra, que conlleva la purificación 94 Cf. J. A. LLAMAS MARTÍNEZ, “Influencias platónicas en el pensamiento de Clemente de Alejandría”, p. 246. 95 Cf. J. A. LLAMAS MARTÍNEZ, “Influencias platónicas en el pensamiento de Clemente de Alejandría”, p. 246. Palabra y Razón | 97 A. Gerónimo. “Claves antropológicas del pensamiento de Clemente de Alejandría” en Palabra y Razón. Revista de Teología, Filosofía y Ciencias de la Religión. Nº 17 Julio 2020, pp 76-99 https://doi.org/10.29035/pyr.17.76 de los apetitos como condición previa al alma para asemejarnos a Dios. De esta manera Clemente se aleja de la línea intelectualista platónica y se aproxima a la línea del neoplatonismo de Plotino, que entiende la semejanza más como una unión mística con la divinidad”96. Clemente de Alejandría, dentro de esa visión místico-religiosa en la que entiende la semejanza, enumera una serie de virtudes necesarias para poder llegar a alcanzarla: la purificación, la carencia de necesidades, la liberación de las pasiones, la continencia, el verdadero amor, la mansedumbre, la piedad y la obediencia97. Por tanto, se puede vislumbrar que el Alejandrino se desenvuelve en una esfera predominantemente espiritual, relacionando los contenidos éticos con la experiencia religiosa. El pensamiento de Platón es el motivo, pero las diferencias entre ellos son más que evidentes, puesto que Platón no excede el ámbito de la filosofía, ya sea en la dimensión gnoseológica o en la ética. El maestro de Alejandría realiza una verdadera cristianización del pensamiento platónico, interpretándolo de distintos modos98. 7. Conclusiones El presente estudio presenta las claves antropológicas del pensamiento de Clemente de Alejandría que son de evidente interés sistemático e histórico en el campo de la patrística y de la filosofía griega en general. Por tanto, se trata de un estudio sinóptico, dirigido a perfilar una visión de conjunto de la antropología de Clemente de Alejandría. Ciertamente la antropología ha sido el caballo de batalla de la filosofía y la teología en todos los siglos, pero especialmente en los primeros siglos del cristianismo, siendo el Alejandrino el que inauguró la filosofía cristiana evidenciando la total complementariedad entre fe y filosofía. No obstante, para Clemente de Alejandría el Evangelio era poseedor del título de la verdadera filosofía, por eso interpretaba la filosofía griega como una instrucción propedéutica a la fe cristiana y una preparación para el Evangelio. Este estudio ofrece la visión antropológica de Clemente de Alejandría en temas de indudable interés como la disposición cuerpo96 J. A. LLAMAS MARTÍNEZ, “Influencias platónicas en el pensamiento de Clemente de Alejandría”, p. 248. 97 Cfr. CLEMENTE DE ALEJANDRÍA, Stromata, VII, 13, 1-4 (FuP 17, pp. 357-359). 98 Cf. J. A. LLAMAS MARTÍNEZ, “Influencias platónicas en el pensamiento de Clemente de Alejandría”, p. 249. Palabra y Razón | 98 A. Gerónimo. “Claves antropológicas del pensamiento de Clemente de Alejandría” en Palabra y Razón. Revista de Teología, Filosofía y Ciencias de la Religión. Nº 17 Julio 2020, pp 76-99 https://doi.org/10.29035/pyr.17.76 alma, el fin del hombre, el tema de la libertad y la apertura del hombre a la verdad. Además, concluye con una revisión y análisis sobre la influencia de Platón en la antropología del maestro cristiano. En este trabajo las citas textuales de las obras de Clemente de Alejandría han servido de referencia base y nos han guiado en el desarrollo de su antropología. Esta obra está bajo una licencia de Creative Commons Reconocimiento-No Comercial-Compartir Igual 4.0 Internacional. Palabra y Razón | 99.
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Caractérisation accélérée de la fatigue à grand nombre de cycles de pièces de fabrication additive par essais d'auto-échauffement par machine ultrasonique de fatigue. Matériaux. HESAM Université, 2023. Français. &#x27E8;NNT : 2023HESAE060&#x27E9;. &#x27E8;tel-04482520&#x27E9;
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Ce refroidissement rapide est utilisé pour mieux comprendre l’évolution de la microstructure à haute température mais le refroidissement du traitement sélectionné sera fait au four. Leurs microstructures 87 2.2. GÉNÉRATION ET CARACTÉRISATION DES DIFFÉRENTES MICROSTRUCTURES Figure 2.8 – Étude de la microstructure après un traitement de 3 h à 650 ◦ C refroidie à l’air. a) et b) Micrographies BSE dans un plan horizontal. c) Figure de pôles inverse d’une analyse EBSD réalisée avec un pas d’échantillonnage de 0,125 μm dans un plan horizontal. d) Figure de pôles inverse d’une analyse EBSD réalisée avec un pas de 0,5 μm dans un plan horizontal. e) Figure de pôles directe du scan EBSD d). f) Figure de pôles inverse d’une analyse EBSD réalisée avec un pas de 0,5 μm dans un plan vertical. sont présentées sur la Figure 2.9. Du fait du refroidissement à l’eau, la phase β, présente en plus grande quantité à haute température, s’est transformée en phase martensitique α’. Celle-ci apparait en clair sur les micrographies BSE. La phase α reste lamellaire après ces différents traitements. Un seuillage des images de la Figure 2.9 permet d’estimer la proportion de phase β à haute température. Cette proportion a été estimée à 57%, 77%, 80% et 87% aux températures respectives de 920 ◦ C, 940 ◦ C, 960 ◦ C et 980 ◦ C. Par extrapolation linéaire, la température à partir de laquelle la microstructure est entièrement composée de phase β (i.e. Tβ ) est estimée à 1000 ◦ C. Tβ est très dépendante de la proportion d’aluminium ou d’oxygène dans l’alliage. Hors, ces proportions sont connues pour la poudre mais pas pour la pièce fabriquée, une absorption d’oxygène ou une évaporation de l aluminium pouvant avoir lieu durant le procédé LPBF. Puisque la phase α reste lamellaire aux températures proches de Tβ, la température conventionnelle 2.2. GÉNÉRATION ET CARACTÉRISATION DES DIFFÉRENTES MICROSTRUCTURES Figure 2.9 – Micrographie BSE de la microstructure après un traitement de 2 h à a) 940 ◦ C, b) 940 ◦ C, c) 960 ◦ C et d) 980 ◦ C. Tous les refroidissements sont fait dans l’eau. de traitement de 920 ◦ C est choisie pour générer la deuxième microstructure d’étude. Une même microstructure doit être obtenue avec un traitement au four sur des échantillons de porosité P1 /P2 ou avec un traitement de HIP générant le niveau de porosité P0 (Figure 2.1). La Figure 2.10 présente la microstructure obtenue avec un traitement de 2 h à 920 ◦ C suivi d’un refroidissement au four. Le refroidissement au four est choisi puisque des vitesses de refroidissement similaires peuvent être réalisées avec une presse de HIP (Figure 2.11). Pendant le refroidissement au four, la vitesse moyenne de refroidissement entre 920 ◦ C et 450 ◦ C est de 0,04 ◦ C/s. Contrairement au four de traitement, la presse de HIP utilisée dans ces travaux permet de piloter la vitesse de refroidissement. Ainsi, en fin de traitement de HIP, le refroidissement est imposé à 0,04 ◦ C/s jusqu’à ce que la température soit inférieure à 450 ◦ C (Figure 2.11). Sous cette température, la vitesse de refroidissement n’a plus d’impact et est augmentée pour réduire le temps d’occupation de la presse de HIP. Aucune différence significative de microstructure n’est observée entre celle obtenue après un traitement de HIP de 2 h à 920 ◦ C ou par un traitement de 2 h à 920 ◦ C suivi d’un refroidissement au four (Figure 2.10.b-c). La microstructure obtenue après traitement à 920 ◦ C est lamellaire avec une largeur moyenne des lamelles α de 2,2 μm. Les lamelles α sont entourées d’un fin liseré de phase β d’une largeur de 0,2 à 0,5 μm. La hiérarchie des lamelles α’ décrite par Yang et al. [30] dans la microstructure brute (Figure 1.8) n’est plus visible, les lamelles secondaires et suivantes ont disparu lors de l’épaississement des lamelles α/α’ primaires (Figure 2.10.b-c). La phase martensitique a été entièrement décomposée lors du traitement [48][49]. Les grains, au sens cristallographique, correspondent aux lamelles α et la micro-texture issues des grains primaire-β est toujours présente sans signe d’une texture globale (Figure 2.10.d-f La troisième microstructure est obtenue suite à un traitement de 2 h à 1020 ◦ C suivi d’un refroidissement au four. C’est un traitement super-transus β durant lequel une recristallisation totale a lieu. 2.2. GÉNÉRATION ET CARACTÉRISATION DES DIFFÉRENTES MICROSTRUCTURES Figure 2.10 – Étude de la microstructure après un traitement de 2 h à 920 ◦ C refroidie au four. a) et b) Micrographies BSE dans un plan horizontal. c) Micrographie BSE dans un plan horizontal d’un échantillon P0 après traitement de HIP. d) Figure de pôles inverse d’une analyse EBSD réalisée avec un pas de 0,5 μm dans un plan horizontal. e) Figure de pôles directe du scan EBSD d). f) Figure de pôles inverse d’une analyse EBSD réalisée avec un pas de 0,5 μm dans un plan vertical. Lors d’un traitement super-transus β, la durée du palier pour lequel T > Tβ va définir la taille des grains β à chaud. S’il est suivi d’un refroidissement lent (≈ 0,04 ◦ C/s ici), des colonies de lamelles α + β de même orientation se forment à partir des grain β à chaud. La microstructure résultante est présentée sur la Figure 2.12. La largeur moyenne des lamelles α y est de 5 μm et celle des lamelles β de 0,5 μm. La comparaison de la figure de pôles inverse avec la cartographie de qualité d’un même scan EBSD (Figure 2.12.e-f) montre que les lamelles d’une même colonie ont une orientation cristalline unique, ce qui confirme que les colonies sont des grains au sens cristallographique du terme. Ces grains sont équiaxes et font en moyenne 200 μm de large. D’après les observations BSE (Figure 2.12.b), révélant principalement un contraste chimique, il n’y a pas liseré de phase β ni de phase α au bord des grains. Trois microstructures bien distinctes ont été produites avec des traitement thermiques simples. Celles-ci présentent des tailles de grains variant de 0,4 μm à 200 μm avec différents types de grains et 90 2.2. GÉNÉRATION ET CARACTÉRISATION DES DIFFÉRENTES MICROSTRUCTURES Figure 2.11 – Évolution temporelle de la température et de la pression lors des traitements à 920 ◦ C réalisés soit dans un four de traitement soit dans une presse de HIP. Figure 2.12 – Étude de la microstructure après un traitement de 2 h à 1020 ◦ C refroidie au four. a) et b) Micrographies BSE dans un plan horizontal. c) Micrographie optique après attaque chimique à l’agent Kroll dans un plan horizontal. d) Figure de pôles inverse d’une analyse EBSD réalisée avec un pas de 0,125 μm dans un plan horizontal. Analyse EBSD réalisée avec un pas de 0,5 μm dans un plan horizontal : e) figure de pôles inverse et f) cartographie de qualité. différentes phases présentes (Tableau 2.5). Ces trois microstructures seront dans la suite désignées par leur température de traitement : 650 ◦ C, 920 ◦ C et 1020 ◦ C. Les nuances étudiées ensuite seront désignées par leur niveau de porosité et leur température de traitement : P1 650 ◦ C, P0 920 ◦ C, P1 920 ◦ C, 91 2.3. CARACTÉRISATION DES POPULATIONS DE PORES PAR MICROTOMOGRAPHIE À RAYONS X P2 920 ◦ C et P1 1020 ◦ C. 2.2.3 Microstructure du Ti-6Al-4V forgé utilisé dans la thèse A titre de comparaison, des essais de caractérisation du comportement élasto-plastique et des essais d’auto-échauffement ont été réalisés sur une nuance de Ti-6Al-4V forgé. Cette nuance possède une microstructure bimodale (Figure 2.13), c’est à dire qu’elle contient à la fois des grains αp (α primaire) et des grains lamellaires α + β. Ici les grains mesurent en moyenne 10 μm avec une largeur moyenne les lamelles α dans les grains lamellaires de 0,7 μm et une fraction de grain αp proche de 30 %. Figure 2.13 – Micrographies BSE de la microstructure bimodale du Ti-6Al-4V forgé utilisé dans la thèse. 2.3 Caractérisation des populations de pores par microtomographie à rayons X Les paramètres de fabrication et de post-traitement permettant de produire les cinq nuances du Ti-6Al-4V ont été déterminés en analysant des échantillons de petite taille (≈ 10 mm). Pour des éprouvettes mécaniques de tailles plus importantes et imprimées verticalement, la porosité dans la zone de jauge des éprouvettes peut être différente de celle observée sur des échantillons cubiques de faible hauteur. En effet, la porosité peut varier en cours de fabrication à cause notamment des changements de conditions thermiques, de l’encrassement du filtre du circuit d’argon ou de l’encrassement du hublot de la chambre de fabrication par lequel passe le faisceau laser. D’autre part, les niveaux de porosité évalués auparavant l’ont été sur des pièces brutes de fabrication, les niveaux de porosité des éprouvettes traitées et usinées doivent donc être caractérisés. Ces éprouvettes ont toutes été imprimées verticalement, leur 92 2.3. CARACTÉRISATION DES POPULATIONS PORES PAR MICROTOMOGRAPHIE À RAYONS X direction longitudinale coı̈ncide avec celle de fabrication. La porosité de neuf éprouvettes d’essais ultrasoniques de fatigue a été analysée par microtomographie à rayons X au laboratoire Navier. Parmi les éprouvettes analysées, il y en a : deux de nuance P1 650 ◦ C, deux P0 920 ◦ C, deux P1 920 ◦ C, une P2 920 ◦ C et deux P1 1020 ◦ C. En quelques mots, la microtomographie à rayons X permet d’obtenir une cartographie 3D présentant un contraste d’absorption des rayons X. Pour l’obtenir, des radiographies 2D sont réalisées selon différents angles d’incidence des rayons X. Un traitement complexe de ces projections 2D permet de remonter à la cartographie d’absorption 3D. Le microtomographe utilisé est un modèle Ultratom de RX Solutions, équipé d’une source de rayons X L10801 (230 kV maximum) et d’un imageur Varex 4343 DX-I (3052 × 3052 pixels actifs avec une taille de pixel de 139 μm). La tension d’accélération utilisée pour la source est de 140 kV avec un courant de 28 μA. Sur chaque éprouvette, 2368 projections ont été réalisées. La cartographie 3D résultante est décrite par des voxels de taille 4 × 4 × 4 μm3. Le volume analysé décrit toute la longueur utile des éprouvettes et représente, sur toute l’épaisseur, une hauteur de 10,4 mm dans la direction longitudinale des éprouvettes. Ainsi, un volume effectif de matériau de 180 mm3 est analysé pour chacune des éprouvettes. Ce volume englobe l’ensemble de la zone où la contrainte est élevée durant l’essai ultrasonique de fatigue. Le contraste de l’image 3D obtenue est un contraste d’absorption des rayons X, le métal y apparait donc plus clair que les pores et l’air nant. Même si le Ti-6Al-4V possède deux phases ayant une chimie différente, leur taille étant faible devant celle des voxels, le matériau dense apparait homogène. Étant donnée la taille relativement grande des voxels par rapport aux pores étudiés, un traitement utilisant un simple seuillage de l’intensité donnerait une estimation grossière de la taille des pores. Pour traiter ces données, deux seuils d’intensité d’absorption sont définis pour chacun des scans. Une intensité basse Ip en dessous duquel les voxels sont considérés comme uniquement constitués de vide/gaz et une haute Im au dessus de laquelle les voxels sont uniquement constitués de matériau dense. Les voxels décrivant une zone en partie composée de matériau et de vide auront une intensité intermédiaire. 2.3. CARACTÉRISATION DES POPULATIONS DE PORES PAR MICROTOMOGRAPHIE À RAYONS X Estimation du volume d’un pore en tomographie : V olumepore = V olumevoxel N ∑ Im − IM i I − Ip i=0 m avec IMi : intensité au point Mi tel que IMi ← Ip si IMi < Ip (2.3) IMi ← Im si IMi > Im N : nombre de voxel dans le pore, tel que : IMi < Im Im, Ip : intensités seuils de la matière et des pores Pour traiter les données de tomographie, un code Python a été développé. L’analyse des pores utilise principalement la bibliothèque de traitement sci-kit image et pour quelques fonctions comme celle calculant la sphéricité des pores la bibliothèque porespy. Ici, la taille des pores est définie comme √ 3 V olume. Afin d’avoir une estimation précise de la taille, seuls les pores d’une taille de 15 voxels ou √ plus ( 3 V olume > 10 μm) sont considérés lors du traitement des données. L’incertitude relative sur la taille des pores est donnée par l’Équation 2.4. Incertitude relative sur la taille d’un pore : 1 σ(IMi ) σ(V olumepore ) =√ V olumepore N Im − Ī avec Ī : intensité moyenne dans le pore (2.4) σ(IMi ) : écart-type de l’intensité dans la matière dense N : nombre de voxels dans le pore, tel que : IMi < Im Compte tenu du rapport signal sur bruit des différents scans réalisés, la taille des pores considérés est estimée avec une erreur maximale de 10 %. Les résultats de l’évaluation de la porosité par microtomographie X sont résumés dans le Tableau 2.4. Les taux de porosité, très faibles pour les éprouvettes P1, y sont donnés en ppm (1 ppm = 0,0001 %). L’incertitude sur le taux de porosité moyen dans chaque éprouvette a été estimée en cumulant l’incertitude sur la taille de chaque pore, calculée avec l’Équation 2.4. L’incertitude sur la taille des plus grands pores est négligeable et n’est donc pas donnée dans le Tableau 2.4. Comme dans la méthode √ Areaef f de Murakami [64], le traitement des données considère comme un pore unique les groupes de pores séparés par une distance inférieure à la taille du plus petit pore. 2.3. CARACTÉRISATION DES POPULATIONS DE PORES PAR MICROTOMOGRAPHIE À RAYONS X Nuance Taux de porosité (ppm) Plus grand pore (μm) Densité de pore > 10 μm (mm−3 ) Sphéricité moyenne Taux de porosité (ppm) Plus grand pore (μm) Densité de pore > 10 μm (mm−3 ) Sphéricité moyenne P1 650 ◦ C 3 ± 0, 1 51 0,6 0,68 2 ± 0, 1 24 0,7 0,41 P0 920 ◦ C <1 < 10 0,0 <1 < 10 0,0 P1 920 ◦ C 11 ± 0, 4 44 2,2 0,81 3 ± 0, 2 33 0,6 0,56 P2 920 ◦ C 10713 ± 20 260 117,3 0,62 P1 1020 ◦ C 2 ± 0, 2 36 0,7 0,38 2 ± 0, 1 35 0,4 0,64 Tableau 2.4 – Résultats de l’analyse de la porosité par microtomographie X. Leur taille est définie à partir du volume convexe autour du groupe. Ceci est notamment utilisé pour considérer les manques de fusion qui peuvent apparaitre comme plusieurs pores distincts à cause de leur épaisseur proche de la taille de voxel et de la présence de ligaments au sein du manque de fusion. Cette approche permet également de prendre en compte la nocivité des clusters de pores. Pour étudier la distribution des grands pores, la stratégie Block maxima telle que définie dans [114] a été utilisée. Le volume scanné a été divisé en 60 sous-volumes correspondant à des tirages de la variable taille de pore. Pour chaque sous-volume, le traitement retient la taille du plus grand pore dont le centre se trouve dans le sous-volume. La distribution en taille de pores est représentée en variable réduite de Gumbel (Figure 2.14.a). Dans la Figure 2.14.a, les points avec une taille de défaut de 0 μm correspondent aux sous-volumes dans lesquels aucun pore n’a été détecté. Le plus grand pore trouvé dans l’éprouvette de √ porosité P2 fait 3 V olume = 260 μm et n’est pas représenté dans la Figure 2.14.a pour plus de lisibilité. Bien que les taux de porosité des éprouvettes imprimées avec les paramètres donnant le niveau P1 soient différents (Tableau 2.4), la taille de leur plus grand pore et leur distribution en variable réduite de Gumbel sont similaires. Ceci confirme donc la répétabilité du niveau de porosité P1 d’une éprouvette à l’autre. La Figure 2.14.a montre que la distribution de la taille des grands pores dans l’éprouvette P2 est bien distincte de celle des pièces P1. Le taux de porosité moyen dans l’éprouvette P2 est de √ 1,07% avec une densité de pores, tels que 3 V olume > 10 μm, de 117,3 mm−3. Dans les éprouvettes P0, aucun pore n’a été détecté. Ceux-ci ont donc bien été refermés par le traitement de HIP. Lors de l’analyse de la forme des pores, il n’est pas possible de faire une pondération sur les voxels en partie composés de matière comme faite pour estimer le volume des pores (Équation 2.3). La sphéricité est calculée pour chaque pore, défini comme le groupe de voxels adjacents tel que IMi < Im, selon l’Équation 2.5. 2.3. CARACTÉRISATION DES POPULATIONS DE PORES PAR MICROTOMOGRAPHIE À RAYONS X Figure 2.14 – Résultats issus des mesures par microtomographie X. a)√Distribution de la taille des grands pores en variable réduite de Gumbel. b) Sphéricité selon la taille 3 V olume des pores détectés. Définition de la sphéricité utilisée ici : S= (4π)1/3 (3V olume)2/3 Aire2surf ace (2.5) √ La sphéricité est représentée en fonction de la taille des pores 3 V olume sur la Figure 2.14.b. La majorité des pores sont relativement sphériques, ce qui correspond bien à des pores de type bulle de gaz ou de type keyhole pour les grands pores de l’éprouvette P2. Certains pores ont une sphéricité supérieure à 1, ceci est dû au fait qu’ils ne sont représentés que par un faible nombre de voxels et que l’aire de leur surface est mal évaluée. Certains grands pores ont une faible sphéricité ce qui pourrait correspondre à des pores de type manque de fusion. La sphéricité moyenne des pores détectés dans chaque éprouvettes est donnée par le Tableau 2.4. Les fortes variations de cette valeur moyenne d’une éprouvette de porosité P1 à l’autre semblent liées au relativement faible nombre de voxels décrivant la majorité des pores détectés. La Figure 2.15 montre la projection dans le plan perpendiculaire à la direction de fabrication des pores détectés dans une éprouvette de porosité P1 et une éprouvette de porosité P2. La Figure 2.15 prouve que la génération des pores dans des pièces de porosité P1 et P2 est homogène. Avec le traitement considérant les pores en interaction comme des pores uniques, on remarque que les plus grands pores détectés dans l’éprouvette de porosité P2 sont des groupes de pores interagissant (Figure 2.15.c). Ces pores, détectés comme des pores distincts, semblent pour la plupart être des parties de manques de fusion. Les résultats de l’analyse par microtomographie X confirment que les paramètres de fabrication et de traitement retenus donnent bien trois niveaux de porosité reproductibles et distincts. En plus des pores, les données de microtomographie ont révélé la présence d’une dizaine d’inclusions √ par éprouvette telles que 3 V olume > 10 μm. Les plus grandes font 40 μm. Leurs fréquence ne semble pas dépendre de la microstructure et donc du post-traitement thermique. Les inclusions détectées ont une intensité d’absorption bien supérieure à Im et sont donc composées d’élément ayant des numéros atomiques supérieurs au titane (Z = 22) ou au vanadium (Z = 23). Le rapport d’intensité entre le métal et les inclusions n’est pas constant d’une inclusion à l’autre. La composition chimique de ces inclusions n’a donc pas pu être déterminée. Figure 2.15 – Distribution spatiale des pores détectés par microtomographie pour laquelle la hauteur analysée était de 10,4 mm. a) et b) projections 2d dans le plan perpendiculaire à la direction de fabrication. a) Éprouvette de nuance P1 920 ◦ C. b) Éprouvette de nuance P2 920 ◦ C. c) Vue 3D des pores détectés dans l’éprouvette de nuance P2 920 ◦ C. d) Positions longitudinale et radiale des pores de taille > 20 μm (> 80 μm pour P2 ) détectés dans les différentes éprouvettes. 2.4 Résumé des points principaux Les stratégies de fabrication développées ici permettent d’obtenir trois niveaux de porosité différents et reproductibles au sein d’une même microstructure obtenue après traitement à 920 ◦ C et par 97 2.4. RÉSUMÉ DES POINTS PRINCIPAUX ailleurs trois microstructures distinctes avec un même niveau de porosité P1. La morphologie et la cristallographie des différentes microstructures ont été caractérisées. Les niveaux de porosité ont été caractérisés par leur taux de porosité, par l’analyse de la taille la forme des pores et en terme de répartition spatial des pores. Les paramètres de fabrication LPBF et les paramètres de post-traitements thermiques choisis sont rappelés dans le Tableau 2.5 avec certaines caractéristiques microstructurales des cinq nuances générées. Nuance LPBF : balayage laser Température de traitement (◦ C) Durée de traitement Refroidissement Pression de traitement (bar) Largeur des lamelles α (μm) Largeur des grains (μm) Type de grain Phases présentes Taux de porosité (ppm) P1 650 ◦ C Traversant 650 3h Air 0, 4 ± 0, 1 0, 4 ± 0, 1 Lamelle α α’, α+β 2−3 P0 920 ◦ C Traversant 920 2h 0,04 ◦ C/s 2000 2, 2 ± 0, 3 2, 2 ± 0, 3 Lamelle α α+β <1 P1 920 ◦ C Traversant 920 2h Four P2 920 ◦ C Damier de 4,7 mm 920 2h Four P1 1020 ◦ C Traversant 1020 2h Four 2, 2 ± 0, 3 2, 2 ± 0, 3 Lamelle α α+β 3 − 11 2, 2 ± 0, 3 2, 2 ± 0, 3 Lamelle α α+β 10713 ± 20 5, 0 ± 1, 0 200 ± 24 Colonie α+β α+β 2 Tableau 2.5 – Résumé des paramètres de fabrication et des principales caractéristiques microstructurales des cinq nuances de Ti-6Al-4V étudiées dans la thèse. Une fois la stratégie de génération de nuances déterminée, les éprouvettes mécaniques de la thèse ont été fabriquées et traitées. Celles-ci ont été fabriquées sur sept plateaux de fabrication LPBF. Toutes sont fabriquées verticalement, l’anisotropie des propriétés du Ti-6Al-4V par LPBF n’étant pas étudiée dans cette thèse. Le taux de remplissage surfacique des plateaux de fabrication est compris entre 15 et 20%. Certaines fabrications longues, c’est à dire pour lesquelles la hauteur fabriquée est importante, ont dues être interrompues afin de changer le filtre du circuit d’argon ou pour des problèmes divers. Ces interruptions n’ont jamais eu lieu au moment de la fabrication de la de jauge des éprouvettes. Au total 131 éprouvettes ont été fabriquées pour la thèse. Dans un premier temps, ces éprouvettes ont permis une caractérisation conventionnelle des propriétés mécaniques des cinq nuances. Pour cela des essais de traction monotone, des essais de comportement élasto-plastique cyclique et des essais conventionnels de fatigue ont été réalisés. Chapitre 3 Caractérisations conventionnelles du comportement élasto-plastique statique et cyclique et du comportement en fatigue 99 3.1. CARACTÉRISATION DU COMPORTEMENT ÉLASTO-PLASTIQUE La réponse aux objectifs de la thèse repose principalement sur les résultats de caractérisation accélérée de la fatigue à grand nombre de cycles qui seront présentés dans les prochains chapitres. Puisque les méthodes accélérées étudiées ici (machine ultrasonique de fatigue, détermination de limites de fatigue par essai d’auto-échauffement) ne sont pas encore utilisées pour dimensionner des pièces de structure dans un cadre normé, il est nécessaire d’analyser leurs résultats en prenant pour référence des essais conventionnels de fatigue réalisés sur machine servo-hydraulique. Afin d’interpréter les résultats des méthodes rapides, il nous faut aussi connaitre les variations de dureté et de comportement élasto-plastique entre les nuances matériau étudiées dans la thèse. Enfin, pour permettre une modélisation numérique des essais, des lois de comportement reflétant le comportement élasto-plastique cyclique des nuances doivent être déterminées. Ainsi ce chapitre présente : des mesures de dureté et de module dynamique, des résultats d’essais de traction, de comportement cyclique et des résultats d’essais conventionnels de fatigue. Tous les essais mécaniques de la thèse ont été réalisés à température ambiante et pour toutes les éprouvettes, la direction de fabrication et celle de sollicitation sont confondues. 3.1 Caractérisation du comportement élasto-plastique 3.1.1 Mesure de module d’Young dynamique et de dureté La géométrie des éprouvettes ultrasoniques de fatigue est déterminée de façon à ce que le premier mode libre de vibration longitudinale de l’éprouvette soit dans la plage de fréquence de fonctionnement de la machine. La fréquence de ce mode dépend de la densité et du module dynamique du matériau. La valeur du module d’Young est plus incertaine que celle de la densité et peut varier selon la microstructure de l’alliage. Une mesure de module dynamique a donc été réalisée pour les nuances P1 650 ◦ C et P1 1020 ◦ C selon la norme ASTM E1876 avec une machine Grindosonic MK7. Pour cela, deux plaquettes de 2 × 30 × 134 mm3 on été imprimées puis traitées respectivement à 650 ◦ C et à 1020 ◦ C. Le module dynamique est ensuite déterminé en cherchant la fréquence de résonance en flexion plane de la plaquette. Connaissant cette fréquence (≈ 700 Hz ici), les dimensions de l’éprouvette et la densité du matériau (ρ = 4420 kg/m3 [102]), on calcule le module d’Young dynamique. Les résultats de ces mesures sont présentés dans le Tableau 3.1. Dans le modèle de Murakami (Équation 1.12), la nocivité d’un défaut en fatigue est liée à la dureté 100 3.1. CARACTÉRISATION DU COMPORTEMENT ÉLASTO-PLASTIQUE Nuance Module (GPa) Microdureté (HV) P1 Brute 376 ± 9 P1 650 ◦ C 116 374 ± 6 P0 920 ◦ C P1 920 ◦ C P2 920 ◦ C 368 ± 9 352 ± 7 338 ± 4 P1 1020 ◦ C 119 321 ± 21 Tableau 3.1 – Module dynamique et microdureté Vickers des différentes nuances du Ti-6Al-4V. du matériau [64]. Afin d’évaluer ce modèle, une mesure de microdureté Vickers a été faite sur les cinq nuances d’étude ainsi que sur un échantillon brut de fabrication et de porosité P1. La mesure a été faite avec un duromètre Clemex CMT.HD et une charge de 9,8 N. Le Tableau 3.1 donne les valeurs de dureté mesurées. Elles correspondent à la moyenne des 10 points de mesure effectués sur chaque échantillon. Le traitement de détensionnement à 650 ◦ C n’affecte pas la dureté de la nuance brute mais celle-ci diminue avec la température pour les traitements à plus haute température. Une plus grande dispersion des mesures est observée pour la nuance P1 1020 ◦ C puisque ses grains ont une taille proche de celle de l’empreinte et que leur orientation cristalline varie d’un point de mesure à l’autre. La dureté diminue aussi légèrement avec l’augmentation du niveau de porosité. 3.1.2 Essais de traction monotone Une caractérisation du comportement monotone a été effectuée, en prenant soin de vérifier les éventuels effets liés à la vitesse de déformation. Pour chacune des cinq nuances du Ti-6Al-4V par LPBF, une éprouvette a été testée en traction monotone sur une machine servo-hydraulique MTS model 322.21 d’une capacité maximale de 100 kN. Leur géométrie, présentée sur la Figure 3.1, est obtenue par usinage à partir des barreaux imprimés de diamètre 13 mm et de longueur 100 mm. Les essais réalisés comportent un saut de vitesse de déformation suivi d’une étape de relaxation. Ceci permet avec une seule éprouvette d’évaluer le comportement à faible déformation plastique et d’avoir des informations sur la sensibilité à la vitesse de déformation et sur le comportement visqueux de la nuance. La vitesse de déformation est imposée à 10−2 s−1 jusqu’à ce que la déformation atteigne 2 %, puis elle est soudainement modifiée à 10−3 s−1 jusqu’à ce que la déformation atteigne 4 %, puis elle est de nouveau de 10−2 s−1 jusqu’à 5 %. Cette dernière déformation a été maintenue pendant 5 minutes pour l’étape de relaxation. La vitesse de déformation de 10−2 s−1 a été choisie car c’est la plus élevée qui permettent un bon suivi de consigne sur cette machine d’essai. D’autre part, un essai de traction a été réalisé sur une éprouvette de Ti-6Al-4V forgé de microstructure bimodale (Figure 2.13). Cette essai a été réalisé avec un pilotage en force avec une géométrie d’éprouvette identique à celle de la 101 3.1. CARACTÉRISATION DU COMPORTEMENT ÉLASTO-PLASTIQUE Figure 3.1 hormis le rayon de courbure au niveau de la réduction de section Figure 3.1 – Géométrie des éprouvettes utilisées pour les essais de traction, de comportement élastoplastique cyclique et pour certains essais d’auto-échauffement (mm). Les courbes contrainte-déformation des essais de traction sont représentées sur la Figure 3.2. Quelque soit la nuance, le comportement du Ti-6Al-4V de fabrication additive ou forgé de microstructure bimodale est proche d’un comportement élastique parfaitement plastique. Le Tableau 3.2 présente pour chaque nuance la limite d’élasticité à 0,2 % de déformation plastique et la contrainte visqueuse relaxée pendant 5 minutes à une déformation fixe de 5 %. L’éprouvette P1 650 ◦ C s’est cassée en dehors de la jauge de l’extensomètre avant l’étape de relaxation. Les autres éprouvettes ne se sont pas rompues pendant l’essai. Les différentes microstructures influencent fortement la résistance à la déformation plastique. La relation entre la taille de grain d et la limite d’élasticité σy suit une relation √ de Hall-Petch : σy = σ0 + √kd de paramètre σ0 = 830 MPa et k = 0,25 MPa m. Ici, d correspond à la largeur de lamelle α pour les nuances 650◦ C et 920◦ C. Pour la nuance P1 1020◦ C, d est choisi comme la largeur des colonies α + β au sein desquelles les lamelles α ont une même orientation cristalline et ne constituent donc pas de barrière forte contre le mouvement des dislocations. Relativement à la microstructure, les différents niveaux de porosité étudiés ici ont un impact faible sur le comportement en traction. La limite d’élasticité est réduite de 5 % lorsque le taux de porosité passe de P0 ≈ 0 % à P2 ≈ 1 %. Cette réduction n’est pas linéaire avec le taux de porosité. Les valeurs de contrainte visqueuse relaxée et celles de chute de contrainte lors du changement de vitesse de déformation sont très proches d’une nuance à l’autre (Tableau 3.2). Ainsi les cinq nuances étudiées ici ont une même sensibilité à la vitesse de déformation. Cette sensibilité peut être évaluée avec le coefficient m tel que σ = σ0 ( ε̇ ε̇0 )m, avec ε̇0 = 1 s−1. En prenant les valeurs de contrainte et de vitesse de déformation avant et après le changement de vitesse à 2 %, on estime : m ≈ 0, 02 dans la gamme de vitesse de déformation [10−3 s−1 − 10−2 s−1 ]. Cette sensibilité n’est pas négligeable mais peut être considérée comme faible pour un métal. 3.1. CARACTÉRISATION DU COMPORTEMENT ÉLASTO-PLASTIQUE Figure 3.2 – Courbes contrainte-déformation des essais de traction. La vitesse de déformation était de 10−2 s−1 pour les déformations de 0 à 2 % et de 4 à 5 %. Elle était de 10−3 s−1 pour les déformations de 2 à 4 %. Puis la déformation à 5 % à été maintenue pendant 5 minutes pour l’étape relaxation des contraintes. La courbe de traction (pilotage force) d’une éprouvette de Ti-6Al-4V forgé de microstructure bimodale est tracée pour comparaison. Nuance Module d’Young Re0,2% (MPa) Chute de contrainte à 2 % (MPa) Contrainte relaxée (MPa) P1 650 ◦ C 118 1235 45 P0 920 ◦ C 120 1047 51 113 P1 920 ◦ C 121 1024 51 138 P2 920 ◦ C 115 992 50 150 P1 1020 ◦ C 115 850 50 132 Forgé 910 Tableau 3.2 – Résultats des essais de traction à deux vitesses de déformation suivis d’une étape de relaxation de 5 min à ε = 5 %. 3.1.3 Essais de comportement élasto-plastique cyclique Afin de mieux comprendre la résistance en fatigue des nuances étudiées dans ces travaux, il est nécessaire de connaitre leur comportement élasto-plastique cyclique, en particulier pour de faibles déformations plastiques. Pour minimiser le nombre d’essais et évaluer l’écrouissage cyclique, l’approche par niveaux croissants de déformation est utilisée. Ainsi, un essai de comportement cyclique a été réalisé pour chacune des cinq nuances du Ti-6Al-4V par LPBF étudiées dans la thèse ainsi que pour du Ti6Al-4V forgé. La géométrie des éprouvettes utilisées est celle donnée dans la Figure 3.1. Lors de l’essai, la déformation suit un signal triangulaire de sorte que la vitesse de déformation soit constamment de 5.10−3 s−1. Le rapport de charge est de Rε = −1. Des paliers de chargement avec une amplitude de déformation croissante sont réalisés avec différents nombres de cycle (Tableau 3.3). Un nombre de 103 3.1. CARACTÉRISATION DU COMPORTEMENT ÉLASTO-PLASTIQUE cycles plus important a été réalisé pour le palier à ±0,6 % de déformation puisque la stabilisation du comportement cyclique est plus lente pour de faibles déformations plastiques. Pour l’essai réalisé sur le Ti-6Al-4V forgé, les amplitudes de déformation imposées sont légèrement différentes (Figure 3.4.f). Le comportement en fin de chaque palier est bien stabilisé au vu de l’évolution de l’amplitude de contrainte au cours des cycles. Amplitude de déformation (%) Nombre de cycles 0,2 50 0,4 100 0,6 250 0,8 100 1,0 100 1,2 100 1,4 100 Tableau 3.3 – Paliers de chargement effectués lors des essais de comportement élasto-plastique cyclique sur les cinq nuances du Ti-6Al-4V par LPBF. Les résultats de ces essais ont été traités à l’aide d’un code de traitement Python développé par l’ONERA, ce code permet d’extraire le module d’Young, la déformation plastique, la plasticité cumulée, l’écrouissage cinématique et l’écrouissage isotrope au cours de chaque demi-cycle en traction ou en compression. Quelques résultats issus de ce traitement sont donnés dans le Tableau 3.4. L’estimation du domaine élastique est faite pour chaque demi-cycle selon la méthode présentée sur la Figure 3.3. La fin du domaine élastique est évaluée de façon similaire à celle pour estimer Re0,05%. C’est à dire que le domaine élastique s’arrête au dernier point expérimental compris entre la droite de module estimée sur les tous premiers points du demi-cycle et une droite parallèle décalée de δpl = 0,05 %. Ce décalage plastique a été fixé selon le rapport signal sur bruit des données. La valeur asymptotique C/D de l’écrouissage cinématique X est estimée par sa valeur pour les plus grandes déformations plastiques atteintes durant l’essai. Celle de l’écrouissage isotrope Q est déterminée par son évolution avec la plasticité cumulée (Tableau 3.4). Nuance Re0,05% (MPa) Q (MPa) C/D (MPa) P1 650 ◦ C 950 -300 420 P0 920 ◦ C 900 -240 380 P1 920 ◦ C 900 -240 380 P2 920 ◦ C 860 -200 P1 1020 ◦ C 800 -170 280 Forgé 800 -230 320 Tableau 3.4 – Résultats du traitement des essais de comportement élasto-plastique cyclique. R0 est la taille initiale du domaine élastique, Q est la valeur asymptotique de l’écrouissage isotrope c’est à dire la réduction du domaine élastique, C/D est la valeur de asympt otique de l’écrouissage cinématique. C/D n’était pas saturé en fin d’essais pour l’éprouvette P2 920 ◦ C. Les valeurs correspondent à la moyenne de celles déterminées en traction et en compression. Les cour bes contrainte-déformation des essais de comportement sont présentées sur la Figure 3.4. Les éprouvettes de nuance P2 920 ◦ C et P1 1020 ◦ C, d’une résistance mécanique moindre, se sont rom 3.1. CARACTÉRISATION DU COMPORTEMENT ÉLASTO-PLASTIQUE 1 500 1 000 500 -0.01 -0.008 -0.006 -0.004 -0.002 0.002 0.004 0.006 0.008 0.01 -500 -1 000 calculated slope -1 500 offset Figure 3.3 – Identification du comportement élasto-plastique cyclique. Le module d’Young E, la limite du domaine élastique σy, la taille du domaine élastique σef f, l’écrouissage cinématique X et l’amplitude de contrainte σmax − σmin identifiées à chaque demi-cycle en traction ou en compression. D’après [115]. pues au palier à ±1,2 %. Les autres éprouvettes de FA se sont rompues au palier suivant à ±1,4 % et celle forgée s’est rompue au palier à ±1,5 %. Comme observé par Kourousis et al. [93], l’énergie de déformation plastique (i.e. l’aire de la boucle d’hystérésis en contrainte-déformation) est plus faible pour les nuances de FA traitées à 650 ◦ C ou 920 ◦ C que la nuance forgée (Figure 3.4). En cas de traitement à 1020 ◦ C, la résistance diminue et la ductilité augmente ce qui conduit à un comportement proche de celui du Ti-6Al-4V forgé. Le comportement cyclique des nuances P0 920 ◦ C et P1 920 ◦ C est identique et non influencé par la faible porosité P1. La nuance P2 920 ◦ C possède une résistance mécanique légèrement inférieure aux autres de microstructure identique. D’autre part, toutes les nuances présentent un adoucissement cyclique important (Figure 3.5.a), c’est à dire une diminution de l’amplitude de contrainte au cours des cycles et une diminution de la taille du domaine élastique. La Figure 3.5 .b présente l’ évolution de l’ écro uissage cinématique lors de l’ essai sur la nuance P1 920 ◦ C. Toute les nuances présentent une asymétrie traction-compression. La contrainte maximale att einte en compression |σc | est supérieure à celle en traction |σt | et ceci même pour les paliers é lastiques . En effet le Ti-6Al-4V possède un module d’Young légèrement différent entre traction et compression [88]. Quelle que soit la nuance ou le niveau de déformation, le facteur d’asymétrie sur les contraintes, 3.1. CARACTÉRISATION DU COMPORTEMENT ÉLASTO-PLASTIQUE Figure 3.4 – Courbes contrainte-déformation des essais de comportement cyclique. a-e) Nuances du Ti-6Al-4V par LPBF. f) Ti-6Al-4V forgé. c |−|σt | définit comme : 2 |σ |σc |+|σt | est proche de 5 %. Cette asymétrie se retrouve sur l’écrouissage cinématique qui présente un décalage vers les contraintes négatives (Figure 3.5.b). 3.1.4 Identification de lois de comportement élasto-plastique L’identification de lois de comportement est réalisée afin de permettre une modélisation des essais cycliques, notamment des essais d’auto-échauffement. Cette identification est basée principalement sur le comportement élasto-plastique cyclique caractérisé dans la Section 3.1.3. Afin de prendre de compte les différences de résistance et de ductilité des trois microstructures du Ti-6Al-4V par LPBF, 106 3.1. CARACTÉRISATION DU COMPORTEMENT ÉLASTO-PLASTIQUE Figure 3.5 – Traitement de l’essai de comportement cyclique de la nuance P1 920 ◦ C. a) Courbe de traction monotone et courbe d’amplitude de contrainte cyclique stabilisée. b) Évolution de l’écrouissage cinématique selon la déformation plastique. on recherche une loi de comportement pour chacune d’entre elles : 650 ◦ C, 920 ◦ C et 1020 ◦ C. Le comportement cyclique est identique entre les nuances P0 920 ◦ C et P1 920 ◦ C, ce qui signifie que la faible porosité présente dans le niveau P1 ne semble pas affecter le comportement cyclique macroscopique. D’autre part, l’effet de la porosité P2 sera pris en compte pour la modélisation des essais d’auto-échauffement en modélisant explicitement les pores et non par identification d’une loi de comportement pour P2 920 ◦ C. Les trois lois sont déterminées de sorte à avoir les mêmes types d’écrouissage et le même critère de plasticité. Ces lois de comportement doivent : — représenter le comportement cyclique du matériau, en particulier pour une déformation plastique inférieure à 0,4 %. Ceci correspond aux paliers où l’amplitude de déformation totale était de ±1,2 % ou moins. Ce niveau de plasticité macroscopique est supérieur à ceux atteints lors des essais d’auto-échauffement. — prendre en compte l’asymétrie de contrainte maximale entre traction et compression lors d’un essai en déformation imposée. Celle-ci se traduit par un phénomène de rochet positif (i.e. augmentation de la déformation moyenne) lors d’essai piloté en force même pour Rσ = −1. — prendre en compte l’adoucissement cyclique. Lors de la détermination d’une loi de comportement, de nombreux paramètres doivent être déterminés à partir d’un nombre réduit de données expérimentales. Ainsi, différentes hypothèses simplificatrices sont prises : — L’asymétrie de module entre traction et compression est négligée. Le comportement élastique anisotropie des propriétés mécaniques du matériau n’est pas étudiée dans ces travaux, les essais de caractérisation et ceux de fatigue ont tous été réalisés selon la direction de fabrication. Ainsi le comportement élasto-plastique est supposé isotrope. Pour déterminer certains coefficients des lois de comportement, le module Z-opt du code de calcul Zset a été utilisé. Le code de calcul Zset est développé en partie par l’ONERA et sera utilisé pour la modélisation de l’auto-échauffement par calcul éléments finis. Z-opt est un module d’optimisation sous contrainte qui permet de déterminer les valeurs de paramètre en comparant des données expérimentales à celles obtenues par intégration de la loi matériau sur un élément de volume. En pratique, il faut fixer de manière manuelle une partie des coefficients de la loi et utiliser Z-opt pour en déterminer un nombre réduit. Les choix effectués dans la démarche d’identification sont les suivants : — Les lois sont identifiées à partir des résultats des paliers de chargement à ±0,6 %, ±0,8 %, ±1,0 % et ±1,2 % de déformation. Les paliers à ±0,2 % et ±0,4 % étant purement élastiques et celui à ±1,4 % n’a pas été atteint lors de tous les essais. — L’asymétrie traction-compression est modélisée à l’aide d’un critère de plasticité asymétrique. Le même critère est utilisé pour les trois microstructures. — L’adoucissement est représenté à l’aide d’un écrouissage isotrope non linéaire négatif (Q < 0) ; tel que R = R0 + Q(1 − e−bp ) [116] avec R0 la valeur initiale de la limite l’élasticité, Q la valeur asymptotique de l’écrouissage, b le paramètre de vitesse de saturation et p la plasticité cumulée. Le paramètre b, lié à la vitesse de stabilisation de l’amplitude cyclique de contrainte, est choisi identique pour les trois microstructures. — L’écrouissage cinématique est représenté par la somme de deux écrouissages non linéaires de type Amstrong-Frederick [117] ayant des vitesses de saturation bien distinctes. Ces écrouissages ̇ = 2 Cε̇p − DX avec X la variable l’écrouissage sont définis par une loi incrémentale : X 3 cinématique et εp la déformation plastique. Le paramètre D contrôle la vitesse de saturation de l’écrouissage de valeur asymptotique C/D. Pour les trois lois recherchées, les valeurs D sont choisies identiques et les valeurs C sont déterminées par optimisation après avoir choisit les autres coefficients de la loi. Pour modéliser le comportement des métaux, une loi de comportement nécessite un critère de plasticité. A partir des fonctions de charge f (σ), les critères de plasticité, permettent de distinguer 3.1. CARACTÉRISATION DU COMPORTEMENT ÉLASTO-PLASTIQUE le domaine élastique du domaine plastique selon le niveau de chargement. Ils s’écrivent en général : f (σ) = σeq − R − R0 ≤ 0, avec σeq la contrainte équivalente définie différemment pour chaque critère. Si le chargement induit f (σ) = 0 et f (σ̇ ) = 0, il y a alors écoulement plastique. Le critère de von Mises, donné par l’Équation 3.1, est le plus utilisé pour les métaux. Ce critère isotrope et symétrique entre traction et compression ne sera pas utilisé mais sert de référence pour les autres critères. √ 1 σeq,M ises = ((σI − σII )2 + (σII − σIII )2 + (σI − σIII )2 ) = 2 avec σI, σII et σIII : les contraintes principales √ 3 dev (σ : σ dev ) 2 (3.1) σ dev : le tenseur déviatorique des contraintes Afin de modéliser l’asymétrie traction-compression, il est possible d’utiliser un critère de plasticité asymétrique, ce qui est fait dans ce travail. Une alternative serait d’utiliser un ou plusieurs écrouissage(s) cinématique(s) non symétrique(s). Il existe différents critères asymétriques de plasticité. Celui choisi ici a été proposé par Cazacu, Plunkett et Barlat (CPB) [118] pour modéliser le comportement des matériaux de maille hexagonale compacte comme les alliages de titane. Le critère, dans sa version isotrope, est donné par l’Équation 3.2. Critère asymétrique de Cazacu, Plunkett et Bar lat [1 18] : σeq,CP B a = (|S1 | − kS1 )a + (|S2 | − kS2 )a + (|S3 | − kS3 )a avec S1, S2, S3 : les valeurs propres du tenseur dé viator ique des contra intes σ dev (3.2) a, k : les facteurs d’homo géneité et d’asy métrie Dans le cas où k = 0 et a = 2, on retrouve le critère de von Mises. Le paramètre a décrit l’homogénéité du critère, c’est-à-dire sa transition plus ou moins rapide de la contrainte seuil en traction ou en compression. Pour a fixé, le paramètre k est directement relié au rapport des limites d’élasticité entre traction et compression. Ce critère a été choisi puisqu’il est similaire au critère de von Mises dans le cas de faibles asymétries et que son application est numériquement peu coûteuse. La Figure 3.6 donne une comparaison de ce critère avec celui de von Mises pour R0 = 635 MPa.
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Manipulación de lesiones en pacientes con leishmaniasis cutánea: serie de casos en un hospital peruano
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Rev Peru Med Exp Salud Publica. 2020;37(2):265-9. ORIGINAL BREVE MANIPULACIÓN DE LESIONES EN PACIENTES CON LEISHMANIASIS CUTÁNEA: SERIE DE CASOS EN UN HOSPITAL PERUANO Juan Pineda-Reyes 1,a, Ricardo Marín 1,a, Andrea Tinageros-Zevallos Ana P. Ramos 2,a, Fiorela Alvarez 2,b, Alejandro Llanos-Cuentas 2,b,c 1,a , Facultad de Medicina Alberto Hurtado, Universidad Peruana Cayetano Heredia, Lima, Perú. Instituto de Medicina Tropical Alexander von Humboldt, Universidad Peruana Cayetano Heredia, Lima, Perú. a Médico cirujano; b médico especialista en Enfermedades infecciosas y tropicales; c doctor en Medicina y Epidemiología. 1 2 El presente estudio forma parte de la tesis: Pineda-Reyes J, Marín R, Tinageros-Zevallos A. El efecto de la manipulación de lesiones de pacientes con leishmaniasis cutánea en una serie hospitalaria de un centro de referencia nacional durante el período junio 2017 - diciembre 2017 [tesis de bachiller]. Lima: Facultad de Medicina Alberto Hurtado, Universidad Peruana Cayetano Heredia; 2019 RESUMEN En áreas endémicas de leishmaniasis cutánea es común que los pacientes manipulen sus lesiones con tratamientos tradicionales como primera opción terapéutica. Con el objetivo de describir la frecuencia y los cambios de la manipulación de lesiones de leishmaniasis cutánea de pacientes en el Hospital Cayetano Heredia, se realizó un estudio tipo serie de casos. Se incluyeron 124 pacientes con leishmaniasis cutánea. El 54% (67/124) manipuló sus lesiones; el 92,5% (62/67) lo hizo con productos químicos, y el 43,3% (29/67), con plantas. Los cambios locales más frecuentemente reportados por los pacientes fueron aumento de tamaño de la lesión en el 35,8% (24/67) e incremento de inflamación en el 28,4% (19/67). La manipulación disminuyó la positividad del diagnóstico parasitológico en aquellos pacientes con lesiones ulcerativas. Palabras clave: Leishmaniasis cutánea; Medicina Tradicional; Diagnóstico (fuente: DeCS BIREME). MANIPULATION OF LESIONS IN PATIENTS WITH CUTANEOUS LEISHMANIASIS: CASE SERIES IN A PERUVIAN HOSPITAL ABSTRACT In cutaneous leishmaniasis endemic areas it is a common practice for patients to manipulate their lesions with traditional treatments as a first therapeutic option. A case series study was conducted in order to describe the frequency and the variations of the patient manipulation of cutaneous leishmaniasis lesions at the Cayetano Heredia Hospital. The study included 124 patients with cutaneous leishmaniasis. From the patient population it was found that 54% (67/124) manipulated their lesions. Of this, 92.5% (62/67) did so with chemicals, and 43.3% (29/67) with plants. The most frequent local changes reported by patients were increased lesion size in 35.8% (24/67) and increased inflammation in 28.4% (19/67). Manipulation by patients decreased the positivity of the parasitological diagnosis in those patients with ulcerative lesions. Citar como: Pineda-Reyes J, Marín R, Tinageros-Zevallos A, Ramos AP, Alvarez F, Llanos-Cuentas A. Manipulación de lesiones en pacientes con leishmaniasis cutánea: serie de casos en un hospital peruano. Rev Peru Med Exp Salud Publica. 2020;37(2):265-9. doi: https://doi. org/10.17843/rpmesp.2020.372.4799 _________________________________ Correspondencia: Alejandro Llanos Cuentas; Av. Honorio Delgado 262, San Martín de Porres, Lima, Perú; alejandro.llanos.c@upch.pe _________________________________ Recibido: 12/09/2019 Aprobado: 13/04/2020 En línea: 10/06/2020 Keywords: Leishmaniasis, Cutaneous; Medicine, Traditional; Diagnosis (source: MeSH NLM). INTRODUCCIÓN La leishmaniasis es una enfermedad desatendida causada por protozoarios del género Leishmania adquiridos por la picadura de insectos del género Lutzomyia (1). La leishmaniasis cutánea (LC) es la forma clínica más común y en el Perú se reportan aproximadamente 7000 casos cada año (1-4). En zonas endémicas, particularmente en áreas rurales, es frecuente el uso de tratamientos tradicionales como primera opción, debido a la falta de acceso a servicios de salud, desconfianza en la medicina occidental, poca disponibilidad del tratamiento estandarizado, temor a efectos secundarios, entre otros (3,5). Los tratamientos tradicionales incluyen la aplicación tópica de plantas, sustancias químicas o térmicas, antibióticos, etc. (3,5-7) El uso de estos productos https://doi.org/10.17843/rpmesp.2020.372.4799 265 Manipulación de lesiones por leishmaniasis Rev Peru Med Exp Salud Publica. 2020;37(2):265-9. podría alterar la morfología de la lesión y disminuir su carga parasitaria, alterar la histopatología y, en consecuencia, el diagnóstico de la enfermedad. Esto cobra importancia en el Perú pues se tiene como requisito la demostración parasitológica para el inicio de tratamiento estandarizado gratuito (8). Cabe resaltar, que actualmente existen otros métodos de diagnóstico de LC, como el cultivo, la histopatología y métodos moleculares, siendo estos menos accesibles en nuestro medio. A la fecha, se desconoce la prevalencia de la manipulación de lesiones en hospitales de referencia o cómo esta práctica afectaría el diagnóstico por microscopía óptica y la apariencia de la lesión. Este estudio describe la frecuencia y los tipos de manipulación, en el contexto del resultado de microscopía óptica (frotis) y las características clínicas de lesiones de LC. MENSAJES CLAVE Motivación para realizar el estudio: En la actualidad, se desconoce la frecuencia de la manipulación de heridas por leishmaniasis cutánea (LC) en hospitales y su repercusión en el diagnóstico por microscopía. Principales hallazgos: Más de la mitad de pacientes con LC manipuló sus lesiones, la mayoría con productos químicos. Hubo un aumento del tamaño de las lesiones luego de su manipulación. En los pacientes con úlceras, la manipulación obtuvo resultados negativos en la microscopía. Implicancias: El diagnóstico de leishmaniasis por microscopía es muy utilizado en el primer nivel de atención. Por ello, se debe educar al paciente para disminuir la manipulación de las lesiones, generar un diagnóstico precoz y un tratamiento oportuno. EL ESTUDIO Se realizó un estudio observacional descriptivo, tipo serie de casos, donde se analizó la información obtenida de los registros clínicos del Programa de Leishmaniasis del Instituto de Medicina Tropical Alexander von Humboldt de la Universidad Peruana Cayetano Heredia, un centro de referencia en Lima que diagnosticó y trató a pacientes con leishmaniasis de junio a diciembre de 2017. Los médicos del Programa de Leishmaniasis consideraron como casos a los registros de pacientes de todas las edades con diagnóstico establecido de LC no complicada (sin compromiso mucoso y en huésped inmunocompetente). Se evaluaron criterios epidemiológicos, clínicos, parasitológicos o inmunológicos. El diagnóstico clínico estuvo basado en lo siguiente: presencia de úlcera, bordes regulares, bien definidos, indurados, violáceos, elevados en rodete, con fondo granulomatoso y grueso (9). Se incluyeron registros que contaron con resultados de frotis y prueba cutánea de leishmanina (LST, por sus siglas en inglés), siendo al menos uno de estos positivo, y se excluyeron registros con datos incompletos. La manipulación de lesiones se definió como la aplicación tópica de plantas en al menos dos oportunidades (colocación directa, emplastos, infusión), sustancias químicas (ácido de batería, piedra azul o productos químicos farmacéuticos como cremas antibióticas, antimicóticas o corticoides) o térmicas. Fueron los propios pacientes, a excepción de los menores de edad, quienes manipularon sus lesiones. Se describió el cambio que dicha manipulación tuvo sobre las lesiones según lo informado por los pacientes en los registros clínicos. Dicho cambio se clasificó en aumento/ disminución de tamaño de la lesión (diámetro), aumento/ disminución de la inflamación (eritema, dolor, edema, secreciones) o ninguno. Los datos fueron ingresados a una base de datos creada en Excel®. Para el análisis de la información, se utilizó Stata 15 (StataCorp, College Station, Texas, EUA) y StatCalc en 266 EpiInfo™. Se calcularon frecuencias, proporciones, medidas de tendencia central y dispersión. Se cruzaron las variables cualitativas de microscopía, sexo, tiempo de enfermedad, grupo etario y tipo de lesión con la presencia de manipulación y el resultado del frotis. Se determinó su significancia estadística con las pruebas de chi cuadrado y exacta de Fisher. El proyecto fue aprobado por los comités de ética de la Universidad Peruana Cayetano Heredia y del Hospital Cayetano Heredia (constancia 0670519). HALLAZGOS Desde junio hasta diciembre de 2017, se identificaron 150 pacientes con LC, 26 de los cuales fueron excluidos por información incompleta; así, el total de pacientes fue 124. La razón de hombres/mujeres fue 2,64. La mediana de edad fue 38 años (rango intercuartil 22-50) y el grupo etario predominante fue de adultos en 71,8% (89/124) (Tabla 1). El 68,6% (85/124) de pacientes procedía del departamento de Lima. Respecto al lugar de contagio destacaron Lima, Madre de Dios y Cusco. La mayoría de pacientes presentó una lesión (59,7% [74/124]) y el 16,9%, tres o más. Se registró un total de 205 lesiones. La lesión más común fue úlcera en el 72,7% (149/205) de las lesiones (Tabla 1), seguida de lesiones nodulares e infiltrativas. Las localizaciones más frecuentes fueron miembro superior, con 32,7% (67/205) de las lesiones, y cabeza y miembro inferior, ambos con 27,8% (57/205) de las lesiones. El frotis fue positivo en 73,4% (91/124) de los pacientes y la LST en el 91,9% (114/124) (Tabla 1). Analizando todos los tipos de lesiones, no se observó diferencia estadística (p = 0,198) en la positividad del frotis entre las lesiones manipuladas (50,5%) y no manipuladas (49,5%). Sin embargo, https://doi.org/10.17843/rpmesp.2020.372.4799 Pineda-Reyes J et al. Rev Peru Med Exp Salud Publica. 2020;37(2):265-9. Tabla 1. Características clínicas y de laboratorio de 124 pacientes con leishmaniasis cutánea y manipulación de lesiones que fueron atendidos en el Instituto de Medicina Tropical de la Universidad Peruana Cayetano Heredia. Característica Manipulados n (%) No manipulados n (%) Sexo 48 (53,7) 42 (46,7) Femenino 19 (55,9) 15 (44,1) Procedencia 47 (55,3) 38 (44,7) Provincia 20 (51,3) 19 (48,7) 46 (50,5) 45 (49,5) 21 (63,6) 12 (36,4) Frotis 0,198 0,029 35 (46,7) 40 (53,3) 18 (72,0) 7 (28,0) ≤3 meses 28 (46,7) 32 (53,3) >3 meses 39 (60,9) 25 (39,1) Niño 8 (53,3) 7 (46,7) 0,954 Adolescente 5 (62,5) 3 (37,5) 0,725c Adulto 49 (55,1) 40 (44,9) 0,716 Adulto mayor 5 (41,7) 7 (58,3) 0,382 Ulcerosa 71 (47,7) 78 (52,3) 0,059 Nodular 18 (62,1) 11 (37,9) 0,229 Infiltrativa 6 (54,5) 5 (45,5) 1,000 Verrucosa 2 (100) 0 (0,0) 0,498c Costrosa 0 (0,0) 2 (100) 0,232c Polimórfica 9 (75,0) 3 (25,0) 0,137c Negativo Tiempo de enfermedada 0,111 Grupo etarioa Tipo de lesión (n = 205)a Valor de p calculado comparando la proporción con el complemento de la categoría b Prueba de chi cuadrado c Prueba exacta de Fisher a considerando únicamente las lesiones ulcerativas, la manipulación redujo significativamente la positividad del frotis (p = 0,029). Sesenta y siete pacientes (54,0%) manipularon sus lesiones, tanto adultos como niños, lo cual representa el 65,7% (44/67) y el 16,4% (11/67), respectivamente. Los pacientes que manipularon sus lesiones procedían principalmente de Lima (Tabla 1). En las lesiones de mayor tiempo de enfermedad (más de tres meses), la demostración parasitológica fue significativamente menor independientemente de la ocurrencia de manipulación (Tabla 2). Los productos más utilizados fueron los químicos en el 92,5% (62/67) de los casos, y las plantas, en el 43,3% (29/67). El 49,3% (33/67) de los pacientes usó solo químicos y apenas el 6,0% (4/67), únicamente plantas, mientras que el 34,3% (23/67) reportó haber utilizado ambos productos. https://doi.org/10.17843/rpmesp.2020.372.4799 Tiempo de enfermedad ≤3 meses 0,003a Frotis positivo 25 21 Frotis negativo 3 18 Frotis positivo 30 15 Frotis negativo 2 10 No manipulados a Valor de p >3 meses Manipulados 0,678 Lima Negativo Frotis de pacientes con úlceras (n = 100) Positivo Manipulación Valor de pb 0,800 Masculino Positivo Tabla 2. Resultado de frotis según manipulación y tiempo de enfermedad en pacientes portadores de leishmaniasis cutánea que fueron atendidos en el Instituto de Medicina Tropical de la Universidad Peruana Cayetano Heredia. 0,003a Prueba exacta de Fisher Sesenta y dos pacientes emplearon químicos para manipular sus lesiones; los más utilizados fueron la crema antibiótica o antimicótica y el agua oxigenada (Tabla 3). Asimismo, los pacientes informaron haber usado las siguientes plantas: Plantago major (llantén), Piper aduncum (matico), Chamaemelum nobile (manzanilla), Oenothera rosea (chupasangre), entre otras. Veintinueve pacientes manipularon sus lesiones con plantas, siendo el llantén la más empleada, seguido del matico y la manzanilla. Seis pacientes emplearon quemaduras térmicas y otros seis utilizaron productos como hígado de res, grasa de cerdo, miel, orina y excretas. Finalmente, el cambio más reportado fue el aumento del tamaño con 35,8% (24/67), seguido por el aumento de la inflamación con 28,4% (19/67). El 31,3% (21/67) no reportó cambios en las lesiones (Tabla 4). Tabla 3. Productos usados en lesiones de leishmaniasis cutánea por pacientes atendidos en el Instituto de Medicina Tropical de la Universidad Peruana Cayetano Heredia (n=67) Producto n (%) Químicos 62 (92,5) Crema antibiótica 16 (23,9) Agua oxigenada 14 (20,9) Crema antimicótica 9 (13,4) Tableta antibiótica 7 (10,5) Corticoide tópico 5 (7,5) Limón 4 (6,0) Sal 4 (6,0) «Piedra azul» 3 (4,5) Ácido de batería 3 (4,5) Violeta de genciana Otros Plantas 3 (4,5) 37 (55,2) 29 (43,3) Plantago major (llantén) 13 (19,4) Piper aduncum (matico) 8 (11,9) Chamaemelum nobile (manzanilla) 5 (7,5) Oenothera rosea (chupasangre) 3 (4,5) Croton lechleri (sangre de grado) Otros 3 (4,5) 12 (17,9) 267 Rev Peru Med Exp Salud Publica. 2020;37(2):265-9. Tabla 4. Cambios observados en lesiones manipuladas de leishmaniasis cutánea por pacientes atendidos en el Instituto de Medicina Tropical de la Universidad Peruana Cayetano Heredia (n=67) Característica n (%) Tipo de cambio Aumento del tamaño 24 (35,8) Aumento de la inflamación 19 (28,4) Disminución de la inflamación 7 (10,5) Disminución del tamaño Ningún cambio 2 (3,0) 21 (31,3) Cambios más frecuentes Solo plantas Ningún cambio 2 (3,0) Aumento del tamaño 1 (1.5) Aumento de la inflamación 1 (1.5) Solo sustancias químicas Aumento del tamaño 15 (22.4) Aumento de la inflamación 10 (14,9) Ningún cambio 9 (13,4) Disminución de la inflamación 2 (3,0) Disminución del tamaño 1 (1,5) Solo térmicos Aumento del tamaño 1 (1,5) Plantas y sustancias químicas Ningún cambio 10 (14,9) Aumento de la inflamación 6 (9,0) Aumento del tamaño 5 (7,5) Disminución de la inflamación 3 (4,5) Químicos y térmicos Disminución de la inflamación 1 (1,5) DISCUSIÓN En esta serie de casos, la manipulación de lesiones ulcerativas de LC con tratamientos tradicionales redujo significativamente la demostración parasitológica. Esta práctica impide el diagnóstico definitivo, necesario para que un paciente con LC reciba tratamiento gratuito, según lo especifica la norma nacional de tratamiento de leishmaniasis del Ministerio de Salud (8). Más de la mitad de los pacientes con LC (54,0%) llegaron a la consulta con antecedente de haber manipulado sus lesiones; la mayoría de ellos con múltiples productos, generalmente químicos (92%). Sin embargo, la literatura muestra frecuencias de manipulación mayores (71,2%) en poblaciones de zonas endémicas de leishmaniasis de larga data (3) y en estudios de países latinoamericanos (10-12). En poblaciones rurales de zonas endémicas de LC es común usar medicina tradicional como tratamiento, incluso en comunidades con servicios de salud (3). El origen de esta cultura se atribuye a la falta de información o percepciones distorsionadas sobre la 268 Manipulación de lesiones por leishmaniasis enfermedad, el deseo de impedir su progresión o la falta de un diagnóstico adecuado (10,12). La mayoría de los pacientes del estudio eran varones, probablemente debido a que ellos tienen un mayor riesgo de transmisión (13,14). Se han informado hallazgos similares en Guatemala y en Ecuador (10,12), donde los asocian al riesgo ocupacional (agricultura, ganadería). No obstante, hay áreas donde los menores de 15 años son los más vulnerables, sobre todo cuando la transmisión ocurre dentro del domicilio (13). La manipulación de las lesiones frecuentemente ocurre antes que los afectados busquen un centro de salud (3,12), lo cual afecta las opciones diagnósticas negativamente. No solo disminuye la probabilidad de detectar el parásito con el frotis, sino que también altera la morfología de las lesiones, dificultando el diagnóstico clínico por personal de salud con limitada capacitación. Basado en la experiencia del Hospital Cayetano Heredia, es relativamente frecuente que cualquier úlcera crónica en pacientes de zonas rurales sea catalogada como leishmaniasis, correspondiendo en muchos casos a otras enfermedades como esporotricosis, infecciones piógenas, picaduras de insectos, cáncer de piel, tuberculosis cutánea, entre otras. Asimismo, la manipulación de las lesiones retrasa y encarece el diagnóstico de la LC. Lo usual en el Hospital Cayetano Heredia es que para las lesiones no manipuladas se obtenga el resultado del frotis en pocas horas y se inicie el tratamiento al día siguiente. Sin embargo, en pacientes con lesiones manipuladas, el diagnóstico supera la semana y se requieren exámenes adicionales, como cultivos, anatomía patológica o reacción en cadena de la polimerasa (PCR, por sus siglas en inglés). Esto implica el incremento de costos para los pacientes (prolongación de su estadía en Lima) y para el sistema de salud. Se conoce que el tiempo de enfermedad afecta el diagnóstico parasitológico, especialmente los métodos de diagnóstico clásicos (15,16). En este estudio, se encontró que las lesiones con mayor tiempo de enfermedad (tres meses a más), independientemente de la presencia de manipulación, tuvieron menor proporción de frotis positivo, debido a la reducción de la carga parasitaria a consecuencia de la respuesta inmune (15). Los pobladores de comunidades endémicas manipulan sus lesiones principalmente con productos cáusticos; así la gran mayoría empleó sustancias químicas (92%) y menos de la mitad (43%) usó plantas. Al menos un tercio de los que manipularon sus lesiones reconocieron que hubo aumento del tamaño de la lesión o inflamación. La manipulación de lesiones frecuentemente produce inflamación, sobreinfección, necrosis (3) y quemaduras de primer a tercer grado (12). La intensidad del daño depende del producto utilizado; el uso de azufre o ácidos generan más daño, lo que provoca celulitis extensas. Las plantas causaron menores efectos adversos sobre las lesiones. En Colombia, se encontró que pobladores empleaban inicialmente tratamientos «fuertes» (quemaduras, cáusticos) seguidos de «suaves» (plantas) para cicatrizar (11). https://doi.org/10.17843/rpmesp.2020.372.4799 Pineda-Reyes J et al. Rev Peru Med Exp Salud Publica. 2020;37(2):265-9. Los pacientes que acuden al Hospital Cayetano Heredia reconocen que la manipulación de sus lesiones con estas sustancias les produce dolor y quemaduras, pero esperan con ello que la lesión cure. En algunos casos tienen éxito, pero la mayoría fracasa, porque la quemadura no es regulada y provoca que muchos tejidos de la lesión (dérmicos y linfáticos) permanezcan con parásitos que posteriormente determinan el crecimiento de la lesión. La termoterapia ha utilizado este conocimiento para producir una quemadura regulada de segundo grado a una temperatura menor a los 52 °C con un tiempo límite de 30 segundos (17). En cuanto a las limitaciones, no se consideró el tiempo transcurrido entre la última manipulación y el primer contacto con el centro de referencia, lo cual genera un sesgo de confusión por la cronicidad de la lesión. Además, podría existir el sesgo del entrevistador en obtener adecuadamente la información ya que la población inicialmente tiende a negar la manipulación, subestimando su prevalencia. Otra limitación del estudio fue que no se realizó la tipificación de la especie de Leishmania, por consiguiente, no pudo valorarse si constituye una variable confusora. Futuros estudios con diseño prospectivo y con acceso a métodos moleculares podrían evaluar el efecto de la manipulación de lesiones de LC sobre la carga parasitaria, PCR e identificación de especies de Leishmania. En conclusión, la manipulación de lesiones de leishmaniasis cutánea podría determinar una disminución del resultado del frotis de las lesiones ulcerativas y distorsionar su morfología, lo cual dificulta el diagnóstico clínico. Esto impediría el tratamiento oportuno y gratuito proporcionado por el Ministerio de Salud, que tiene como requisito la demostración parasitológica. El mayor impacto estaría en el primer nivel de atención, donde muchas veces no se cuenta con la experiencia de centros de referencia y se depende principalmente del diagnóstico microscópico. Por ende, es necesario que se implementen programas educativos en áreas endémicas para reducir la manipulación de lesiones de leishmaniasis. Contribuciones de autoría: JPR, RM, ATZ y ALlC participaron en la concepción del artículo, en el análisis y la interpretación de datos, en la redacción y revisión crítica del manuscrito. JPR, RM y ATZ recolectaron los datos. APR y FA participaron en la evaluación de pacientes, en el registro de la información y en la redacción del manuscrito. Todos los autores aprobaron la versión final y asumen responsabilidad de los contenidos del manuscrito. Fuentes de financiamiento: Autofinanciado. Conflictos de interés: Los autores no tienen ningún conflicto de interés que declarar. REFERENCIAS BIBLIOGRÁFICAS 1. 2. 3. 4. 5. 6. 7. 8. Ampuero J. Leishmaniasis. Módulos técnicos. Series documentos monográficos N8 [Internet]. Lima: Ministerio de Salud. Oficina General de Epidemiología. INS; 2000 [citado el 2 de febrero de 2019]. Disponible en: http://bvs.minsa.gob.pe/local/OGEI/795_MS-OGE106.pdf. World Health Organization. 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Longitudinal profile of antibody response to SARS-CoV-2 in patients with COVID-19 in a setting from Sub–Saharan Africa: A prospective longitudinal study
Teklay Gebrecherkos
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PLOS ONE PLOS ONE RESEARCH ARTICLE Longitudinal profile of antibody response to SARS-CoV-2 in patients with COVID-19 in a setting from Sub–Saharan Africa: A prospective longitudinal study Teklay Gebrecherkos1☯, Yazezew Kebede Kiros1☯, Feyissa ChallaID2, Saro Abdella2, Atsbeha Gebreegzabher2, Dereje Leta2, Abraham Desta3, Ataklti Hailu3, Geremew Tasew2, Mahmud Abdulkader1, Masresha Tessema2, Getachew Tollera2, Tsigereda Kifle2, Zekarias Gessesse Arefaine1, Henk HDF Schallig4, Emily R. Adams5, Britta C. Urban5, Tobias F. Rinke de Wit6‡, Dawit WoldayID1,2‡* 1 Mekelle University College of Health Sciences, Mekelle, Ethiopia, 2 Ethiopian Public Health Institute, Addis Ababa, Ethiopia, 3 Tigray Health Research Institute, Mekelle, Ethiopia, 4 Department of Medical Microbiology, and Infection Prevention, Experimental Parasitology Unit, Amsterdam Institute for Infection and Immunity, Academic Medical Center at the University of Amsterdam, Amsterdam, The Netherlands, 5 Liverpool School of Tropical Medicine, Liverpool, United Kingdom, 6 Amsterdam Institute Global Health and Development, Academic Medical Center, University of Amsterdam, Amsterdam, The Netherlands ☯These authors contributed equally to this work. ‡ TFRW and DW also contributed equally to this work. * dawwol@gmail.com, dawit.wolday@mu.edu.et OPEN ACCESS Citation: Gebrecherkos T, Kiros YK, Challa F, Abdella S, Gebreegzabher A, Leta D, et al. (2022) Longitudinal profile of antibody response to SARS- CoV-2 in patients with COVID-19 in a setting from Sub–Saharan Africa: A prospective longitudinal study. PLoS ONE 17(3): e0263627. https://doi.org/ 10.1371/journal.pone.0263627 Methods Copyright: © 2022 Gebrecherkos 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. In this prospective study, a total of 102 PCR-confirmed COVID-19 patients were enrolled. We obtained 802 plasma samples collected serially. SARS-CoV-2 antibodies were deter- mined using four lateral flow immune-assays (LFIAs), and an electrochemiluminescent immunoassay. We determined longitudinal antibody response to SARS-CoV-2 as well as seroconversion dynamics. Data Availability Statement: Data collected for the study, including individual anonymized participant data, a data dictionary defining each field in the set, study protocol, and consent forms are available within the paper and its Supporting Information files. Editor: Gheyath K. Nasrallah, Qatar University, QATAR Serological testing for SARS-CoV-2 plays an important role for epidemiological studies, in aiding the diagnosis of COVID-19, and assess vaccine responses. Little is known on dynam- ics of SARS-CoV-2 serology in African settings. Here, we aimed to characterize the longitu- dinal antibody response profile to SARS-CoV-2 in Ethiopia. Received: October 7, 2021 Accepted: January 24, 2022 Published: March 23, 2022 Background Editor: Gheyath K. Nasrallah, Qatar University, QATAR Conclusions Longitudinal assessment of antibody response in African COVID-19 patients revealed het- erogeneous responses. This underscores the need for a comprehensive evaluation of ser- oassays before implementation. Factors associated with failure to seroconvert needs further research. Results Serological positivity rate ranged between 12%-91%, depending on timing after symptom onset. There was no difference in positivity rate between severe and non-severe COVID-19 cases. The specificity ranged between 90%-97%. Agreement between different assays ran- ged between 84%-92%. The estimated positive predictive value (PPV) for IgM or IgG in a scenario with seroprevalence at 5% varies from 33% to 58%. Nonetheless, when the Funding: This research is funded by the European and Developing Countries Clinical Trials Partnership (EDCTP) – European Union (Grant #: RIA–2020EF–2095). 1 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa population seroprevalence increases to 25% and 50%, there is a corresponding increases in the estimated PPVs. The estimated negative-predictive value (NPV) in a low seropreva- lence scenario (5%) is high (>99%). However, the estimated NPV in a high seroprevalence scenario (50%) for IgM or IgG is reduced significantly to 80% to 85%. Overall, 28/102 (27.5%) seroconverted by one or more assays tested, within a median time of 11 (IQR: 9–15) days post symptom onset. The median seroconversion time among symptomatic cases tended to be shorter when compared to asymptomatic patients [9 (IQR: 6–11) vs. 15 (IQR: 13–21) days; p = 0.002]. Overall, seroconversion reached 100% 5.5 weeks after the onset of symptoms. Notably, of the remaining 74 COVID-19 patients included in the cohort, 64 (62.8%) were positive for antibody at the time of enrollment, and 10 (9.8%) patients failed to mount a detectable antibody response by any of the assays tested during follow-up. Competing interests: No authors have competing interests. Competing interests: No authors have competing interests. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Competing interests: No authors have competing interests. Study population The study is part of the ongoing Profile-Cov study, a prospective observational cohort study in Ethiopia with rapid diagnostic profiling of SARS-CoV-2 in the context of persistent immune activation (Clinicaltrials.gov: NCT04473365). Consecutive patients with confirmed real–time polymerase chain reaction (RT-PCR) test result were enrolled. They were recruited from Mekelle University College of Health Sciences (Kuyha COVID-19 Isolation and Treatment Center), Mekelle City, Northern Ethiopia, in a prospective fashion between July 15 and Octo- ber 28, 2020. Individuals presenting to the Isolation and Treatment Center were screened for SARS-CoV-2 infection with a naso-pharyngeal swab and a RT-PCR. Following the declaration by the WHO that COVID-19 has become pandemic, the Ethiopian Ministry of Health imple- mented a mass screening of all travelers, people who had come in contact with COVID-19 patients, those from high-risk settings (e.g. health-care workers), as well as those with symp- toms and signs suggestive of SARS-CoV-2 infection [17]. All cases with a confirmed SARS-- CoV-2 infection were admitted to dedicated COVID-19 Isolation and Treatment Centers. Patients were admitted irrespective of clinical severity status. Whenever patients progress to severe or critical COVID-19, they were admitted to the intensive care unit (ICU). Sociodemographic, clinical data and laboratory data were collected using standardized Case Record Forms (CRFs) adapted from the International Severe Acute Respiratory and Emerging Infection Consortium’s (ISARIC) CRFs for emerging severe acute respiratory infections [18]. Patient’s clinical status was stratified following WHO criteria as asymptomatic, mild/moder- ate, severe (with dyspnea, respiratory rate  30 breaths per minute, O2 saturation  93%, lung infiltrates  50% of the lung fields within 24–48 hours), and critical (with respiratory failure, septic shock, and/or multiple organ failure) [19]. For this study, asymptomatic and mild/mod- erate cases were considered as non–severe cases and both severe and critical were considered as severe cases. All data were then entered onto electronic medical records. For analysis of kinetics profile samples were drawn serially from SARS-CoV-2 RT-PCR confirmed patients. Overall, patients were followed for a median of 31 [interquartile range (IQR): 16–32] days, and ranging between 5 to 39 days. Whenever possible, samples were drawn every 3 days during follow-up. Thus, multiple samples were drawn per individual at a given time interval (0–3, 4–6, 7–9, 10–12, 13–15, 16–18, 19–21, 22–24, 25–27, 28–30, 31–33, 34–36, 37–39, and  40 days after onset of symptoms). Notably, only one sample per time interval was included from a single participant. Study population Specimens were immediately transported to the Central Laboratory of the university hospital, and separated plasma was frozen to –80˚C until further analysis. For determining specificity, RT-PCR negative specimens (n = 100) were obtained during COVID-19 pandemic (August and September 2020) from individuals not suspected of SARS-- CoV-2infection. In addition, pre–pandemic specimens (n = 50) collected in 2017 from patients with other infections were included as negative controls in the analysis of specificity. Introduction A new coronavirus, severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2), has recently emerged leading to a global pandemic [1]. Although molecular tests remain the main- stay diagnostic tool for identifying SARS-CoV-2 infected patients [2, 3], their use is limited due to multitude of factors. Molecular tests require complex laboratories and highly trained expertise, creating a challenge for their use in resource–constrained settings. In addition, the sensitivity of molecular assays for SARS-CoV-2 is variable, depending on sample type, disease severity and sampling time after onset of infection [3]. To overcome some of these obstacles, serological tests, including rapid diagnostic tests (RDTs) for use at Point-of-Care (PoC), have emerged as an important alternative. Serological testing for SARS-CoV-2 plays an important role for epidemiological studies and in aiding the diagnosis of (previous) COVID-19 in PCR– negative patients [4–7]. In addition, serology testing may be important in the assessment of convalescent plasma, and also in the identification, and quantification of vaccine responses [8, 9]. Several reports have shown that median seroconversion time is 7–14 days after symptom onset [7, 10–12]. In addition, it has been demonstrated that antibody levels may correlate with COVID-19 severity [11, 12]. Most of the available data on the longitudinal profile of antibody responses are from high income countries (HICs), while little is known from low and medium income countries (LMICs), in particular from Sub–Saharan Africa (SSA) [13, 14]. In addition, applied SARS-- CoV-2 serological tests evaluated in HICs might experience significantly higher cross-reactiv- ity in SSA that may impact on the specificity of the assays, as background infectious diseases are entirely different [15, 16]. Therefore, there is a need for quality assessment of antibody responses to SARS-CoV-2 in the context of SSA. Such tests are needed urgently to scale–up SARS-CoV-2 surveillance, and diagnosis in LMICs, including in SSA. In this study, we aimed to determine the longitudinal antibody response of SARS-CoV-2 using different assays in SSA context. In addition, we assessed seroconversion dynamics, and PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 2 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa characteristics of different anti-SARS-CoV-2 antibodies. To the best of our knowledge, this study is the first prospective study to evaluate the kinetics of anti–SARS-CoV-2 antibody response, as well as seroconversion patterns among COVID-19 patients in SSA. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Laboratory assays SARS-CoV-2infection was confirmed by RT-PCR on samples obtained from nasopharyngeal swabs, as described previously [17]. The swabs collected were put in virus transport media and sent immediately to the central laboratory. RNA was extracted using the MagNA Pure 96 (Roche, Germany). RT-PCR for the detection of SARS-CoV-2infection was based on the LightMix1 Modular SARS and Wuhan CoV E–gene kit (TIB Molbiol, Berlin, Germany). Briefly, a 25 μL reaction contains 5 μL of RNA, 12.5 μL of 2 × reaction buffer provided with the Superscript III one step RT-PCR system with Platinum Taq Polymerase (LightCycler Multi- plex RNA Virus Master (Roche) containing 0.4 mM of each deoxyribonucleotide triphos- phates (dNTP) and 3.2 mM magnesium sulphate), 1 μL of reverse transcriptase/Taq mixture from the kit, 0.4 μL of a 50 mM magnesium sulphate solution (TaqMan Fast Virus 1–Step Master Mix (Thermo Fisher)), and 1 μg of nonacetylated bovine serum albumin (Roche). Thermal cycling was performed at 55˚C for 10 min for reverse transcription, followed by 95˚C for 3 min and then 45 cycles of 95˚C for 15s, 58˚C for 30s. We used the thermocycler from Applied Biosystems ViiA7 thermocycler (Applied Biosystems, Hong Kong, China). y y y g g Five different commercial kits were studied (S1 Table). These included four lateral flow immune assays (LFIAs), i.e. Canea, Cellex, Innovita, and Vivachek that target the nuclear (N) and spike (S) proteins of SARS-CoV-2, and the Roche elecsys electrochemiluminescent immu- noassay (ECLIA) that targets the nucleocapsid protein (NP). Whereas the LFIAs are designed to detect IgM and IgG against SARS-CoV-2, the Roche elecsys assay detects anti-SARS-CoV-2 total antibody levels. The assays were selected based on their availability in the local market as well as performance data. Testing was undertaken following manufacturer’s instructions for each assay. For the LFIAs, testing involved the addition of 10 μL of plasma to the sample well, and 80–100 μL of buffer to an adjacent well, followed by 15 minutes incubation at room tem- perature. The result was based on the appearance of colored bands, interpreted as positive when control and test bands were visible, as negative when only the control band was visible, or as invalid when the control band was not visible. All results were read by two technologists independently and photographed in real time. In the event of a discrepant report, reading by a third technologist served as a tie breaker. Sample size The sample size required to assess kinetics of antibody response to SARS-CoV-2 using serol- ogy assay, based on an expected sensitivity (and specificity) of 80% and a desired error margin of ±10% and an alpha level of 5%, was estimated to be 62 COVID-19 cases and 62 non 3 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa COVID-19 controls. To take into account prevalence variability (e.g. 80%), we aimed to recruit a minimum of 150 (75 per group) individuals. COVID-19 controls. To take into account prevalence variability (e.g. 80%), we aimed to recruit a minimum of 150 (75 per group) individuals. Laboratory assays The Roche elecsys ECLIA was performed using the Roche Cobas1 e411 immunoassay analyzer. Anti-SARS-CoV-2 total antibody levels were expressed as cut-off index (COI), and a value of  1.0 was considered as a positive result as per the manufacturer’s instructions. The individuals running the serology assays were blinded as to the origin of the sample, clinical data of the study participants, or to the reference SARS-- CoV-2 results. Seroconversion was ascertained if a patient with a negative antibody test at time of enroll- ment becomes positive with any of the assays tested during follow-up. For estimating the day of seroconversion, the days post symptom onset were determined for symptomatic cases. For asymptomatic patients, we added 6 days (median time between symptom onset and date of positive PCR testing among symptomatic cases) to the PCR testing date. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Ethical considerations Participants provided written informed consent to participate in the Profile-Cov study. The study protocol was reviewed and approved by the Health Research Ethics Review Committee (HRERC) of Mekelle University College of Health Sciences (#ERC 1769/2020). Written informed consent was obtained from all study participants. However, specimens used as con- trols from pre–pandemic period were specimens from biobank and individual study partici- pant consent was not obtained. Nonetheless, all personal identifiers were de–linked from the original sources, and the HRERC has reviewed and approved it. Statistical analysis Baseline characteristics for continuous variables were expressed as the median with IQR, and for categorical variables as proportions. Whereas categorical variables were compared using Fisher’s exact test or χ2 test, continuous variables were compared by Mann–Whitney U or Kruskal–Wallis tests as appropriate. The primary outcome for this study was the proportion of PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 4 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa positivity rates (sensitivity) of the various serology tests, stratified by Ig isotypes (IgM, or IgG, or total Ig), and according to sampling time (days after symptom onset) among specimens derived from RT-PCR confirmed COVID-19 cases. Specificity was determined among RT-PCR negative, or pre-COVID specimens. Positivity and specificity rates were presented as proportion and 95% confidence interval (CI) limits. Secondary analysis included performance characteristics of the assays stratified by the patient’s clinical severity status. Positive predictive values (PPV) and negative predictive values (NPV) were determined taking into consideration a population prevalence of 5%, 25%, and 50% SARS-CoV-2 infection. Agreement between dif- ferent assays was determined by Kappa statistics. P values <0.05 were considered statistically significant. Reporting of the diagnostic performance of the assays in this study was according to the STARD (Standards for Reporting of Diagnostic Accuracy Studies) guidelines. Data were analyzed using STATA (Statistical package v. 14.0, StataCorp, Texas, USA). PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa PLOS ONE Table 1. Baseline clinical characteristics of study participants. Characteristic All patients N = 102 Non-severe patients (asymptomatic and mild/ moderate) N = 68 Severe patients (severe and critical) N = 34 P value Socio-demographic features: Gender (male) 78 (76.5%) 52 (76.5%) 26 (76.5%) 1.000 Age in years [median (IQR)] 33 (27–42) 29 (26–37) 50 (38–66) <0.00001 Age group [years] < 60 89 (87.3%) 68 (100.0%) 21 (0.00%) <0.0001  60 13 (12.8%) 0 (0.0%) 13 (38.2%) Clinical symptoms and signs: Fever 29 (28.4%) 9 (13.2%) 20 (58.8%) <0.0001 Dyspnea 38 (37.3%) 8 (11.8%) 30 (88.2%) <0.0001 Cough 48 (47.1%) 19 (27.9%) 29 (85.3%) <0.0001 Chest pain 9 (8.8%) 2 (2.9%) 7 (20.6%) 0.003 Sore throat 10 (9.8%) 5 (7.4%) 5 (14.7%) 0.239 Headache 27 (26.5%) 12 (17.7%) 15 (44.1%) 0.004 Nasal congestion 8 (7.8%) 7 (10.3%) 1 (2.9%) 0.193 Loss of smell and/or taste 4 (3.9%) 3 (4.4%) 1 (2.9%) 0.718 Diarrhea 1 (1.0%) 0 (0.0%) 1 (2.9%) 0.155 Myalgia 13 (12.8%) 7 (10.3%) 6 (17.7%) 0.294 Temperature ( 37.3˚C) 5 (4.9%) 0 (0.0%) 5 (14.7%) 0.001 Systolic blood pressure (median mmHg, IQR) 112 (105–121) 112 (102–120) 122 (110–131) 0.010 Diastolic blood pressure (median mmHg, IQR) 74 (68–80) 73 (68–79) 77 (70–83) 0.110 Respiratory rate (median breaths/ minute, IQR) 22 (19–28) 20 (18–22) 29 (28–31) <0.0001 Heart rate (median beats/minute, IQR) 82 (76–98) 78 (68–83) 105 (98–112) <0.0001 Laboratory markers: Lymphocyte, x109/L 1.6 (1.1–1.9) 1.7 (1.6–2.0) 1.4 (0.9–1.7) 0.029 Hematocrit, % 42.9 (37.5–46.1) 46.1 (43.0–47.4) 42.0 (31.0–45.3) 0.016 Platelet count, x109 /L 234 (174–319) 236 (187–266) 234 (174–353) 0.650 Alanine aminotransferase concentration, U/L 48 (33–62) 51 (49–75) 41 (30–50) 0.109 Creatinine concentration, mg/dL 0.6 (0.4–0.8) 0.5 (0.2–0.6) 0.7 (0.4–0.9) 0.087 Comorbidities: Comorbidity (at least 1) 25 (24.5%) 2 (2.9%) 23 (67.7%) <0.0001 Non–communicable diseases 19 (18.6%) 2 (2.9%) 17 (50.0%) <0.0001 Outcomes: Admission to ICU 9 (8.8%) 0 (0.0%) 9 (26.5%) <0.0001 Supplemental oxygen 34 (33.3%) 0 (0.0%) 34 (100.0%) <0.0001 Invasive mechanical ventilation 5 (4.9%) 0 (0.0%) 5 (14.7%) 0.001 Death 5 (4.9%) 0 (0.0%) 5 (14.7%) 0.001 Abbreviations: ICU: intensive care unit; IQR: interquartile ranges Table 1. Baseline clinical characteristics of study participants. Abbreviations: ICU: intensive care unit; IQR: interquartile ranges Characteristics of study participants We initially enrolled a total of 120 patients. However, 18 were lost to follow–up, the major- ity were lost after their SARS-CoV-2 PCR test results, and few had only  1 sample, and we were not able to draw sufficient longitudinal serial specimens. Thus a total of 102 patients were eventually included, and detailed clinical characteristics of the enrolled participants is provided in Table 1. The majority were male (76.5%), with a median age of 33 (IQR: 27–42) years old, and 12.8% were aged  60 years. There was no difference in age between male and female study participants. Whereas 32/102 (31.4%) were asymptomatic, the remaining 70/102 (68.6%) were symptomatic (36 had mild/moderate and 34 had severe/critical clinical presentation). COVID-19 patients presenting with severe clinical status were older [median age 50 years (IQR: 38–66) vs. 29 years (IQR: 26–37); p<0.00001]. In addition, severe COVID-19 patients manifested with a significantly higher frequency of symptoms when compared to those with non-severe COVID-19. Patients with severe disease symptoms when compared to non-severe cases were more febrile, dyspneic, had more cough, chest pain, and head ache. The frequency of sore throat, nasal congestion, loss of smell and/or taste, diarrhea and myalgia were not different between both patient groups. Patients with severe COVID-19 were significantly more likely to be tachypneic and tachycardic when compared to those with non-severe disease. In addition, lymphocyte and hematocrit counts were significantly lower among severe COVID-19 patients compared to those with non- severe clinical manifestations. Comorbidities, including non-communicable diseases, were significantly higher among severe COVID-19 cases when compared to the non-severe. In addition, all severe cases of COVID-19 patients were admitted to the intensive care unit, received supplemental oxygen therapy, or mechanical ventilation. Finally, mortality was sig- nificantly higher among severe cases of COVID-19 patients. 5 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Longitudinal antibody response to SARS-CoV-2 and performance of serological assays The positivity rate for IgM, IgG as well as combined IgM or IgG was not different for all of the assays assessed. Overall, longi- tudinal analysis revealed a heterogenous antibody responses profile to all assays tested (Figs 1 and 2B and S2 Table). In addition, we noted a trend towards a higher positivity rate of almost all assays among patients with symptomatic vs. asymptomatic (Fig 3), or severe COVID-19 compared to those with non-severe clinical presentation during the early phase of the infection (S1 Fig). However, the differences were not statistically significant. Notably, very few of the asymptomatic SARS-CoV-2 patients were positive to IgM by Cellex immu- noassay (Fig 3). (median of 8 paired assays per patient) for each of the LFIAs. For the Roche elecsys assay, only 631 specimens were evaluated due to insufficient reagent. The seropositivity rate of all assays evaluated was low at the time around admission to the hospital. Positivity rate was 32.0%, 16.0%, 28.0%, 12.0%, and 12.5%, for IgM or IgG by Canea, Cellex, Innovita, Viva- Chek, and Roche total Ig, respectively. However, during the first 15 days after the onset of symptoms, the positivity rate increased significantly reaching between 64.0% and 75.6% for IgM or IgG for the LFIAs, and 64.2% for Roche assay. Nonetheless, the positivity rate for Cellex IgM remained relatively low (16.3%) during the first 15 days after the onset of symp- toms, and remained so during the whole period of hospitalization. Positive antibody titer was detectable (i.e. COI  1.0) as early as 10 to 12 days after onset of symptoms for the Roche elecsys total Ig assay (Fig 2A). During the period 2- to 3-weeks after the onset of symptoms, the positivity rate of all the assays was increased, ranging between 67.3% and 81.3%. Between 3 and 6 weeks after the onset of symptoms, the positivity rate continued to increase for all the assays, ranging from 84.6% to 90.9%. The positivity rate for IgM, IgG as well as combined IgM or IgG was not different for all of the assays assessed. Overall, longi- tudinal analysis revealed a heterogenous antibody responses profile to all assays tested (Figs 1 and 2B and S2 Table). In addition, we noted a trend towards a higher positivity rate of almost all assays among patients with symptomatic vs. Longitudinal antibody response to SARS-CoV-2 and performance of serological assays Longitudinal antibody response to SARS-CoV-2 and performance of serological assays The kinetics profile of antibody response is summarized in Figs 1–3. Serology testing was determined longitudinally in 102 patients, who provided a total of 802 plasma specimens PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 6 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa Fig 1. Kinetics of positivity rate (95%CI) of IgM, IgG, IgM or IgG LFIAs anti-NP total Ig at different time points after symptom onset. Raw data included as S2 Table. Fig 1. Kinetics of positivity rate (95%CI) of IgM, IgG, IgM or IgG LFIAs anti-NP total Ig at different time points after symptom onset. Raw data included as S2 T bl ) of IgM, IgG, IgM or IgG LFIAs anti-NP total Ig at different time points after symptom onset. Raw data included as S2 Fig 1. Kinetics of positivity rate (95%CI) of IgM, IgG, IgM or IgG LFIAs anti-NP total Ig at different time points after symptom onset. Raw data included as S2 Table. https://doi.org/10.1371/journal.pone.0263627.g001 https://doi.org/10.1371/journal.pone.0263627.g001 (median of 8 paired assays per patient) for each of the LFIAs. For the Roche elecsys assay, only 631 specimens were evaluated due to insufficient reagent. The seropositivity rate of all assays evaluated was low at the time around admission to the hospital. Positivity rate was 32.0%, 16.0%, 28.0%, 12.0%, and 12.5%, for IgM or IgG by Canea, Cellex, Innovita, Viva- Chek, and Roche total Ig, respectively. However, during the first 15 days after the onset of symptoms, the positivity rate increased significantly reaching between 64.0% and 75.6% for IgM or IgG for the LFIAs, and 64.2% for Roche assay. Nonetheless, the positivity rate for Cellex IgM remained relatively low (16.3%) during the first 15 days after the onset of symp- toms, and remained so during the whole period of hospitalization. Positive antibody titer was detectable (i.e. COI  1.0) as early as 10 to 12 days after onset of symptoms for the Roche elecsys total Ig assay (Fig 2A). During the period 2- to 3-weeks after the onset of symptoms, the positivity rate of all the assays was increased, ranging between 67.3% and 81.3%. Between 3 and 6 weeks after the onset of symptoms, the positivity rate continued to increase for all the assays, ranging from 84.6% to 90.9%. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Longitudinal antibody response to SARS-CoV-2 and performance of serological assays asymptomatic (Fig 3), or severe COVID-19 compared to those with non-severe clinical presentation during the early phase of the infection (S1 Fig). However, the differences were not statistically significant. Notably, very few of the asymptomatic SARS-CoV-2 patients were positive to IgM by Cellex immu- noassay (Fig 3). The specificity of the assays was evaluated using samples from RT-PCR negative individ- uals (n = 100) derived during the same enrollment period of the COVID-19 patients. In addition, we included pre-COVID-19 samples (n = 50). The results are summarized in Table 2. The specificity of the LFIAs ranged from 90.0% (95% CI: 82.2–94.59) to 99.0% (95% CI: 93.03–99.86) for IgM, from 92.0% (95% CI: 84.65–96.00) to 96.0% (95CI: 89.66– 98.52) for IgG, and from 87.0% (95% CI: 78.72–92.37) to 96.0% (95% CI: 89.66–98.52) for IgM or IgG antibodies in RT-PCR negative specimens that were drawn during COVID-19 pandemic. In addition, specificity of the LFIAs ranged from 96.0% (95% CI: 84.72–99.05) to 7 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa Fig 2. Characteristics of anti-NP total Ig response. Kinetics of median (IQR) anti-NP total Ig titers (as assessed by COI) at different time points after onset of symptoms (A); Kinetics of individual patients at different time points after onset of symptoms (B); scatter-plot of individual COI results in pre-COVID-19, PCR-negative, and PCR- confirmed COVID-19 patients (C); and seroconversion rate of anti-NP total Ig at different time points after onset of symptoms stratified by COVID-19 symptoms (D). The red horizontal line represents the cut-off value of the limit of detection of the Roche elecsys assay. Fig 2. Characteristics of anti-NP total Ig response. Kinetics of median (IQR) anti-NP total Ig titers (as assessed by COI) at different time points after onset of symptoms (A); Kinetics of individual patients at different time points after onset of symptoms (B); scatter-plot of individual COI results in pre-COVID-19, PCR-negative, and PCR- confirmed COVID-19 patients (C); and seroconversion rate of anti-NP total Ig at different time points after onset of symptoms stratified by COVID-19 symptoms (D). The red horizontal line represents the cut-off value of the limit of detection of the Roche elecsys assay. Fig 2. Characteristics of anti-NP total Ig response. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Longitudinal antibody response to SARS-CoV-2 and performance of serological assays Kinetics of median (IQR) anti-NP total Ig titers (as assessed by COI) at different time points after onset of symptoms (A); Kinetics of individual patients at different time points after onset of symptoms (B); scatter-plot of individual COI results in pre-COVID-19, PCR-negative, and PCR- confirmed COVID-19 patients (C); and seroconversion rate of anti-NP total Ig at different time points after onset of symptoms stratified by COVID-19 symptoms (D). The red horizontal line represents the cut-off value of the limit of detection of the Roche elecsys assay. https://doi.org/10.1371/journal.pone.0263627.g002 100.0% (95CI: 92.75–100.00) for IgM, 100.0% (95CI: 92.75–100.00) for IgG, and from 96.0% (95% CI: 84.72–99.05) to 100.0% (95CI: 92.75–100.00) for IgM or IgG antibodies for sam- ples collected during pre–pandemic period. For the Roche elecsys total Ig assay, the specific- ity was 94% (95% CI: 82.39–98.13) and 100.0% (95% CI: 92.75–100.00), for RT-PCR negative, and pre-COVID specimens, respectively (Table 2 and Fig 2C). Overall, 17/150 (11.3%) RT-PCR negative samples were found to be reactive in either one or more of the assays tested. Whereas 9 specimens reacted with only one assay, 6 were reactive with 4 dif- ferent assays, 1 with 2 different assays, and 1 was reactive with 3 different assays. Only 2 samples appeared positive from those samples collected during the pre-COVID-19 pan- demic period. The agreement among the different serology assays evaluated, and consider- ing the results of combined IgM and IgG, was very good, ranging between 83.8% and 92.4% (Fig 4A). In addition, there was a direct correlation between the LFIAs test results and the Roche’s elecsys anti-NP total Ig titers (Fig 4B). PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 8 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa Fig 3. Kinetics of positivity rate (95% CI) of IgM, IgG, and IgM or IgG LFIAs at different time points stratified by COVID-19 symptoms. https://doi org/10 1371/journal pone 0263627 g003 Fig 3. Kinetics of positivity rate (95% CI) of IgM, IgG, and IgM or IgG LFIAs at different time points stratified by COVID-19 symptoms. Fig 3. Kinetics of positivity rate (95% CI) of IgM, IgG, and IgM or IgG LFIAs at different time points stratified by COVID-19 symptoms. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Longitudinal antibody response to SARS-CoV-2 and performance of serological assays https://doi.org/10.1371/journal.pone.0263627.g003 https://doi.org/10.1371/journal.pone.0263627.g003 Given that PPVs and NPVs are influenced by population prevalence of SARS-CoV-2 infection in a given time [20], we estimated the predictive values of five different assays, tak- ing into consideration of population seroprevalences of 5%, 25% and 50% SARS-CoV- 2infection (Table 3). Overall, the estimated PPV for IgM or IgG, or anti-NP total Ig in a sce- nario with low seroprevalence at 5% varies from 32.9% to 57.9%. Nonetheless, when the population seroprevalence increases to 25% and 50%, there is a corresponding increases in the estimated PPVs. The estimated NPV for IgM or IgG, or anti-NP total Ig in a low sero- prevalence scenario (5%) is high, ranging between 98.7% and 99.1%. However, the esti- mated NPV in a high seroprevalence scenario (50%) is reduced significantly to 79.7% to 84.8%. Examples of a hypothetical scenario of the testing outcomes for 1000 people tested using the different assays we evaluated in a setting with a population seroprevalence of SARS-CoV-2 ranging from 5% to 50% is summarized in S3 Table. For example, in a popula- tion with a hypothetical seroprevalence of 5%, and using Cellex–an assay with a sensitivity of 83% would have 8 results per 1000 tested classified incorrectly as false negative. In addi- tion, at a seroprevalence of 5%, this same assay with a specificity of 97% would have 28 out of 1000 tested classified incorrectly as false positive. However, at a seroprevalence of 50%, the same assay with the same sensitivity of 83% would provide 85 results for every 1000 cases tested classified incorrectly as false negative, and the same assay with the same speci- ficity of 97% would result in only 15 cases for every 1000 tested that would be classified incorrectly as false positive. Overall, with increased population seroprevalence, PPV and false negative increase, and NPV and false positive decrease [20]. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 9 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa Table 2. Specificity in SARS-CoV-2RT-PCR negative collected during COVID-19 or pre–COVID-19 period. SARS-CoV-2 RT-PCR negative samples Assay IgM IgG IgM or IgG Total Ig No. specimens tested No. positive Specificity% (95% CI) No. specimens tested No. positive Specificity% (95% CI) No. specimens tested No. positive Specificity% (95% CI) No. specimens tested No. Longitudinal antibody response to SARS-CoV-2 and performance of serological assays positive Specificity% (95% CI) LFIAs – – – Canea 100 8 92.0 (84.65–96.00) 100 8 92.0 (84.65–96.00) 100 8 92.0 (84.65–96.00) Cellex 100 1 99.0 (93.03–99.86) 100 4 96.0 (89.66–98.52) 100 4 96.0 (89.66–98.52) – – – Innovita 100 10 90.0 (82.24–94.59) 100 4 96.0 (89.66–98.52) 100 13 87.0 (78.72–92.37) – – – VivaChek 100 7 93.0 (85.88–96.67) 100 7 93.0 (85.88–96.67) 100 8 92.0 (84.65–96.00) – – – ECLIA – – – Roche – – – – – – – – – 50 3 94.0 (82.39–98.13) Pre–COVID-19 pandemic samples LFIAs – – – Canea 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) – – – Cellex 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) Innovita 50 2 96.0 (84.72–99.05) 50 0 100.0 (92.75–100.0) 50 2 96.0 (86.72–99.05) – – – VivaChek 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) ECLIA – – – Roche – – – – – – – – – 50 0 100.0 (92.75–100.0) ECLIA: electro chemiluminescent immune assay; Ig: immunoglobulin; LFIAs: lateral flow immunoassays https://doi org/10 1371/journal pone 0263627 t002 .1371/journal.pone.0263627 March 23, 2022 Table 2. Specificity in SARS-CoV-2RT-PCR negative collected during COVID-19 or pre–COVID-19 period. SARS-CoV-2 RT-PCR negative samples Assay IgM IgG IgM or IgG Total Ig No. specimens tested No. positive Specificity% (95% CI) No. specimens tested No. positive Specificity% (95% CI) No. specimens tested No. positive Specificity% (95% CI) No. specimens tested No. Longitudinal antibody response to SARS-CoV-2 and performance of serological assays positive Specificity% (95% CI) LFIAs – – – Canea 100 8 92.0 (84.65–96.00) 100 8 92.0 (84.65–96.00) 100 8 92.0 (84.65–96.00) Cellex 100 1 99.0 (93.03–99.86) 100 4 96.0 (89.66–98.52) 100 4 96.0 (89.66–98.52) – – – Innovita 100 10 90.0 (82.24–94.59) 100 4 96.0 (89.66–98.52) 100 13 87.0 (78.72–92.37) – – – VivaChek 100 7 93.0 (85.88–96.67) 100 7 93.0 (85.88–96.67) 100 8 92.0 (84.65–96.00) – – – ECLIA – – – Roche – – – – – – – – – 50 3 94.0 (82.39–98.13) Pre–COVID-19 pandemic samples LFIAs – – – Canea 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) – – – Cellex 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) Innovita 50 2 96.0 (84.72–99.05) 50 0 100.0 (92.75–100.0) 50 2 96.0 (86.72–99.05) – – – VivaChek 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) 50 0 100.0 (92.75–100.0) ECLIA – – – Roche – – – – – – – – – 50 0 100.0 (92.75–100.0) ECLIA: electro chemiluminescent immune assay; Ig: immunoglobulin; LFIAs: lateral flow immunoassays https://doi.org/10.1371/journal.pone.0263627.t002 PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 10 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa Fig 4. Agreement between serological assays for SARS-CoV-2. A. Percent agreement plotted across all assay combinations. Samples were designated as positive if IgM or IgG or total Ig was detected for each assay. B. IgM, IgG, and IgM or IgG LFIA results compared to anti-nucleocapsid protein total Ig titer (as determined by COI) of the Roche elecsys assay for all samples. The red horizontal line represents the cut-off value of the limit of detection of the Roche elecsys assay. https://doi.org/10.1371/journal.pone.0263627.g004 Fig 4. Agreement between serological assays for SARS-CoV-2. A. Percent agreement plotted across all assay combinations. Samples were designated as positive if IgM or IgG or total Ig was detected for each assay. B. IgM, IgG, and IgM or IgG LFIA results compared to anti-nucleocapsid protein total Ig titer (as determined by COI) of the Roche elecsys assay for all samples. The red horizontal line represents the cut-off value of the limit of detection of the Roche elecsys assay. h //d i /10 1371/j l 0263627 004 Table 3. Predictive values at different population seroprevalence rates. Sensitivity calculated at after 15 days after symptom onset. Specificity calculated for all samples (both RT-PCR negative and pre-COVID specimens). https://doi.org/10.1371/journal.pone.0263627.t003 ed at after 15 days after symptom onset. Specificity calculated for all samples (both RT-PCR negative and pre-COVID specimens) https://doi.org/10.1371/journal.pone.0263627.t003 Sensitivity calculated at after 15 days after symptom onset. y p s (both RT-PCR negative and pre-COVID specimens). ted for all samples (both RT-PCR negative and pre-COVID specimens). Sensitivity calculated at after 15 days after symptom onset. s after symptom onset. https://doi.org/10.1371/journal.pone.0263627.t003 Longitudinal antibody response to SARS-CoV-2 and performance of serological assays Assay Sensitivity (%) Specificity (%) Positive Predictive Value Negative Predicitive Value 5% 25% 50% 5% 25% 50% IgM Canea 80.4 94.7 44.2 83.4 93.8 99.0 93.5 82.5 Cellex 14.1 99.3 52.7 87.6 95.5 95.7 77.6 53.6 Innovita 74.7 93.3 37.1 78.9 91.8 98.6 91.7 78.7 VivaChek 72.8 95.3 45.1 83.9 93.4 98.5 91.0 77.8 IgG Canea 78.9 94.7 43.9 83.1 93.7 98.8 93.1 81.8 Cellex 81.7 96.7 56.3 89.1 96.1 99.0 94.1 84.0 Innovita 75.3 97.3 59.8 90.4 96.6 98.7 92.2 79.8 VivaChek 75.5 95.3 46.0 84.4 94.2 98.7 92.1 79.6 IgM or IgG Canea 81.2 94.7 44.5 83.5 93.8 99.0 93.8 83.5 Cellex 82.7 97.3 56.6 89.2 96.1 99.1 94.4 84.8 Innovita 80.6 90.0 32.9 75.6 90.3 98.9 93.4 82.5 VivaChek 76.0 94.7 42.8 82.6 93.4 98.7 92.2 79.7 Total Ig Roche elecsys 79.2 97.0 57.9 89.7 96.3 98.9 93.3 82.4 Table 3. Predictive values at different population seroprevalence rates. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 11 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa Fig 5. Kinetics of seroconversion rate of IgM, IgG, IgM or IgG LFIAs, and anti-NP total Ig at different time points after onset of symptoms. Total Ig for Roche elecsys assay. IgM, IgG, IgM or IgG LFIAs, and anti-NP total Ig at different time points after onset of symptoms. Total Ig for Roche Fig 5. Kinetics of seroconversion rate of IgM, IgG, IgM or IgG LFIAs, and anti-NP total Ig at different time points after onset of symptoms. Total Ig for Roche elecsys assay. Fig 5. Kinetics of seroconversion rate of IgM, IgG, IgM or IgG LFIAs, and anti-NP total Ig at different time points after o elecsys assay. https://doi.org/10.1371/journal.pone.0263627.g005 PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Discussion Evaluation of serological tests for SARS-CoV-2 infection has already been described by several reports from HICs [7–13]. Nonetheless, reports on the evaluation of serology tests on speci- mens derived from longitudinally enrolled patients from LMICs is scarce [14]. Such evalua- tions are important since blood samples from LMICs are markedly different from HICs with different immune activation status, genetic backgrounds, and pathogen diversity, and load as compared to HICs. In this work, we assessed serology assays using specimens obtained in a LMIC setting (Ethiopia) from consecutively enrolled COVID–1 9 patients. Thus, we were able to determine the kinetics profile of antibody responses of individual patients, as well as sero- conversion patterns. In addition, we were able to determine the performance of different sero- logical assays in LMIC context. The findings revealed that antibody responses were highly heterogeneous between individu- als and assays, consistent with previous reports [21–28]. Comparable trends in antibody response kinetics observed between the different assays suggest that the different antigen targets (NP, N and S) were similarly immunogenic. Longitudinal kinetics assessment of the various serological assays revealed that positivity rate increased with increasing time after the onset of symptoms. Around 80% positivity rate was reached after 3 weeks of symptom onset. This find- ing concurs with the only other report existing, from Cameroon [14]. A positivity rate that is sufficient to identify all COVID-19 patients may require longer period of time after the onset of disease. This suggests that the mainstay of diagnosis of COVID-19 remains the detection of virus or virus products [2, 3]. There are conflicting reports regarding differences in positivity rate between non-severe and severe COVID-19 cases. Whereas some reports revealed that posi- tivity rate among those with severe COVID-19 disease is significantly higher compared to those with non-severe disease [11, 12], others have demonstrated that there is no significant difference between the two groups [26]. Interestingly, it was shown that COVID-19 patients with more severe clinical presentation indeed exhibit a delayed production of antibodies compared to non-severe cases [22, 27]. In the current study, though there was a tendency towards increased positivity rate among severe compared to non-severe cases, we did not observe a significantly different pattern. In a previous report, we noted that being male is associated with COVID-19 severity [17]. Seroconversion of SARS-CoV-2 antibody Patients who were antibody–negative at time of hospital admission, but who became anti- body–positive during subsequent follow–up were considered as sero-converters. Overall, a total of 28 (27.5%) sero-converters were identified, 64 (62.8%) had already a positive antibody test result at time of admission, and 10 (9.8%) failed to mount a detectable antibody response by any of the assays tested throughout the course of follow-up. Seroconversion pattern as determined by different assays using various antibody isotypes are shown in Fig 5. Patients started to seroconvert as early as 4 to 6 days after onset of symptoms, reaching between 18.2% and 45.5% for the LIFAs IgM or IgG, and 14.3% for the Roche elecsys total Ig assay. The rate of seroconversion within the first 15 days after the onset of symptoms increased to 53.8% and 69.2% for the LFIAs IgM or IgG, and to 47.1% for the Roche elecsys assay. In addition, the seroconversion rate of all assays increased further during 2- to 3-weeks after onset of symptoms, ranging between 58.8% and 79.2%. The seroconversion rate continued to increase for all the assays, reaching 100% after 5.5 weeks after onset of symptoms. Nonetheless, seroconversion rate for Cellex IgM remained low throughout the course of follow-up. Overall, the median time for seroconversion was 11 (IQR: 9–15) days post symptom onset. The median time of seroconversion in the patients with severe COVID-19 tended to be shorter [10 (IQR: 8–11) days] when compared to non-severe COVID-19 patients [13 (IQR: 9–16) days]. However, this difference was not statistically significant (p = 0.251). Of the 28 patients who seroconverted, 11 (39.3%) were asymptomatic and 17 (60.7%) symptomatic. When stratified by symptoms, the median seroconversion time among symptomatic cases tended to be significantly shorter com- pared to asymptomatic patients [9 (IQR: 6–11) vs. 15 (IQR: 13–21) days; p = 0.002] (Fig 2D). Of the remaining 74 COVID-19 patients included in the cohort, 10 (9.8%) had no detect- able antibody response by each of the assay tested. These patients who failed to seroconvert included 5 mild/moderate, and 5 severe cases, with a median of 28 (IQR: 16–33) days follow- up after symptom onset (detailed information available in S4 Table). PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 12 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Discussion However, in the current study, we did not observe differences in COVID-19 sever- ity neither response to SARS-CoV-2 by gender, probably due to the smaller sample size. Though typically IgM appears earlier than IgG in other infectious events, this pattern is not typical in SARS-CoV-2 infection, as shown in the current study, as well as by previous investigators [26, 29], perhaps due to the fact that SARS-CoV-2 targets the lung epithelium initially. Furthermore, positivity rate for the assay Cellex IgM was found to be very low in this study, which is similar to previous report [30]. In contrast, others have reported higher positivity rate, ranging between 55.4% and 87.5% [22, 31]. The differences between the studies might be attributed to differences in sampling time, clinical severity status and study population immune responses. The findings of this study revealed specificity of various serological assays tested > 90% for LFIAs and 97% for Roche elecsys. The findings that samples were reactive in particular to more than one assay may indicate the presence of cross-reacting antibodies, as has been reported in other African countries [15, 16]. Moreover, the possibility of false-negative RT-PCR test result should be considered, in particular for those samples collected during the COVID-19 pandemic. This notion is strengthened by the fact that in our cohort 16/17 samples that become reactive to serology were collected during the COVID-19 pandemic period. Thus, future in-depth evaluation of serological assays needs to consider such possibilities. The positivity rate among the different assays that we tested was variable. The estimated PPV in a population with a seroprevalence of 5% was between 33% and 58%. Hence, an assay PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 13 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa with high specificity is required to ascertain an acceptable PPV in a population with low sero- prevalence [20]. Nonetheless, the estimated PPV increases significantly to over 90% in a popu- lation with seroprevalence of 50%. In such scenario, an assay that is needed is the one with a high sensitivity [20]. Overall, estimated PPV and NPV of each of the assay in a setting with a diverse population seroprevalence scenarios would certainly impact on the diagnostic testing outcomes. This needs to be considered during serosurveys [20]. Several reports have documented that the median time for IgM and IgG seroconversion is 7–14 days after the onset of symptoms [7, 10–12]. Discussion This is consistent with our finding showing a median seroconversion time of 11 days after onset of symptoms. Overall, these findings reflect the lower sensitivity of serological assays during the acute phase of the disease. In the current study, though there was a tendency towards earlier seroconversion rate among severe compared to non-severe cases, we did not observe a significantly different pattern. Nonethe- less, when stratified by symptoms, those with a symptomatic clinical presentation serocon- verted earlier when compared with those with asymptomatic presentation. Notably, we identified a total of 10 (9.8%) RT-PCR confirmed COVID-19 patients from our cohort who failed to seroconvert by any of the assays we tested. All these patients were symptomatic, and it is unlikely that these patients may have false-positive RT-PCR results. Except one case with HIV-1, none of the patients had immunosuppression. The number of days after onset of symp- toms in two cases was < 5 days, and these patients might have seroconverted later. Our find- ings are somewhat higher compared to a previous report that showed that approximately 5% of symptomatic PCR-positive patients remain antibody negative [27], but lower than the one reported by Long et al showing lack of seroconversion in > 20% of cases [7]. The fact that some patients fail to mount an adequate level of antibody response indicates that certain serol- ogy tests may have suboptimal sensitivity in assessing past infections. Strengths of the current study include evaluation of longitudinal serial samples from same individuals allowing us to determine the profile of antibody kinetics on individual patients, including exact seroconversion dates in some. In addition, a strength was the inclusion of asymptomatic cases, the analysis by COVID-19 disease severity, and the strict definition of controls (RT-PCR negative specimens obtained during the same period as well as samples col- lected before COVID-19 pandemic). Limitations associated with the study were the relatively small sample size, lack of evaluation of the neutralizing potential of the anti–SARS-CoV-2 anti- bodies, difficulty in selection of kits for evaluation, and the use of plasma rather than whole blood specimens to evaluate applicability of LFIAs as PoC tests for field use. In addition, we did not determine long-term outcome of SARS-CoV-2 antibody response several months after the onset of symptoms in the current study. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Acknowledgments The investigators thank EDCTP for providing funding to the project, COVID-19 patients and all individuals who provided specimens for control, and the medical staff who provided care of the patients. The investigators thank EDCTP for providing funding to the project, COVID-19 patients and all individuals who provided specimens for control, and the medical staff who provided care of the patients. Informed consent statement Written informed consent was obtained from all study participants. However, specimens used as controls from pre–pandemic period were specimens from biobank and individual study participant consent was not obtained. Nonetheless, all personal identifiers were de–linked from the original sources. Discussion In addition, antibody titer in this study was deter- mined using elecysys total Ig platform that may have precluded the specific determination of antibody response against the spike protein of SARS-CoV-2. SARS-CoV-2 seroprevalence studies done in African countries with commercial tests vali- dated in Europe, the USA, or Asia is faced with several challenges [32]. Therefore, studies such as the one here contribute to the understanding of the characteristics and pattern of antibody response of COVID-19 patients in the African context. To the best of our knowledge, this study is the first prospective study to evaluate the kinetics of anti–SARS-CoV-2 antibody response evaluating seroconversion pattern among SARS-CoV-2 infected patients from Africa. The study underscores the need for a comprehensive evaluation of commercial assay before use for surveillance or in aiding the diagnostic work up of COVID-19 cases. In addition, our results, together with previous evidence conducted in Africa [33], suggest that combining dif- ferent serology tests with antigen test may have a role in aiding the diagnosis of COVID-19 in resource-constrained settings. Furthermore, factors associated with failure to mount adequate SARS-CoV-2 antibody response need further research. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 14 / 18 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa Institutional review board statement The study was reviewed and approved by the Health Research Ethics Review Committee of Mekelle University College of Health Sciences (#ERC 1769/2020). PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 Supporting information S1 Fig. Kinetics of antibody response among COVID-19 patients stratified by disease severity. (DOCX) S1 Fig. Kinetics of antibody response among COVID-19 patients stratified by disease severity. (DOCX) S1 Table. Commercial kits used in the study and their characteristics. (DOCX) S2 Table. Raw data of positivity rate of SARS-CoV-2 antibodies in COVID-19 patients. (DOCX) S3 Table. Summary of hypothetical testing outcomes at various population SARS-CoV-2 seroprevalences. (DOCX) S4 Table. Characteristics of RT-PCR confirmed COVID-19 patients who failed to serocon vert. (DOCX) S1 Table. Commercial kits used in the study and their characteristics. (DOCX) S2 Table. Raw data of positivity rate of SARS-CoV-2 antibodies in COVID-19 patients. (DOCX) S3 Table. Summary of hypothetical testing outcomes at various population SARS-CoV-2 seroprevalences. (DOCX) S4 Table. Characteristics of RT-PCR confirmed COVID-19 patients who failed to serocon- vert. (DOCX) Author Contributions Visualization: Dawit Wolday. Visualization: Dawit Wolday. Writing – original draft: Abraham Desta, Geremew Tasew, Getachew Tollera, Zekarias Ges- sesse Arefaine, Henk HDF Schallig, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Writing – review & editing: Teklay Gebrecherkos, Yazezew Kebede Kiros, Ataklti Hailu, Ger- emew Tasew, Mahmud Abdulkader, Masresha Tessema, Tsigereda Kifle, Emily R. Adams, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Author Contributions Conceptualization: Yazezew Kebede Kiros, Abraham Desta, Geremew Tasew, Mahmud Abdulkader, Getachew Tollera, Zekarias Gessesse Arefaine, Henk HDF Schallig, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Conceptualization: Yazezew Kebede Kiros, Abraham Desta, Geremew Tasew, Mahmud Abdulkader, Getachew Tollera, Zekarias Gessesse Arefaine, Henk HDF Schallig, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Data curation: Yazezew Kebede Kiros, Saro Abdella, Abraham Desta, Ataklti Hailu, Geremew Tasew, Mahmud Abdulkader, Getachew Tollera, Zekarias Gessesse Arefaine, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Data curation: Yazezew Kebede Kiros, Saro Abdella, Abraham Desta, Ataklti Hailu, Geremew Tasew, Mahmud Abdulkader, Getachew Tollera, Zekarias Gessesse Arefaine, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Formal analysis: Teklay Gebrecherkos, Yazezew Kebede Kiros, Feyissa Challa, Saro Abdella, Atsbeha Gebreegzabher, Abraham Desta, Ataklti Hailu, Geremew Tasew, Mahmud Abdulkader, Masresha Tessema, Getachew Tollera, Tsigereda Kifle, Zekarias Gessesse Are- faine, Henk HDF Schallig, Emily R. Adams, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. 15 / 18 PLOS ONE | https://doi.org/10.1371/journal.pone.0263627 March 23, 2022 PLOS ONE Longitudinal antibody response to SARS-CoV-2 in Africa Funding acquisition: Yazezew Kebede Kiros, Abraham Desta, Geremew Tasew, Mahmud Abdulkader, Getachew Tollera, Henk HDF Schallig, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Investigation: Teklay Gebrecherkos, Yazezew Kebede Kiros, Feyissa Challa, Saro Abdella, Ats- beha Gebreegzabher, Abraham Desta, Ataklti Hailu, Geremew Tasew, Mahmud Abdulka- der, Masresha Tessema, Getachew Tollera, Tsigereda Kifle, Zekarias Gessesse Arefaine, Henk HDF Schallig, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Methodology: Teklay Gebrecherkos, Yazezew Kebede Kiros, Feyissa Challa, Saro Abdella, Ats- beha Gebreegzabher, Dereje Leta, Abraham Desta, Ataklti Hailu, Geremew Tasew, Mah- mud Abdulkader, Masresha Tessema, Getachew Tollera, Tsigereda Kifle, Zekarias Gessesse Arefaine, Henk HDF Schallig, Emily R. Adams, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Project administration: Yazezew Kebede Kiros, Abraham Desta, Ataklti Hailu, Geremew Tasew, Mahmud Abdulkader, Getachew Tollera, Tsigereda Kifle, Zekarias Gessesse Are- faine, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Resources: Yazezew Kebede Kiros, Geremew Tasew, Tsigereda Kifle, Zekarias Gessesse Are- faine, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. Software: Dawit Wolday. Software: Dawit Wolday. Supervision: Yazezew Kebede Kiros, Abraham Desta, Geremew Tasew, Mahmud Abdulkader, Zekarias Gessesse Arefaine, Britta C. Urban, Tobias F. Rinke de Wit, Dawit Wolday. 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Abstract Concepts and Aging: An Embodied and Grounded Perspective
Anna M. Borghi
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Edited by: Yann Coello, University of Lille Nord de France, France Reviewed by: Madeleine Ann Grealy, University of Strathclyde, UK Tina Iachini, Università degli Studi della Campania “Luigi Vanvitelli” Caserta, Italy *Correspondence: Anna M. Borghi anna.borghi@gmail.com †Present Address: Anna M. Borghi, Department of Dynamic and Clinical Psychology, Sapienza University of Rome, Rome, Italy Reviewed by: Madeleine Ann Grealy, University of Strathclyde, UK Tina Iachini, Università degli Studi della Campania “Luigi Vanvitelli” Caserta, Italy Abstract Concepts and Aging: An Embodied and Grounded Perspective 1 Institute of Cognitive Sciences and Technologies, Italian National Research Council (CNR), Rome, Italy, 2 Department of Psychology, University of Bologna, Bologna, Italy, 3 School of Applied Psychology, University College Cork, Cork, Ireland, 4 Trinity College Dublin, Dublin, Ireland Keywords: abstract concepts, abstract words, words as tools, aging, elderly, embodied cognition, grounded cognition How do we represent abstract concepts, as “justice” and “phantasy”? This issue has become hotly debated within embodied and grounded cognition views (for reviews: Pecher et al., 2011; Dove, 2016; Borghi et al., 2017). It is in fact unclear how such views can explain how we represent concepts that do not have single concrete referents and are rather detached from sensory experience (Barsalou, 2003; Binder, 2016). In spite of the increasing interest for this issue, to date evidence on abstract concepts across the lifespan is limited. Assuming that the representation of abstract concepts changes from adulthood to older age, in this paper we discuss how a new embodied and grounded proposal, the Words As social Tools (WAT) view (Borghi and Binkofski, 2014), can explain how abstract concepts are represented by older individuals. More specifically we will advance hypotheses on abstract concepts in aging focusing on WAT, and reinterpret previous findings in light of it. We propose that WAT can account for existing findings and provide a suitable framework to test conceptual knowledge in older adults. WORDS AS SOCIAL TOOLS (WAT) According to WAT all concepts are grounded in perception, action and emotional systems; however, information conveyed through language in a social context is particularly crucial for abstract concepts while sensorimotor information is more crucial for concrete ones. Concrete concepts are typically acquired through sensorimotor interaction with the word referent. To acquire abstract concepts, instead, we benefit more of linguistic and social inputs, since their referents are not clearly defined objects/entities. The importance of language for abstract concepts is due to many reasons. First, labels can help, as a sort of glue, to keep together varied and heterogeneous experiences. Second, explanations offered by others are crucial in order to understand word meaning. Accordingly, abstract concepts are acquired later than concrete ones, they benefit more of linguistically conveyed information and are more influenced by the social context. Consistently, Age of Acquisition (AoA) and modality of acquisition, while being distinct properties of words, are both negatively correlated with concreteness and positively correlated with abstractness (Della Rosa et al., 2010). Third, inner language may help re-explaining to ourselves the meaning of abstract words, typically more complex than concrete ones (Borghi and Zarcone, 2016). *Correspondence: Anna M. Borghi anna.borghi@gmail.com †Present Address: Anna M. Borghi, Department of Dynamic and Clinical Psychology, Sapienza University of Rome, Rome, Italy Specialty section: This article was submitted to Cognition, a section of the journal Frontiers in Psychology This article was submitted to Cognition, a section of the journal Frontiers in Psychology Received: 14 December 2016 Accepted: 08 March 2017 Published: 22 March 2017 PREDICTION In order to advance predictions on abstract concepts in older adults derived from WAT, we refer to recent studies on healthy older, with no claim to be exhaustive. OPINION OPINION published: 22 March 2017 doi: 10.3389/fpsyg.2017.00430 published: 22 March 2017 doi: 10.3389/fpsyg.2017.00430 Citation: Borghi AM and Setti A (2017) Abstract Concepts and Aging: An Embodied and Grounded Perspective. Front. Psychol. 8:430. doi: 10.3389/fpsyg.2017.00430 Borghi AM and Setti A (2017) Abstract Concepts and Aging: An Embodied and Grounded Perspective. Front. Psychol. 8:430. doi: 10.3389/fpsyg.2017.00430 Even if specific evidence on abstract concepts in healthy aging is lacking, there is evidence that linguistic abilities overall are preserved in elderly, although behavioral performance may be due to activation of different neural networks (Laumann Long and Shaw, 2000; Whiting et al., 2011; Shafto et al., 2012). March 2017 | Volume 8 | Article 430 Frontiers in Psychology | www.frontiersin.org Abstract Concepts and Aging Borghi and Setti consistently with the hypothesis that compensatory mechanisms operate in elderly. Interestingly, activity of the left Inferior Frontal Gyrus (IFG), typically associated with phonological processes, increased for abstract words compared with concrete words, only for older adults. Results also showed an increased activity for abstract words in older compared with younger adults in the Left Fusiform Gyrus, an area associated to the retrieval of visual attributes (Binder et al., 2009) (differences were also found in the Angular Gyrus). It is to note that abstract concepts are characterized by visual attributes, while concrete concepts are characterized by different sensory modalities, particularly touch and somatosensation (Connell and Lynott, 2012). Based on the effect of the word AoA and of the word frequency, which are generally correlated (highly frequency words are typically early acquired words), one could predict higher difficulties in the mastering/use of abstract words in older adults, since these words are typically acquired later. When degradation of the semantic system occurs, frequent words and more imageable words are typically better preserved than less frequent words and less imageable words (Jefferies et al., 2009). However, it is to note that a reverse of the concreteness effect, i.e., the advantage in processing and recall of concrete over abstract concepts, has also been found (see Harciarek and Kertesz, 2011 for a review). One possibility is that the discrepancies are due to differences in the tasks: the concreteness effect seems to be reduced with age in recollection, but preserved in lexical decision. The difference might be due to the different level of processing the two tasks imply (superficial vs. deep), or to the emphasis placed on speed of processing, which is higher in the lexical decision task. EVIDENCE Indeed, during the most superficial auditory lexical decision task (Roxbury et al., 2016) the concreteness effect was preserved at the behavioral level, but the neural underpinnings of the phenomenon differed between the older and the younger group. Specifically, the recruitment of left IFG in older adults for abstract words and pseudo words indicates that some kind of phonological processing takes place. This, according to WAT, could be associated with covert verbalization of the meaning. It is worth noting that phonological processing declines with aging (Burke and Shafto, 2004), however, older adults continue to rely on inner speech (Alderson-Day and Fernyhough, 2015). Evidence on concreteness effect in healthy aging is scarce. Evidence on concreteness effect in healthy aging is scarce. A reduction of the concreteness effect with normal aging was found by Peters and Daum (2008) who investigated effects of aging on vivid remembering during recognition (recollection). They tested three groups of participants (mean ages 21, 42, and 61 years) in a deep encoding task: participants had to rate words for pleasantness. After an interval participants were required to respond “remember” whether they were certain that they had seen the word, and recollected associations, emotions etc. with it; and to respond “know” when they recognized the word but did not associate any further information with it. Recollection of concrete words declined progressively with age, while recollection of abstract words showed a decline only from the young to the middle age group, with no further decline between middle and older age, revealing the predicted reduction of the concreteness effect in the older group. p y y g As predicted by WAT, the activation of left IFG could reflect the activation of compensatory strategies, which involve linguistic conveyed and linguistic form information, both crucial for abstract concepts representation. The activation of the left IFG would thus play a compensatory role in particular for later acquired abstract concepts. Notice that, according to WAT, abstract concepts do not activate only linguistic information but are also grounded in perception, in particular in the visual modality. In spite of the decline of vision with age, recent evidence has shown that the importance of visual features compared to other sensory modalities is higher for older then for younger adults (Maguinness et al., 2013; Costello and Bloesch, 2017). This activation of the visual modality could be associated with the activation of the Left Fusiform Gyrus (Roxbury et al., 2016). Citation: While older adults have well preserved vocabulary, when they need to activate it fast they are disadvantaged due to their general cognitive slowness. However, they may be able to compensate better for words more defined in linguistic form than in perceptual form when the task is not based on speed. In absence of specific pathologies, since vocabulary is preserved with aging, abstract concepts’ decline should be less marked than decline of concrete ones, since, compared to concrete concepts, they were mainly acquired through linguistically conveyed information and their representation relies more heavily on language. Hence, the concreteness effect should be reduced with aging (due to less steep decline of abstract concepts). Frontiers in Psychology | www.frontiersin.org REFERENCES familiarity, age of acquisition, context availability, and abstractness norms for a set of 417 Italian words. Behav. Res. Methods 42, 1042–1048. doi: 10.3758/BRM.42.4.1042 familiarity, age of acquisition, context availability, and abstractness norms for a set of 417 Italian words. Behav. Res. Methods 42, 1042–1048. doi: 10.3758/BRM.42.4.1042 Alderson-Day, B., and Fernyhough, C. (2015). Inner speech: development, cognitive functions, phenomenology, and neurobiology. Psych. Bull. 141, 931–965. doi: 10.1037/bul0000021 De Long, K. A., Groppe, D. M., Urbach, T. P., and Kutas, M. (2012). Thinking ahead or not? Natural aging and anticipation during reading Brain Lang. 121, 226–239. doi: 10.1016/j.bandl.2012.02.006 Barsalou, L. W. (2003). Abstraction in perceptual symbol systems. Philos. Transact. R. Soc. B Biolog. Sci. 358, 1177–1187. doi: 10.1098/rstb.2003.1319 rsalou, L. W. (2003). Abstraction in perceptual symbol systems. Ph Dove, G. (2016). Three symbol ungrounding problems: abstract concepts and the future of embodied cognition. Psychon. Bull. Rev. 23, 1109–1121. doi: 10.3758/s13423-015-0825-4 Binder, J. R. (2016). In defense of abstract conceptual representations. Psychon. Bull. Rev. 23, 1096–1108. doi: 10.3758/s13423-015-0909-1 Binder, J. R., Desai, R. H., Graves, W. W., and Conant, L. L. (2009). Where is the semantic system? A critical review and meta-analysis of 120 functional neuroimaging studies. Cereb. Cortex 19, 2767–2796. doi: 10.1093/cercor/bhp055 Harciarek, M., and Kertesz, A. (2011). Primary progressive aphasias and their contribution to the contemporary knowledge about the brain- language relationship. Neuropsychol. Rev. 21, 271. doi: 10.1007/S11065-011- 9175-9 Borghi, A. M., and Binkofski, F. (2014). Words as Social Tools: An Embodied View on Abstract Words. New York, NY: Springer. Jefferies, E., Patterson, K., Jones, R. W., and Lambon Ralph, M. A. (2009). Comprehension of concrete and abstract words in semantic dementia. Neuropsychology 23:492. doi: 10.1037/a0015452 Borghi, A. M., Binkofski, F., Castelfranchi, C., Cimatti, F., Scorolli, C., and Tummolini, L. (2017). The challenge of abstract words. Psychol. Bull. 143, 263–292. doi: 10.1037/bul0000089 Laumann Long, L., and Shaw, R. J. (2000). Adult age differences in vocabulary acquisition. Educ. Geront. 26, 651–664. doi: 10.1080/03601270050200644 Borghi, A. M., and Zarcone, E. (2016). Grounding abstractness: abstract concepts and the activation of the mouth. Front. Psychol. 7:1498. doi: 10.3389/fpsyg.2016.01498 Maguinness, C., Setti, A., Roudaia, E., and Kenny, R. A. (2013). Does that look heavy to you? Front. Hum. Neurosci. 7:795. doi: 10.3389/fnhum.2013. 00795 Burke, D. M., and Shafto, M. A. (2004). Aging and language production. Curr. Dir. Psychol. Sci. 13, 21–24. doi: 10.1111/j.0963-7214.2004.01301006.x Pecher, D., Boot, I., and Van Dantzig, S. (2011). CONCLUSION Little is known on how our representation of abstract concepts changes with aging. Some tentative evidence shows that abstract concepts deteriorate less than concrete concepts with age, likely because they rely more on language, and vocabulary and semantic knowledge have been shown to be preserved in older. If they deteriorate, compensatory strategies are activated, recruiting neural networks dedicated to phonological processing and, possibly, to visual processing. This evidence is in line with the WAT proposal, according to which abstract concepts activate both perceptual and linguistic information and it is not in line with the hypothesis that AoA and frequency determine the trajectory of decline of abstract AUTHOR CONTRIBUTIONS Both authors contributed to the conception and writing of this work. EVIDENCE Shafto et al. (2012) with a lexical decision paradigm, instead, provided evidence for increased sensitivity to imageability, which is correlated with concreteness, in older adults more than in younger adults. Shafto et al. (2012) manipulated words imageability and phonology (measured by cohort competition) and recorded fMRI. They found preserved lexical abilities (capability to distinguish words from non-words) in older adults, and better performance with high imaginable words in both younger and older adults. Older participants manifested a higher sensitivity to imageability and a lower sensitivity to cohort competition, consistently with evidence showing a reduction of the phonological abilities after the mid 70’s. In sum: according to WAT abstract concepts are grounded in sensorimotor and in linguistic/social experience. Consistently, the loss of abstract words, which are typically later acquired and less frequent than concrete ones, would be compensated reactivating phonological/linguistic and visual features. Based on WAT we propose that abstract and concrete concepts should have a different trajectory of decline. When, with older age, the decline starts to occur, concrete concepts, relying more on sensorimotor In a recent fMRI study, Roxbury et al. (2016) also conducted a lexical decision task, in which younger outperformed older adults (mean age 71) in response times and accuracy, and the concreteness effect was preserved with aging. However, the neural underpinnings differed for young and old adults, March 2017 | Volume 8 | Article 430 Frontiers in Psychology | www.frontiersin.org 2 Borghi and Setti Abstract Concepts and Aging and episodic knowledge, should decline faster, while abstract concepts should decline slower since they rely also on linguistic knowledge. According to WAT, abstract concepts are grounded in sensorimotor experience similarly to concrete ones, but are more grounded in linguistic experience than concrete concepts. Therefore, we predict that the different trajectory of decline of concrete and abstract concepts is driven by a different weight of the underlying conceptual components (linguistic, visual, motor etc.). Specifically, we predict a less marked decline of abstract compared to concrete concepts, even if the former are typically acquired later. If, instead, the decline of both kinds of concepts was determined mainly by AoA and frequency effects, abstract concepts should decline faster. This inference, however, needs to be tested empirically. concepts. Further empirical research is however necessary to obtain a clearer framework of abstract words mastering in old age. AVENUES FOR FUTURE RESEARCH Based on WAT, we expect that with non-pathological aging, the definitions of abstract concepts will maintain more richness than concrete ones, with reference to social contexts in which they are acquired and used. Considering the different results on the concreteness effect obtained with different tasks, further studies are needed to determine whether and to what extent the time constraints of speed-based tasks will allow for full access to resources such as inner speech characterizing more abstract than concrete concepts. We also propose that an electrophysiological signature of the relative preservation of abstract concepts could be found with EEG, possibly indicated by a modulation of the N400 component of the ERP related to the concreteness effect (West and Holcomb, 2000), and sentence comprehension and predictability (De Long et al., 2012). Importantly, fMRI studies utilizing speeded and non-speeded tasks with concrete and abstract concepts will allow to elucidate whether the hypothesized compensatory mechanisms in the activation of abstract concepts take place. Frontiers in Psychology | www.frontiersin.org REFERENCES Abstract Concepts: Sensory-Motor Grounding, Metaphors, and Beyond. Available online at: http://hdl.handle.net/1765/30616 Connell, L., and Lynott, D. (2012). Strength of perceptual experience predicts word processing performance better than concreteness or imageability. Cognition 125, 452–465. doi: 10.1016/j.cognition.2012.07.010 Peters, J., and Daum, I. (2008). Differential effects of normal aging on recollection of concrete and abstract words. Neuropsychology 22, 255–261. doi: 10.1037/0894-4105.22.2.255 Costello, M. C., and Bloesch, E. K. (2017). Are older adults less embodied? A review of age effects through the lens of embodied cognition. Front. Psychol. 8:267. doi: 10.3389/fpsyg.2017.00267 Roxbury, T., McMahon, K., Coulthard, A., and Copland, D. A. (2016). An fMRI study of concreteness effects during spoken word recognition in aging. Preservation or Attenuation? Front. Aging Neurosci. 7:240. doi: 10.3389/fnagi.2015.00240 Della Rosa, P. A., Catricalà, E., Vigliocco, G., and Cappa, S. F. (2010). Beyond the abstract—concrete dichotomy: mode of acquisition, concreteness, imageability, March 2017 | Volume 8 | Article 430 Frontiers in Psychology | www.frontiersin.org 3 Borghi and Setti Abstract Concepts and Aging 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. 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. Shafto, M., Randall, B., Stamatakis, E. A., Wright, P., and Tyler, L. K. (2012). Age-related neural reorganization during spoken word recognition: the interaction of form and meaning. J. Cognit. Neurosci. 24, 1434–1446. doi: 10.1162/jocn_a_00218 West, C. W., and Holcomb, P. J. (2000). Imaginal, semantic and surface-level processing of concrete and abstract words: an electrophysiological investigation. J. Cogn. Neurosci. 12, 1024–1037. doi: 10.1162/08989290051137558 Copyright © 2017 Borghi and Setti. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) or licensor are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms. Whiting, E., Chenery, H. J., and Copland, D. A. (2011). Effect of aging on learning new names and descriptions for objects. Aging Neuropsychol. Cognit. 18, 594–619. doi: 10.1080/13825585.2011.598912 March 2017 | Volume 8 | Article 430 Frontiers in Psychology | www.frontiersin.org 4
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16 34 Informe Consejo Consultivo de Andalucía 214/2021, p. 139. Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 ESTUDIOS La ley de Impulso para la Sostenibilidad del Territorio de Andalucía. Las clases de suelo y las actuaciones de transformación urbanística. La LISTA añade una nueva razón que justifica el crecimiento ocupando nuevos suelos rústicos: la necesidad de completar la estructura urbanística. El término estructura hace referencia a “la disposición o modo de estar las distintas partes de un conjunto”17, por lo que estructura urbanística hace referencia a la disposición, organización de los distintos elementos urbanos (viviendas, industrias, usos terciarios, o dotaciones). En consecuencia, una estructura urbana inacabada será aquella que, por la disposición de los elementos urbanos en una zona de frontera, precise de algún complemento de cierre. De donde se concluye que la delimitación de una ATU por esta razón deberá tener un ámbito limitado a la zona de contacto con el suelo rústico y, además, debe tener un ámbito reducido. Sea cual fuere la razón que justifica la ATU, los terrenos incluidos en la misma deberán ser colindantes con el suelo urbano existente, quedando integrados tras su transformación en la malla urbana (art. 31.2). De esta norma se excepcionan algunos supuestos, unos resultan, a nuestro juicio, justificados, como el regulado en la regla primera18 o el de los suelos planificados así por los instrumentos de ordenación del territorio; pero otros no tanto, como las actividades económicas o turísticas. Por ello la Ley exige que se justifique la razón de dicha discontinuidad19. a) La delimitación y ordenación de las Actuaciones de Transformación Urbana El artículo 25 LISTA, con una técnica deplorable, titula “propuesta de delimitación”, para en el núm. 1 indicar que “la delimitación” de las actuaciones de transformación corresponde al PGOM o, en los municipios de menos de 10.000 habitantes y no litorales o que formen parte de la aglomeración urbana, al PBOM (Plan Básico de Ordenación Municipal). La interpretación conjunta de este precepto y el art. 63.1.e) LISTA, en el que se indica que, el PGOM20 establece el marco de la ordenación territorial, marco que comprende, entre otros, “los criterios y directrices para los nuevos desarrollos de las actuaciones de nueva urbanización en el suelo rústico”, de donde se infiere que: a) al Plan General le corresponde hacer una delimitación indicativa o, por decirlo de otro modo, fijar los criterios para que sea el planeamiento de desarrollo quien delimite el ámbito en suelo rústico, en este sentido, conviene recordar que según la EM (apartado III), al PGOUM se le asigna la función de configurar y definir el modelo de ciudad a medio y largo plazo; el PPO será quien delimite el 17 Diccionario de la Real Academia Española de la Lengua. Edición Tricentenario. Actualizada en 2021. 18 Los que no puedan ubicarse en continuidad con el suelo urbano, debido a la existencia de elementos naturales, infraestructuras o afecciones sectoriales. 19 A nuestro juicio, los crecimientos turísticos difícilmente estarán justificados, además de que el crecimiento de forma discontinúa supondrá un sobrecoste económico poco razonable, en unos espacios que estarán deshabitados buena parte del año. 20 Los PBOM tienen el mismo contenido normativo en cuanto a la delimitación de las actuaciones de transformación que estamos estudiando (art. 65.2 LISTA). Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 35 José Zamorano Wisnes ESTUDIOS ámbito de actuación [segundo párrafo del número 1 del artículo comentado y letra d) del número 3, así como el art. 67.1]. Las propuestas de delimitación, cuyo contenido detalla en el número 2, deben concretar las “bases para el desarrollo y ejecución de la actuación”, así como una estimación de los costes de urbanización y plazos de ejecución con un grado de detalle suficiente para calcular los gastos imputables a la actuación y los criterios de distribución entre los afectados, concreciones que se relacionan con el derecho a “participar” de los propietarios del suelo [art. 19.2 LISTA y 13.2.c)]. Estos contenidos parecen relacionados con la gestión o ejecución, correspondiendo al PPO el establecimiento de la delimitación del ámbito de la actuación y la concreción de la ordenación detallada (art. 67.1). En definitiva, el desarrollo de la ATU en suelo rústico precisa, por un lado, del PGOM, que establece los criterios y directrices, la Delimitación de la ATU, donde se fijan los criterios para su futura gestión y, por último, el PPO que delimita el ámbito y la ordenación pormenorizada. Este esquema no varía mucho respecto del vigente antes de la entrada en vigor de la LISTA: PGOU, PPO y, si este último no lo hizo, delimitación de la unidad de ejecución. Si difieren los contenidos de los distintos instrumentos de planeamiento enumerados y, fundamentalmente, la capacidad de los PPO de delimitar el ámbito de las distintas actuaciones de nueva urbanización, lo que, hasta ahora, como es sabido, estaba reservado a los planes generales. El número 3 del artículo que estamos comentando establece el procedimiento para la aprobación de la “Propuesta de Delimitación” de ATU. La iniciativa [letra a)] corresponde a los propietarios o a la Administración, quien podrá adoptarla a iniciativa propia, a propuesta de otra Administración o entidad pública adscrita o dependiente de esta o a petición de cualquier persona física o jurídica. Este precepto no hace sino trasladar al ámbito urbanístico las normas sobre iniciación de oficio de los procedimientos administrativos [arts. 59 a 62 Ley 39/2015, de 1 de octubre, de Procedimiento Administrativo Común de las Administraciones Públicas. (LPACAP)]. La letra b), dispone la competencia de los ayuntamientos para la tramitación y aprobación de estos instrumentos, si bien, en el suelo rústico, será preceptivo el informe de la Consejería competente en materia de Ordenación del Territorio y Urbanismo. La letra c) dispone la obligación de someter la propuesta a información pública por un periodo no inferior a un mes. La misma letra establece el plazo máximo para resolver, para lo que los ayuntamientos disponen de seis meses. La falta de resolución en plazo provocará de haberse iniciado de oficio, la caducidad de la propuesta y, de haberse iniciado a instancia de los propietarios, el silencio negativo. Obviamente son de aplicación las normas que sobre el silencio administrativo establece la LPACAP, 36 Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 ESTUDIOS La ley de Impulso para la Sostenibilidad del Territorio de Andalucía. Las clases de suelo y las actuaciones de transformación urbanística. es decir, la Administración estará obligada a resolver, aunque se haya producido el silencio (art. 21) y han de observarse los efectos del silencio desestimatorio (art. 24.2). Finalmente, la letra d) establece un plazo máximo de dos años desde la resolución de aprobación de la propuesta de delimitación para aprobar el PPO, señalando que la no aprobación de éste en ese plazo supone la caducidad de la propuesta de delimitación ya aprobada. La solución adoptada implica que el acto de aprobación de la propuesta de delimitación es acto sometido a una condición resolutoria: la aprobación del PPO en un plazo de dos años, de modo que, incumplida la condición decae el acto. b) Deberes de la promoción de las ATU de nueva urbanización El art. 32 recoge las obligaciones de los promotores de las ATU de nueva urbanización. La enumeración reitera las previstas en el art. 18 TRLSRU, por lo que no nos vamos a detener en su enumeración y comentario, ya que existen excelentes manuales que lo hacen. Si acaso, se echa en falta el que no se recojan en la Ley andaluza los derechos de realojo y retorno, regulados en el art. 19 TRLSRU que, no obstante, son aplicables en el derecho urbanístico andaluz, pues, como es sabido, son norma básica en virtud de lo preceptuado en la DF 2ª del TRLSRU. 2. Suelo urbano La definición de suelo urbano recogida en el art. 13 LISTA y 21.3 TRLSRU es, desde hace años, un lugar común en nuestro derecho urbanístico. Su nota definitoria es que las parcelas que lo forman parte de éste estén integradas en la malla urbana y que la indicada malla este conformada por una red de viales, dotaciones y parcelas del núcleo urbano. En este sentido pueden verse, entre otras muchas, las sentencias del Tribunal Supremo de 19 de mayo de 2014, fundamento jurídico segundo (RC 6124/2011), con cita de otras muchas, o la de 15 de marzo de 2016, fundamento jurídico 12º (RC 2775/2014), con cita de las de 3 de febrero y 15 de noviembre de 2003. Este elemento central de la definición se complementa, con la necesidad de cumplir alguna de las siguientes condiciones: Haberse urbanizado en ejecución de los instrumentos de ordenación. Estar transformados urbanísticamente por contar con acceso rodado, conexión con la red de servicios básicos de abastecimiento de agua, saneamiento y suministro de energía. La letra b) del art. 21.3 TRLSRU es más genérico en la enumeración de las infraestructuras y servicios necesarios. En la LISTA se echa en falta servicios básicos, como los servicios de telefonía, tanto de la red digital, como la inalámbrica. La ciudad tiene que caminar hacia los servicios que demanda una ciudadanía de prin- Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 37 José Zamorano Wisnes ESTUDIOS cipios del siglo XXI, no los que demandó la ciudad del siglo XX. No se trata solo de avanzar hacia la “ciudad inteligente”, sino de no quedarse anclado en una ciudad sin capacidad de respuesta a los retos de nuestro tiempo. Estar ocupada por la edificación, al menos, en las dos terceras partes del espacio apto para ello, conforme con el ámbito que defina los instrumentos de ordenación urbanística. De esta forma, la LISTA incorpora una previsión clásica en nuestro derecho urbanístico, recogida también, en el TRLSRU21, que dota al suelo urbano de cierta flexibilidad y de cierta ambigüedad, pues la determinación del espacio en el que debe computarse la edificación ya existente le corresponde al planeamiento urbanístico. Así, la sentencia del TS de 6 de marzo de 1997 (RA 10930/1991, afirma, fundamento jurídico 8º, “En consecuencia el planificador no deja de tener libertad, al menos, para completar la urbanización existente mediante el señalamiento técnicamente más adecuado de unos u otros espacios aptos para ello, siempre que la edificación ocupe ya dos terceras partes”. De esta forma, y a pesar de que el suelo urbano tiene un carácter reglado, de modo que la realidad se impone a la voluntad del planificador [sentencia de 9 de diciembre de 2013, fundamento jurídico 5º (RC 877/2011)] entre otras, este elemento de la definición (la consolidación por la edificación) dota de cierta discrecionalidad al planificador urbano, pues nada más sencillo que ajustar el ámbito para computar una superficie edificada de dos tercios del espacio. La LISTA incluye también como suelo urbano los núcleos rurales enclavados en el medio rural que cuente con las infraestructuras y servicios que se determinen reglamentariamente. Este modo de asentamientos urbanos es característico de otras CCAA, como Galicia o Asturias, no de la nuestra, pero no está de más recogerlo en la Ley. No obstante, entendemos que no deben rebajarse reglamentariamente las infraestructuras necesarias para ser considerado suelo como urbano. El núm. 3 del artículo que estamos comentando establece los requisitos que deben reunir las parcelas de esta clase de suelo para que tengan la condición de solar. Los mismos padecen los defectos señalados en relación con el suelo urbano: da la impresión de que el legislador andaluz no apuesta porque nuestras ciudades sean “inteligentes”, no apuesta por las tecnologías de la información y automatización, sino por una ciudad y unos solares instalados en los años 50 del siglo pasado. Así, dispone que las parcelas deben tener acceso por vías pavimentadas; alumbrado público en la vía a que dé frente la parcela; suministro de agua potable; evacuación de aguas residuales; y energía eléctrica con capacidad suficiente para el uso previsto. 21 Esta condición del suelo urbano, característica en nuestro derecho urbanístico, fue reintroducida por la L3R, que modificó el TRLS de 2008. 38 Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 ESTUDIOS La ley de Impulso para la Sostenibilidad del Territorio de Andalucía. Las clases de suelo y las actuaciones de transformación urbanística. El número siguiente (4), establece, cuándo esas parcelas pierden tal condición, previsión que está relacionada con las ATU en suelo urbano. Pues bien, esa condición se pierde cuando la urbanización devenga inadecuada o por “su integración en ATU”, por darse alguna de las circunstancias a las que inmediatamente haremos referencia. A. Los usos del suelo urbano El legislador andaluz no ha establecido el régimen de usos del suelo urbano, con lo que se produce un cierto desequilibrio entre la regulación del suelo rústico y urbano. Obviamente esos usos, cuando menos los ordinarios, se pueden deducir de algunos preceptos de la Ley, pero no hubiese estado de más que se especificasen, por cuanto su indeterminación puede generar algunas dudas, más cuando en la LOUA estaban más especificados. Así, cuando el suelo urbano tenga la condición de solar, el uso ordinario será la edificación en las condiciones previstas por el Plan, en este sentido, el art. 18.1.a). Ahora bien, ¿puede tener algún uso extraordinario?, por ejemplo, ¿ser utilizado como aparcamiento? ¿Se está remitiendo la concreción de los usos extraordinarios al planeamiento urbanístico? En el suelo urbano que no tenga la condición de solar, el uso ordinario será la transformación mediante la urbanización hasta que adquiera tal condición [art. 18.2.a)]. B. Actuaciones de transformación y actuaciones urbanísticas Las actuaciones de transformación urbanística (ATU) son, según el art. 24.1, las actuaciones de mejora urbana (AMU), reguladas en los arts. 27 y 28; y las actuaciones de reforma interior (ARI), reguladas en los arts. 29 y 30. Las actuaciones urbanísticas son cualquier otra actuación realizada en el medio urbano para la mejora de la calidad y sostenibilidad de éste; para la obtención de sistemas generales y locales, regulada en los arts. 114 y 115 LISTA o, las actuaciones para completar o mejorar la urbanización que no deban someterse a las actuaciones de transformación reguladas en el art. 110 LISTA. a) Actuaciones en el medio urbano para la mejora de la calidad o sostenibilidad Sobre estas actuaciones la LISTA no concreta mucho más. Sin embargo, el TRLSRU nos permite hacer una relación más o menos extensa sobre esta clase de actuaciones que tienen por objeto la instalación de ascensores u otros elementos que garanticen la accesibilidad universal, para lo cual es posible ocupar superficies de espacios libres o de dominio público o superficies comunes de uso privativo (art. 24.4 TRLSRU); la instalación de aislamiento térmico en las fachadas de los edificios o cerramiento o acristalamiento de las terrazas techadas [núm. 5, letra a)]; la instalación de dispositivos bioclimáticos adosados a las fachadas o cubiertas, como dobles fachadas [letra b)]; centralización o dotación de instalaciones energéticas comunes, Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 39 José Zamorano Wisnes ESTUDIOS con fuentes de energías renovables [letra c)]; o, entre otras, actuaciones que consigan reducir el consumo de agua [letra d)]. Se trata, por tanto, de aplicar a la edificación el principio medioambiental de MTD con el objetivo común de mejorar la calidad ambiental y la accesibilidad de las edificaciones en general y de las viviendas en particular MENÉNDEZ REXACH se refiere a estas técnicas como cláusula de progreso22. La delimitación y ordenación de estas actuaciones en el medio urbano debe realizarse a través del Plan de Ordenación Urbana (POU), art. 66.1.f) y 66.2 LISTA. Planes que pueden consistir en la ordenación de la totalidad del suelo urbano por un plan único o por varios planes que ordenen cada uno zonas diferenciadas. No obstante lo anterior, con la finalidad de “recuperar ámbitos urbanos consolidados y degradados”, el instrumento de ordenación más adecuado será el Plan Especial regulado en el art. 70.1.f) LISTA. Entiendo que una interpretación conjunta de estos artículos y el 24.1 TRLSRU nos lleva a concluir que el POU ordenará todo el suelo urbano, incluidas las actuaciones en el medio urbano para la mejora de la calidad y sostenibilidad. Ahora bien, si el POU no ordenó o, habiéndolo hecho, el paso del tiempo supusiera la degradación de un área urbana no regulada por éste; la indicada actuación podrá ordenarse a través de un PE. Por decirlo de otro modo, el PE tiene una función subsidiaria del POU, pudiendo alterar la ordenación prevista en aquel. Estas actuaciones requieren de la realización de un informe de sostenibilidad económica que asegure su viabilidad [art. 22.5 TRLSRU y 62.1.a 4º LISTA]. b) Actuaciones para la obtención de sistemas generales o locales La obtención de sistemas generales o locales, cuando no esté adscrita a una ATU, se llevará a cabo de forma asistemática (art. 114 LISTA). Esta modalidad de ejecución debe articularse en aquellos supuestos en que no proceda la delimitación de unidades de ejecución (art. 109), lo que ocurrirá en los supuestos en que no sea precisa la realización de operaciones de equidistribución entre los propietarios (art. 99.3 LISTA)23, pues, aunque el núm. 1 del mismo artículo hace referencia a “las operaciones jurídicas y materiales precisas para la ejecución del instrumento de planeamiento”, la realización de las obras de urbanización (actuaciones materiales) será, en la mayoría de los casos, 22 MENÉNDEZ REXACH, A. (2011, p. 20). También ZAMORANO WISNES, J. (2021, p. 101). La distribución equitativa de beneficios y cargas es un principio básico de nuestro derecho urbanístico, al que hace referencia la EM de la Ley, designándolo como “eje vertebrador de las técnicas urbanísticas”. La jurisprudencia ha concluido que deriva directamente del principio de igualdad. STS 18.06.2015 (RC 2677/2013). 23 40 Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 ESTUDIOS La ley de Impulso para la Sostenibilidad del Territorio de Andalucía. Las clases de suelo y las actuaciones de transformación urbanística. común a ambos modos de actuación (art. 99)24: sistemática y asistemática. Por lo que, a nuestro juicio, el elemento diferencial es la necesidad o no de la equidistribución. La indicada obtención de suelo para dotaciones, siempre que no estén adscritos a ATU, pero sí previstos en el instrumento de ordenación, se realizará por venta o distribución de aprovechamientos, transferencia de aprovechamiento o mediante la constitución de un complejo inmobiliario de carácter urbanístico. La Ley no explicita con claridad en qué consisten estas técnicas, salvo las transferencias de aprovechamiento, reguladas en el art. 93.2, que prevé la posibilidad de transferir aprovechamiento subjetivo de parcelas que carezcan de él, de otras con exceso de aprovechamiento o, como dice el artículo mencionado, que tengan atribuido más aprovechamiento objetivo que el correspondiente a sus propietarios. Suponemos que esos mecanismos no desarrollados por la Ley se concretaran por vía reglamentaria; en caso contrario, nos tememos que su utilización será escasa o dispar. En el caso de no estar prevista la referida obtención de suelo por el instrumento de planeamiento, ésta se hará por reserva, expropiación u ocupación directa. La reserva se menciona, de nuevo, en el art. 93.2, sin que tampoco en éste se concrete en qué consiste, salvo que estos acuerdos de reserva pueden ser adoptados por la Administración para la obtención de sistemas generales o locales. El núm. 3 del mismo artículo dispone que estos acuerdos, al igual que los de transferencia o venta de aprovechamiento, se inscribirán en el registro municipal de aprovechamientos y en el Registro de la Propiedad, lo que parece razonable, por cuanto es preciso hacer públicos el aprovechamiento que corresponde a cada parcela y que los mecanismos que estamos estudiando los alteran. La ocupación directa se regula en el art. 117. Consiste en la obtención por la Administración de los terrenos previstos en el planeamiento como sistema general o local, a cambio del reconocimiento a los propietarios de los terrenos ocupados del derecho a integrarse en una unidad de ejecución con exceso de aprovechamiento. El núm. 2 establece como requisito, lo que es una novedad respecto de la LOUA, que la ocupación directa solo puede llevarse a cabo mediante acuerdo con el propietario afectado, lo que parece razonable por cuanto si, para los propietarios, integrarse en la unidad de ejecución, es un derecho, pudiendo, quienes no deseen hacerlo, solicitar la expropiación de sus fincas o solares [arts. 18.2.d) y 19.2 LISTA y 13.2.c) TRLSRU], parece razonable que quienes no deseen incorporarse a la unidad de ejecución prevista por la Administración opten por la expropiación, en lugar de obtener el derecho a incorporarse a una unidad de actuación que no desean y, para lo 24 En relación con la LOUA, puede verse, MARTÍNEZ GARCÍA, S. (2003, p. 301) y CABRAL GONZÁLEZ-SICILIA, A. (2004, pp. 681-685). ARANA GARCÍA, E. y CUESTA REVILLA, J. (2003, p. 342), definen la unidad de ejecución de la LOUA como el ámbito específico para la ejecución sistemática. Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 41 José Zamorano Wisnes ESTUDIOS que no están obligados. Este consentimiento no será preciso cuando los terrenos estén incluidos en una actuación sistemática en suelo urbano, siempre que el aprovechamiento se localice en la misma unidad de ejecución; ello también resulta razonable por el motivo expuesto, aunque lo que no parece razonable es que esa limitación se circunscriba al suelo urbano. La ocupación temporal anticipada otorga al propietario el derecho a ser indemnizado por el tiempo que transcurra entre ésta y la aprobación definitiva del instrumento de equidistribución, habitualmente, proyecto de reparcelación (art. 117.4 LISTA), indemnización que se fijará conforme al art. 112 LEF [art. 48.e) TRLSRU]. La ocupación temporal no podrá tener una duración superior a cuatro años (art. 117.5 LISTA) y, si esto ocurre, el propietario afectado podrá pedir el inicio del expediente de justiprecio o iniciarlo mediante el envío de la hoja de aprecio [art. 48.e) TRLSRU]. Una vez producida la expropiación, la Administración sustituirá al propietario en los derechos y deberes que le correspondan en la unidad de ejecución. La expropiación urbanística se regula en los arts. 42 a 46 TRLSRU, no siendo objeto de nuestro estudio. Baste una breve referencia al plazo máximo de cuatro años de que dispone la Administración para iniciar el procedimiento expropiatorio y, de no hacerlo en plazo, previo requerimiento por el interesado se entenderá iniciado por ministerio de la ley, pudiendo el propietario afectado presentar la hoja de aprecio y, transcurrido dos meses sin notificación de la Administración, remitirla a la Comisión Provincial de Valoraciones (art. 116 LISTA). c) Actuaciones para completar la urbanización Estas actuaciones se regulan en el art. 110, según el cual pueden ejecutarse en régimen de gestión pública o privada. De hacerse por la Administración serán de aplicación las previsiones del art. 109.2, es decir mediante la delimitación del ámbito de la actuación por el procedimiento previsto para las unidades de ejecución en el art. 99.5 LISTA, sujetando el ámbito al pago de cuotas de urbanización para su abono por los propietarios del coste de las infraestructuras y servicios. De ser la gestión privada, se podrá constituir una Entidad de Urbanización, para acometer los gastos en régimen de equidistribución de cargas. Esta Entidad elaborará el proyecto de distribución de cargas de urbanización, aprobándose por mayoría de las cuotas representadas. Con la finalidad de ejecutar las obras de urbanización que le corresponda, se autoriza la colaboración con esta Entidad de una empresa urbanizadora (art. 111). El proyecto de distribución de cargas de urbanización tiene por objeto, como se dijo, distribuir las cargas de urbanización entre los propietarios y titulares de derechos reales beneficiados por dichas obras, pudiendo incluir el coste de obtención de los terrenos necesarios (art. 112). Por otra parte, el procedimiento de liquidación garantizara el derecho de los afectados a ser oídos y 42 Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 ESTUDIOS La ley de Impulso para la Sostenibilidad del Territorio de Andalucía. Las clases de suelo y las actuaciones de transformación urbanística. a formular reclamaciones a la misma (art. 113). La Ley no lo dice, pero si la unidad de actuación no está delimitada, se podrá hacer por el procedimiento del art. 99.5. C. Actuaciones de mejora urbana Las actuaciones de mejora urbana (AMU) son aquellas que precisan nuevas dotaciones públicas como consecuencia de un incremento de la edificabilidad un incremento del número de viviendas o un cambio de uso o tipología que impliquen un aumento del aprovechamiento urbanístico, siempre que no precise de una actuación de reforma o renovación urbana (art. 27 LISTA). Son las actuaciones de dotación a que se refiere el art. 7.1.b) del TRLSRU. Es decir, se trata de actuaciones urbanísticas en virtud de las cuales el planeamiento dota al suelo de un aprovechamiento superior al que tenía con el planeamiento anterior, siendo precisamente ese incremento, el que se somete a deberes y cargas urbanísticas, para que, una vez cumplidos éstos, los titulares de los terrenos puedan adquirir los nuevos aprovechamientos25. En palabras del Tribunal Supremo, estas actuaciones “por su poca intensidad en la transformación del suelo, consisten en una mejora del mismo mediante un incremento de dotaciones, en un marco de proporcionalidad, y sin llegar a la reforma o renovación”, de manera que tienen por objeto mejorar la ciudad [Sentencia de 14 de febrero de 2020 (RC 195/2020) que a su vez reproduce la sentencia de 20 de julio de 2017]. Como es obvio, estos incrementos de aprovechamientos deben estar justificados en base a las mejoras que producen para los intereses generales o, en otros términos para la ciudad (art. 27.2), pues, como dice el Tribunal Supremo, es preciso que “el diseño de los espacios habitables, de sus usos y de sus equipamientos, y de las perspectivas de desarrollo, ampliación o expansión, sirva con objetividad los intereses generales; no los intereses de uno o de unos de sus propietarios; ni tan siquiera los intereses de la propia Corporación Municipal” [Sentencia 26 de julio de 2006 (RC 2393/2003)]. Pues, “En gran medida, el urbanismo de las grandes ciudades consiste hoy -ha evolucionado- en tratar de mejorar la ciudad adaptándola a las nuevas realidades, determinando nuevas centralidades, pero manteniendo su esencialidad. Esta es la clave y el sentido del planeamiento urbanístico actual que, obviamente, adapta la ciudad a las nuevas exigencias, respondiendo a los cambiantes intereses generales de la misma” [Sentencia 26 de enero de 2021 (RC 8090/2019)]. Estas actuaciones tendentes a mejorar la ciudad deben realizarse mediante la delimitación de un “área homogénea”, en la que se incluyan los terrenos objeto del incremento de aprovechamiento urbanístico y los terrenos para las nuevas dotaciones (art. 27.3), correspondiendo realizar esa función bien a los POU, a los que ya nos 25 PAREJO ALFONSO y ROGER FERNÁNDEZ, obra citada, pp. 191 y siguientes. Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 43 José Zamorano Wisnes ESTUDIOS hemos referido, o a los Estudios de Ordenación (E.O), regulados en el art. 69 de la Ley, cuyo objeto, es precisamente éste: la delimitación, ordenación detallada y programación de una actuación de mejora urbana en suelo urbano. Estos planes, como es característico en nuestro modelo urbanístico, deben respetar las previsiones del planeamiento superior: PGOM y POU. En consecuencia, el POU puede, conforme a la letra f) del art. 66, delimitar un área homogénea de mejora urbana, dejando la ordenación pormenorizada y la programación al EO (planeamiento diferido) o, en caso de que el POU no delimite el área homogénea, tal acotación podrá ser realizada por el EO. Como quiera que las parcelas incluidas en los mismos tienen materializados los aprovechamientos preexistentes, solo los nuevos precisan del cumplimiento de nuevas cargas urbanísticas. Los anteriores están exentos, por lo que el art. 28 LISTA, obliga a estas actuaciones a ceder el aprovechamiento correspondiente al diez por ciento del incremento de los aprovechamientos con destino al patrimonio público del suelo; la carga de obtener nuevas dotaciones lo será en términos equivalentes al incremento de aprovechamiento obtenido. En relación a esta cuestión (los incrementos de dotaciones), la LISTA no establece criterio alguno para su establecimiento, no obstante, una excesiva carga de dotaciones hará poco rentable la actuación de mejora urbana, por lo que, a nuestro juicio, estas nuevas dotaciones tienen que mantener un equilibrio con el incremento de aprovechamiento producido. D. Actuaciones de reforma interior Las actuaciones de reforma interior son un clásico en nuestro derecho urbanístico, hasta el punto de que la primera Ley con este contenido se remonta a sus orígenes, al 13 de junio de 1879, fecha en que se aprobó la Ley de Expropiación Forzosa y Reforma Interior de Poblaciones26. Las actuaciones de reforma interior se regulan en el art. 29 LISTA y se corresponden con las actuaciones de urbanización previstas en el art. 7.1.a). 2). TRLSRU. La LISTA las ordena con un elemento común: el planeamiento urbanístico. Será éste el que disponga la necesidad de realizar una operación de reforma o renovación del tejido urbano, como dice el Tribunal Supremo, el que establezca la necesidad de “hacer ciudad”27, mediante la creación de nuevas parcelas aptas para la edificación, al estar dotadas de redes suficientes de infraestructuras y servicios públicas. Esa necesidad de hacer nueva ciudad puede traer causa de la obsolescencia de los servicios, de la degradación del entorno o, simplemente, de la necesidad de implantar nuevos usos. 26 Sobre esta cuestión, resulta un clásico la cita de la monografía de BASSOLS COMA, M (1973), Genesis y evolución del derecho urbanístico español. 27 Sentencia citada. 44 Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 ESTUDIOS La ley de Impulso para la Sostenibilidad del Territorio de Andalucía. Las clases de suelo y las actuaciones de transformación urbanística. “Combatir la obsolescencia de los servicios […]”. Obsolescente es, a nuestro juicio, el término más amplio de los utilizados por la Ley para regular las operaciones de reforma interior por cuanto, con ello, se significa que los servicios son “inadecuados a las circunstancias, modas o necesidades actuales”28 y, en consecuencia, deben modificarse. Ello nos obliga a poner en relación este término con el mandato contenido en las letras h) e i) del art. 3.3. TRLSRU, en las que se mandata a los poderes públicos a formular y desarrollar en el medio urbano políticas cuyo objeto sea, fomentar la protección de la atmosfera y el uso de materiales, productos y tecnologías limpias que reduzcan las emisiones contaminantes y los gases efecto invernadero (GEI)29; así como a utilizar energías renovables y combatir la pobreza energética. Se trata, entonces, de establecer operaciones de renovación para mejorar las redes y servicios públicos llamados a obtener la reducción de emisiones a la atmosfera mediante la utilización de energías renovables. Es, así, una nueva “cláusula de progreso”30, que tiene por objeto garantizar la utilización de las MTD en las dotaciones e infraestructuras del medio urbano31. Por ello, el planeamiento municipal está, no solo facultado, sino también obligado a plantear operaciones de reforma interior cuando los servicios públicos resulten inadecuados, en los términos descritos, siendo preciso crear nuevas parcelas aptas para la edificación. En este sentido, el art. 21.1.b) de la Ley 7/2021, de 20 de mayo, de cambio climático y transición energética, obliga a la integración en los instrumentos de planificación urbanística de las medidas necesarias para propiciar la adaptación progresiva y resilencia frente al cambio climático. Las medidas tendentes a combatir la inadecuación a la que estamos haciendo referencia también tiene por objeto combatir la pobreza energética, incentivando el uso eficiente de los recursos y la energía, mediante el fomento de la instalación de energías renovables, en definitiva, mediante la creación de áreas residenciales autosuficientes energéticamente32. Más convencionales pueden ser las operaciones de reforma que tienen por objeto combatir la degradación urbana. Son actuaciones que se realizan con cierta e indeseada reiteración en nuestras ciudades, pues traen causa en la falta de una conservación suficiente del tejido urbano y, suelen coincidir con las barriadas económica y socialmente más desfavorecidas. El espacio urbano se degrada por el paso del tiempo sin una conservación suficiente, perdiendo las cualidades que le permitieron obtener esa clasificación, lo que obliga a su renovación. 28 Diccionario RAE. Edición Tricentenario. Actualizado 2021. No podemos olvidar que la ciudad es el principal emisor de GEI, por lo que el combate contra el calentamiento global se juega en buena medida en las ciudades. 29 30 31 32 Citado. En el mismo sentido GALÁN VIOQUE, R. (2020, p. 242). En este sentido la Ley Andaluza 8/2018, de 8 de octubre, de Medidas frente al Cambio Climático. Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 45 José Zamorano Wisnes ESTUDIOS Generalmente, la degradación del tejido urbano va asociada a la degradación de las edificaciones que en él se ubican. Cuando esas actuaciones de regeneración o renovación del tejido urbano, además, van acompañadas de medidas sociales, ambientales y económicas tendrán carácter integrado (art. 2.1 TRLSRU). Los cambios de uso es la tercera causa que puede justificar la necesidad de poner en marcha una actuación de renovación o reforma urbana. Son la consecuencia de una ciudad viva, en constante evolución, en estado de cambio permanente. Ahora bien, estos cambios de usos deber realizarse de forma planificada, con el objetivo de mejorar la ciudad existente, fomentando la ciudad compacta [art. 3.4.1.c)], con la finalidad de mejorar la cohesión territorial [art. 3.3.c)], sin que dicha planificación pueda suponer discriminación alguna o diferencia de oportunidades [3.2.h)]. Por otro lado, como dispone el art. 3.3 del TRLSRU, debe favorecer la dinamización económica y social [letra b)] e integrar en las áreas residenciales los distintos usos que sean compatibles con la función habitacional [letra g]. Se trata de mandatos a los que no siempre se ha dado una respuesta adecuada por el planeamiento municipal. Así, hemos visto proliferar en nuestras ciudades procesos de gentrificación, en los que las clases sociales más desfavorecidas se han visto desplazadas del centro de las ciudades, su lugar de residencia, a barriadas de la periferia33. Otro fenómeno que cada vez con más frecuencia se detecta en los entornos históricos de nuestras ciudades es el de la vivienda turística34, como dice el Tribunal Supremo, este fenómeno convierte las ciudades en “un parque temático”35, situación, que empieza a ser objeto de regulación por parte de algunos municipios, los más grandes y más turísticos, ya sea a través de planes urbanísticos, ya sea a través de ordenanzas municipales, formula esta última que no ha tenido buena acogida en nuestros tribunales. Un último motivo para promover las actuaciones de reforma interior es el de llenar vacíos urbanos que no cuenten con ordenación detallada o que se considere adecuada su modificación. Este fenómeno, distinto de los anteriores, es una anomalía respecto del proceso natural de crecimiento de la ciudad, que va dejando espacios sin urbanizar y, en ocasiones, sin ordenar. No olvidemos que uno de los objetivos de la Ley andaluza es la existencia de ciudades compactas, en las que estos espacios vacíos son una anomalía que necesita ser corregida. La ordenación de estas actuaciones se realiza por el POU artículos 29.4 y 66.1.f), para la delimitación del área objeto de actuación, en su defecto, dicha de33 Sobre este proceso puede verse SOTO MOYA, M.M y GARCÍA CALVETE, Y. (2020, pp. 257259). También ZAMORANO WISNES, J. (2022, p. 24). 34 35 46 Sobre esta cuestión puede verse, AGUIRRE Y FONT (2021, pp. 25 y 26). STS de 26 de enero de 2021 (RC 8090/2019). Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 ESTUDIOS La ley de Impulso para la Sostenibilidad del Territorio de Andalucía. Las clases de suelo y las actuaciones de transformación urbanística. limitación también puede hacerse por los Planes de Reforma Interior (PRI), que, a su vez, tienen la función de realizar la ordenación pormenorizada necesaria para el desarrollo de la actuación (art. 68 LISTA). En cuanto a los deberes urbanísticos vinculados a las actuaciones de reforma interior, la LISTA ha operado una modificación de cierta importancia sobre las obligaciones impuestas por la LOUA a los propietarios de suelo urbano no consolidado por la urbanización y, lo que es más importante, sobre las previsiones del TRLSRU. En efecto, dice el art. 18.1.b) TRLSRU que forman parte de los deberes de las actuaciones de urbanización, entre las cuales se encuentran las de reforma interior (art. 7.1.a), el de entregar a la Administración competente, con destino al patrimonio público del suelo, el porcentaje de la edificabilidad media ponderada que fije la ordenación territorial o urbanística, pero que, con carácter general, ese porcentaje no podrá ser inferior al 5%, ni superior al 15%. Pues bien, la LISTA establece ese porcentaje en el 10% del incremento de aprovechamiento urbanístico en las actuaciones asistemáticas o en el incremento del aprovechamiento medio sobre el aprovechamiento urbanístico existente. Es claro que el 10% del incremento del aprovechamiento puede ser y, usualmente lo será, menor que el 5% de la edificabilidad media ponderada. Como también lo es, a nuestro juicio, que la legislación autonómica no puede modular libremente, como hace la LISTA, ese deber36, que no olvidemos trae causa en el art. 47 CE. Las restantes cargas atribuidas a la actuación no plantean mayores problemas y se corresponden a las tradicionales en esta clase de actuación y, desde luego, a las establecidas en el TRLSRU: entregar los suelos necesarios para las dotaciones generales y locales; costear y, en su caso, urbanizar las obras incluidas en el ámbito y las conexiones con las redes generales viarias y de infraestructura, así como las obras de ampliación y refuerzo de dichas redes; entregar las obras e infraestructuras; indemnizar a los titulares de derechos sobre las edificación que deban ser demolidas; y el derecho de realojo y retorno de los ocupantes legales de inmuebles que constituyan su vivienda habitual. III. RECAPITULACIÓN La LISTA incorpora alguna novedad relevante respecto a la legislación anterior. Así, hemos destacado, a pesar de no ser el objeto de este trabajo, la regulación en una única norma de las disposiciones en materia de ordenación del territorio y 36 De la misma opinión son PAREJO ALFONSO, L. y ROGER FERNÁNDEZ, G. (2007, pp. 217 y 218). También CASTELAO RODRIGUEZ, J. (2007, p. 523). Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 47 José Zamorano Wisnes ESTUDIOS urbanismo, si bien se trata más de una unificación formal que material, conservando unas y otras sus propias instituciones. Entre las disposiciones relativas a la ordenación del territorio resulta significativa la desaparición del Plan de Protección del Corredor Litoral de Andalucía. A nuestro juicio, se trataba de un plan que estaba llamado a jugar un papel relevante en la protección del litoral y que, desafortunadamente, no ha llegado a hacerse realidad, salvo durante unos meses escasos. Al desaparecer de entre los instrumentos de planeamiento territorial el plan del litoral, la protección de éste se deja a los planes de ámbito subregional que, hasta ahora, no se han mostrado especialmente sensibles por esta materia, por lo que, el litoral seguirá estando al albur de las distintas regulaciones municipales, sin que desde el planeamiento territorial se establezcan mecanismos de protección adecuados. Entrando en el objeto de nuestro estudio, las clases de suelo, sus usos y utilizaciones, así como los planes adecuados para su ordenación, hay que destacar, en primer lugar, la desaparición de la clase de suelo urbanizable. Esta clase de suelo suponía una distorsión en nuestro derecho urbanístico, pues el mismo no hacía referencia a la situación del suelo, sino a su destino, con lo que la clasificación del suelo incorporaba dos criterios claramente diferenciados: la situación y el destino. La nueva Ley urbanística de Andalucía, siguiendo el ejemplo de la legislación estatal sobre el suelo, regula dos clases de suelo: rústico y urbano, ambas se caracterizan por delimitar el suelo en función de sus características, de, si se quiere su situación. De modo que existe un suelo natural, no transformado: el suelo rural y, la ciudad, es decir la red de dotaciones y servicios en las que se desarrolla la vida en sociedad. En la delimitación de esas clases de suelo se echa en falta la determinación de en qué clase de suelo se incluye los suelos que se encuentran en transformación, es decir, aquellos suelos que ya no son naturales, por haber iniciado un proceso de transformación urbanística, pero que no son ciudad, por no haber concluido ese proceso. Esta indefinición del derecho urbanístico andaluz se puede colmar acudiendo a la legislación estatal, donde claramente se incluyen como suelo rural, pero, entendemos, que hubiese sido conveniente que el legislador competente en materia urbanística hubiese colmado esa laguna. La regulación del suelo rústico supone una clara opción en favor de la implantación de actividades industriales y terciarias en esta clase de suelo. Así, se incluyen como actuaciones extraordinarias la implantación de usos industriales, terciarios o turísticos. Entendemos que estas actuaciones en suelo rústico, es decir, natural, debían limitarse para aquellas que no tengan cabida en el suelo urbano o que, por su naturaleza, no puedan implantarse en suelo urbano, por ejemplo, alojamientos de turismo rural, debiendo tener un carácter no solo extraordinario sino también excep- 48 Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 ESTUDIOS La ley de Impulso para la Sostenibilidad del Territorio de Andalucía. Las clases de suelo y las actuaciones de transformación urbanística. cional, pues de lo contrario la reactivación económica del suelo rústico se realizará a costa de perder su naturaleza, es decir su naturalidad, la que, entendemos, poco dice sobre la sostenibilidad del modelo. La regulación de la vivienda en suelo rústico es, a nuestro modo de ver, muy permisiva, pues no solo se posibilita su construcción como vivienda de los trabajadores agrícolas, lo que se califica como uso ordinario, sino que, lo que resulta más laxo, se permiten como uso extraordinario “viviendas unifamiliares aisladas” sin más limitaciones que impedir la formación de nuevos asentamientos, lo que posibilita que, en un futuro no tan lejano, nuestro suelo rústico se fragmente con innumerables viviendas unifamiliares. Fenómeno que ya ha ocurrido y ello a pesar de ser un uso prohibido o, cuando menos, muy limitado. En el suelo urbano, sería deseable una distinción más nítida entre las actuaciones de urbanización y las de transformación urbanística. El límite entre una y otras, resulta demasiado resbaladizo, el tamaño de la actuación, parece ser el único parámetro que posibilite distinguir unas de otras, y sin que esto quede claramente explicitado en la Ley, ello va en contra del principio de seguridad jurídica. Así, a modo de ejemplo, las intervenciones que tengan por objeto la introducción de mejoras ambientales en las infraestructuras, dotaciones y servicios urbanos pueden ser objeto de ambos tipos de actuaciones. Esta cuestión se hace, además, más compleja si tenemos en cuenta que las actuaciones de transformación urbana se subdividen en dos: las de reforma interior y las de mejora urbana y, la distinción entre ellas, como ha tenido ocasión de mantener el Tribunal Supremo, es también de tamaño o de intensidad de la actuación. Lo que hace el modelo sumamente complejo. En las actuaciones para la obtención de sistemas generales y locales, se establecen algunas técnicas que no se definen, sino que la Ley se limita a enumerarlas, lo que deja al reglamento un espacio amplio en la regulación de técnicas que inciden en el derecho de propiedad de forma notable. Así, el art. 115.1.b) LISTA, enumera unos mecanismos de obtención de sistemas generales y locales mediante acuerdo entre propietarios y administración, enumeración que no se desarrolla y, remite, como formas de obtención forzosas a la expropiación u ocupación directa. En las actuaciones de reforma interior se han limitado de forma notoria las cargas de los propietarios, al limitar la cesión con destino al patrimonio público del suelo, al diez por ciento de los incrementos de aprovechamiento. Como destacamos en el texto, esta previsión puede suponer en algunas actuaciones, a nuestro juicio, en muchas, que se incumplan las cesiones que con el carácter de mínimas regula el art. 18 TRLSRU. Además, ello redundará en una menor capacidad económica de nuestros municipios. Revista Andaluza de Administración Pública ISSN: 1130-376X, núm.112, enero-abril (2022), págs. 19-51 49 José Zamorano Wisnes ESTUDIOS IV. BIBLIOGRAFÍA AGUIRRE I FONT, J.M. (2021). La regulación municipal de las viviendas de uso turístico: soluciones a través del urbanismo. REALA núm. 15 ARANA GARCÍA, E. y CUESTA REVILLA, J. (2003). Cap. La ejecución del planeamiento en JIMENEZ BLANCO CARRILLO DE ALBORNOZ, A. y REBOLLO PUIG, M. (DIRS.), Derecho Urbanístico de Andalucía. Ed. Tirant lo Blanch. BASSOLS COMA, M. (1973). Genesis y Evolución del Derecho Urbanístico Español. Ed. Montecorvo. CASTELAO RODRIGUEZ, J. (2007). Comentarios art. 16 Ley del Suelo en en SANCHEZ GOYANES (DIR). La Ley del Suelo. Edit. La Ley y El Consultor de los Ayuntamientos.
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https://openalex.org/W2273732083
OpenAlex
Open Science
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2,016
Luminescent Properties of [UO2(TFA)2(DMSO)3], a Promising Material for Sensing and Monitoring the Uranyl Ion
Pablo Martín‐Ramos
English
Spoken
3,327
7,101
Received: August 7, 2015; Revised: November 27, 2015; Accepted: December 18, 2015 Received: August 7, 2015; Revised: November 27, 2015; Accepted: December 18, 2015 An uranyl complex [UO2(TFA)2(DMSO)3] (TFA=deprotonated trifluoroacetic acid; DMSO=dimethyl sulfoxide) has been successfully synthesized by reacting UO2(CH3COO)2·H2O with one equivalent of (CF3CO)2O and DMSO. The complex has been characterized by single-crystal X-ray diffraction, X-ray powder diffraction, elemental analysis, FT-IR spectroscopy, thermal analysis and absorption and emission spectroscopies. The spectroscopic properties of the material make it suitable for its application in the sensing and monitoring of uranyl in the PUREX process. Keywords: DMSO, sensing, trifluoroacetate, PUREX, uranyl. Keywords: DMSO, sensing, trifluoroacetate, PUREX, uranyl. 1. Introduction acidic solution at pH 1.6 9. Nowadays, phosphoric acid is additionally added because it complexes the ion, enhances its fluorescence, and thereby lowers the detection limit. Details on the monitoring of uranium in this process can be obtained from Smith et al.,9 and from Ramanujam10.l A dimethyl sulfoxide (DMSO) adduct of uranyl trifluoroacetate UO2(TFA)2 with a 1:3 composition was synthesized in 1988 by Fomicheva et al.,1 and its structure in solution was studied by NMR spectroscopy. Nonetheless, no structural elucidation in solid state was conducted. The interest in the solid and solution phases of this complex arise from its easy vacuum sublimation (the necessary condition for the volatility of UO2(TFA)2 is the presence of a strong neutral ligand, such as DMSO) and its applications in the sensing and monitoring of UO2 2+ in nuclear processes related to nuclear energy production. In this paper we propose the alternative use of trifluoroacetic acid and DMSO to further optimize this application. In trifluoroacetate acid, the emission is particularly intense, being >150 times stronger than in water, probably by virtue of the combined effect of lowering the pH and dehydration by formation of the DMSO complex1. A great deal of work has been dedicated to the development of sensors for actinide ions such as [UVIO2]2+ 2-4, which have been detected in groundwater around nuclear fuel-processing facilities after underground tests. It should also be noted that monitoring radioactive analytes is now possible using fiber optics, since the [UVIO2]2+ ion shows an intrinsic fluorescence with maxima at 518 and 546 nm, which are compatible with both plastic and glass fibers5,6. In the work presented herein, evidence of the effective complexation has been gained by X-ray diffraction through structural elucidation of single-crystals of [UO2(TFA)2(DMSO)3] (TFA=deprotonated trifluoroacetic acid; DMSO=dimethyl sulfoxide) isolated from solution (prepared according to a new synthesis method). Further, we present a detailed characterization of the solid form by X-ray powder diffraction, elemental analysis, FT-IR spectroscopy, thermal analysis and absorption and emission spectroscopies. Moreover, the PUREX (Plutonium Uranium Redox Extraction) process7,8, the de facto standard aqueous nuclear reprocessing method for the recovery of uranium and plutonium from used nuclear fuel, requires continuous monitoring of [UVIO2]2+ ion. This was traditionally achieved by exciting the fluorescence of [UVIO2]2+ ion in nitric acid medium at 337 nm using a nitrogen laser, since its intensity is strongest in © 2016 © 2016 DOI: http://dx.doi.org/10.1590/1980-5373-MR-2015-0448 Materials Research. 2016; 19(2): 328-332 *e-mail: pmr@unizar.es Luminescent Properties of [UO2(TFA)2(DMSO)3], a Promising Material for Sensing and Monitoring the Uranyl Ion Pablo Martín-Ramosa,b*, Ana L. Costac, Manuela Ramos Silvab, Laura C. J. Pereirad, Pedro S. Pereira da Silvab, J. Sergio Seixas de Meloc, Jesús Martín-Gile aEscuela Politécnica Superior de Huesca – EPSH, Universidad de Zaragoza – UNIZAR, Carretera de Cuarte s/n, 22071, Huesca, Spain. bCentro de Física da Universidade de Coimbra – CFisUC – CfisUC, Department of Physics, Universidade de Coimbra – UC, Rua Larga, P-3004-516, Coimbra, Portugal. cCentro de Química de Coimbra – CQC, Department of Chemistry, Universidade de Coimbra – UC, Rua Larga, P-3004-535, Coimbra, Portugal. dCentro de Ciências e Tecnologias Nucleares – C2TN, Instituto Superior Técnico – IST, Universidade de Lisboa – ULISBOA, 2695-066, Bobadela LRS, Portugal. eAdvanced Materials Laboratory, Escuela Técnica Superior de Ingenierías Agrarias – ETSIIAA, University of Valladolid – UVa, Avenida de Madrid 44, 34004, Palencia, Spain 3.2. X-ray powder diffraction Fig. 2 shows the experimental diffraction pattern and the simulated powder diffraction pattern from the single crystal structure using PLATON13. There is a good match between simulated and experimental diffractograms: the peaks appear at the predicted theta angles. Differences in intensity can be ascribed to the Bragg-Brentano geometry of the instrument used. 3.3. Thermal behavior Thermal kinetics of [UO2(TFA)2(DMSO)3] uranyl trifluoroacetate complex from room temperature to 800 ºC involved a melting point around 100 ºC (endotherm at 103 ºC) and a decomposition in two stages at 105-300 ºC Fig. 1. Structural diagram of [UO2(TFA)2(DMSO)3] complex. 3.1. Structural description The single crystal X-ray diffraction study confirmed a distorted pentagonal-bipyramidal geometry around the U atoms where the uranyl oxygen atoms occupy the axial positions. Five O atoms from three dimethyl sulfoxide molecules and two trifluoroacetate ions define the pentagonal plane (Fig. 1, Table 1). [UO2(CF3COO)2(DMSO)3]: Chemical formula: C10H18F6O9S3U, MW: 730.46. Anal. Calcd. for C10H18F6O9S3U: C, 16.44; H, 2.48; F, 15.61; O, 19.71; S, 13.17; U, 32.59%. Found: C, 16.24; H, 2.36%. and adding an excess of DMSO (CAS No. 67-68-5, ≥99.5%, Sigma-Aldrich). An alternative method using commercial uranyl nitrate hexahydrate (CAS No. 13520-83-7, ≥98.0%, Sigma-Aldrich) as precursor required seven equivalents of (CF3CO)2O (six for dehydration). Gaseous N2O5 evolved as nitrate reduction product. ( ) ( ) ( ) 2 3 2 3 2 2 2 3 2 5 3 2 UO NO ·6H O 7 CF CO O UO CF COO N O 12CF COOH + → + ↑+ ( ) ( ) 2 3 2 3 2 2 UO NO ·6H O 7 CF CO O + ( ) ( ) 2 3 2 3 2 2 UO NO ·6H O 7 CF CO O + ( ) 2 3 2 5 3 2 UO CF COO N O 12CF COOH → + ↑+ 2.2. X-ray crystallographic analysis Prior to structural characterization, a powder diffractogram of the sample was obtained using a Bruker D8 Advance Bragg-Brentano diffractometer, in reflection geometry. For the determination of the crystal structure by X-ray diffraction, several crystals of aforementioned compound were glued to glass fibres and mounted on a Bruker APEX II diffractometer. Several data collections were conducted at room temperature 293(2) K using graphite monochromated MoKα (λ=0.71073 Å). Empirical absorption corrections were made using SADABS, a program designed to exploit data redundancy to correct 3D-integrated (thin slice) data from Bruker area detectors11. None of the data collections yielded good Rint factors. The structure was solved by direct methods using SHELXS-9712 and refined anisotropically (non-H atoms) by full-matrix least-squares on F2 using the SHELXL-97 program12. The refinement was performed using several DFIX and ISOR constraints. The low quality data and the difference between the scattering power of the atoms involved resulted in unconverging refinements with several signs of disorder in the coordinating ligands. PLATON13 was used to analyse the structure and for figure plotting. Atomic coordinates, thermal parameters and bond lengths and angles are provided in the Supporting Information. 3. Results and discussion Both reactions were conducted in DMSO at room temperature (RT) under stirring. The solutions were stored in a refrigerator at 4 ºC for 24 hours. [UO2(CF3COO)2(DMSO)3] bright yellow crystals with well-formed crystal faces were formed by slow evaporation. The reaction yield was determined to be higher than 90% in both synthesis procedures. 2.1. Materials, synthesis and analytical datal 2.1. Materials, synthesis and analytical datal 2.1. Materials, synthesis and analytical datal [UO2(TFA)2(DMSO)3] (TFA=deprotonated trifluoroacetic acid, CF3COOH; DMSO=dimethyl sulfoxide, (CH3)2SO) was prepared by reacting uranyl acetate hydrate (CAS No. Luminescent Properties of [UO2(TFA)2(DMSO)3], a Promising Material For Sensing and Monitoring the Uranyl Ion Luminescent Properties of [UO2(TFA)2(DMSO)3], a Promising Material For Sensing and Monitoring the Uranyl Ion 2016; 19(2) 329 6159-44-0, ≥98.0%, Sigma-Aldrich), UO2(CH3COO)2·H2O, with one equivalent of trifluoroacetic anhydride (CAS No. 407-25-0, ≥99%, Sigma-Aldrich), (CF3CO)2O, according the following reaction: 6159-44-0, ≥98.0%, Sigma-Aldrich), UO2(CH3COO)2·H2O, with one equivalent of trifluoroacetic anhydride (CAS No. 407-25-0, ≥99%, Sigma-Aldrich), (CF3CO)2O, according the following reaction: Thermal analysis was done with a Perkin-Elmer STA6000, DTA/DTG equipment, by heating the samples in a slow stream of N2 (20 mL/min) from room temperature up to 800 ºC, with a heating rate of 20 ºC/min. Optical absorption and photoluminescence spectra were measured at room temperature. The 200-800 nm range diffuse reflectance absorption spectrum in powder form and the absorption spectra in DMSO at different concentrations (10-5 M and 10-3 M) were recorded on a Cary 5000 UV-Vis‑NIR spectrophotometer. The solid-state photoluminescence spectrum in the visible region was recorded from 450 to 650 nm with a Horiba-Jobin-Ivon SPEX FluoroLog 3–22 spectrometer using an ozone-free 450 W Xenon lamp as the excitation source and a Hamamatsu R928 photomultiplier (200-950 nm range) detector, cooled with a Products for Research thermoelectric refrigerated chamber (model PC177CE005). ( ) ( ) 2 3 2 3 2 2 UO CH COO ·H O CF CO O + → ( ) ( ) 2 3 2 3 2 2 UO CH COO ·H O CF CO O + → ( ) 2 3 3 2 UO CF COO 2CH COOH + and adding an excess of DMSO (CAS No. 67-68-5, ≥99.5%, Sigma-Aldrich). 3.4. Vibrational spectra The main infrared bands are summarized in Table 2. Those at 935 and 907 cm-1 are attributed to the ν3(UO2 2+) stretching vibrations (Fig. 4). This doubling of the UO2 2+ asymmetric stretching vibrations is also reflected in the UO2 2+ symmetric stretching region, where two bands are observed at 833 and 792 cm-1. The band below 540 cm-1 may be attributed to the ν(U-Oequatorial) unit vibrations. It should be noted that characteristic vibrations of uranyl ions and trifluoroacetate groups overlap, so they cannot be clearly separated without structure-based calculations. The absorption peaks at 1683 cm-1 and 1418 cm-1 establish the presence of COO- asymmetric and symmetric stretching, respectively. ∆ν = ν(COO-)as – ν(COO-)s = 265 cm-1 is a high value, in agreement with unidentate coordination. The peak at 1180 cm-1 is assigned to CF stretching vibrations of the CF3 group. The band at 907 cm-1 represents the C-C stretching. The next band at 833 cm-1 is due to COO- rocking, while CH2 rocking is seen in the next absorption band at 792 cm- 1. The characteristic band for COO- scissoring is observed at 716 cm-1. Dimethyl sulfoxide is structurally similar to acetone, with a sulfur replacing the carbonyl carbon. The normal absorption of the S=O bond occurs at 1050 cm-1 but under coordination it appears at 1030 cm-1. Symmetric bending vibration of CH3 groups gives rise to a major band at around 1420 cm-1. 2.3. Physical measurements The C, H, N elemental analyses were conducted using a Perkin Elmer CHN 2400 apparatus. The infrared spectrum was recorded with a Thermo Nicolet 380 FT-IR apparatus equipped with Smart Orbit Diamond ATR system. Fig. 1. Structural diagram of [UO2(TFA)2(DMSO)3] complex. Martín-Ramos et al. 330 Materials Research Table 1. Crystal data and structure refinement for [UO2(TFA)2(DMSO)3] complex. and at 300-345 ºC sensitized by two exotherms at 245.8 ºC and 339.7 ºC, respectively (Fig. 3). The weight loss for these stages corresponded to partial and final removal of DMSO and trifluoroacetate ligands. This overall weight loss (ca. 62%), corresponds to the formation of U3O8. The final exotherm at ca. 550 ºC can be attributed to decomposition of U3O8 to UO2, the expected final decomposition product in inert atmosphere, leading to an overall weight loss of 63%. co p e . Complex [UO2(TFA)2(DMSO)3] Empirical formula C10H18F6O9S3U Formula weight 730.45 Temperature (K) 293(3) Wavelength (Å) 0.71073 Crystal system Orthorhombic Space group Pbca a (Å) 14.8559(13) b (Å) 13.6663(11) c (Å) 21.8881(18) α (º) 90.00 β (º) 90.00 γ (º) 90.00 Volume (Å3) 4443.8(6) Z 8 Calculated density (g cm-3) 2.184 Absorption coefficient (mm-1) 7.673 F(000) 2752 θ range for data collection 2.23-25.94 Index ranges (º) -18<h<18; -16<k<16; -26<l<26 Reflections collected 87413 Independent reflections 4299 Completeness to 2θ=51º 0.990 Refinement method Full matrix LS on F2 Data/restrains/ parameters 4299/63/263 Goodness-of-fit on F2 1.023 Final R indices [I>2σ(I)] R=0.0891; wR=0.2475 R indices (all data) R=0.1985; wR=0.3397 Largest diff. peak and hole -2.854/2.237 Since the exothermic effect at 340 ºC can be attributed to vaporization and this temperature is lower than that reported for uranyl trifluoroacetate in absence of DMSO1, the complex with DSMO can be deemed as more suitable for vacuum sublimation. Fig. 6. Emission spectra of [UO2(TFA)2(DMSO)3] upon excitation at 305 nm (black) and at 420 nm (red). Fig. 6. Emission spectra of [UO2(TFA)2(DMSO)3] upon excitation at 305 nm (black) and at 420 nm (red). Fig. 4. ATR-FTIR spectrum of [UO2(TFA)2(DMSO)3]. Fig. 5. Absorption spectrum of [UO2(TFA)2(DMSO)3] in a 10-5 M DMSO solution. Left inset: detail of the absorption spectrum in a 10-3 M DMSO solution. Right inset: detail of the diffuse reflectance spectrum in powder form. Table 2. Main absorption bands in the ATR-FTIR spectrum of [UO2(TFA)2(DMSO)3] Wavenumber (cm-1) Main assignation Alternative assignation 3017 CH3 asymmetric stretching vibration 2930 CH3 symmetric stretching vibration 2358 Overtone of 1179 cm-1 1683 COO- asymmetric stretching 1587 Overtone of 792 cm-1 1418 COO- symmetric stretching CH3 symmetric bending vibration 1179 CF stretching vibrations 1029 S=O stretching 985 C-S 935 v3 O=U=O asymmetric stretching vibration COO- waging 907 v3 O=U=O asymmetric stretching vibration C-C stretching 833 ν1 O=U=O symmetric stretching vibration COO- rocking 792 ν1 O=U=O symmetric stretching vibration C-C stretching // C-S stretching 603 TFA 459 U-O vibrations 432 U-O vibrations Table 2. Main absorption bands in the ATR-FTIR spectrum of [UO2(TFA)2(DMSO)3] Fig. 5. Absorption spectrum of [UO2(TFA)2(DMSO)3] in a 10-5 M DMSO solution. Left inset: detail of the absorption spectrum in a 10-3 M DMSO solution. Right inset: detail of the diffuse reflectance spectrum in powder form. (similar to those observed for sodium trifluoroacetate or ammonium trifluoroacetate), plus several [UVIO2]2+ weaker bands that can distinguished in greater detail by increasing the concentration of the DMSO solution to 10-3 M or by UV-Vis diffuse reflectance measurements in powder form (see insets in Fig. 5). These bands start at 495 nm and continue well into the UV range, arising from partially forbidden charge transfer transitions from oxo-based molecular orbitals to non-bonding, unoccupied f-orbitals. Several peaks at 403, 414, 426, 438, 476 and 493 nm can be readily discerned, although the overlap with the strong TFA absorption band precludes the deconvolution into the actual fourteen discrete absorption bands. levels with the symmetric O=U=O stretching mode leads to a vibronically resolved spectrum with several distinct emission bands between 450 and 650 nm. The shape of the system is species dependent and highly coupled to the chemical environment, thus allowing this technique (laser induced fluorescence spectroscopy) to probe the local environment and speciation. 3.5. Optical properties 3.5. Optical properties The UV-Vis absorption spectrum in 10-5 M DMSO solution (Fig. 5) shows a main absorption peak at 260 nm, associated to the π-π* absorption from the TFA ligand Fig. 2. Experimental (solid line) vs. calculated (dashed line) X-ray powder diffraction patterns for [UO2(TFA)2(DMSO)3] complex. Fig. 3. TG/DTG and DSC curves for [UO2(TFA)2(DMSO)3] complex. p p p The UV-Vis abso solution (Fig. 5) show associated to the π-π Fig. 2. Experimental (solid line) vs. calculated (dashed line) X-ray powder diffraction patterns for [UO2(TFA)2(DMSO)3] complex. Fig. 3. TG/DTG and DSC Fig. 2. Experimental (solid line) vs. calculated (dashed line) X-ray powder diffraction patterns for [UO2(TFA)2(DMSO)3] complex. The UV-Vis absorption spectrum in 10-5 M DMSO solution (Fig. 5) shows a main absorption peak at 260 nm, associated to the π-π* absorption from the TFA ligand Fig. 3. TG/DTG and DSC curves for [UO2(TFA)2(DMSO)3] complex. Fig. 2. Experimental (solid line) vs. calculated (dashed line) X-ray powder diffraction patterns for [UO2(TFA)2(DMSO)3] complex. Fig. 3. TG/DTG and DSC curves for [UO2(TFA)2(DMSO)3] complex. Luminescent Properties of [UO2(TFA)2(DMSO)3], a Promising Material For Sensing and Monitoring the Uranyl Ion Luminescent Properties of [UO2(TFA)2(DMSO)3], a Promising Material For Sensing and Monitoring the Uranyl Ion Luminescent Properties of [UO2(TFA)2(DMSO)3], a Promising Material For Sensing and Monitoring the Uranyl Ion 2016; 19(2) 331 Fig. 4. ATR-FTIR spectrum of [UO2(TFA)2(DMSO)3]. Fig. 6. Emission spectra of [UO2(TFA)2(DMSO)3] upon excitation at 305 nm (black) and at 420 nm (red). Fig. 6. Emission spectra of [UO2(TFA)2(DMSO)3] upon excitation at 305 nm (black) and at 420 nm (red). With regard to the emission spectra, both the ligand‑mediated excitation at 305 nm (chosen so as to avoid that the second harmonic of the laser would fall within the range of the uranyl fluorescence spectrum) and the direct excitation at 420 nm resulted in the characteristic uranyl emission centered at 525 nm (Fig. 6). Strong coupling of the electronic energy The lifetime measurements (not shown) are in agreement with those previously reported by Fomicheva et al.,1 with τ>200 µs at RT (although lowering the temperature is known to cause an exponential increase of the quantum yield). Martín-Ramos et al. Materials Research 332 resulting from the combined effect of lowering the pH and dehydration by formation of the DMSO complex, previously reported by other groups. This can provide a convenient means of monitoring uranyl concentration, speciation, and movement without the need for additional imaging agents (such as dye probes). This long lifetime is a result of the advantageous choice of trifluoroacetic acid, which ensures an acidic medium (avoiding chloride, bromide and iodide ions, associated to quenching), and the use of trifluoroacetic anhydride in the synthesis procedure, which precludes any water-associated quenching. 5. Acknowledgements [UO2(TFA)2(DMSO)3] (TFA=deprotonated trifluoroacetic acid; DMSO=dimethyl sulfoxide), a promising material for [UVIO2]2+ sensing and monitoring, has been prepared according to a new synthesis method and the structure of the complex has been elucidated by single-crystal X-ray diffraction. Thermal analyses, by TG and DSC, suggest its suitability to vacuum sublimation. The inherent photophysical properties of the uranyl cation have been assayed by absorption and emission spectroscopies, confirming an intense green emission Access to TAIL-UC facility funded under QREN‑Mais Centro project ICT-2009-02-012-1980 is gratefully acknowledged. P.M.-R. would like to gratefully acknowledge the financial support of Santander Universidades through “Becas Iberoamérica Jóvenes Profesores e Investigadores. España 2015” scholarship program. C2TN/IST authors gratefully acknowledge the FCT support through the UID/Multi/04349/2013 project. quantities. In: Gopel W, Hesse J, Zemel JN, editors. Sensors set: a comprehensive survey. Weinheim, Germany: Wiley-VCH Verlag; 1995. p. 931-967. quantities. In: Gopel W, Hesse J, Zemel JN, editors. Sensors set: a comprehensive survey. Weinheim, Germany: Wiley-VCH Verlag; 1995. p. 931-967. 6. References 1. Fomicheva EA, Sidorenko GV, Shcherbakova LL. Volatile adducts of uranyl trifluoroacetate. Soviet Radiochemistry (English Translation). 1988;29(6):664-670. 7. Anderson HH, Asprey LB. Solvent extraction process for plutonium. US patent 2924506 A; 1960. 2. Verga Scheggi AM, McFarlane R, Hamilton MC. A fluorescence based dissolved oxygen sensor. In: SPIE 0798. Fiber Optic Sensors II. Proceedings. The Hague, Netherlands: SPIE; 1987. p. 324-330. 8. Burns JH. Solvent-extraction complexes of the uranyl ion. 2. Crystal and molecular structures of catena-bis(m-di-n-butyl phosphato-O,O’)dioxouranium(VI) and bis(m-di-n-butyl phosphato-O,O’)bis[(nitrato)(tri-n-butylphosphine oxide) dioxouranium(VI)]. Inorganic Chemistry. 1983;22(8):1174- 1178. DOI: 10.1021/ic00150a006 3. Malstrom RA, Hirschfeld T. On-Line uranium determination using remote fiber fluorimetry. In: 26th Conference on Analytical Chemistry in Energy Technology. Analytical Spectroscopy, Analytical Chemistry. Proceedings. Knoxville, TN: Elsevier; 1984. p. 25-30. (Symposia Series). 9. Smith NA, Cerefice GS, Czerwinski KR. Fluorescence and absorbance spectroscopy of the uranyl ion in nitric acid for process monitoring applications. Journal of Radioanalytical and Nuclear Chemistry. 2012; 295(2):1553-1560. 4. Boisdé G, Blanc E, Mauchien P, Perez JJ. Fiber optic chemical sensors in nuclear power plants. In: Wolfbeis OS, editor. Fiber optic chemical sensors and biosensors. Boca Raton: CRC Press; 1991. p. 135-149. 10. Ramanujam A. An introduction to the PUREX process. IANCAS. 1998; 14(2):11-20. 11. Sheldrick G. SADABS. Göttingen, Germany: University of Göttingen; 1996. 5. Sporea D, Sporea A, Okeeffe S, McCarthy D, Lewis E. Optical fibers and optical fiber sensors used in radiation monitoring. In: Yasin M, Harun SW, Arof H, editors. Selected Topics on Optical Fiber Technology. Rijeka, Croatia: InTech; 2012. p. 668. 12. Sheldrick GM. A short history of SHELX. Acta Crystallographica. Section A. 2007;64(1):112-122. doi:10.1107/S0108767307043930 13. Spek AL. Single-crystal structure validation with the program PLATON. Journal of Applied Crystallography. 2003;36(1):7- 13. doi:10.1107/S0021889802022112 6. Trettnak W, Hofer M, Wolfbeis OS. Applications of optochemical sensors for measuring environmental and biochemical
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Named in honor of Hugh Rice, amateur astronomer of New York and director of the Museum of Natural Sciences. See also the citation for planet (1234). (H 113; LDS) Name proposed by I. L. Meyer and endorsed by G. Stracke. See also the remarks to planet (1249). (1231) Auricula 1931 TE2 . Discovered 1931 Oct. 10 by K. Reinmuth at Heidelberg. Independently discovered 1931 Oct. 11 by F. Rigaux at Uccle. Named after the yellow flowered Alpine primrose. (H 113) See also the citation for planet (1234). (1232) Cortusa 1931 TF2 . Discovered 1931 Oct. 10 by K. Reinmuth at Heidelberg. Named after a plant of the primrose family. (H 114) See also the citation for planet (1234). (1233) Kobresia 1931 TG2 . Discovered 1931 Oct. 10 by K. Reinmuth at Heidelberg. Kobresia is the name of a grass. (I. van HoutenGroeneveld) See also the citation for planet (1234). (1234) Elyna 1931 UF. Discovered 1931 Oct. 18 by K. Reinmuth at Heidelberg. This is a name of a plant. The first letters of planets (1227) through (1234) form the name G. Stracke. Due to the desire of Stracke that no planet be named after (1235) him it was in this manner that the discoverer was able to circumvent and to honor the noted German astronomer and diligent orbit computer. Stracke later was also honored by planet (1019). (H 114) The same method to honor an astronomer by using consecutive initial letters was used again in 1995 - see the citation of planet (5699). (1235) Schorria 1931 UJ. Discovered 1931 Oct. 18 by K. Reinmuth at Heidelberg. Named in honor of the German astronomer Richard Schorr (1867-1951), staff member of the Hamburg Bergedorf Observatory. He discovered the periodic comet 1918 III and the planets (869) and (1240). (H 114) Named by the Astronomisches Rechen-Institut in accordance with the discoverer (RI 862). Schorr is also honored by a lunar crater. (1236) Thaı̈s 1931 VX. Discovered 1931 Nov. 6 by G. N. Neujmin at Simeis. Named for the famous Athenian hetaera who accompanied Alexander the Great (356-323 B.C.) in Asia. She later joined king Ptolemy I, from whom she had three children. Thaı̈s also is the title figure of a novel (1890) of the French novelist and satirist and 1921 Nobel laureate Anatole France (1844-1924, pseudonym of Jacques Anatole François Thibault). (N. Solovaya; A. Paluzı́e-Borrell) (1237) Geneviève 1931 XB. Discovered 1931 Dec. 2 by G. Reiss at Algiers. Independently discovered 1931 Dec. 3 by G. N. Neujmin at Simeis. Named in honor of the eldest daughter of the discoverer. (H 114) (1238) Predappia 1932 CA. Discovered 1932 Feb. 4 by L. Volta at Pino Torinese. Named after the small village of Predappio near Forli, Italy. Predappio was the birthplace of ”il Duce” Mussolini and, obviously, this is another clear instance of homage to him. (P. G. Comba) (1239) Queteleta 1932 CB. Discovered 1932 Feb. 4 by E. Delporte at Uccle. Independently discovered 1932 Feb. 4 by L. Boyer at Algiers and Feb. 13 by G. Van Biesbroeck at Williams Bay. Named in honor of Lambert Adolphe Jacques Quetelet (1796-1874), Belgian astronomer, mathematician, meteorologist, statistician and in 1828 first director of the Royal Observatory of Belgium which he helped to found. (H 114) Quetelet is also honored by a lunar crater. Schorria 103 (1240) Centenaria 1932 CD. Discovered 1932 Feb. 5 by R. Schorr at Bergedorf. Named on the occasion of the 100th anniversary of the Hamburg Observatory (1933 Oct. 31). (H 114) (1241) Dysona 1932 EB1 . Discovered 1932 Mar. 4 by H. E. Wood at Johannesburg. Named in honor of Sir Frank Watson Dyson (1868-1939), Astronomer Royal of England, director of the Greenwich Observatory and president of the International Astronomical Union 1928-1932. (RI 814; H 114) Dyson is also honored by a lunar crater. (1242) Zambesia 1932 HL. Discovered 1932 Apr. 28 by C. Jackson at Johannesburg. The name applies to the former British territories in the Zambezi Basin, southern Africa. (H 114) (1243) Pamela 1932 JE. Discovered 1932 May 7 by C. Jackson at Johannesburg. Named in honor of the daughter of the discoverer. (H 114) (1244) Deira 1932 KE. Discovered 1932 May 25 by C. Jackson at Johannesburg. Named after the ancient name of the birthplace of the discoverer. (H 115) Jackson (see planet (2193)) was born in the town of Ossett, Yorkshire. (1245) Calvinia 1932 KF. Discovered 1932 May 26 by C. Jackson at Johannesburg. Named for a village in the Cape Province, South Africa. (H 115) (1246) Chaka 1932 OA. Discovered 1932 July 23 by C. Jackson at Johannesburg. Named for Chaka (or Tchaka), king of the Zulu tribe and founder of the Zulu empire in 1812. (H 115) (1247) Memoria 1932 QA. Discovered 1932 Aug. 30 by M. Laugier at Uccle. Independently discovered 1932 Aug. 30 by G. N. Neujmin at Simeis and Sept. 6 by K. Reinmuth at Heidelberg. This is the Latin word for remembrance. The discoverer was often reminded of her pleasant relationship while in Uccle in 1932. (H 115) (1248) Jugurtha 1932 RO. Discovered 1932 Sept. 1 by C. Jackson at Johannesburg. Independently discovered 1932 Sept. 29 by G. N. Neujmin at Simeis. 104 (1249) Rutherfordia Named after the Numidian king (160-104 B.C.) and enemy of Rome. Jugurtha was throttled to death in Rome. (H 115) (1249) Rutherfordia 1932 VB. Discovered 1932 Nov. 4 by K. Reinmuth at Heidelberg. Independently discovered 1932 Nov. 29 by E. Delporte at Uccle. Named after the city of Rutherford, New York. (LDS) Name proposed by Irving L. Meyer, Rutherford, N.Y. and endorsed by G. Stracke (RI 1534). The name is erroneously interpreted in many sources as belonging to the 1908 Nobel Prize winner Lord Ernest Rutherford (1871-1937). The correct interpretation, however, has been found on a postcard, dated Feb. 2, 1937, from G. Stracke to the discoverer: ”Ein amerikanischer Kollege, der selber keinen Planeten entdeckt hat, möchte gern zwei Planeten mit dem Namen ”Riceia” {see planet (1230)} (Leiter Rice vom Amerik. Museum der Naturwissenschaften in New York) und ”Rutherfordia” (Rutherford ist der Ort einer Privatsternwarte) taufen...” (1250) Galanthus 1933 BD. Discovered 1933 Jan. 25 by K. Reinmuth at Heidelberg. Named after a flower, the snowdrop. (H 115) (1251) Hedera 1933 BE. Discovered 1933 Jan. 25 by K. Reinmuth at Heidelberg. Named after a plant of the ivy family. (H 115) (1252) Celestia 1933 DG. Discovered 1933 Feb. 19 by F. L. Whipple at Cambridge, Massachusetts. Named by the discoverer in honor of his mother. For the naming of this planet the spelling needed no change. (H 115) (1253) Frisia 1931 TV1. Discovered 1931 Oct. 9 by K. Reinmuth at Heidelberg. Independently discovered 1931 Nov. 6 by P. F. Shajn at Simeis. Named for the people that inhabit principally the Netherlands province of Friesland and the Friesian islands in the North sea. (H 115) (1254) Erfordia 1932 JA. Discovered 1932 May 10 by J. Hartmann at La Plata. Named (RI 835) by J. Hartmann for the city of Erfurt, Germany, which was the birthplace of the discoverer. (H 115) (1255) Schilowa 1932 NC. Discovered 1932 July 8 by G. N. Neujmin at Simeis. Named in honor of M. W. Schilowa (1870-1934), astronomer and orbit computer at the Pulkovo Observatory. (H 115) The spelling of the name originally was ”Shilowa” (RI 1160). (1256) Normannia 1932 PD. Discovered 1932 Aug. 8 by K. Reinmuth at Heidelberg. This planet is probably named for the inhabitants of Normandy. (H 115) (1257) Móra 1932 PE. Discovered 1932 Aug. 8 by K. Reinmuth at Heidelberg. Named in honor of the Hungarian astronomer Károly Móra (1899-1938). (H 116; I. van Houten-Groeneveld) The number and name of this planet were later used for another object in a rather unusual manner - see the citation for planet (2517). (1258) Sicilia 1932 PG. Discovered 1932 Aug. 8 by K. Reinmuth at Heidelberg. Named for the island of Sicily in the Mediterranean sea. (H 116) (1259) Ógyalla 1933 BT. Discovered 1933 Jan. 29 by K. Reinmuth at Heidelberg. Named for the Hungarian seismological, meteorological and astronomical observatory. (H 116) (1260) Walhalla 1933 BW. Discovered 1933 Jan. 29 by K. Reinmuth at Heidelberg. Named for the memorial hall near Regensburg, Germany. In Norse mythology it was the hall of Odin {see planet (3989)} where warriors who have died in battle are received. (H 116) (1261) Legia 1933 FB. Discovered 1933 Mar. 23 by E. Delporte at Uccle. Legia is the Latin name for the city of Liège (Luik), Belgium. (H 116) (1262) Sniadeckia 1933 FE. Discovered 1933 Mar. 23 by S. Arend at Uccle. Named in honor of Jan Sniadecki (1756-1830), a Polish scholar, professor of mathematics and astronomy, and founder of the Cracow Observatory. (H 116) Named by T. Banachiewicz (RI 843). Sniadecki is also honored by a lunar crater. (1263) Varsavia 1933 FF. Discovered 1933 Mar. 23 by S. Arend at Uccle. Varsavia is the Latin name for Warsaw, Poland. The citation reads: ”zum Dank der Stadt Warschau für ihre der Sternwarte Lubomir (Beskiden) geleistete Hilfe.” (RI 843) Named by T. Banachiewicz. (1264) (1264) Letaba 1933 HG. Discovered 1933 Apr. 21 by C. Jackson at Johannesburg. Named for a river in Transvaal, South Africa. (H 116) (1265) Schweikarda Discovered 1911 Oct. 18 by F. Kaiser at Heidelberg. Named by the discoverer for his mother’s family name, Schweikard. (H 116) (1266) Tone 1927 BD. Discovered 1927 Jan. 23 by O. Oikawa at Tokyo. Independently discovered 1927 Jan. 24 by G. N. Neujmin at Simeis. Named for the largest river in Japan. (H 116) (1267) Geertruida 1930 HD. Discovered 1930 Apr. 23 by H. van Gent at Johannesburg. Independently discovered 1930 Apr. 28 by K. Reinmuth at Heidelberg. Named in honor of the daughter of the Mrs. Hamerslag, a sister of G. Pels. (I. van Houten-Groeneveld) Named by G. Pels {see planet (1667)} who computed the orbit. (1268) Libya 1930 HJ. Discovered 1930 Apr. 29 by C. Jackson at Johannesburg. Named for the country in northern Africa bordering the Mediterranean sea. (H 116) (1269) Rollandia 1930 SH. Discovered 1930 Sept. 20 by G. N. Neujmin at Simeis. Named in honor of the French writer and 1915 Nobel laureate Romain Rolland (1866-1944). (H 116) (1270) Datura 1930 YE. Discovered 1930 Dec. 17 by G. Van Biesbroeck at Williams Bay. Independently discovered 1930 Dec. 20 by M. F. Wolf at Heidelberg. Named for a genus of widely distributed strongscented herbs, shrubs, or trees of the nightshade family (e.g. hawthorn). (H 116) (1271) Isergina 1931 TN. Discovered 1931 Oct. 10 by G. N. Neujmin at Simeis. Named in honor of the friend and physician of the discoverer, Pyotr Vasil’evich Isergin (1870-1936) who treated him. (H 117; G. R. Kastel’; I. I. Neyachenko) (1272) Gefion 1931 TZ1 . Discovered 1931 Oct. 10 by K. Reinmuth at Heidelberg. Named for a figure in Norse mythology and for the Gefion spring in Copenhagen. (H 117) (1273) Helma 1932 PF. Discovered 1932 Aug. 8 by K. Reinmuth at Heidelberg. Letaba 105 Named in honor of an acquaintance of the German astronomer W. Schaub. (H 117) (1274) Delportia 1932 WC. Discovered 1932 Nov. 28 by E. Delporte at Uccle. Named in honor of the discoverer, Eugène J. Delporte (1882-1955). He observed and discovered more than 60 minor planets at the Uccle Observatory where he was director from 1936 to 1947. (H 117) Name proposed by G. Stracke. Delporte is also honored by a lunar crater. (1275) Cimbria 1932 WG. Discovered 1932 Nov. 30 by K. Reinmuth at Heidelberg. Named for the people encountered by the Romans in Noricum about 113 B.C. At first victorious, they were destroyed by Marius in 101 B.C. (H 117) (1276) Ucclia 1933 BA. Discovered 1933 Jan. 24 by E. Delporte at Uccle. Independently discovered 1933 Jan. 26 by R. Schorr at Bergedorf. Named in honor of Uccle, both the city and the observatory, where this planet was discovered. (H 117) (1277) Dolores 1933 HA. Discovered 1933 Apr. 18 by G. N. Neujmin at Simeis. Named in honor of Dolores Gómez Ibarruri (”La Pasionária”) (1895-1989), a leading figure of the Spanish communists. In 1920, she was co-founder of the communist party in Spain. She served as general secretary (1942-1960) and chairwoman (1960-1967) of the exile party. She returned to her home country in 1977 and was selected as member of the parliament. (H 117) (1278) Kenya 1933 LA. Discovered 1933 June 15 by C. Jackson at Johannesburg. Named for the country in eastern Africa. (H 117) (1279) Uganda 1933 LB. Discovered 1933 June 15 by C. Jackson at Johannesburg. Named for the country in central Africa, north of Lake Victoria. (H 117) (1280) Baillauda 1933 QB. Discovered 1933 Aug. 18 by E. Delporte at Uccle. Independently discovered 1933 Aug. 19 by G. N. Neujmin at Simeis. Named in honor of Jules Baillaud (1876-1960), astronomer at the Paris Observatory and director of the Pic-du-Midi Observatory from 1937 to 1947. (H 117) Baillaud is also honored by a lunar crater. 106 (1281) Jeanne (1281) Jeanne (1289) Kutaı̈ssi 1933 QJ. Discovered 1933 Aug. 25 by S. Arend at Uccle. Named in honor of the daughter of the discoverer. (H 117) 1933 QR. Discovered 1933 Aug. 19 by G. N. Neujmin at Simeis. Independently discovered 1933 Aug. 25 by E. Delporte at Uccle and Sept. 11 by C. Jackson at Johannesburg. Named for a city in the Georgian Republic. (H 118) (1282) Utopia 1933 QM1. Discovered 1933 Aug. 17 by C. Jackson at Johannesburg. Named for that imaginary country, a place of ideal perfection especially in laws, government, and social conditions. It was described 1516 by the English statesman and author Sir Thomas More (1478-1535). (H 117) (1283) Komsomolia 1925 SC. Discovered 1925 Sept. 25 by V. A. Albitskij at Simeis. Independently discovered 1925 Oct. 10 by K. Reinmuth at Heidelberg. The name of the communistic youth organization of {the former} USSR. (M 838) (1284) Latvia 1933 OP. Discovered 1933 July 27 by K. Reinmuth at Heidelberg. Independently discovered 1933 Aug. 19 by G. N. Neujmin at Simeis. Named for the country of Latvia. Since 1991 Latvia again is an independent state. (H 118) Name proposed by J. Stein. (1285) Julietta 1933 QF. Discovered 1933 Aug. 21 by E. Delporte at Uccle. Named in honor of the discoverer’s mother. (J. Meeus) (1286) Banachiewicza 1933 QH. Discovered 1933 Aug. 25 by S. Arend at Uccle. Named in honor of the Polish astronomer Tadeusz Banachiewicz (1882-1954), director of the Cracow Observatory. (H 118) Obituary published in l’Astronomie, Vol. 69, p. 290 (1955). Banachiewicz is also honored by a lunar crater. (1287) Lorcia 1933 QL. Discovered 1933 Aug. 25 by S. Arend at Uccle. Named in honor of the wife of T. Banachiewicz. (H 118) Named by T. Banachiewicz. (1288) Santa 1933 QM. Discovered 1933 Aug. 26 by E. Delporte at Uccle. Any reference of this name to a person or occurrence is unknown. Named by De Caro who computed the orbit. (1290) Albertine 1933 QL1. Discovered 1933 Aug. 21 by E. Delporte at Uccle. Named in honor of Albert I (1875-1934), King of the Belgians. (H 118) (1291) Phryne 1933 RA. Discovered 1933 Sept. 15 by E. Delporte at Uccle. Named for a hetaera of the 4th century B.C. celebrated for her beauty. She was the model for several statues including the Cnidian Aphrodite of Praxiteles {see planet (5983)} and also, it is said, for the Aphrodite Anadyomene of Apelles. (H 118) (1292) Luce 1933 SH. Discovered 1933 Sept. 17 by F. Rigaux at Uccle. Named in honor of the wife of the discoverer. (H 118) (1293) Sonja 1933 SO. Discovered 1933 Sept. 26 by E. Delporte at Uccle. Independently discovered 1933 Sept. 28 by G. N. Neujmin at Simeis. Any reference of this name to a person or occurrence is unknown. Name proposed by the Astronomisches Rechen-Institut (RI 1039). The naming might be influenced by the two letters of the provisional designation 1933 SO. See also the remarks to planet (579). (1294) Antwerpia 1933 UB1 . Discovered 1933 Oct. 24 by E. Delporte at Uccle. Named for the city of Antwerp, Belgium. (H 118) (1295) Deflotte 1933 WD. Discovered 1933 Nov. 25 by L. Boyer at Algiers. Named by the discoverer in honor of his nephew. (H 118) (1296) Andrée 1933 WE. Discovered 1933 Nov. 25 by L. Boyer at Algiers. Named by the discoverer in honor of his niece. (H 118) (1297) Quadea 1934 AD. Discovered 1934 Jan. 7 by K. Reinmuth at Heidelberg. Named by the discoverer in honor of the parents-inlaw of his brother, Prof. E. Reinmuth. (H 119) (1298) Nocturna 107 (1298) Nocturna (1307) Cimmeria 1934 AE. Discovered 1934 Jan. 7 by K. Reinmuth at Heidelberg. Nocturna is the feminine adjective of nocturnus and means nightly. (H 119) Name proposed by G. Stracke. 1930 UF. Discovered 1930 Oct. 17 by G. N. Neujmin at Simeis. Named after the ancient inhabitants of the Crimea peninsula. The Cimmerians were expelled by the Scythians {see planet (1306)} in the 7th century B.C. (A. N. Deutsch) (1299) Mertona 1934 BA. Discovered 1934 Jan. 18 by G. Reiss at Algiers. Named for the English astronomer Gerald Merton {1893-1983}. (H 119) Obituary published in J. Br. Astron. Assoc., Vol. 94, No. 1, p. 28-30 (1983). (1300) Marcelle 1934 CL. Discovered 1934 Feb. 10 by G. Reiss at Algiers. Independently discovered 1934 Feb. 14 by S. Arend at Uccle. Named in honor of the second daughter of the discoverer. (H 119) (1301) Yvonne 1934 EA. Discovered 1934 Mar. 7 by L. Boyer at Algiers. Named in honor of the sister of the discoverer. (H 119) (1302) Werra Discovered 1924 Sept. 28 by K. Reinmuth at Heidelberg. Named for the German river which joins the Fulda at Münden to form the Weser. (H 119) (1303) Luthera 1928 FP. Discovered 1928 Mar. 16 by A. Schwassmann at Bergedorf. Named in honor of the German astronomer Karl Theodor Robert Luther (1822-1900) who, at the Bilk Observatory near Düsseldorf, discovered 24 minor planets between 1852 and 1890. (H 119) Luther is also honored by a lunar crater. (1304) Arosa 1928 KC. Discovered 1928 May 21 by K. Reinmuth at Heidelberg. Named for the small city in Switzerland. (H 119) (1305) Pongola 1928 OC. Discovered 1928 July 19 by H. E. Wood at Johannesburg. Named by the discoverer for a river in South Africa. (H 119) (1306) Scythia 1930 OB. Discovered 1930 July 22 by G. N. Neujmin at Simeis. Named for the country of the ancient Scythians comprising parts of Europe and Asia now in the U.S.S.R. in regions north of the Black sea and east of the Aral sea. (H 119) (1308) Halleria 1931 EB. Discovered 1931 Mar. 12 by K. Reinmuth at Heidelberg. Named in honor of Albrecht von Haller (1708-1777), physician, botanist, and poet at the 1935 meeting of the Astronomische Gesellschaft in Berne, Switzerland. (I. van Houten-Groeneveld) (1309) Hyperborea 1931 TO. Discovered 1931 Oct. 11 by G. N. Neujmin at Simeis. Independently discovered 1931 Oct. 13 by E. Delporte at Uccle. Named for the region in Greek mythology which is the home of a group of people placed by Herodotus {see planet (3092)} in the extreme north who were especially associated with the cult of Apollo {see planet (1862)}. The land was so far north that it was regarded as the region of perpetual sunshine as it was beyond the north wind. (N. S. Samojlova-Yakhontova) (1310) Villigera 1932 DB. Discovered 1932 Feb. 28 by A. Schwassmann at Bergedorf. Named in honor of the Swiss astronomer Walter Augustin Villiger (1872-1938) who was head of the department for astronomical instruments of Carl Zeiss, Jena. (H 120) (1311) Knopfia 1933 FF1 . Discovered 1933 Mar. 24 by K. Reinmuth at Heidelberg. Named in honor of the German astronomer O. Knopf {1856-1945} who worked at Jena. (H 120) Name proposed by H. Vogt (RI 1445). (1312) Vassar 1933 OT. Discovered 1933 July 27 by G. Van Biesbroeck at Williams Bay. Named by Mrs. Maud W. Makemson who computed the orbit while teaching in the women’s college of Vassar, Poughkeepsie, N.Y. (H 120) (1313) Berna 1933 QG. Discovered 1933 Aug. 24 by S. Arend at Uccle. Named for the capital of Switzerland. (H 120) Name proposed by S. Mauderli of the University of Berne who computed the definitive orbit of this planet. The planet was first announced (RI 1156) as ”Bernia” but Mauderli (RI 1161) requested the actual name. 108 (1314) Paula (1314) Paula (1323) Tugela 1933 SC. Discovered 1933 Sept. 16 by S. Arend at Uccle. Named by the discoverer in honor of his wife. (H 120) 1934 LD. Discovered 1934 May 19 by C. Jackson at Johannesburg. Named after a river in Natal, South Africa. (H 121) (1315) Bronislawa (1324) Knysna 1933 SF1 . Discovered 1933 Sept. 16 by S. Arend at Uccle. Named for the Polish saint Bronislava {1203?-1259}, a cousin of St. Hyazinth of Poland. She was a professed Premonstratensian nun, but died a recluse. (H 120; R. Bremer, I. Heinrich) Name proposed (RI 1254) by Miss L. Stankiewicz. 1934 LL. Discovered 1934 June 15 by C. Jackson at Johannesburg. Named by the discoverer for the village in the Cape Province, South Africa. (H 121) (1316) Kasan 1933 WC. Discovered 1933 Nov. 17 by G. N. Neujmin at Simeis. Named for the city on the Volga river east of Moscow and for the Kasan Observatory. (H 120) (1317) Silvretta 1935 RC. Discovered 1935 Sept. 1 by K. Reinmuth at Heidelberg. Independently discovered 1935 Sept. 19 by C. Jackson at Johannesburg and P. F. Shajn at Simeis. Named for a peak (3282 m) and a lake in Graubünden, Swiss Alps. (H 120) (1318) Nerina 1934 FG. Discovered 1934 Mar. 24 by C. Jackson at Johannesburg. Named after a genus of south African bulbous herbs from the amaryllidaceae family. (H 120) (1319) Disa 1934 FO. Discovered 1934 Mar. 19 by C. Jackson at Johannesburg. Named for a large genus of tropical African terrestrial orchids, perhaps the most showy of all orchids. (H 120) (1320) Impala 1934 JG. Discovered 1934 May 13 by C. Jackson at Johannesburg. Named after the large brownish African antelope. The male has slender lyrate horns. (H 120) (1321) Majuba 1934 JH. Discovered 1934 May 7 by C. Jackson at Johannesburg. Named for a mountain in northwest Natal, South Africa. (H 120) (1322) Coppernicus 1934 LA. Discovered 1934 June 15 by K. Reinmuth at Heidelberg. Independently discovered 1934 June 15 by E. Delporte at Uccle. Named for the great Polish astronomer Nicolaus Copernicus (1473-1543), the founder of the heliocentric planetary system and of modern astronomy. (H 120) Copernicus is also honored by a lunar and a Martian crater. (1325) Inanda 1934 NR. Discovered 1934 July 14 by C. Jackson at Johannesburg. This is a name of a village community inhabited by the Zulus. (H 121) (1326) Losaka 1934 NS. Discovered 1934 July 14 by C. Jackson at Johannesburg. Named for the capital of northern Rhodesia. Lusaka today is the capital of Zambia. (H 121) (1327) Namaqua 1934 RT. Discovered 1934 Sept. 7 by C. Jackson at Johannesburg. Named after a coastal region in Namibia, southwest Africa. (H 121) (1328) Devota 1925 UA. Discovered 1925 Oct. 21 by B. Jekhovsky at Algiers. Named by the discoverer in honor of his friend Fortunato Devoto, director of the La Plata Observatory and president of the National Council of Observatories of Argentina. (H 121) (1329) Eliane 1933 FL. Discovered 1933 Mar. 23 by E. Delporte at Uccle. Named in honor of the daughter of Prof. Paul Bourgeois {see planet (1543)} of the Royal Observatory at Uccle, Belgium. (H 121) (1330) Spiridonia 1925 DB. Discovered 1925 Feb. 17 by V. A. Albitskij at Simeis. Named in honor of Spiridon Il’ich Zaslavskij (18831942), the brother of Mrs. Albitskij. Zaslavskij was the uncle of Vitja {see planet (1030)}. (M 2882; LDS) (1331) Solvejg 1933 QS. Discovered 1933 Aug. 25 by G. N. Neujmin at Simeis. Independently discovered 1933 Sept. 11 by C. Jackson at Johannesburg. Named for the heroine of Henrik Ibsen’s (1828-1906) {see planet (5696)} drama Peer Gynt. (N. S. SamojlovaYakhontova) (1332) Marconia 1934 AA. Discovered 1934 Jan. 9 by L. Volta at Pino Torinese. (1333) Named in honor of Marchese Guglielmo Marconi (1874-1937), Italian electrical engineer and inventor and winner of the physics Nobel prize in 1909 (together with K. F. Braun). (H 121) Marconi is also honored by a lunar crater. (1333) Cevenola 1934 DA. Discovered 1934 Feb. 20 by O. Bancilhon at Algiers. Named for the Cévennes mountain range in southern France at the eastern edge of the Massif Central. (H 121) (1334) Lundmarka 1934 OB. Discovered 1934 July 16 by K. Reinmuth at Heidelberg. Named in honor of the Swedish astronomer Knut Emil Lundmark (1889-1958). Lundmark studied extensively globular clusters and galaxies and determined absolute stellar magnitudes as well as galactic distances. He also contributed to our knowledge in the field of history of astronomy. (H 121) Lundmark is also honored by a lunar crater. (1335) Demoulina 1934 RE. Discovered 1934 Sept. 7 by K. Reinmuth at Heidelberg. Independently discovered 1934 Sept. 13 by E. Delporte at Uccle. Named in honor of Prof. Demoulin of the University of Ghent, Belgium. (H 121) (1336) Zeelandia 1934 RW. Discovered 1934 Sept. 9 by H. van Gent at Johannesburg. Named for a province in southwestern Netherlands. (H 121) (1337) Gerarda 1934 RA1. Discovered 1934 Sept. 9 by H. van Gent at Johannesburg. Named in honor of Mrs. G. Prins, wife of Mr. Prins who was a computer at the Leiden Observatory. (I. van Houten-Groeneveld) Named by G. Pels who computed the orbit. (1338) Duponta 1934 XA. Discovered 1934 Dec. 4 by L. Boyer at Algiers. Named by the discoverer in honor of his nephew Marc Dupont. (H 122) (1339) Désagneauxa 1934 XB. Discovered 1934 Dec. 4 by L. Boyer at Algiers. Independently discovered 1934 Dec. 8 by G. N. Neujmin at Simeis and Dec. 9 by E. Delporte at Uccle. Named in honor of the brother-in-law of the discoverer. (H 122) Cevenola 109 (1340) Yvette 1934 YA. Discovered 1934 Dec. 27 by L. Boyer at Algiers. Named by the discoverer in honor of his niece. (H 122) (1341) Edmée 1935 BA. Discovered 1935 Jan. 27 by E. Delporte at Uccle. Named in honor of Mrs. Edmée Chandon who was an astronomer at the Paris Observatory. (H 122) (1342) Brabantia 1935 CV. Discovered 1935 Feb. 13 by H. van Gent at Johannesburg. Named for the northern part of Brabant which is a province of the Netherlands. (I. van Houten-Groeneveld) (1343) Nicole 1935 FC. Discovered 1935 Mar. 29 by L. Boyer at Algiers. Independently discovered 1935 Apr. 3 by E. Delporte at Uccle. Named by the discoverer in honor of his niece. (H 122) (1344) Caubeta 1935 GA. Discovered 1935 Apr. 1 by L. Boyer at Algiers. Named in honor of Paul Caubet (? -1942), astronomer at the Toulouse Observatory. (H 122) (1345) Potomac Discovered 1908 Feb. 4 by J. H. Metcalf at Taunton. Named for the river on which Washington, D.C. is located. The river flows from West Virginia into the Chesapeake Bay and forms the southern boundary of Maryland. (H 122) See also the remarks to planet (1052). (1346) Gotha 1929 CY. Discovered 1929 Feb. 5 by K. Reinmuth at Heidelberg. Named for the city of Gotha in the district of Erfurt in Thüringen {see, respectively, planets (1254) and (934)}, Germany. Gotha is wellknown in astronomy by his famous observatory and the work of F. X. von Zach {see planet (999)}. (H 122) (1347) Patria 1931 VW. Discovered 1931 Nov. 6 by G. N. Neujmin at Simeis. This is the Latin word for native country or fatherland. (H 122) (1348) Michel 1933 FD. Discovered 1933 Mar. 23 by S. Arend at Uccle. Named in honor of the elder son of the discoverer. (H 122) 110 (1349) Bechuana (1349) Bechuana (1357) Khama 1934 LJ. Discovered 1934 June 13 by C. Jackson at Johannesburg. Named for the region south of the Molopo river which became a province of the Union of South Africa in 1895. It is now the independent state of Botswana. (H 122) 1935 ND. Discovered 1935 July 2 by C. Jackson at Johannesburg. Name of the late Paramount Chief of the Bechuana tribe and a distinguished native leader. (M 908) (1350) Rosselia 1934 TA. Discovered 1934 Oct. 3 by E. Delporte at Uccle. Independently discovered 1934 Nov. 3 by R. Schorr at Bergedorf. Named in honor of Miss Rossel, editor of the Belgian newspaper Le Soir. (H 122) (1351) Uzbekistania 1934 TF. Discovered 1934 Oct. 5 by G. N. Neujmin at Simeis. Named in honor of the {former} Uzbek Soviet Socialist Republic, where the discoverer resided during World War II. (M 2882; M 2903; N. S. Chernykh) This name was found in the discoverer’s handwriting in his personal volume of ”Kleine Planeten für 1941” by Dr. S. G. Makover. (1352) Wawel 1935 CE. Discovered 1935 Feb. 3 by S. Arend at Uccle. Named for a castle of the ancient kings of Poland at Cracow. (H 123) Name proposed by T. Banachiewicz. (1353) Maartje 1935 CU. Discovered 1935 Feb. 13 by H. van Gent at Johannesburg. Named in honor of the daughter of B. G. Mekking who was a computer at the Leiden Observatory. (H 123) (1354) Botha 1935 GK. Discovered 1935 Apr. 3 by C. Jackson at Johannesburg. Named after a distinguished South African patriot who was also one of the prime movers in the formation of the Union of South Africa. {Louis Botha (1862-1919) was the first prime minister of Transvaal (1907) and of the Union of South Africa (1910-1919)}. (M 908) (1355) Magoeba 1935 HE. Discovered 1935 Apr. 30 by C. Jackson at Johannesburg. The name of a native chief of the North Transvaal, South Africa, who has given his name also to one of the beauty spots of Transvaal, viz. MagoebasKloof. (M 908) (1356) Nyanza 1935 JH. Discovered 1935 May 3 by C. Jackson at Johannesburg. Named for a region in southwestern Kenya with the capital Kisumu. (H 123) (1358) Gaika 1935 OB. Discovered 1935 July 21 by C. Jackson at Johannesburg. Name of a native chief of the Transkei, Cape Province, who figures largely in South African history. (M 909) (1359) Prieska 1935 OC. Discovered 1935 July 22 by C. Jackson at Johannesburg. Named for a village in the Cape Province, South Africa. (H 123) (1360) Tarka 1935 OD. Discovered 1935 July 22 by C. Jackson at Johannesburg. Same as above {cf. citation for planet (1358)}. His name is given to the South African town of Tarkastad. (M 909) (1361) Leuschneria 1935 QA. Discovered 1935 Aug. 30 by E. Delporte at Uccle. Named in honor of the American astronomer Armin Otto Leuschner (1868-1953), director of Students’ Observatory (now Leuschner Observatory), Berkeley, University of California. Leuschner worked extensively on celestial mechanics and is wellknown for his books Celestial Mechanics and The Minor Planets of the Hecuba Group. (H 123) Named at the suggestion of S. Arend during his visit to Berkeley. Leuschner is also honored by a lunar crater. (1362) Griqua 1935 QG1 . Discovered 1935 July 31 by C. Jackson at Johannesburg. Named for the tribe of mixed people of Bushman and Hottentot descent in Griqualand which is the district around the city of Kimberley, north of the Orange river. (H 124) (1363) Herberta 1935 RA. Discovered 1935 Aug. 30 by E. Delporte at Uccle. Named in honor of Herbert Clark Hoover (1874-1964), 31st president of the United States from 1929 to 1933. He was also president of the Commission for Relief in Belgium. This planet was named for the president after his visit to Belgium in 1938. (H 124) Hoover is also honored by planet (932). (1364) Safara 111 (1364) Safara (1372) Haremari 1935 VB. Discovered 1935 Nov. 18 by L. Boyer at Algiers. Named in honor of André Safar, Algiers. (H 124) 1935 QK. Discovered 1935 Aug. 31 by K. Reinmuth at Heidelberg. The name jointly honors all the women on the staff of the Astronomisches Rechen-Institut. It is combined from the word ”harem” and the abbreviation ”ARI”. This often published version for the meaning of the name is not fully correct. Reinmuth has been asked by some collaborators of the ARI to ’donate’ planets for their girl-friends, popular actresses etc. He compiled all these suggestions to this peculiar term. However, Reinmuth did not want to publish the original meaning and he, therefore, devised the interpretation of the first sentence in 1948. (I. van Houten-Groeneveld) (1365) Henyey 1928 RK. Discovered 1928 Sept. 9 by M. F. Wolf at Heidelberg. Named in honor of Dr. Louis G. Henyey {19101970}, late professor of astronomy at the University of California, Berkeley, a pioneer in the calculation of stellar interiors and stellar evolution, and a member of the U.S. National Academy of Sciences. (M 3143) Name proposed by William Westbrooke. Obituaries published in Publ. Astron. Soc. Pac., Vol. 82, p. 367-369 (1970); Sky Telesc., Vol. 39, p. 290 (1970). Henyey is also honored by a lunar crater. (1366) Piccolo 1932 WA. Discovered 1932 Nov. 29 by E. Delporte at Uccle. Named in honor of M. d’Arsac, editor-in-chief of the Brussels newspaper Le Soir who used this pseudonym. (H 124) (1367) Nongoma 1934 NA. Discovered 1934 July 3 by C. Jackson at Johannesburg. Independently discovered 1934 July 6 by K. Reinmuth at Heidelberg. Named for the capital city of the Kwa-Zulu homeland in South Africa. (M 5181) (1368) Numidia 1935 HD. Discovered 1935 Apr. 30 by C. Jackson at Johannesburg. Named for the ancient country in northern Africa, east of Mauretania, in modern Algeria. (H 124) (1369) Ostanina 1935 QB. Discovered 1935 Aug. 27 by P. F. Shajn at Simeis. Independently discovered 1935 Aug. 31 by K. Reinmuth at Heidelberg. Named for a small town in the Perm district, USSR, the birthplace of the astronomer P. F. Shajn {see planet (1190)}. (M 838; LDS) (1370) Hella 1935 QG. Discovered 1935 Aug. 31 by K. Reinmuth at Heidelberg. Named in honor of Helene Nowacki {1904-1972}, an astronomer at the Astronomisches Rechen-Institut, Heidelberg. (H 124) Name proposed by G. Stracke (RI 1644). Obituary published in Astron. Nachr., Band 294, p. 191 (1973). (1371) Resi 1935 QJ. Discovered 1935 Aug. 31 by K. Reinmuth at Heidelberg. Named for a cousin of Mrs. Schaub, an acquaintance of the discoverer. (H 124) Name proposed by W. Schaub (RI 1644). (1373) Cincinnati 1935 QN. Discovered 1935 Aug. 30 by E. Hubble at Mount Wilson. Since most of the orbit computations for this planet have been provided by the staff of the Cincinnati Observatory, this name has been recommended by the Minor Planet Center. (M 2116) (1374) Isora 1935 UA. Discovered 1935 Oct. 21 by E. Delporte at Uccle. This name is a combination of the word ”Isor” (which is the backward form of the feminine name ”Rosi”) and the traditional ”a”. (H 125) Name proposed by G. Stracke. (1375) Alfreda 1935 UB. Discovered 1935 Oct. 22 by E. Delporte at Uccle. Named in honor of a friend of the discoverer. (H 125) (1376) Michelle 1935 UH. Discovered 1935 Oct. 29 by G. Reiss at Algiers. Named in honor of the third daughter of the discoverer. (H 125) (1377) Roberbauxa 1936 CD. Discovered 1936 Feb. 14 by L. Boyer at Algiers. Independently discovered 1936 Feb. 20 by E. Delporte at Uccle. Nommée en l’honneur de l’ingénieur français Robert Baux (1900-1987), ami d’enfance du découvreur Louis Boyer, qui proposa un nom soudé pour cet astéroı̈de. Robert Baux était spécialiste dans les études des productivité des grandes entreprises et devient directeur et administrateur des sociétés. C’était aussi un alpiniste au titre de capitaine de réserve des Chasseurs alpins et il participa à de nombreuses ascensions. (B. G. Marsden; J. Baux; M.-A. Combes) The original naming citation bei Herget (H 125) read ’Named in honor of the engineer Mr. Roberbaux’. The correct name was first mentioned by Marsden. M.-A. Combes elucidates the full story through a contact with the widow of the honoree, Mrs. Jacqueline Baux. Citation by M.-A. Combes. 112 (1378) (1378) Leonce 1936 DB. Discovered 1936 Feb. 21 by F. Rigaux at Uccle. Named in honor of the father of the discoverer. (H 125) (1379) Lomonosowa 1936 FC. Discovered 1936 Mar. 19 by G. N. Neujmin at Simeis. Independently discovered 1936 Mar. 19 by P. Djurkovic at Uccle. Named in honor of the first famous Russian physicist and astronomer, Mikhail Vasilevich Lomonosov, 17111765. (M 1252) Name submitted by N. Yakhontova, Institute of Theoretical Astronomy, Leningrad. Lomonosov is also honored by craters on Mars and the Moon. (1380) Volodia 1936 FM. Discovered 1936 Mar. 16 by L. Boyer at Algiers. Independently discovered 1936 Mar. 21 by E. Delporte at Uccle. Named in honor of Vladimir Vesselovskij (diminuted Volodia) who was born the same night the minor planet was discovered. (H 125) (1381) Danubia 1930 QJ. Discovered 1930 Aug. 20 by E. F. Skvortsov at Simeis. Named for the great European river Danube (or Donau) flowing from southern Germany into the Black sea. (H 125) Name proposed by the orbit computer C. Popovici (RI 1534). (1382) Gerti 1925 BB. Discovered 1925 Jan. 21 by K. Reinmuth at Heidelberg. Named in honor of Miss Gertrud Höhne who was a secretary at the Astronomisches Rechen-Institut in Berlin. (H 125) Name proposed by L. Ringelmann (RI 1642). In the RI copy of Reinmuth, this name is framed by two hearts with red pencil. (1383) Limburgia 1934 RV. Discovered 1934 Sept. 9 by H. van Gent at Johannesburg. Named for the province of Limburg in southern Netherlands. (H 125) (1384) Kniertje 1934 RX. Discovered 1934 Sept. 9 by H. van Gent at Johannesburg. Named after the principal character in the Dutch play Op Hoop van Zegen by Herman Heyermans (1864-1924). (H 125) (1385) Gelria 1935 MJ. Discovered 1935 May 24 by H. van Gent at Johannesburg. Leonce Named for the province Gelderland in the eastern Netherlands bordering on the Ijsselmeer. Gelre is an old name of Gelderland. (H 125) (1386) Storeria 1935 PA. Discovered 1935 July 28 by G. N. Neujmin at Simeis. Independently discovered 1935 Aug. 2 by E. Delporte at Uccle. The orbit was computed from Van Biesbroeck’s observations by a student (Miss Brenton) at the University of Kansas, and she named it after her professor, Dr. N. Wyman Storer. (RI 1602; H 125) (1387) Kama 1935 QD. Discovered 1935 Aug. 27 by P. F. Shajn at Simeis. Independently discovered 1935 Aug. 31 by K. Reinmuth at Heidelberg. The name of a large river in USSR east of Kasan, and a tributary to the Volga. (M 838) (1388) Aphrodite 1935 SS. Discovered 1935 Sept. 24 by E. Delporte at Uccle. Named for the Greek goddess of love and beauty, daughter of Zeus and Dione {see planets (5731) and (106)} in the Iliad but in later poems it is said that she sprung from the foam of the sea near Cyprus. According to later poems she was the mother of Eros {see planet (433)}. (H 126) Name proposed by the Astronomisches Rechen-Institut (RI 1702). (1389) Onnie 1935 SS1. Discovered 1935 Sept. 28 by H. van Gent at Johannesburg. Named in honor of Mrs. A. Kruyt, a sister-in-law of G. Pels. (I. van Houten-Groeneveld) Named by G. Pels {see planet (1667)}who computed the orbit. (1390) Abastumani 1935 TA. Discovered 1935 Oct. 3 by P. F. Shajn at Simeis. Independently discovered 1935 Oct. 3 by C. Jackson at Johannesburg. The name of a town in the Georgian Caucasus; more recently the site of a new astronomical observatory. (M 838) (1391) Carelia 1936 DA. Discovered 1936 Feb. 16 by Y. Väisälä at Turku. Named for the region in northeastern Europe between the Gulf of Finland and the White sea in the U.S.S.R. (H 126) (1392) Pierre 1936 FO. Discovered 1936 Mar. 16 by L. Boyer at Algiers. Named in honor of a nephew of the discoverer. (H 126) (1393) Sofala 113 (1393) Sofala (1402) Eri 1936 KD. Discovered 1936 May 25 by C. Jackson at Johannesburg. Name of the largest province of the former Portuguese African Territory of Mozambique. (M 909) 1936 OC. Discovered 1936 July 16 by K. Reinmuth at Heidelberg. Named in honor of Erika Kollnig-Schattschneider {1913-1978}, astronomer at the Heidelberg Königstuhl Observatory. (H 127) (1394) Algoa 1936 LK. Discovered 1936 June 12 by C. Jackson at Johannesburg. Name of a South African Bay which has historical associations. (M 909) (1395) Aribeda 1936 OB. Discovered 1936 July 16 by K. Reinmuth at Heidelberg. This name is an abbreviation formed by the first letters of ”Astronomisches Rechen-Institut, BerlinDahlem”. (H 126) (1396) Outeniqua 1936 PF. Discovered 1936 Aug. 9 by C. Jackson at Johannesburg. Name of a range of mountains in the south western Cape Province and also home of a now extinct race of Hottentots. (M 909) (1397) Umtata 1936 PG. Discovered 1936 Aug. 9 by C. Jackson at Johannesburg. Name of the capital town of the native province of the Transkei and seat of the native administration. (M 909) (1398) Donnera (1403) Idelsonia 1936 QA. Discovered 1936 Aug. 13 by G. N. Neujmin at Simeis. Independently discovered 1936 Aug. 17 by K. Reinmuth at Heidelberg. Named in honor of the late, well-known Soviet astronomer, Naum I. Idelson {1885-1951}. He was a member of the staff of the Pulkovo Observatory. (M 1252) Name submitted by N. Yakhontova, Institute of Theoretical Astronomy, Leningrad. Idelson is also honored by a lunar crater. (1404) Ajax 1936 QW. Discovered 1936 Aug. 17 by K. Reinmuth at Heidelberg. Named for the Greek hero in the Trojan War and son of Telamon {see planet (1749)} who kills himself because the armor of Achilles {see planet (588)} was awarded to Odysseus {see planet (1143)}. (H 127) (1405) Sibelius 1936 RE. Discovered 1936 Sept. 12 by Y. Väisälä at Turku. Named in honor of the great Finnish composer Jean Sibelius (1865-1957). (M 3928) (1406) Komppa 1936 QL. Discovered 1936 Aug. 26 by Y. Väisälä at Turku. Named in honor of the Finnish astronomer Anders Severin Donner (1854-1939), director of the Helsinki Observatory. (H 127) Donner is also honored by a lunar crater. 1936 RF. Discovered 1936 Sept. 13 by Y. Väisälä at Turku. Named in honor of G. Komppa, a chancellor of Turku University and one of the founders of the Turku Observatory. (H 127) (1399) Teneriffa (1407) Lindelöf 1936 QY. Discovered 1936 Aug. 23 by K. Reinmuth at Heidelberg. Named for the largest of the Spanish Canary islands. (H 127) (1400) Tirela 1936 WA. Discovered 1936 Nov. 17 by L. Boyer at Algiers. Named in honor of Charles Tirel, a friend of the discoverer. (H 127) (1401) Lavonne 1935 UD. Discovered 1935 Oct. 22 by E. Delporte at Uccle. Named in honor of the granddaughter of Mrs. Maud W. Makemson who computed the orbit of this planet and received permission by the discoverer to name it. (H 127) 1936 WC. Discovered 1936 Nov. 21 by Y. Väisälä at Turku. Named in honor of the late Ernest L. Lindelöf, professor of mathematics at the Helsinki University. (H 127) (1408) Trusanda 1936 WF. Discovered 1936 Nov. 23 by K. Reinmuth at Heidelberg. Named in honor of Trude Hochgesand, an acquaintance of the Heidelberg astronomer H. Vogt {see planet (1439)}. (H 127) (1409) Isko 1937 AK. Discovered 1937 Jan. 8 by K. Reinmuth at Heidelberg. Named in honor of Ise Koch, wife of the astronomer Kubach. (H 127) 114 (1410) (1410) Margret 1937 AL. Discovered 1937 Jan. 8 by K. Reinmuth at Heidelberg. Named in honor of Margret Braun (?-1991), wife of the Heidelberg astronomer H. Vogt {see planet (1439)}. (H 127) Mrs. Vogt is also honored by planet (1411). (1411) Brauna 1937 AM. Discovered 1937 Jan. 8 by K. Reinmuth at Heidelberg. Named in honor of Margret Braun, wife of H. Vogt (see also the citation for planet (1410)). (H 128) (1412) Lagrula 1937 BA. Discovered 1937 Jan. 19 by L. Boyer at Algiers. Named in honor of Joanny-Philippe Lagrula (18701941), director of the Quito and Algiers Observatories. (LDS) Margret Obituaries published in C.R. Acad. Sci., Vol. 266, p. 16, Vol. 267, p. 103-104 (1968). (1419) Danzig 1929 RF. Discovered 1929 Sept. 5 by K. Reinmuth at Heidelberg. Named for the city (now Gdansk) and port on the Baltic sea. (H 128) The city of Danzig is also honored by planet (764). (1420) Radcliffe 1931 RJ. Discovered 1931 Sept. 14 by K. Reinmuth at Heidelberg. Independently discovered 1931 Oct. 10 by F. Rigaux at Uccle. Named by the orbit computer, Mrs. Maud W. Makemson, in honor of the class of 1912 of Radcliffe College, Cambridge, Mass. (H 128) (1421) Esperanto 1937 CD. Discovered 1937 Feb. 12 by L. Boyer at Algiers. Named in honor of the mother of the discoverer. (H 128) 1936 FQ. Discovered 1936 Mar. 18 by Y. Väisälä at Turku. Named to commemorate the international language which was proposed by L. L. Zamenhof {see planet (1462)} in 1887 for common scientific usage. The inventor used the pseudonym ”doctoro Esperanto”. (M 1350) (1414) Jérôme (1422) Strömgrenia 1937 CE. Discovered 1937 Feb. 12 by L. Boyer at Algiers. Named in honor of the father of the discoverer. (H 128) 1936 QF. Discovered 1936 Aug. 23 by K. Reinmuth at Heidelberg. Named in honor of the Danish astronomer Prof. Elis Strömgren (1870-1947) who was director of the Copenhagen University Observatory, and director of the Bureau Central des Télégrammes Astronomiques. (H 128) Strömgren is also honored by a lunar crater. (1413) Roucarie (1415) Malautra 1937 EA. Discovered 1937 Mar. 4 by L. Boyer at Algiers. Named in honor of the wife of the discoverer. (H 128) (1416) Renauxa 1937 EC. Discovered 1937 Mar. 4 by L. Boyer at Algiers. Named in honor of P. Renaux, assistant astronomer at the Algiers Observatory. (H 128) (1417) Walinskia 1937 GH. Discovered 1937 Apr. 1 by K. Reinmuth at Heidelberg. Independently discovered 1937 Apr. 9 by G. N. Neujmin at Simeis. Named in honor of an acqaintance of an astronomer at the Astronomisches Rechen-Institut, Berlin. Name proposed by W. Schaub. (1418) Fayeta Discovered 1903 Sept. 22 by P. Götz at Heidelberg. Named in honor of Gaston-Jules Fayet (1874-1967), director of the Nice Observatory who computed extensive tables of minor planets and searched for mutual close encounters. (H 128) Name proposed by the orbit computer Ch. Cailliatte. (1423) Jose 1936 QM. Discovered 1936 Aug. 28 by J. Hunaerts at Uccle. Named in honor of Giuseppina Bianchi, deceased young daughter of the Italian astronomer E. Bianchi. (H 128) Name proposed by the orbit computer Cesare Lombardi. (1424) Sundmania 1937 AJ. Discovered 1937 Jan. 9 by Y. Väisälä at Turku. Named in honor of K. F. Sundman (1873-1949), director of the Helsingfors Observatory, who intensively worked on the n-body problem. (H 129) Sundman is also honored by a lunar crater. (1425) Tuorla 1937 GB. Discovered 1937 Apr. 3 by K. Inkeri at Turku. Named in honor of the Research Institute for Astronomy and Optics near Turku, Finland. (M 2277) (1426) (1426) Riviera 1937 GF. Discovered 1937 Apr. 1 by M. Laugier at Nice. Independently discovered 1937 Apr. 3 by C. Jackson at Johannesburg. Named for the southeast Mediterranean coast of France, noted for its mild weather, which favors the observatory at which this planet was discovered. (M 6831) Name proposed by F. Pilcher. (1427) Ruvuma 1937 KB. Discovered 1937 May 16 by C. Jackson at Johannesburg. Name of the most important river in southern Tanganyika, now Tanzania. (M 909) (1428) Mombasa 1937 ND. Discovered 1937 July 5 by C. Jackson at Johannesburg. Name of the chief port in Kenya, East Africa, which has also ancient historical associations. (M 909) (1429) Pemba 1937 NH. Discovered 1937 July 2 by C. Jackson at Johannesburg. A large island off the East Coast of Africa which was under the rule of the Sultan of Zanzibar. (M 909) (1430) Somalia 1937 NK. Discovered 1937 July 5 by C. Jackson at Johannesburg. Named for the state in the northeast of Africa. (M 5181) (1431) Luanda 1937 OB. Discovered 1937 July 29 by C. Jackson at Johannesburg. Named for the capital city of Angola. (M 5182) (1432) Ethiopia 1937 PG. Discovered 1937 Aug. 1 by C. Jackson at Johannesburg. Ancient name of Abyssinia; still called the empire of Ethiopia. (M 909) (1433) Geramtina Riviera 115 Named in honor of Miss Gertrud Margot Görsdorf (1915-1990), later Mrs. Zottmann. She was for some years in Berlin friend and schoolfellow of the German astronomer W. Gliese {see planet (1823)} who proposed this name. (LDS) (1435) Garlena 1936 WE. Discovered 1936 Nov. 23 by K. Reinmuth at Heidelberg. Independently discovered 1936 Dec. 13 by G. N. Neujmin at Simeis. Named in honor of an acquaintance of the German astronomer W. Schaub. (H 129) (1436) Salonta 1936 YA. Discovered 1936 Dec. 11 by G. Kulin at Budapest. Independently discovered 1936 Dec. 14 by A. Patry at Nice. Named for the birthplace of the discoverer. (M 5182) (1437) Diomedes 1937 PB. Discovered 1937 Aug. 3 by K. Reinmuth at Heidelberg. Named for Diomedes, king of Argos, one of the Greek heroes of the Trojan War. (H 129) (1438) Wendeline 1937 TC. Discovered 1937 Oct. 11 by K. Reinmuth at Heidelberg. Any reference of this name to a person or occurrence is unknown. Name proposed by W. Schaub. (1439) Vogtia 1937 TE. Discovered 1937 Oct. 11 by K. Reinmuth at Heidelberg. Named in honor of the Heidelberg astronomer Heinrich Vogt (1890-1968). In 1929, Vogt became professor and director of the Jena University Observatory. From 1933 he was director of the Heidelberg Königstuhl Observatory. Vogt is especially well known for his fundamental work on the theory of stellar interiors. He detected the Vogt-Russell theorem which uniquely describes the structure of a star by using only the mass and the chemical composition. (G. Klare) Obituaries published in Astron. Nachr., Vol. 292, p. 45-46 (1970); Jahrb. Heidelb. Akad. Wiss., p. 47-49 (1970). 1937 UC. Discovered 1937 Oct. 30 by E. Delporte at Uccle. This is a compound name which has been formed to recall and to honor Miss Asplind, sister of B. Asplind {see planet (958)}. (H 129) Named by B. Asplind who computed several orbits of planets found at Uccle on the occasion of the 1938 Stockholm IAU meeting. (1440) Rostia (1434) Margot (1441) Bolyai 1936 FD1. Discovered 1936 Mar. 19 by G. N. Neujmin at Simeis. 1937 WA. Discovered 1937 Nov. 26 by G. Kulin at Budapest. 1937 TF. Discovered 1937 Oct. 11 by K. Reinmuth at Heidelberg. Named probably in honor of the German amateur astronomer, poet, and popularizer Johann Leonhard Rost (1688-1727) whose Astronomisches Handbuch (1718) has found a wide distribution. (LDS) Rost is also honored by a lunar crater. 116 (1442) Name proposed by the discoverer in honor of Farkas Wolfgang Bolyai (1775-1856), a Hungarian astronomer and computer. (H 130) (1442) Corvina 1937 YF. Discovered 1937 Dec. 29 by G. Kulin at Budapest. Independently discovered 1937 Dec. 29 by K. Reinmuth at Heidelberg.
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tel-04264261-Manuscrit%20de%20the%CC%80se.txt_9
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Articulation des théories de la dissonance cognitive et de l'identité sociale : étude de la dissonance vicariante et dissonance imaginée dans un contexte Français. Psychologie. Aix-Marseille Université, Marseille, France, 2022. Français. &#x27E8;NNT : &#x27E9;. &#x27E8;tel-04264261&#x27E9;
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PROX = proximité avec le groupe (variable continue). PDV = Présence de Dissonance Vicariante. ADV = Absence de Dissonance Vicariante. Étude 2 – Résumé des tests Post-Hoc de l’effet d’interaction TEMPS *DCV*PROXIMITÉ DM ET df t pbonferroni Interprétation PRE_PROX.F_ADV POST_PROX.F_ADV -0.11 0.10 129 -1.12.93 Pas de signal ; consistant PRE_PROX.É_ADV POST_PROX.É_ADV -0.06 0.10 129 -0.56.999 Pas de signal ; consistant PRE_PROX.F_PDV POST_PROX.F_PDV 0.02 0.11 129 0.21 1.00 Pas de signal ; consistant PRE_PROX.É_PDV POST_PROX.É_PDV -0.31 0.11 129 -2.92.08 Pas de signal ; inconsistant Note. Tests réalisés : Test-t de Student Indépendant bilatéral TEMPS *DCV* PROXIMITÉ, à partir d’une ANOVAmr de l’ICPE(3), en fonction du TEMPS (mr), de la DCV (inter-sujet), et de la PROXIMITÉ (inter-sujet). ADV = Absence de Dissonance Vi cari ante . P DV = Présence de Disson ance Vicariante. PROX-F = proximité avec le groupe faible. PROX-É = proximité avec le groupe élevée. PRE = mesure pré-expérimentale. POST = mesure post-expé rimentale. DM = Différence de Moyenne. ET = Écart-Type. Chapitre 2 Partie empirique Ainsi, dans l’objectif d’obtenir des éléments de compréhension supplémentaires à l’effet d’interaction TEMPS*DCV*PROXIMITÉ29, nous avons souhaité approfondir le lien entre la variable proximité avec le groupe (variable continue) et le changement d’intention comportementale (obtenu au travers d’une soustraction entre la mesure postet pré- expérimentale de l’ICPE(3)), pour les conditions de présence et d’absence de DCV, au travers d’une régression linéaire. Comme le montre la Figure 29, les résultats semblent montrer un effet significatif d’interaction de la DCV (présence versus absence) et de la proximité avec le groupe des sujets (variable continue) sur le changement d’intention comportementale (b = 0.19 ; SE = 0.09 ; t =2.05 ; p =.04) : en condition de présence de DCV, plus les sujets déclaraient une proximité avec le groupe élevée, plus ils changeaient d’intention comportementale en faveur des comportements pro-environnementaux (i.e., mesure pro-normative). A contrario, en condition d’absence de DCV, plus les sujets déclaraient une proximité avec le groupe élevée, moins ils changeaient d’intentions comportementales en faveur des comportements pro-environnementaux. 29 Soutenu par la réalisation, en tant qu’analyses complémentaires, d’un test-t sur échantillons appariés unilatéral (pré < post) de l’ICPE(3) en fonction du temps de mesure (pré/post ; facteur intra-sujet), pour la condition PDC/Proximité élevée : t (30) = -2.75 ; p =.010. Chapitre Au vu des données surprenantes concernant les variables dépendantes, des analyses complémentaires ont été réalisées au travers d’ANOVA à mesures répétées sur les 5 items d’ICPE séparément, en fonction du temps de mesure (i.e., TEMPS : pré-/postexpérimental ; facteur intra-sujet), de la DCV (i.e., DCV : présence/absence ; facteur intersujet), de la proximité avec le groupe (variable continue ; covariable), et du terme d’interaction entre ces trois variables (voir Figure 30). Néanmoins, les analyses n’ont révélé aucun effet principal et d’interaction, quel que soient les intentions comportementales (tous les ps >.05). De plus, des analyses complémentaires exploratoires ont également été réalisées pour voir l’effet de la présence ou de l’absence de DCV sur le changement d’ICPE(3), puis sur les 5 items d’ICPE séparément dans un second temps, pour les sujets ayant exprimé une proximité au groupe élevée seulement. Pour ce faire, nous avons réalisé une ANOVA à mesures répétées de l’AAFS globale des sujets ayant exprimé une proximité au groupe élevée, en fonction du temps de mesure (i.e., TEMPS : pré- et post-expérimental ; facteur intra-sujet), de la DCV (i.e., DCV : présence ou absence ; facteur inter-sujet), et du terme d’interaction de ces deux variables. Néanmoins, les analyses n’ont révélé aucun effet principal et d’interaction (tous les ps >.094). Figure 30 Étude 2 - Représentation graphique du changement des 5 ICPE (1 = jamais, à 7 = toujours), en fonction du temps de mesure (pré- versus post- expérimental ; facteur intra-sujet) et de la DCV (présence versus absence ; facteur inter-sujet) Note. PDV = Présence de Dissonance Vicariante. ADV = Absence de Dissonance Vicariante. PRE = mesure préexpérimentale. POST = mesure postexp é ri mentale. ICPE_POL = intention d’acheter des produits les moins polluants. ICPE_REC = intention de choisir des produits à partir de matériaux recyclés. ICPE_BIO = intention d’acheter des produits bio. ICPE_LOC = intention de manger des produits locaux. ICPE_SAI = intention d’acheter des produits de saison. ique 1.3.3.3. Analyses exploratoires Pour tester l'hypothèse 2 (i.e., effet de la proximité avec le groupe sur le changement de similarité avec le groupe en fonction de la présence ou absence de DCV), nous avons réalisé une ANOVA à mesures répétées sur le score de similarité avec le groupe des sujets de la condition expérimentale seulement (i.e., PDV), en fonction du temps de mesure (i.e., TEMPS : pré- et post-expérimental ; facteur intra-sujet), de la proximité avec le groupe des sujets (i.e., PROXIMITÉ : variable continue ; covariable), et du terme d’interaction de ces deux variables (voir Tableau 22). Les analyses ont révélé un effet principal du TEMPS (F (1, 59) = 5.68, p =.02, η2 p =.09) : les sujets ont exprimé une similarité avec le groupe plus élevée en mesure post-expé rimentale qu’en mesure préexpérimentale (DM =.348, ET = 0.12, t (59) = 3.02, pbonferroni =.004 ; voir Tableau 23). De plus, les analyses ont révélé un effet principal de la PROXIMITÉ (F (1, 59) = 72.7, p <.001, η2p = 0.55). L’effet d’interaction TEMPS*PROXIMITÉ ne s’est pas avéré significatif (p =.099). Afin de mieux comprendre l’effet de la PROXIMITÉ, des analyses post-hoc ont été effectuées avec le test de Bonferroni (voir Tableau 23), à partir d’une ANOVA à mesures répétées de l’ICPE(3), en fonction du temps de mesure (i.e., TEMPS : pré-/postexpérimental ; facteur intra-sujet), de la proximité avec le groupe des sujets (PROXIMITÉ : élevée/faible ; facteur inter-sujet), et du terme d’interaction de ces deux variables. Concernant l’effet principal de la PROXIMITÉ : les sujets ayant exprimé une proximité élevée avec le groupe ont rapporté une similarité avec le groupe plus élevée que les sujets ayant exprimé une faible proximité avec le groupe (DM = 0.95, ET = 0.19, t (59) = 4.91, pbonferroni <.001). Concernant l’effet d’interaction TEMPS*PROXIMITÉ (voir Figure 31), ces analyses ont révélé une différence entre les conditions de Proximité faible et Proximité élevée pour le questionnaire pré-expérimental (PRE_PROX.F : M = 3.08, ET = 0.72 ; PRE_PROX.É : M = 4.16, ET = 0.999; t (59)= -4.86 ; pbonferroni <.001), entre la condition Proximité faible et Proximité élevée pour le questionnaire post-expérimental (POST_PROX.F : M = 3.57, ET = 0.84 ; PROX.É_POST : M = 4.37, ET = 0.93; t (59) = -3.55 ; pbonferroni =.005), et entre les mesures pré- et post-expérimentales en condition Proximité faible (DM = -.49, ET = 0.17 ; t (59) = -2.95 ; pbonferroni =.03). De plus, ces comparaisons post-hoc n’ont révélé aucune différence entre les mesures pré- et post-expérimentales en condition de Proximité élevée (DM = -0.21, ET = 0.16 ; t (59) = -1.28 ; pbonferroni = 1.00). Chapitre empirique Figure 31 Étude 2 - Représentation graphique du changement de similarité avec le groupe (1 = pas du tout similaire, à 7 = très similaire), en fonction du temps de mesure (pré- versus post- expérimental ; facteur intra-sujet), et de la proximité avec le groupe des sujets (élevée versus faible ; facteur inter-sujet) Note. PRE = mesure pré-expérimentale. POST = mesure post-expé rimentale. PROX_SPLIT = score de proximité avec le groupe des sujets, splitté en 2 catégories (0 = proximité faible ; 1 = proximité élevée). de l’hypothèse 2 ANOVA df p Carré Moyen Interprétation η2 p mr Contraste 1 : Effets intra-sujets de la similarité avec le groupe des sujets en condition PDV (N = 61), avec la proximité avec le groupe (variable continue ; covariable) Signal ; pas de commentaires TEMPS (1, 59) 5.68.02 2.31 0.09 Pas de signal ; inconsistant ; résultats opposés TEMPS*PROX (1, 59) 2.81.10 1.14 0.05 Contraste 2 : Effets intra-sujets de la similarité avec le groupe des sujets en condition PDV (N = 61), avec la proximité avec le groupe (variable continue ; covariable) Signal ; pas de commentaires PROX 72.7 (1, 59) <.001 51.84 0.55 Note. Test réalisé : Pour les sujets en condition PDV, ANOVA à mesures répétées de la similarité avec le groupe en fonction du temps de mesure (facteur intrasujet) et de la proximité (covariable), et du terme d’interaction de ces deux variables. TEMPS = temps de mesure (pré- versus post-expérimental). PROX = score de proximité avec le groupe (variable continue). PDV = Présence de Dissonance Vicariante. ADV = Absence de Dissonance Vicariante. Tableau 23 Étude 2 – Résumé des tests Post-Hoc de l’ANOVA à mesures répétées de l’hypothèse 2 DM ET df t pbonferroni Interprétation PRE POST -0.35 0.15 59 -3.02.004 Signal ; pas de commentaires PROX.F PROX.É -0.95 0.19 59 -4.91 <.001 Signal ; pas de commentaires PRE_PROX.F PRE_PROX.É -1.09 0.22 59 -4.86 <.001 Signal ; consistant POST_PROX.F POST_PROX.É -0.80 0.23 59 -3.55.005 Signal ; pas de commentaires PRE_PROX.F POST_PROX.F -0.49 0.17 59 -2.95.03 Signal ; inconsistant ; résultats opposés PRE_PROX.É POST_PROX.É -0.21 0.16 59 -1.28 1.00 Pas de signal ; inconsistant ; résultats opposés Note. Tests réalisés : Test-t de Student Indépendant bilatéral TEMPS* PROXIMITÉ. PRO X.F = proximité faible. PROX.É = proximité élevée. PRE = mesure préexpérimentale. POST = mesure post-expé rimentale. DM = Différence de Moyenne. ET = Écart-Type. - Chapitre 2 Partie empirique 1.3.4. Discussion 1.3.4.1. Analyses descriptives L’analyse de fidélité réalisée sur notre mesure pré-expérimentale d’ICPE nous a amené à conserver les trois premiers items de cette dernière (ICPE(3) ; i.e., item 1 : POL = intention d'acheter des produits les moins polluants possible ; item 2 : REC = intention de choisir des produits à partir de matériaux recyclés ; item 3 : BIO = intention d'acheter des produits bio). De plus, après la lecture de l’argumentaire de l’observé, les sujets en condition PDV ont exprimé une importance perçue accordée par l’observé aux économies d’énergies relativ ement élevée (M = 5.98, ET = 1.15, sur une échelle en 7 points). La perception de la non pratique régulière d’économie d’énergie de l’observé était moyenne (M = 4.26, ET = 1.38, sur une échelle en 7 points). 1.3.4.2. Réplication (H1) Concernant l’hypothèse 1, nous nous attendions à un effet d’interaction TEMPS*DCV*PROXIMITÉ, de sorte que seuls les étudiants qui observent un membre de l’endogroupe hypocrite du même sexe renforcent leurs ICPE, contrairement aux sujets qui n'observent pas un membre de l’endogroupe hypocrite, et ce changement d'intentions comportementales sera d'autant plus présent si l'observateur déclare une forte proximité avec l’endogroupe. Comme attendu, et de la même manière que pour l’étude 1, l’effet d’interaction TEMPS*DCV*PROXIMITÉ était significatif : pour les sujets en condition de DCV (i.e., ayant observé un membre de leur groupe agir de manière contre-attitudinale) seuls les étudiants ayant exprimé une proximité au groupe élevée ont exprimé une AAFS plus élevée après une procédure de DCV, comparativement aux étudiants ayant exprimé une proximité au groupe faible. Pour ces sujets, tout se passe comme si le fait d'être témoin d'un comportement contre-attitudinal d’un membre de l’endogroupe était suffisant pour entraîner un inconfort vicariant, amenant les sujets à le réduire, et ce, au travers d’un changement d'attitude (semblable à celui observé en DCP). Toutefois, et de manière similaire à l’étude 1, le changement d’AAFS était également modéré par la proximité avec le groupe des sujets n’ayant pas observé de scène de DCV, mais dans l’ordre inverse : en condition d’absence de DCV, plus les sujets déclaraient une proximité avec le groupe élevée, moins ils changeaient d’attitude en faveur de l’augmentation des fra de scolarité (voir Figure 29). Ces résultats peuvent également être interprétés en termes d’importance des attitudes et de résistance au changement (voir p. - 142 -). 1.3.4.3. Analyses exploratoires (H2) Concernant l’hypothèse 2, nous nous attendions à un effet d’interaction TEMPS*PROXIMITÉ, de sorte que les étudiants observant un membre de l’endogroupe agissant de manière contre-attitudinale ressentent de la DCV, les amenant à exprimer une similarité avec le groupe plus élevée après une procédure de DCV, et ce changement de similarité sera d'autant plus présent si l'observateur déclare une forte proximité avec l’endogroupe. Bien que l’effet d’interaction TEMPS*PROXIMITÉ ne soit pas significatif (p =.10), les résultats semblent similaires à l’étude 1, indiquant que les sujets ayant exprimé une faible proximité avec le groupe ont exprimé une similarité postexpérimentale avec le groupe quelque peu supérieure à la mesure pré-expérimentale après la procédure de DCV, contrairement aux sujets ayant exprimé une proximité au groupe élevée. De fait, ces données apportent un soutien aux résultats trouvés lors de l’étude 1, et peuvent être également discutés en termes d’effet d’ordre de présentation des modes de réduction de la DC et de coût cognitif (voir p. - 144 -). 1.3.4.4. Analyse de taille d’échantillon Comme mentionné précédemment (voir p. - 161 -), nous avons souhaité calculer le nombre minimum de sujets nécessaires pour détecter un effet lors du pré-enregistrement de notre étude. Néanmoins, comme pour l’étude 1, l’analyse que nous avions effectuée s’est avérée fausse. En effet, nous avons basé notre estimation sur un effet fort (i.e., êta2 = 0.10 ; Feldman et al., 2021), estimant que pour qu’une ANOVA à mesures répétées détecte un effet êta2 = 0.10 avec une puissance de.80 et en fixant un alpha de.05, nous avions besoin de 80 sujets (i.e., 40 par condition). Chapitre 2 – Partie empirique Au vu de l’erreur dans le raisonnement concernant notre calcul initial du nombre minimum de sujets nécessaires pour détecter un effet lors du pré-enregistrement de notre étude, nous avons donc réeffectué l’analyse de taille d’échantillon, mais cette fois-ci basée sur la taille d’effet estimé par notre méta-analyse de la DCV au travers du paradigme de l’hypocrisie induite (voir p. - 226 - ; Broers & Otgaar, 2021), soit g = 0.46, IC 95% [0.27, 0.64]. De fait, notre analyse suggère que pour qu'une ANOVA à mesures répétées détecte une taille d'effet de g = 0.46, avec une puissance de.80, en fixant un alpha de.05, nous avions besoin de 153 sujets au total (voir Annexe O pour le détail des calculs). Cette analyse nous indique donc que le nombre de sujets que nous avons pris pour cette étude (i.e., n = 133) n’était probablement pas suffisant. Enfin, pour avoir une idée de la puissance de notre étude avec 133 sujets, nous avons souhaité réaliser une analyse de puissance a posteriori de notre étude. Notre analyse suggère qu’une ANOVA ayant une taille d’effet de η2p = 0.03, comportant 2 conditions (avec 67 sujets par condition), et un alpha de.05 comporte une puissance de 0.52 (voir Annexe O pour le détail des calculs). Pour conclure, notre étude étant basée sur un nombre de sujets insuffisants (133 sujets au lieu de 153), les résultats doivent être interprétés avec prudence. À l’inverse, il se peut également que les résultats obtenus par les auteurs (Focella et al., 2016) fassent l’objet d’une erreur de type 1 (i.e., faux-positifs ; Nelson et al., 2018; Simmons et al., 2021). Quoi qu’il en soit, aucune interprétation ou conclusion ne peut être faite, dans un sens ou dans l’autre, sur la base d’un aussi petit nombre d’études. De fait, des recherches supplémentaires sont nécessaires avant de pouvoir tirer des conclusions fiables sur l'existence d’un effet de la DCV. Les limites et améliorations de cette études sont discutées dans la partie qui suit. - Chapitre 2 – Partie empirique 1.4. Études complémentaires prévues pour faire face aux limites des études 1 et 2 Les deux premières études de réplications réalisées (i.e., étude 1, réplication de l’étude 1 de Norton et al., 2003 ; et l’étude 2, réplication de l’étude 1 de Focella et al., 2016) comportaient un certain nombre de limites. Nous avons donc souhaité les réitérer pour les améliorer en tenant compte de leurs limites. Néanmoins, la situation sanitaire ne nous a pas permis de réaliser ces études prévues dans les box d’expérimentations. Même si nous n'avons pas pu réaliser ces études complémentaires, nous avons tout de même tenu à mettre à disposition le pré-enregistrement que nous avions effectué (voir : Open Science Framework30). Les parties suivantes décrivent donc deux études supplémentaires (réfléchies et construites dans l’ bjectif de remédier aux limites des études 1 et 2 précédemment présentées), qui n’ont pas pu être réalisées au vu du contexte sanitaire, mais qui feront l’objet d’un prolongement post-thèse. 1.4.1. Mesures pré-expérimentales Au vu des difficultés rencontrées avec la mesure d’ICPE lors de l’étude 2, nous avons également souhaité améliorer notre mesure d’intention comportementale proenvironnementale. Pour ce faire, et dans l’objectif d’augmenter la fidélité de la mesure, nous ne garderons qu’un aspect du comportement écologique proposé par l’échelle de Moussaoui et collaborateurs (2016), plutôt que 5 différents. Cependant, afin de maintenir une sensibilité correcte de l’évaluation des intentions comportementales, nous rajouterons un item. Finalement, l’intention comportementale sera mesurée au travers de deux items : l’intention comportementale d’acheter des produits issus de l’agriculture biologique (i.e., « J’ai l’intention d’acheter des produits bio » ; 1 = Jamais, 2 = Très rarement, 3 = Rarement, 4 = Parfois, 5 = Souvent, 6 = Très souvent, 7 = Toujours), et le pourcentage de dépenses supplémentaires pour ces produits (i.e., « De manière générale, les produits bio peuvent coûter plus cher. Si votre budget vous le permettait, et si vous étiez prêt à acheter des produits bio, quel pourcentage d’argent seriez-vous prêt à 30 https://osf.io/yad4g/?view_only=dfa74bd563a44b0bbca7f7a3fe20b2d1 Chapitre 2 – Parti empirique dépenser en plus pour un produit identique? » ; en 12 points, allant de 0% à 100% et plus). 1.4.2. Design expérimental Concernant l’étude 1, comme souligné précédemment, la procédure expérimentale comportait une limite importante. En effet, l’objectif de cette première étude était de tester si la présence versus l’absence d’une procédure de DCV avait un effet sur les attitudes des sujets. Pour rappel, la condition de présence de DCV comportait une procédure amenant les sujets à observer la rédaction d’un argumentaire contreattitudinal par un autre étudiant. La condition d’absence de DCV, quant à elle, ne comportait que les mesures dépendantes. Ainsi, une différence entre la condition expérimentale et la condition contrôle peut être imputée à la DCV, mais également aux processus impliqués dans la réalisation de la procédure expérimentale elle-même (i.e., traitement de l’information, traitement lexico-sémantique, processus sociocognitif, gestion des affects, processus d’identification, etc...). De fait, il semble nécessaire d’inclure, dans la condition contrôle, une procédure la plus similaire possible à la condition expérimentale, outre l’observation de l’argumentaire contre-attitudinal. Plus précisément, nous avons souhaité modifier la condition contrôle de telle sorte à ce que les sujets observent un autre étudiant rédigeant des arguments neutres (i.e., sur des sujets supplémentaires concernant les politiques éducatives), pouvant intéresser de futurs comités (versus observation d’un autre étudiant rédigeant un argumentaire contreattitudinal en condition expérimentale). Pour l’étude 2, et afin d’éviter les mêmes biais méthodologiques que pour l’étude 1, nous inclurons dans la condition contrôle de l’étude 2, une procédure similaire à la condition expérimentale, outre l’observation du rappel des transgressions. De plus, afin de reproduire l’étude au plus proche que celle de Focella et al. (2016), nous supprimerons la couverture sous-linguistique utilisée dans l’étude de Norton et al. (2003). Ainsi, la mise en place de cette condition contrôle nous permettra d’être dans une conception double aveugle (i.e., méthode faisant que ni les sujets ni les chercheurs ne savent à quelle condition expérimentale ou de contrôle les sujets sont assignés), permettant de contrôler l'attente du chercheur et les biais qui y sont liés (Marczyk et al., 2010) 1.4.3. Mesures post-expérimentales Comme souligné précédemment, l’étude 1 n’incluait pas de mesure d’inconfort personnel. En effet, la littérature sur la DCV ne semble pas montrer d’effet de la DCV sur l’inconfort personnel des sujets (Blackman et al., 2016 ; Focella et al., 2016 ; Norton et al., 2003 ; voir également section « Méta-analyse de la dissonance cognitive vicariante », p. - 213 -). Or, il semble important, lors d’un projet de réplication, de reproduire les mesures au plus proche de celles réalisées dans les études cibles. De fait, nous rajouterons, comme pour l’étude de Norton et al. (2003) une mesure de l’inconfort personnel, ainsi que d’inconfort vicariant (Focella et al., 2016 ; Norton et al., 2003). De la même manière pour l’étude 2, une mesure de l’inconfort vicariant sera ajoutée pour reproduire les mesures au plus proche de celles réalisées par Focella et al. (2016). - 190 - Chapitre 2 – Partie empirique 2. Méta-analyse de la dissonance cognitive vicariante 2.1. Vue d’ensemble 2.1.1. Objectifs Depuis les premières études de Norton et al. (2003) sur la DCV, de nombreuses études ont été menées pour tester la capacité de la DCV à encourager le changement d'attitude ou de comportement par rapport à une grande variété de questions, y compris la thématique de l’augmentation de frais de scolarité (e.g., Chong & Cooper, 2007; Hogg & Cooper, 2006; Norton et al., 2003), la santé (e.g., Fernandez et al., 2007; Focella et al., 2016), la sécurité routière (e.g., Barden et al., 2013), ou encore la protection de l'environnement (Gaffney et al., 2012). Néanmoins, après plus de 15 ans de recherche, quelques incertitudes demeurent quant à l'efficacité des procédures expérimentales mises en place en DCV pour obtenir des effets (e.g., Blackman et al., 2016; Focella et al., 2016). Pour y remédier, la présente méta-analyse préenregistrée vise à contribuer à la littérature en examinant le rôle de la DCV sur l'attitude et le comportement, afin de construire une compréhension plus systématique de la DCV et des modérateurs de ce processus, et ainsi permettre de déterminer l'efficacité de nos expérimentations sur ce processus, tout en mettant en évidence les conditions dans lesquelles elles fonctionnent le mieux (Cooper et al., 2009). À notre connaissance, aucune méta-analyse du rôle de la DCV sur le changement d’attitude et de comportement n'a été réalisée. Cette dernière nous permettra ainsi de quantifier les résultats associés à cette théorie, notamment au travers de leurs tailles d’effets standardisées (Borenstein et al., 2011), et ainsi examiner un ensemble d'études dérivées de conceptions de recherche similaires (Siddaway et al., 2019). Elle nous permettra, sur la base des avancées théoriques et empiriques réalisées dans le domaine de la DCV, de répondre aux questions suivantes : Quelle est la magnitude de l'effet de la - 191 - Chapitre 2 – Partie empirique DCV sur les affects, les jugements d'hypocrisie, ou encore sur les attitudes? Quelle est la taille estimée de l'effet? Quels sont les facteurs importants qui modèrent l'effet de la DCV sur les affects, le jugement d'hypocrisie, et les attitudes? Les différences entre le plan du pré-enregistrement et le plan final sont décrites en Annexe P. Nous partageons toutes les procédures, matériel, ensembles de données et le code sur le cadre scientifique ouvert : Open Science Framework 31. 2.1.2. Hypothèses 2.1.2.1. Modérateurs confirmatoires Les modérateurs confirmatoires sont au nombre de 3 : l’appartenance au groupe de l’observé, le choix de l’observé, ainsi que la perspective adoptée par les observateurs. Ces derniers sont présentés et détaillés dans l’Annexe Q, et la table des modérateurs se trouve en Annexe R. Le simple fait d'observer une personne qui accepte d'accomplir un acte contreattitudinal suffit à faire naître de la DCV chez l'observateur (e.g., Monin et al., 2004 ; Norton et al. 2003 ; H1, H2 et H3 ; voir Tableau 24). Néanmoins, d'autres facteurs pouvant influencer l'émergence de la DCV ont été mis en évidence (voir Jaubert et al., 2020 pour une revue). En particulier, la DCV repose sur l'idée que l’appartenance commune à un groupe permettrait à l’individu d'expérimenter l'intersubjectivité avec les membres de son groupe, et ainsi propose de considérer la prototypicalité du groupe comme pouvant être un modérateur possible, renforçant cet effet (Hogg & Cooper, 2006; Monin et al., 2004; Norton et al., 2003). Plus spécifiquement, les études sur ce processus suggèrent que l’appartenance commune (de l’observateur et de l’observé) à un groupe renforcerait l’effet de DCV. Par conséquent, nous avons testé l’hypothèse relative à l'effet de l'appartenance à un groupe commun sur l’effet de la DCV (H4 ; voir Tableau 24). Parallèlement, pour la TDC, la réalisation d'un acte contre-attitudinal reste un facteur important dans l'éveil de la dissonance. En particulier, certains auteurs ont manipulé le choix de la personne observée dans l'exécution de son acte contre-attitudinal (Cooper, 1971; Davis & Jones, 1960; Linder et al., 1967; voir . - 73 -), et résultats semblent montrer que l'effet de la DCV devrait être accentué lorsque la personne observée effectue son acte dans des conditions de choix élevé par rapport à des conditions de choix faible. Nous formulons donc l’hypothèse relative à l'effet de cette variable (H5 ; voir Tableau 24). De plus, certains auteurs se sont intéressés aux mécanismes sous-jacents de la DCV, et plus particulièrement à la perspective adoptée par les observateurs lors d'une situation de DCV (Blackman et al., 2016; voir p. - 79 -). Ainsi, l'effet de DCV devrait être accentué en perspective égocentrique par rapport à une perspective autre (H6 ; voir Tableau 24; Blackman et al., 2016). En outre, certains auteurs se sont intéressés à l’effet de la DCV sur d’autres variables, telles que l’inconfort personnel (e.g., Blackman et al., 2016; Monin et al., 2004; Norton et al., 2003), la perception par l’observateur du changement d’opinion de l’observé (e.g., Barden et al., 2005, 2013; Kennedy, 2020; Monin et al., 2004), ou encore la perception par l’observateur de la persuasion et crédibilité de l’observé (e.g., Focella et al., 2016; Norton et al., 2003). Compte tenu de la littérature sur la DCV, nous ne pouvons pas nous attendre à un effet de la DCV sur ces variables. Enfin, les études sur la DCV ont utilisé un ensemble diversifié de mesures pour évaluer les effets de la DCV sur les sujets. Nous avons classé toutes les mesures identifiées dans les catégories suivantes : attitude ou changement d'attitude, inconfort personnel et vicariant de l'observateur, jugements d'hypocrisie, similarité avec le groupe et avec l'observé, perception par l'observateur de la force de persuasion et de la crédibilité de l'observé, et perception par l'observateur du changement d'opinion de l'observé. Notre catégorisation s'appuie principalement sur les questions originales que les auteurs ont utilisées pour é les effets de DCV. Un résumé des mesures des variables dépendantes incluses est fourni dans l’Annexe S. Méta-analyse - Résumé des hypothèses Hypothèses principales Hypothèses Principaux points de vue / théories dans la littérature Conclusion de la métaanalyse H1a : La présence de DCV (i.e., situation dans laquelle les sujets observent la réalisation d'un acte Non soutenue incohérent par une autre personne) provoquera une excitation inconfortable vicariante chez l'observateur, entraînant un inconfort vicariant négatif maximal, qu'il sera motivé à réduire, contrairement à l'absence de DCV H1b : La DCV n’a pas d’effet sur l’inconfort personnel négatif Soutenue H1c : La présence de DCV entraînera des jugements d'hypocrisie de la part de l'observateur, Soutenue contrairement à l'absence de DCV H1d : La présence de DCV augmentera la similarité avec le groupe de l'observateur, contrairement à Soutenue l'absence de DCV H1e : La présence de DCV augmentera la similarité de l'observateur avec l'observé, contrairement à Non soutenue l'absence de DCV H1f : La DCV n’a pas d’effet sur la perception par l'observateur du pouvoir de persuasion et de la Soutenue crédibilité de l'observateur H1g : La DCV n’a pas d’effet sur la perception par l'observateur du changement d'opinion de l'observé Soutenue Chapitre 2 – Partie empirique Hypothèses Principaux points de vue / théories dans la littérature H2 : La présence d'une soumission induite vicariante (i.e., situation dans laquelle les sujets observent la réalisation d'un acte incohérent par une autre personne au travers du paradigme soumission induite) augmentera l'attitude, ou provoquera un changement d'attitude32, dans le sens d'un soutien à la question contre-attitudinale, contrairement à l'absence de DCV H3 : La présence d'une hypocrisie induite vicariante (i.e., situation dans laquelle les sujets observent la réalisation d'un acte incohérent par une autre personne grâce au paradigme de l'hypocrisie induite) augmentera l'attitude, ou provoquera un changement d'attitude, dans le sens du soutien à la question normative, contrairement à l'absence de DCV Conclusion de la métaanalyse Soutenue pour les attitudes Non soutenue pour le changement d'attitude Soutenue pour les attitudes Non soutenue pour le changement d'attitude Hypothèses théoriques des modérateurs H4 - Appartenance au groupe de la personne observée : l'effet de DCV devrait être accentué lorsque la Partiellement soutenue personne observée appartient à l’endogroupe plutôt qu’à l’exogroupe H5 - Choix de la personne observée : l'effet de DCV devrait être accentué lorsque la personne observée Non soutenue effectue son acte dans des conditions de choix élevé par rapport à des conditions de choix faible H6 - Amorçage de la prise de perspective : l'effet de DCV devrait être accentué dans une perspective Non soutenue égocentrique par rapport à une perspective de l’autre Note. Chapitre 2 empirique 2.1.2.2. Modérateurs exploratoires L'examen de la DCV, tant du point de vue méthodologique que théorique, a révélé 6 variables modératrices potentielles. Nous avons donc testé l'effet modérateur du type de paradigme, des thématiques, d'appartenance au groupe, ainsi que du type de sujets, type d'études, et du pays. Les modérateurs sont détaillés dans le Tableau 25. Tableau 25 Méta-analyse - Définition et mesures des modérateurs exploratoires Groupe mesure de Type paradigme Mesures inclues de Variable catégorielle : soumission induite, hypocrisie induite et libre choix Type Variable d’appartenance catégorielle : nous avons identifié 7 au groupe appartenances différentes à un groupe Thématiques Variable catégorielle : nous avons identifié 11 sujets différents Type de sujets Variable catégorique : étudiant versus non-étudiant Type d’études Pays Définition La DCV a été étudiée à travers différents paradigmes (soumission induite ; hypocrisie induite ; choix libre). Nous allons explorer la possibilité d'un effet du paradigme sur l’effet de DCV La DCV a été étudiée à travers différentes appartenances de groupe. Nous chercherons à savoir si l'effet de la DCV est plus fort ou plus faible selon l'appartenance à un groupe utilisée dans les scénarios La DCV a été étudiée au travers de différentes thématiques. Nous chercherons à savoir si l'effet de DCV est plus fort ou plus faible selon la thématique utilisée dans les scénarios Selon Henrich et al. (2010), les échantillons de personnes provenant de sociétés occidentales, éduquées, industrialisées, riches et démocratiques (WEIRD) constituent « la population la moins représentative que l'on puisse trouver pour faire des généralisations sur les humains » (p. 61). En outre, Sears (1986) décrit les étudiants participants comme « une base de données très étroite » (p. 527). Nous avons voulu tester l'impact du type de sujets sur l'effet de DCV Variable Certaines études suggèrent que la participation en ligne catégorique : n'est pas plus préoccupante que celle menée en études en ligne et laboratoire, les études en ligne nécessitent « des garanties en laboratoire et des contrôles de manipulation judicieux » (Casler et al., 2013, p. 2156). Nous avons voulu tester l'impact du type d'études en comparant les études en ligne et en laboratoire Variable Certaines études se sont concentrées sur l'éventuelle catégorique : spécificité culturelle de la DCV. En référence à la distinction classique décrite dans les travaux d’Hofstede (1980) entre les cultures individualistes et collectivistes, États-Unis Miller (1984) a testé l'hypothèse selon laquelle la et Australie réduction de la DC pourrait être un processus culturellement déterminé, et plus particulièrement présent dans les cultures individualistes (e.g., US, l'Europe occidentale ou l'Australie), plutôt qu'un processus universel. Nous avons donc voulu tester l'impact du pays sur l'effet de la DCV 2.2. Méthode 2.2.1. Recherche de la littérature Plusieurs bases de données ont été utilisées pour trouver des articles pertinents pour notre sujet : PsychINFO, PsychArticles, ProQuest Dissertations & Theses Global, Web of Science et Google Scholar (voir Annexe T ; Gehanno et al., 2013; Martín-Martín et al., 2018; Walters, 2007). Nous avons identifié un échantillon d'études sur la base de différentes étapes illustrées dans la Figure 32. Nous avons ensuite réalisé une recherche booléenne au travers de mots clés tels que dissonance vicariante, dissonance cognitive, identité sociale (voir l’Annexe T pour les termes exacts utilisés), nous ayant permis d’identifier la littérature pertinente, les sujets connexes et travaux dans ce domaine. La recherche booléenne peut être trouvée en supplément et dans le fichier Excel dans l'onglet « Search terms » (voir OSF). - 197 - Chapitre 2 – Partie empirique Figure 32 Méta-analyse - Diagramme de flux de méta-analyse adapté sur la base de Moreau et Gamble (2020) et (Yeung et al., 2020). - 198 - Chapitre 2 – Partie empirique Ce processus a été suivi d'un examen des références bibliographiques des articles trouvés, nous permettant de repérer d'éventuels autres articles qui n'avaient pas été détectés par la procédure de recherche booléenne. En outre, nous avons recherché les options « related articles » et « cited by » de Google Scholar sur la base des articles trouvés. Toutes les recherches dans les bases de données ont donné 288 résultats. La dernière date de recherche était le 26/05/2021. Nous avons contacté les auteurs ayant publié sur le sujet, utilisé ResearchGate, Twitter et les listes de diffusion pour demander des données publiées et non publiées (voir Annexe U). Il s'agit d'une partie essentielle d'un processus de MA, car elle peut réduire l'effet du biais de publication et peut aider à prévenir les tailles d'effet surestimées (e.g., Feltz & May, 2017). Nous avons reçu un article précédemment non trouvé dans notre recherche. Nous avons documenté ce processus et les résultats pertinents dans l'onglet « Contacting the authors » au sein de la feuille de données (voir OSF). Après ajustement des doublons, un total de 99 articles publiés, articles non publiés et ensemble de données ont été initialement identifiés et téléchargés à partir de la recherche primaire dans la base de données. Tous les articles inclus sont énumérés dans le Tableau 26. Méta-analyse - É tudes inclues Étude k Pays 1 Barden et al. (2005) 2 USA 2 Barden et al. (2013) 2 USA 3 Blackman et al. (2016) 3 USA 4 5 6 7 Focella et al. (2016) Gaffney et al. (2012) Herak et al. (2018) Jaubert et al. (2020a) 3 1 1 1 Australie USA France France Population échantillon Étudiante Étudiante / Population générale Étudiante / Population générale Étudiante Étudiante Étudiante Étudiante Étudiante Statut publication Oui Oui Oui Type de VD HI Jugements hypocrites HI Jugements hypocrites SI – LC Attitude Attitude Attitude Chaleur/compétence Changement d’attitude Changement d’intention 8 Jaubert et al. (2020b) 1 France Non HI comportementale 9 Kennedy (2020) 1 USA Population générale Oui SI Attitude 10 Monin et al. (2004) 2 USA Étudiante Oui SI Changement d’attitude 11 Norton et al. (2003) 3 USA Étudiante Oui SI Changement d’attitude 12 Voisin et al. (2014) 3 USA Étudiante Non HI Inconfort vicariant 13 Voisin et al. (2016) 1 France Population générale Non HI Attitude Note. k = nombre d’études. HI = Hypocrisie Induite. SI = Soumission Induite. LC = Libre Choix. VD = Variable dépendante. DCV = Dissonance Cognitive Vicariante. - 200 - Oui Oui Oui Non Type de DCV HI HI Imprécis SI Chapitre 2 – Partie empirique 2.2.2. Critères d’inclusion et d’exclusion La méta-analyse a pour but d'intégrer des études similaires ou comparables (Higgins et al., 2003). Comme l'objectif de notre méta-analyse est de déterminer l'efficacité des interventions de DCV et de mettre en évidence les conditions dans lesquelles elles fonctionnent le mieux, nous avons établi des critères d'inclusion et d'exclusion stricts. Premièrement, nous n'avons inclus que les articles faisant référence à la DCV : nous avons exclu les articles traitant d'une forme autre que la DCV, notamment la dissonance cognitive personnelle, l'effet mouton noir, et les articles qui ne comportaient pas de recherche empirique (e.g., revues de littérature, dissertation, etc.) ou sans groupe contrôle. Deuxièmement, nous nous sommes concentrés sur les expérimentations et études incluant des informations statistiques adéquates pour calculer une taille d'effet. En cas de données statistiques manquantes, nous avons d'abord tenté de contacter les auteurs. Si nous n'avons pas pu obtenir les statistiques requises, nous avons soit imputé les données, soit exclu les articles (voir onglet « Article list+Inc-Exc Criterion », OSF). Enfin, nous avons exclu les articles qui n'étaient pas rédigés en anglais ou en français, à moins que nous n'ayons obtenu toutes les données et informations nécessaires auprès des auteurs. Les articles exclus sont détaillés en Annexe V. Nous avons sauvegardé toutes les études préliminaires dans un dossier, accessibles à partir du lien du projet OSF. Nous avons scanné tous les articles pour déterminer si nous devions les inclure ou non dans la fiche de codage principale. 2.2.3. Codage Nous avons élaboré une feuille de codage des données dans le dossier OSF afin de conserver une trace claire de nos décisions à différentes étapes et d'améliorer la reproductibilité (Arslan, 2019; Obels et al., 2020; Siddaway et al., 2019). Pour le codage des données, Sara Jaubert a réalisé le processus de codage et Adrien Fillon a vérifié et ajusté le codage si nécessaire. Chapitre 2 – Partie empirique 2.2.4. Analyses Nous avons effectué notre analyse avec R (voir OSF). Étant donné l'éventail des différents types d'études et de plans, nous nous attendions à ce que l'hétérogénéité de l'échantillon soit relativement élevée. Nous avons donc utilisé un Modèle à Effets Aléatoires. Nous avons converti toutes les tailles d'effet en g de Hedge33 pour permettre une comparaison. Nous avons également regroupé les conditions séparées sur la base des modérateurs dans les études originales pour permettre une comparaison de la DCV. Pour réduire le biais associé aux tailles d'effets dépendantes, nous avons utilisé un modèle en trois niveaux, permettant de comparer l'effet trouvé au niveau du participant, de l'expérimentation, et de l'étude. Une analyse modératrice a été réalisée au cas par cas et également en utilisant le package metaforest34 (van Lissa, 2017). Nous avons utilisé des Forest plots pour présenter la taille d'effet de chaque étude. Nous avons exposé la taille d'effet avec les intervalles de confiance à 95% et la taille de l'échantillon de chaque étude. L'hétérogénéité statistique a été déterminée à l'aide du test du Tau2 et quantifiée au travers du I2, qui estime la proportion qui indiquant la part de la variance associée à l'effet réel (trouvé avec la MA) sur la variance liée à l'erreur d'échantillonnage (Higgins et al., 2003). Ainsi, un I2 faible signifie que la variance est plutôt due à une erreur d'échantillonnage, tandis qu'un I2 fort signifie que la variance est associée au vrai effet. Cette variation peut alors provenir de modérateurs, de biais de publication, de la qualité de la mesure ou de la chance. Nous avons ainsi obtenu une estimation ponctuelle, des intervalles de confiance et une valeur p, ainsi que des statistiques sur l'hétérogénéité, évaluées à l'aide de la statistique Q et de la statistique I2. 33 Le g de Hedge est une mesure de taille d'effet qui permet de quantifier une différence entre un groupe expérimental et un groupe contrôle. Contrairement au d de Cohen, le g de Hedge prend en compte la taille de l'échantillon ce qui le rend plus précis pour des échantillons faibles (n<20 ; Hedges, 1981). 34 MetaForest est une approche exploratoire basée sur l'apprentissage automatique pour identifier les modérateurs pertinents dans les méta-analyses. Il est une adaptation de l'algorithme des forêts aléatoires pour la méta-analyse : un échantillonnage bootstrap pondéré est utilisé pour s'assurer que les études les plus précises exercent une plus grande influence lors de la phase de construction du modèle. Pour cette méta-analyse, nous avons créé un modèle à effet fixe dans lequel études dont la variance d'échantillonnage est plus faible ont une plus grande probabilité d'être sélectionnées. S'il y avait effectivement une hétérogénéité importante, nous avons recherché et exploré les modérateurs potentiels. Nous avons effectué des analyses de biais de publication, incluant des Funnel plots et des tests statistiques de biais de publication (statut de publication en tant que modérateur, comparaison des effets pour les seuls résultats publiés) et d'asymétrie (méthode Trim and Fill, test de Rang, test de corrélation d’Egger). Nous avons également effectué des tests centrés sur la valeur-p (tests p-uniform et p-curve), ainsi que des tests de régressions (méthode PET-PEESE35 et 3psm). 2.2.5. Analyse de puissance A priori Nous nous attendions à ce que la taille d'effet de la DCV soit comparable à celle trouvée dans la méta-analyse de Priolo et al. (2019) : d = 0.63, IC 95% [0.51, 0.75]. En effet, une conversion de la taille d'effet à partir de l'effet de la dissonance sur le comportement (r =.30 avec n = 1127) conduit à cette taille d'effet. Dans notre analyse de puissance, nous nous attendions à inclure au moins 20 études, que la taille moyenne de l'échantillon par étude soit d'au moins 60 (30 par condition), et que l'hétérogénéité soit élevée. Nous avons effectué un calcul de puissance a priori avec le package dmetar (Harrer et al., 2019). Nous avons estimé que la puissance de la méta-analyse était de 100% (voir Annexe W). 35 PET pour “precision-effect test” et PEESE pour “precision-effect estimate with standard errors” 2.3. Résultats 2.3.1. Effet global de la dissonance cognitive vicariante 2.3.1.1. Modèle à effets aléatoires à deux niveaux Nous avons dans un premier temps examiné l'effet global de la DCV (k = 104) sur les attitudes ou changement d'attitude, inconfort vicariant de l'observateur, jugements d'hypocrisie, et similarité avec le groupe et avec l'observé (i.e., VDs pour lesquelles nous attendions un effet de la DCV). Les résultats varient entre un effet faible et modéré de la DCV, avec un g = 0.41 (p <.001, IC 95% [0.27, 0.54] ; voir Tableau 27 et Figure 33), apportant un soutien pour l’hypothèse d’un effet de la DCV sur : • • Le changement d’attitude L’inconfort vicariant Les jugements hypocrites La similarité avec le groupe et avec l’observé plus élevée Tableau 27 Méta-analyse - Modèle à effets aléatoires à deux niveaux g de Hedge ET p IC 95% DCV - Attitude, jugements 0.41 0.07 <.001 [0.27, 0.54] hypocrites, inconfort, etc. Note. ET = Écart-type. IC = Intervalle de confiance à 95%. k = nombre de tailles d’effet. - 204 - k 104 Chapitre 2 – Partie empirique Figure 33 Méta-analyse - Cattepillar plot du modèle multivarié deux niveaux Nous avons trouvé une hétérogénéité considérable dans les tailles d'effet observées (Q (103) = 673.85 ; p <.001 ; T2 = 0.41 ; T = 0.64 ; I2 = 88.21%). La variation des tailles d'effet était plus importante que ce que l'on pourrait attendre de l'erreur d'échantillonnage seule, ce qui indique que les variables modératrices pourraient être responsables de la variance des effets. La puissance statistique (basée sur la taille de l'effet, la taille moyenne de l'échantillon, le nombre de tailles d'effet et l'hétérogénéité) est de 33.1% (voir Figure 34).
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2002STR13159_1
French-Science-Pile
Open Science
Various open science
2,002
Caractère bifonctionnel particulier des catalyseurs Pt, Ir, ou Pd supportés sur zircone sulfatée dans les réactions de reformage d'alcanes
None
French
Spoken
7,104
12,902
THESE présentée pour obtenir le grade de DOCTEUR Discipline : CHIMIE PHYSIQUE PHYSIQUE par Umit Bilge DEMIRCI CARACTERE BIFONCTIONNEL PARTICULIER DES CATALYSEURS Pt, Ir, OU Pd SUPPORTES SU R Z IR C O N E SULFATEE DANS LES REACTIONS DE REFORMAGE D’ALCANES Présentée et Soutenue publiquement le 2525-0606-2002 MEMBRES DU JURY Rapporteur Interne : M. Jean Jean SOMMER Rapporteur Externe : Mme Christine TRAVERS Rapporteur Externe : M. JeanJean-Pierre GILSON Examinateur : M. Gilbert MAIRE Membre invit é : M. Georges HADZIIOANNOU Directeur de Thèse : M. François GARIN LABORATOIRE DES MATERIAUX SURFACES ET PROCEDES POUR LA CATALYSE (LMSPC) UMR7515 CNRS, ECPM, UNIVERSITE LOUIS PASTEUR – 25 rue Becquerel, F-67083 Strasbourg Cedex Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 -2- Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 Babama A mon Père Anneme A ma Mère Kardeslerime A mon Frère et a ma soeur Esime A mon épouse -3- Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 -4- Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 AVANT-PROPROS REMERCIEMENTS Mes trois années de Doctorat se sont déroulées au Laboratoire des Matériaux, Surfaces, et Procédés pour la Catalyse (LMSPC), anciennement Laboratoire d’Etudes de la Réactivité Catalytique des Surfaces et Interfaces (LERCSI) sous la direction du Docteur François GARIN. Je profite de ces pages « libres et personnelles » pour lui exprimer ma profonde gratitude, d’une part pour m’avoir accueilli dans son laboratoire, et d’autre part, pour m’avoir permis de travailler sur un sujet des plus intéress ant. Je tiens aussi à le remercier pour sa disponibilité, ses suggestions, ses conseils et pour nos nombreuses discussions qui nous ont permis de mener à bien nos recherches. Merci enfin pour la confiance et la liberté d’initiative. Mes remerciements vont également à Madame Christine TRAVERS (ENSPM-IFP, Rueil-Malmaison), Monsieur Jean SOMMER (Université Louis Pasteur, Strasbourg), Monsieur Jean-Pierre GILSON (Université de Caen, Caen), Monsieur Gilbert MAIRE (Université Louis Pasteur, Strasbourg) et Monsieur Georges HADZIIOANNOU (Université Louis Pasteur, ECPM, Strasbourg) pour l’honneur qu’ils me font de juger ce travail. Je tiens à remercier tous ceux qui ont collaboré à l’accomplissement de ce travail, en particulier à Mme Paule GIRARD, pour les synthèses et analyses des alcanes marqués, Mme Suzanne LIBS, pour l’installation du chromatographe, M. Pierre BERNHARDT, pour les installations informatiques et électroniques, M. Jean-Louis SCHMITT, pour les modifications techniques du bâti pression atmosphérique, M. Michel WOLF, pour le montage du bâti moyenne pression, M. Georges PONCELET, pour ses catalyseurs qu’il nous a confiés, et, M. Alain Goeppert, pour m’avoir encadré lors des réactions de dosage des sites acides. Un grand merci à tous mes collègues de laboratoire (présents et passés) qui ont contribué à créer une atmosphère conviviale, détendue et joviale, et plus particulièrement, à Frédéric HOERNEL et à François DI GREGORIO. Encore merci pour tout et à tous! -5- Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 -6- Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 TABLE DES MATIERES -7- Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 -8- Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 Introduction 13 Etu de Bibliographique 1. La zircone sulfatée 1.1. Préparation de la zircone sulfatée 1.2. Structure cristalline et propriétés texturales 1.3. Nature des sites actifs 1.3.1. Structure des sites actifs 1.3.2. Type(s) d’acidité des sites actifs 1.3.3. Influence de la procédure de sulfatation 1.4. Acidité et superacidité 1.5. Activité catalytique et désactivation de ZrO2-SO421.6. ZrO2-SO42modifiée 1.6.1. Modification par le Fer et le Manganèse 1.6.2. Modification par le Platine 2. L’isomérisation et le craquage 2.1. La catalyse métallique 2.2. La catalyse acide 2.2.1. La catalyse acide sur des sites de Brønsted 2.2.2. La catalyse acide sur des sites de Lewis 2.2.3. Isomérisation et craquage 2.3. La catalyse bifonctionnelle 2.3.1. Les catalyseurs bifonctionnels à base de zéolites 2.3.2. Le catalyseur Pt/ZrO2-SO422.4. Mécanismes d’isomérisation et de craquage sur ZrO2-SO42et Pt/ZrO2-SO422.4.1. Isomérisation du n-butane 2.4.2. Isomérisation et craquage d’autres n-alcanes 3. Conclusion 21 23 23 24 25 25 31 33 33 35 36 36 37 41 41 42 42 42 43 43 43 46 46 47 48 49 Partie Expérimentale 1. Préparation des zircones sulfatées 1.1. Préparation de la zircone sulfatée 1.2. Préparation de la zircone sulfatée modifiée 2. Caractérisation des catalyseurs 2.1. Analyse chimique 2.2. Physisorption d’azote à –196°C (Méthode BET) 2.3. Microscopie électronique à transmission à haute résolution (METHR) 2.4. Dosage quantitatif par RMN des sites de Brønsted 2.5. Résultats 3. Les tests catalytiques 3.1. Montage des bâtis catalytiques 3.1.1. Bâti pression atmosphérique 3.1.2. Bâti moyenne pression 3.2. Modes opératoires des tests catalytiques 3.2.1. Prétraitement des catalyseurs 3.2.2. Test catalytique à pression atmosphérique 3.2.3. Test catalytique à basse pression 3.2.4. Test catalytique à moyenne pression 4. Etudes du vieillissement de Pt/ZrO2-SO42- 55 57 57 58 59 59 60 60 60 62 64 64 64 65 67 67 68 69 69 70 -9- Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 4.1. Mode opératoire 4.2. Résultats 5. Exploitation des résultats 5.1. Analyse qualitative des produits de réaction 5.2. Analyse quantitative des produits de réaction 5.3. Calculs cinétiques 5.3.1. Calcul de la vitesse de réaction globale 5.3.2. Détermination des énergies apparentes d’activation 5.3.4. 4.2. Effet négatif de l’hydrogène à basse pression 4.3. Effet positif de l’hydrogène à haute pression 4.3.1. Le catalyseur Pt/ZrO2-SO424.3.2. Les catalyseurs Ir/ZrO2-SO42et Pd/ZrO2-SO424.4. Ordre de réaction par rapport à l’heptane 4.5. Energie apparente d’activation 5. Conclusion 121 122 123 127 128 130 130 131 131 133 Chapitre 3 LES CATALYSEURS BIMETALLIQUES 1. Introduction 2. Catalyseurs bimétalliques : Bibliographie 2.1. La théorie des bandes rigides 2.2. Effet géométrique ou « Effet d’ensemble » 2.3. Effet électronique ou « Effet ligand » 2.4. Ségrégation superficielle 3. Pt-Ir, Pt-Pd, et Pt-Sn sur Zircone Sulfatée 3.1. Résultats 3.1.1. Adduit métal-proton 3.1.2. Pt-Ir/ZrO2-SO423.1.3. Pt-Pd/ZrO2-SO423.1.4. Pt-Sn/ZrO2-SO423.2. Discussion 3.2.1. Pt-Ir/ZrO2-SO423.2.2. Pt-Pd/ZrO2-SO423.2.3. Pt-Sn/ZrO2-SO423.2.4. Influence du support 4. Conclusion 137 139 139 140 141 141 142 143 143 143 145 148 150 153 154 157 159 161 163 Chapitre 4 MECANISMES D’ISOMERISATION ET DE CRAQUAGE 1. Introduction 2. Isomérisation et Craquage : Bibliographie 2.1. Les différents types d’isomérisation 2.2. Les différents types de craquage 2.3. L’apport du traçage isotopique au carbone 13 3. Isomérisation et Craquage sur Pt/ZrO2-SO423.1. Résultats 3.1.1. Conversion du n-heptane 3.1.2. Conversion du n-octane 3.1.3. Conversion du n-nonane 3.2. Discussion 3.2.1. La réaction d’isomérisation 3.2.2. La réaction de craquage 3.2.2.1. Le craquage du n-heptane 3.2.2.2. Remarque : cas du -hexane 3.2.2.3. Le craquage du n-octane 3.2.2.4. Le craquage du n-nonane 167 169 170 170 171 172 173 173 173 174 176 177 177 177 178 180 180 181 11 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 4. Traçage isotopique au carbone 13 4.1. Isomérisation du 3-méthylpentane-3-13C sur des catalyseurs ZrO2-SO42modifiés par de l’Al et du Ga 4.1.1. Isomérisation du 3-méthylpentane-3-13C sur les catalyseurs SAZ et SGZ, sans platine 4.1.2. Isomérisation du 3-méthylpentane-3-13C sur les catalyseurs Pt/SAZ et Pt/SGZ 4.1.3. Estimation des proportions relatives des migrations de méthyle et d’éthyle pour l’ensemble des catalyseurs étudiés 4.1.4. Proposition de mécanismes 4.1.5. Corrélation des résultats de l’isomérisation du 3-méthylpentane3-13C sur SAZ et SGZ avec les caractéristiques physiques 4.1.6. Corrélation des résultats de l’isomérisation du 3-méthylpentane -3-13C sur Pt/SAZ et Pt/SGZ avec les caractéristiques physiques 4.2. Isomérisation du 3-méthylpentane-3-13C sur le catalyseur Pt/ZrO2-SO425. Conclusion 182 183 184 187 187 189 194 195 196 198 Perspectives 1. Introduction 2. Le catalyseur Au/ZrO2-SO423. Le catalyseur Pt/WO3-ZrO2 4. Dégradation du dotriacont ane 4.1. Dépolymérisation du polyéthylène : Bibliographie 4.1.1. Les polymères 4.1.2. La dépolymérisation du polyéthylène 4.1.3. La dégradation du polyéthylène 4.2. Dégradation du nC32 sur Pt/ZrO2-SO424.2.1. Ces nouvelles réglementations ont particulièrement touché le secteur du raffinage pétrolier. En effet, les nouveaux textes prévoient une diminution drastique des teneurs en composés aromatiques dans la composition des carburants [1]. Ces produits chimiques sont des produits cancérigènes, comme cela a été clairement établi dans le cas du benzène. Aussi, l’utilisation du plomb dans les essences est désormais prohibée. Ce métal, utilisé comme additif de carburant sous forme de plomb tétraéthyle pour optimiser l’indice d’octane, est un polluant. Les présences de composés aromatiques et de plomb dans la composition des carburants permettent d’obtenir une essence à haut indice d’octane. L’indice d’octane exprime la résistance d’un carburant à l’auto-inflammation (ou cliquetis). Il est défini relativement à deux hydrocarbures purs choisis comme références : le 2,2,4-triméthylpentane ou isooctane, très résistant à l’auto-inflammation, auquel l’indice 100 est arbitrairement attribué ; et le nheptane, peu résistant, qui reçoit l’indice 0. De façon qualitative, les structures hydrocarbonées les plus favorables, mis à part les composés aromatiques, sont les paraffines et les oléfines fortement ramifiées. Par contre, les paraffines et oléfines à chaînes droites et longues (plus de 4 atomes de carbone) se montrent très propices au cliquetis. Un carburant présente alors un indice d’octane « X » s’il se comporte, dans des conditions expérimentales bien définies, comme un mélange de « X% » en volume d’isooctane et de « (100-X)% » de nheptane [2]. L’isomérisation d’hydrocarbures à chaîne carbonée linéaire et/ou faiblement branchée, qui sont des composés à faible indice d’octane, permet d’obtenir des hydrocarbures multibranchés, à indice d’octane beaucoup plus élevé. C’est pourquoi, le raffinage pétrochimique s’intéresse à la valorisation, par isomérisation, de la coupe paraffinique C5-C6 en essence à haut indice d’octane. Par ce procédé, l’indice d’octane serait amélioré de 30 à 40 unités, sans l’introduction d’aromatiques dans l’essence [3]. 15 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 De plus, ces études ont permis le développement des catalyseurs solides acides. Ces derniers sont utilisés comme catalyseurs dans de nombreuses réactions de pétrochimie et de chimie fine. Leur importance est démontrée par Tanabe et Hölderich [4], qui présentent une revue des différents procédés industriels les utilisant. Parmi ces solides à caractère acide se distinguent les oxydes métalliques dopés par certains anions [5], et plus particulièrement l’oxyde de zirconium sulfaté, ou zircone sulfatée, ZrO2-SO42[5, 6]. Ce catalyseur, ainsi que ses formes modifiées, suscitent un grand intérêt. Ces catalyseurs acides sont utilisés dans de nombreux procédés industriels : alkylation, isomérisation, craquage, acylation, oligomérisation, estérification, éthérification, nitration, etc [7]. La zircone sulfatée est un solide acide, dont l’acidité est si forte que le terme « superacide » est parfois utilisé pour la décrire. Hino et coll. [8, 9], s’appuyant sur deux arguments, sont les premiers à avoir qualifié la zircone sulfatée de solide « superacide ». D’une part, selon une mesure de l’acidité, qui s’est faite en deux temps, la zircone sulfatée s’est révélée avoir une acidité plus forte que celle de l’acide sulfurique pur. D’autre part, ce solide est capable d’isomériser le n-butane à température ambiante, réaction généralement catalysée par des liquides superacides [10]. A la suite de ces travaux, un grand nombre de chercheurs a été intéressé par les propriétés acides de ce matériau pour l’isomérisation sélective d’hydrocarbures légers à basses températures. Toutefois la qualité « superacide » de ce catalyseur est loin de faire l’unanimité. La zircone sulfatée est capable d’isomériser des paraffines légères, mais elle se désactive rapidement par empoisonnement des sites actifs. Néanmoins l’addition de métal tel que le platine [11] augmente son activité et sa stabilité pour l’isomérisation d’alcanes. Cette fonction métallique, additionnée à la fonction acide de la zircone sulfatée, donne au catalyseur un caractère bifonctionnel. Les catalyseurs bifonctionnels sont très utilisés et étudiés pour les réactions d’isomérisation des hydrocarbures. La majorité des publications sur la zircone sulfatée modifiée concerne l’isomérisation du n-butane en isobutane. Toutefois quelques études sur des alcanes plus lourds comme l’heptane ont été menées. L’isomérisation sur ce catalyseur se déroule suivant un mécanisme bifonctionnel selon le modèle proposé par Mills et coll. [12]. Ce mécanisme est fondé sur les présences des fonctions métallique et acide. La fonction métallique a pour rôle la déshydrogénation et l’hydrogénation de l’alcane, alors que la 16 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 fonction acide est la fonction principale de l’isomérisation. Selon ce mécanisme, l’isomérisation de l’alcane débute par l’adsorption dissociative du réactif sur le site métallique, où il est déshydrogéné en oléfine. Celle-ci migre ensuite vers le site acide, où elle est adsorbée, protonée en ion carbénium secondaire, et isomérisée en ion carbénium tertiaire. Puis, cet ion est décomposé en un proton de surface et en une oléfine branchée. Cette nouvelle oléfine migre alors du site acide vers le site métallique, où elle y est hydrogénée. Un alcane branché, isomère réactif, est alors formé. Ce mécanisme bifonctionnel, communément nommé mécanisme bifonctionnel « idéal », est, d’une manière générale, accepté pour tous les catalyseurs bifonctionnels. Néanmoins, certains chercheurs sont perplexes quant à la validité de ce mécanisme pour la zircone sulfatée modifiée par un métal. En fait, trois groupes de pensée peuvent se distinguer. Le premier groupe, composé des partisans du mécanisme bifonctionnel « idéal », admet ce mécanisme réactionnel dans les réactions d’isomérisation d’alcanes. Ensuite, le second groupe rassemble des chercheurs qui apportent quelques modifications à ce mécanisme. Ces changements sont relativement importants, toutefois ils n’affectent pas le principe général du processus réactionnel. Enfin, le troisième et dernier groupe associe des chercheurs qui ne considèrent pas que la zircone sulfatée modifiée par un métal se comporte comme un catalyseur bifonctionnel. D’une manière générale, tout ce qui concerne la zircone sulfatée et les zircones sulfatées modifiées par des métaux de transition sont des sujets sensibles. Les débats se portent aussi bien sur la structure et la nature des sites actifs, sur le rôle du métal, sur les propriétés physico-chimiques du catalyseur, que sur les mécanismes réactionnels. Jusqu’à présent, comme nous l’avons souligné ci-dessus, plusieurs approches ont été proposées pour expliquer la catalyse bifonctionnelle. Le but de notre travail sera double. Nous essaierons, dans un premier temps, de préciser la nature des intermédiaires réactionnels en déterminant toutes les données cinétiques caractérisant chaque processus élémentaire. Puis, dans un second temps, nous utiliserons différents métaux à la place du platine, des systèmes bimétalliques et des hydrocarbures marqués au carbone 13 pour tenter de dégager, parmi les divers mécanismes réactionnels, une tendance générale qui puisse se corréler à ce qui a lieu sur des systèmes catalytiques bien définis. 17 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 Ce mé moire se divise en quatre chapitres, qui sont précédés d’une Introduction, d’une Etude bibliographique et d’une Partie expérimentale, et qui sont suivis d’une section Perspectives et d’une Conclusion générale : Introduction Etude Bibliographique Partie Expérimentale Chapitre 1 Présence d’un site adduit métal-proton Chapitre 2 Etude cinétique : Effet de la pression d’hydrogène Chapitre 3 Les catalyseurs bimétalliques Chapitre 4 Mécanismes d’isomérisation et de craquage Perspectives Conclusion générale Nous allons maintenant développer et discuter la partie Etude Bibliographique . 18 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 REFERENCES 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. Maxwell I.E., and Naber J.E., Catal. Lett. 12 (1995) 105. Wauquier J.-P. , in : Le Raffinage du Pétrole, 1. Pétrole Brut, Produits Pétroliers, Schémas de Fabrication (Ed. Technip, Paris, 1994). Belloum M., Travers C., and Bournonville J.P., Rev. Inst. Fr. Pét. 46 (1991) 1. Tanabe K., and Hölderich W.F., Appl. Catal. A 181 (1999) 399. Yamaguchi T., Appl. Catal. 61 (1990) 1. Arata K., Adv. Catal. 37 (1990) 165. Yadav G.D., and Nair J.J., Micropor. Mesopor. Mater. 33 (1999) 1. Hino M., Koyabashi S., and Arata K., J. Am. Chem. Soc. 101 (1979) 6439. Hino M., and Arata K., J. Am. Chem. Soc. (1980) 851. Olah G.A., Shen J., and Schlosberg R.H., J. Am. Chem. Soc. 95 (1973) 4957. Hino M., and Arata K., Catal. Lett. (1995) 25. Mills G.A., Heinemann H., Milliken T.H., and Oblad A.G., Ind. Eng. Chem. 45 (1953) 134. 19 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 20 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 ETUDE BIBLIOGRAPHIQUE 21 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 22 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 1. LA ZIRCONE SULFATEE Z rO2-SO42Si la catalyse hétérogène se trouve à la convergence de diverses disciplines comme la spectroscopie ou la cinétique, il va de soi qu’il faut tout d’abord préparer le catalyseur et cette chimie préparative est très importante. 1.1. PREPARATION DE LA ZIRCONE SULFATEE La grande majorité des travaux sur la zircone sulfatée (ZrO2-SO42-) utilise une méthode de préparation similaire à celle initialement proposée par Hino et coll. []. Celle-ci se déroule en deux étapes : la synthèse et la sulfatation de l’hydroxyde de zirconium. L’hydroxyde de zirconium peut être obtenu selon deux voies de synthèse. La première consiste en la précipitation d’une solution aqueuse de sel de zirconium (ZrOCl2•8H2O, ZrCl4, etc) par l’addition d’une solution concentrée d’hydroxyde d’ammonium (NH4OH). La seconde utilise une méthode sol-gel : le précurseur moléculaire, un alkoxyde de zirconium, le plus souvent le n-propoxyde de zirconium, en solution alcoolique, est hydroxylé par hydrolyse. L’hydroxyde de zirconium séché est ensuite sulfaté. Les deux voies de sulfatation les plus fréquentes sont l’immersion de l’hydroxyde de zirconium dans une solution diluée d’acide sulfurique (H2SO4), et l’imprégnation de l’hydroxyde de zirconium à partir d’une de sulfate d’ammonium ((NH4)2SO4). D’autres méthodes ont également été utilisées, comme l’imprégnation gazeuse avec des sulfures (H2S, SO2, CS2,...) [2]. Dans les années 1995, certaines publications ont rapporté une nouvelle procédure de préparation de la zircone sulfatée. Celle-ci utilise une méthode sol-gel, qui se déroule en une seule étape [3-9]. Elle consiste en une addition d’eau à une solution alcoolique d’alkoxyde de zirconium, l’acide sulfurique étant introduit soit à la solution d’alkoxyde [3-9], soit à l’eau d’hydrolyse [8, 9]. Après la gélification et la condensation du précurseur, un séchage supercritique mène à la formation d’un aérogel [3-8], alors qu’un séchage par simple chauffage sous pression atmosphérique conduit à un xérogel [8, 9]. Enfin, une calcination permet l’obtention de la zircone sulfatée. 23 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 La méthode de préparation de la zircone sulfatée est très importante. Elle conditionne très significativement ses propriétés acides et catalytiques. Les facteurs principaux qui affectent la performance du catalyseur sont, entre autres, le pH de la solution pendant la précipitation sol-gel, la concentration des solutions utilisées, la procédure de sulfatation, la quantité de sulfate, le séchage et la température de calcination [3, 10-13]. 1.2. STRUCTURE CRISTALLINE ET PROPRIETES TEXTURALES L’oxyde de zirconium présente trois différentes formes cristallines : une phase monoclinique, thermodynamiquement stable à des températures de calcination inférieures à 1100°C ; une structure quadratique, stable entre 1100° et 1900°C ; et une phase cubique, stable au dessus de 1900°C [14]. Par ailleurs, les formes quadratique et cubique peuvent être présentes avec des structures métastables à des températures plus basses [15]. La zircone sulfatée a les mêmes structures cristallines. Ce il est reporté que la présence de sulfates retarde la cristallisation de l’oxyde de zirconium [2, 5, 8-10, 13, 16-21]. Arata et coll. [10], par des analyses de diffraction aux rayons X (DRX), ont observé que la zircone sulfatée présente un degré de cristallisation plus faible que l’oxyde de zirconium. La température de cristallisation de la zircone sulfatée est supérieure de 150°C à celle de l’oxyde de zirconium pur. La zircone sulfatée cristallise alors en une structure quadratique. Ce retard de cristallisation a également été observé en analyse thermique différentielle (ATD) [20, 21]. La présence des sulfates permet, par ailleurs, la stabilisation de la surface spécifique de la zircone sulfatée lors des traitements thermiques [10]. Ces caractéristiques, observées sur la zircone sulfatée préparée selon la méthode classique, s’observent aussi sur la zircone sulfatée synthétisée par la méthode sol-gel. Figueras et coll. [8, 9] ont montré que la quantité de sulfates et le mode par lequel ceux-ci sont introduits dans le milieu d’hydrolyse ont une influence sur les propriétés texturales et structurales des zircones sulfatées préparées par la voie sol-gel : retard de la cristallisation en structure quadratique de l’oxyde de zirconium et élargissement des pics (reliés à la cristallisation en phase quadratique) avec l’accroissement de la quantité de soufre. 24 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 1.3. NATURE DES SITES ACTIFS Dans le but d’identifier la nature des sites actifs de la zircone sulfatée, de nombreuses études ont été menées. Malgré la diversité des techniques d’analyse (IR, DRX, TPR,...), une caractérisation physique complète de la zircone sulfatée semble difficile. En effet, la structure exacte des sites actifs, ainsi que la nature de leurs acidités (de type Lewis et/ou de type Brønsted) sont des sujets de discussions controversées. 1.3.1. Structure des sites actifs En étudiant la sulfatation d’oxydes métalliques, Yamaguchi [22] a proposé un schéma possible pour la formation des sites acides (Figure 1). Selon son hypothèse, quel que soit le précurseur de sulfatation, l’oxydation pendant le traitement thermique conduit à la formation de la structure (II). Cette structure serait essentielle pour la catalyse et elle se développerait sur les arêtes ou les coins des surfaces de l’oxyde métallique. O O (NH4)2SO4 + Oxyde métallique S 500°C O O M n H2O O M O M I Oxydation O O O M O M II O M S O O O Oxydation O MM O M M Oxydation O O O MM O M O MM + SO2 + SO3 + H2S Figure 1. Schéma possible pour la formation des sites acides, selon Yamaguchi [22] Par ailleurs , Chen et coll. [23] ont aussi proposé un mécanisme possible par lequel les sites acides se formeraient sur la surface de la zircone ZrO2. Ce mécanisme suggère que la formation des sites acides implique une réaction chimique en deux étapes entre les groupements hydroxyles de surface et les anions sulfates adsorbés. La première réaction chimique a lieu lors de l’imprégnation des sulfates et du séchage du solide : 25 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 Zrn(OH)4n + x H2SO4 ↔ Zrn(OH)4n-2x(SO4)x + 2x H2O Et, la seconde partie de la réaction correspond à la calcination du catalyseur à des températures supérieures à 400°C : Zrn(OH)4n-2x(SO4)x → ZrnO2n-x(SO4)x + (2n-x) H2O L’une des premières structures des sites actifs de la zircone sulfatée a été suggérée par Tanabe et coll. [24] (Figure 2). Les groupements sulfates induisent un effet attracteur d’électrons sur les atomes de zirconium voisins, liés aux SO42par des liaisons S–O–Zr. Cette induction électronique est à l’origine de la forte acidité de la zircone sulfatée. Dans la littérature, l’importance de cet effet inductif est quasi unanimement reconnue [10-13, 18, 21, 22, 24-45]. Ces sites de Lewis prédomineraient sur les surfaces calcinées à haute température et ètement déshydratées. Par contre, la présence d’eau transformerait ces sites acides de Lewis en sites acides de Brønsted dont les protons seraient très réactifs. O O O S O O δ S H H O + O H O H O O + δ Zr Zr Zr Zr O O Acide de Lewis Acide de Bronsted Figure 2. Structure du site actif sur des zircones sulfatées, proposée par Tanabe et coll [24] Site acide de Bronsted O H S H O O O O Zr Zr Site acide de Lewis O Figure 3. Structure proposée par Arata [10, 18, 25] et Hino [25] Arata [10, 18, 25] et Hino [25] ont proposé une structure similaire (Figure 3) à celle de Tanabe et coll. [24]. Ayant observé par analyse XPS, que la composition de la zircone sulfatée est ZrO2 et SO42-, ils ont étudié ce solide en spectroscopie infrarouge d’adsorption de 26 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 la pyridine. Le spectre IR de la zircone sulfatée hydratée montre une augmentation de la bande à 1540 cm-1 correspondant à l’ion pyridinium (adsorption de la pyridine sur un site acide de Brønsted H+) et une diminution de la bande à 1440 cm-1 correspondant à la pyridine liée coordinativement (adsorption de la pyridine sur un site acide de Lewis). Ces résultats s’expliquent, respectivement, par une augmentation du nombre de sites de Brønsted et une diminution du nombre de sites de Lewis. Il semble donc que les sites de Lewis et de Brønsted soient interchangeables par adsorption ou désorption de molécules d’eau. Ce modèle est approuvé par Davies et coll. [26]. Sur la base d’études par spectroscopie FTIR, Lavalley et coll. [27-29] ont proposé une structure différente (Figure 4). Le sulfate ne présente qu’une double liaison S=O et, l’atome de soufre est lié à la surface de la zircone par trois liaisons S–O–Zr (I). Toutefois ce modèle est en contradiction avec le degré d’oxydation 6+ du soufre observé sur la zircone sulfatée [10, 23]. A l’état hydraté, le groupement sulfate acquiert une structure à caractère ionique dans laquelle l’atome de soufre n’est plus lié qu’à deux atomes de zirconium (II). Pour de faibles teneurs en soufre, ces structures rendent donc compte de deux espèces différentes de sulfates isolés. Celles-ci diffèrent par leur localisation sur les faces du cristal de la zircone. Pour des teneurs en soufre plus élevées, ils proposent une structure de type polysulfate (S2O7) (III). Ces structures ont été confirmées par Morterra et coll. [11, 13, 30, 31] et, par Escalona Platero et coll. [32, 33]. Par ailleurs, par une étude de caractérisation de la zircone sulfatée en microscopie électronique à transmission à haute résolution, Benaïssa et coll. [34] ont proposé les espèces (I) et (II). Toutefois, par la seule utilisation de cette technique, il ne leur a pas été possible de distinguer entre ces deux structures. H O O H S O O O S O S S O O O O O O O O O O Zr Zr Zr Zr Zr Zr Zr Zr Zr Zr I II III Figure 4. Structures des groupements sulfates proposées par Lavalley et coll. [27-29] : (I) sulfate isolé, (II) sulfate hydraté, et (III) polysulfate 27 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 Parera [35] a, quant à lui, suggéré une structure de surface pour la zircone sulfatée, complètement déshydratée et calcinée à 620°C (Figure 5). D’après cette structure, il y a un atome de soufre pour trois atomes de zirconium. Ce modèle présente trois types d’acidité de Lewis, qui diffèrent par leur force respective. Le site noté a représente un site acide de Lewis faible, alors que b et c sont des sites de plus grande acidité à cause de l’effet inductif de S=O. Une réhydratation partielle de la zircone sulfatée n’affecte pas l’activité catalytique, même si quelques sites de Lewis se transforment en sites de Brønsted (formation de groupes hydroxyles). Il conclu que les sites actifs de cette zircone sulfatée sont les sites acides de Lewis notés b, alors que les sites a et c sont les seuls à être hydratés. O O O O S O O O O Zr Zr Zr O O S Zr O O O Zr Zr O O c b a O O b Figure 5. Structure de surface de ZrO2-SO42selon Parera [35] Contrairement aux modèles précédents, Clearfield et coll. [36] ont proposé un modèle qui tient compte de la formation des sites de Brønsted en même temps que de la formation des sites de Lewis (Figure 6). Ils ont supposé que l’espèce prédominante dans la solution d’acide sulfurique est l’ion bisulfate. Celui-ci est capable de remplacer un pont Zr–OH–Zr sur la surface de Zr(OH)4 pendant l’étape de chimisorption (I). Ensuite, à la calcination, deux situations peuvent se présenter : soit l’ion bisulfate réagit avec un groupe hydroxyle adjacent ; soit deux groupements OH adjacents réagissent entre eux, libérant ainsi de l’eau et laissant l’ion bisulfate intact (II). Zr O O O Zr O H Zr O Zr OH S H O Zr O O O Zr O O O O O O 300°C Zr O H H Zr Zr O O S O * * Zr O O O Zr O O H Zr II I Figure 6. Représentation schématique de l'effet du chauffage sur un hydroxyde de zirconium sulfaté [36] 28 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 Un autre modèle structural a été proposé par Babou et coll. [37, 38] (Figure 7). Ils considèrent le site actif comme une molécule d’H2SO4 supportée à la surface de la zircone, cette dernière pouvant être hydratée de manière réversible. Lors de l’imprégnation des sulfates, l’interaction du support Zr(OH)4 avec l’acide sulfurique ionisé, fait que les protons sont piégés par les groupements hydroxyles de surface. Par la suite, les anions SO42sont piégés sur ces surfaces positivement chargées (I). Une déshydratation à des températures de 180-200°C résulte en la perte d’une première molécule d’eau menant à la formation de la structure (II) : la présence des espèces H3O+ et HSO4entraîne une forte acidité de Brønsted. Une déshydratation supplémentaire à plus haute température (>200°C) libère une seconde molécule d’eau. Ce processus s’accompagne de la formation de SO3 adsorbé, lié au support par des liaisons datives et exhibant une forte acidité (III). O O 2- O H O S O H O O S H H O O Zr Zr O O H2O Zr O H H O O O I II Zr O O O S O O O H2O > 200°C Zr O Zr O O III Figure 7. Structures des sites acides de Brønsted et de Lewis, selon Babou et coll. [37, 38] Par ailleurs, Kustov et coll. [39] ont étudié la nature des sites acides de Brønsted de la zircone sulfatée par spectroscopie infrarouge et ont proposé deux structures différentes (Figure 8). Celles-ci reposent sur l’échange de groupements hydroxyles (présents sur la surface de l’hydroxyde de zirconium) par des anions HSO4-. Le modèle (I) est une structure ionique avec un proton formant une liaison multicentre avec le sulfate. La seconde structure (II) a un caractère covalent, avec des groupements –OH liés par des liaisons de type hydrogène aux oxygènes de la surface de la zircone. Ce dernier modèle a également été suggéré par Sachtler et coll. [40]. H O O S O O Zr S O O Zr I O O H Zr O Zr II Figure 8. Structures des sites de Brønsted de la zircone sulfatée, selon Kustov et coll. [39] 29 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 En caractérisant la zircone sulfatée par IR et par une combinaison thermogravimétriespectrométrie de masse, White et coll. [41] ont suggéré une structure qu’ils jugent en adéquation avec les propriétés connues de ce solide acide (Figure 9). Chaque atome de soufre est entouré de cinq atomes d’oxygène. Cette structure, qui représente l’acidité de Lewis, peut être conceptualisée comme l’insertion d’une molécule de SO3 dans la face cristallographique de la zircone quadratique, l’espèce SO3 n’ayant qu’une li S= O . O S O O O O O Zr Zr O O O Zr Zr Figure 9. Structure potentielle de la zircone sulfatée [41] Plus récemment, Laizet et coll. [42] ont émis l’éventualité de l’existence de trois sulfates (Figure 10). Ces espèces pourraient coexister à la surface du support ou évoluer avec la variation de la densité de sulfates de surface, c’est-à-dire avec la température de réduction. La structure (I), un pyrosulfate, existerait pour un état de forte densité de sulfates. Cette structure est proche de celle proposée par Lavalley et coll. [27-29] (Figure 4). Avec une baisse de la concentration en sulfates de surface, les espèces sulfates évolueraient vers la structure (II), un sulfate, puis vers l’entité (III), un tétraoxyde de thionyle. Ces deux dernières espèces se retrouveraient pour des densités de sulfates, respectivement, moyennes et faibles. Le sulfate (II) est identique à celui de Tanabe et coll. [24] (Figure 2), et la structure (III) est très voisine de celle suggérée par White et coll. [41] (Figure 9). O O O O S S O O O O O O S O O O O S O O I II III Figure 10. Structures des espèces sulfates, proposées par Laizet et coll. [42] : (I) pyrosulfate, (II) sulfate, et (III) tétraoxyde de thionyle 30 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 Enfin, de récents travaux [43, 44] ont fait appel aux chimies informatique et quantique dans le but de clarifier la nature de la superacidité de la zircone sulfatée. Kanougi et coll. [44] ont modélisé l’adsorption de H2SO4 sur des surfaces (-111), (101) et (111) de ZrO2 de phases cristallines monoclinique, quadratique et cubique. De ces calculs, ils ont suggéré deux configurations (Figure 11). La première structure (I) peut être vue comme une molécule de SO3 et une molécule de H2O co-adsorbées côte à côte sur la surface d’une zircone quadratique. L’eau présente une charge positive assez grande qui explique alors la forte acidité de Brønsted de ce solide acide. Une forte acidité de Lewis peut être modélisée en considérant des atomes de Zr de surface coordinativement insaturés, qui existeraient sur une surface de ZrO2 quadratique présentant des défauts (II). Néanmoins, les valeurs fournies par ces modèles ne permettent pas de prédire la nature de la superacidité. O O H S O H O Zr Zr O O O O O O O Zr Zr O O Zr Atome Zr coordinativement insaturé S O défaut Zr Zr II I Figure 11. Configuration de H2SO4 sur ZrO2 quadratique [44] (I) Acidité de Brønsted, (II) Acidité de Lewis En conclusion, il semble que proposer un modèle pour la structure des sites actifs de la zircone sulfatée soit relativement compliqué. Cette remarque est appuyée par les observations de Poncelet et coll. [45]. En effet, par des études en spectroscopies XPS et Raman, ils ont décelé la présence d’espèces sulfates isolées et d’espèces polysulfates avec différents degrés de polymérisation. Ces différentes espèces sont à l’origine des sites acides de Brønsted et de Lewis, d’acidités différentes. Cependant, ils concluent qu’aux vues de ces résultats, il est difficile de proposer un quelconque modèle des sites acides. 1.3.2. Type(s) d’acidité des sites actifs Pour identifier et distinguer les sites acides de Lewis et de Brønsted, la plupart des études entreprises ont principalement utilisé comme techniques de caractérisation la spectroscopie infrarouge et l’adsorption de molécules sondes (Pyridine, NH3, CO). Alors que certains auteurs considèrent qu’un seul type d’acidité, soit de type Brønsted, soit de type 31 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 Lewis, est responsable des propriétés catalytiques, d’autres pensent que la présence simultanée des deux acidités est indispensable pour rendre compte des propriétés catalytiques particulières de la zircone sulfatée. Shimizu et coll. [46, 47] ont étudié la distribution des sites acides de Brønsted et de Lewis de différentes forces par spectroscopie IR de l’adsorption de la pyridine. Seuls les sites acides de Brønsted de plus grandes forces contribuent à l’isomérisation du n-butane. Les sites acides de Brønsted de faible acidité ne participent pas de façon significative à la réaction. De même, les sites acides de Lewis ne sont pas responsables des propriétés catalytiques. Par contre, Yamaguchi et coll. [21, 22, 48, 49], Lavalley et coll. [50] et Srinivasan et coll. [51] rapportent, par leurs observations en IR de la pyridine adsorbée, que la zircone sulfatée ne possède que de l’acidité de Lewis. Ils n’observent jamais les bandes IR correspondant aux ions pyridinium, caractéristiques de la présence d’acidité de Brønsted. Parera [35] a proposé une structure de surface sur laquelle se distinguent trois sites acides de Lewis de différentes forces (Figure 5). Aussi, Morterra et coll. [52] montrent clairement que la présence de sites de Lewis est indispensable pour une activité catalytique à l’isomérisation du n-butane. L’étude par spectroscopie IR de l’adsorption de la molécule sonde CO, molécule connue pour se chimisorber sur des sites forts de Lewis, montre une baisse de l’activité par empoisonnement des sites actifs, l’activité étant ensuite restaurée par désorption du CO. En fait, la majorité des publications s’accorde plutôt sur la présence simultanée des deux types d’acidité. Arata [10, 53] et Hino [53] ont observé, par adsorption de la pyridine, que les sites acides de Lewis et de Brønsted sont facilement convertis l’un dans l’autre par adsorption/désorption de molécules d’eau. La déshydratation du catalyseur par chauffage fait disparaître les sites acides de Brønsted, alors que les sites acides de Lewis deviennent prédominants. Cet effet réversible de l’eau, responsable d’une forte acidité de Lewis dans des conditions de déshydratation élevée et d’une forte acidité de Brønsted dans un état d’hydratation partielle, a également été reporté par Babou et coll. [38]. Par une étude de l’adsorption de bases (CO, pyridine et eau), ils ont plus particulièrement mis en évidence la coexistence de deux types de sites acides de Lewis et d’un type de site acide de Brønsted. Par ailleurs, Zhao et coll. [54] ont remarqué qu’à un degré d’hydratation modéré de la zircone sulfatée, les deux types d’acidité existent dans des proportions similaires. Morterra et coll. [11, 13, 30, 31, 55] ont montré que des centres acides de Brønsted et de Lewis coexistent. Le 32 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 rapport des sites de Brønsted sur les sites de Lewis dépend du degré d’hydratation du catalyseur. Leur étude révèle, même à haute déshydratation du catalyseur, la présence d’un petit nombre, jamais nul, de sites acides de Brønsted, due à des quantités résiduelles de molécules d’eau. Aucune acidité de Brønsted ne serait irréversiblement perdue pour des températures d’activation thermique supérieures à 650°C. Nascimento et coll. [56] ont établi que l’activité optimale du catalyseur zircone sulfatée correspond à un rapport des sites Brønsted/Lewis proche de la valeur 1 : ce qui représente une monocouche d’espèces soufrées sur la surface de ZrO2. En d’autres termes, la forte acidité de la zircone sulfatée serait due à la présence simultanée des acidités de Brønsted et de Lewis, hypothèse avancée par de nombreuses équipes de recherche [2, 33, 34, 36, 39, 40, 45, 57-62]. Par contre, certains chercheurs [63-65] ont suggéré que la conversion d’hydrocarbures sur zircone sulfatée et Pt supporté sur zircone sulfatée pourrait être effectuée par des réactions d’oxydation/réduction en association avec les sites acides. 1.3.3. Influence de la procédure de sulfatation En ce qui concerne l’influence de la procédure de sulfatation sur la formation des sites actifs, il ressort de l’ensemble des études que deux conditions doivent être satisfaites pour obtenir une zircone sulfatée catalytiquement active : • Le soufre doit être à l’état d’oxydation 6+, mais la nature de l’espèce sulfatant et la procédure de sulfatation ne semblent pas s critiques [2, 10, 23], • La sulfatation doit s’effectuer sur un support de zircone amorphe [17, 23]. Cependant cette dernière condition a été récemment mise en doute par Ward et Ko [4], et Morterra et coll. [13], qui ont préparé une zircone active par sulfatation de la phase quadratique de l’oxyde de zirconium. Ward et Ko [4] concluent que c’est la présence de groupements hydroxyles superficiels qui permet de former un solide actif après sulfatation du support. De même, il a été suggéré que la cristallisation de l’oxyde de zirconium, après sulfatation, est nécessaire pour développer une activité catalytique importante [11, 17]. 1.4. ACIDITE ET SUPERACIDITE Parmi les solides acides connus, certains ont une acidité si forte que le terme « superacide » est utilisé pour les décrire. La zircone sulfatée est un solide ayant une forte acidité, mais sa qualification de superacide est un sujet très sensible. Hino et coll. [1] ont 33 - Thèse de doctorat en Chimie physique Umit Bilge DEMIRCI 1999·2002 déterminé l’acidité de ce solide acide par la technique de Hammet. Cette méthode est basée sur le changement de couleur d’indicateurs basiques adsorbés sur une surface acide. Elle permet alors de donner une mesure de la force acide. La force acide est définie comme la capacité de la surface à convertir une base neutre adsorbée en son acide conjugué [66]. La fonction de Hammet H0 est définie par la relation H 0 = pK a + log [B] [BX ] où, pKa est le pK de l’acide conjugué de la base, [B] la concentration de la base neutre (indicateur coloré), et [BX] la concentration, soit de [BH+] dans le cas de transfert de proton de la surface à l’adsorbat, soit de [BA] dans le cas de réaction de B avec un acide de Lewis A accepteur de paire d’électrons. Plus la valeur H0 est petite (grande en valeur absolue) et plus cela correspond à une force acide grande. Dans un premier temps, Hino et coll. [1] ont montré que la zircone sulfatée peut être considérée comme superacide : H0 ≥ –14.52. Puis, dans un second temps, Hino et Arata [53] ont précisé que ce superacide présente, en fait, une acidité beaucoup plus grande, telle que H0 ≤ –16.04. Suivant la définition de Gillespie [67], le terme superacide peut être attribué à tout acide qui présente une acidité plus forte que celle de 100% d’acide sulfurique, tel que H0 ≤ – 12, H0 = –12 étant la fonction de Hammet de H2SO4. Par ailleurs, Hino et coll. [1, 53] ont trouvé que la zircone sulfatée est catalytiquement active pour la réaction d’isomérisation du n-butane à température ambiante. Cette expérience est reconnue comme étant un moyen d’estimer l’acidité d’un catalyseur solide. Il semble donc que la zircone sulfatée ait un caractère superacide d’autant plus qu’en général les réactions de conversion d’hydrocarbures à basse température sont catalysées par des acides forts et, plus spécialement, par des liquides superacides, comme SbF5-HF et SbF5-FSO3H [68, 69], dont les fonctions de Hammet sont d’environ –20. Par la suite, pour de nombreux auteurs, la superacidité de la zircone sulfatée et de ses formes modifiées n’a fait aucun doute. Cette conclusion s’est appuyée sur différentes caractérisations : conversion du nC4 à basses températures [70, 71] ; IR [2] ; TPD de bases comme NH3 [12, 31] ou d’un benzène substitué [72] ; et spectroscopies RMN et Raman [73]. Cependant, la superacidité de la zircone sulfatée est loin de faire l’unanimité. La technique de Hammet et les interprétations basées sur le changement de couleur visuel sont 34 - Thèse de doctorat en Chimie physique Umit Bilge DEMI RCI 1999· 2002 critiquées et sont considérées comme des méthodes inexactes et inappropriées. Les valeurs H0 seraient sans signification théorique et ne reflèteraient pas exactement la force acide des solides. C’est pourquoi, afin d’apporter une quantification précise de la force acide de la zircone sulfatée, d’autres techniques ont été utilisées : TPD [61, 74] ; spectroscopie UV d’adsorption de bases [75, 76] ; spectroscopie IR d’adsorption de bases (NH3, CO, CH3CN) et RAMAN [39, 40, 55, 77, 78] ; différentes techniques calorimétriques [37, 76] ; calculs théoriques [37] ; RMN du proton [40, 78, 79]; échange H/D [80]. Toutes ces études s’accordent sur la non superacidité de la zircone sulfatée. Toutefois ces travaux sont unanimes quant à sa très forte acidité, qui serait comparable à celle de l’acide sulfurique.
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Algorithm for Computation of DCT and its Implementation using a Systolic Architecture
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INTRODUCTION It is used in most digital media, including digital images such as in JPEG where some high-frequency components can be discarded as they are redundant, digital video, digital audio ( MP3), digital radio (AAC+ and DAB+),digital ( ) )1( 1 ,..., 2,1,0 1 0 2 1 2 ] [ ] [ − =  − = + =     N k N n N n k Cos n x K X  Dividing eq.(1) into four groups Dividing eq.(1) into four groups Dividing eq.(1) into four groups ( ) ( ) ( ) ( ) ) 2 ( 1 ,..., 2,1, 0 1 4 3 , 2 1 2 ] [ 1 4 3 2 2 1 2 ] [ 1 2 4 2 1 2 ] [ 1 4 0 2 1 2 ] [ ] [ − =  − = + +  − = + +  − = + +  − = + =                 N k N N n N n k Cos n x N N n N n k Cos n x N N n N n k Cos n x N n N n k Cos n x K X     ( ) ) 3 ( 1 4 0 4 3 cos 4 3 2 cos 2 4 cos 4 ] [ ] [  − = + + + + + + + + + =                                           N n K k N n x K k N n x K k N n x k Cos n x K X        g q g p ( ) ( ) ( ) ( ) ) 2 ( 1 ,..., 2,1, 0 1 4 3 , 2 1 2 ] [ 1 4 3 2 2 1 2 ] [ 1 2 4 2 1 2 ] [ 1 4 0 2 1 2 ] [ ] [ − =  − = + +  − = + +  − = + +  − = + =                 N k N N n N n k Cos n x N N n N n k Cos n x N N n N n k Cos n x N n N n k Cos n x K X     television ( SDTV, HDTV). International Journal of Engineering and Advanced Technology (IJEAT) ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 2020 International Journal of Engineering and Advanced Technology (IJEAT) ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 2020 I. INTRODUCTION II. A New algorithm for DCT: The Discrete Cosine Transform (DCT) Transform (DCT) The Discrete Cosine Transform (DCT) play an important role in many Digital signal processing(DSP) applications, since it is good alternative of DFT. Anamika Jain, Neeta Pandey These features are useful for us to develop an efficient design for 1D, N length DCT algorithm as well as systolic architecture. In the presented work, a new algorithm and a concurrent structure for DCT computation is suggested and its systolic architecture is also suggested in the paper. Paper is organized as follows next section (Section II) presents the new algorithm for computing DCT Section III shows the systolic architecture for the presented algorithm. To get more clear explanation computations of DCT N=16 points sequence is presented in section IV. Conclusion and Compression are discussed in section V. Abstract: In this paper a new algorithm for computing N-point DCT, where N=4r, r>1 is presented. A new algorithm has been derived that can compute the 1D DCT and it is realized in systolic array that utilizes identical processing elements (PE’s). The proposed approach can be used to obtain other transform like Discrete Sine Transform (DST), Discrete Hartley Transform (DHT). The suggested algorithm requires reduced number of multiplications as compared to the other methods of computing DCT. This suggests structure meets the architectural challenge and it is simple, regular design and cost-effective for special-purpose system. Keywords: Processing Element, Systolic architecture, DST, DCT, and DHT. Algorithm for Computation of DCT and its Implementation using a Systolic Architecture Anamika Jain, Neeta Pandey I. INTRODUCTION DCTs are also important to reduce the usage of network bandwidth and also used in finding the numerical solution of partial differential equations using spectral method [1-4]. However, to meet the demand of real time applications, dedicated VLSI implementation of DCT is inevitable [5-7]. Different style of implementation has been reported in the literature including multiplierless based design [8], distributed arithmetic ROM based design [9,10]. Different algorithms have been reported to compute DCT such as FDCT (including Radix 2 and 4) [11-12], Recursive algorithm [13-15]. Among them radix 4 algorithm approach have the features of fast results. There are essentially two ways to build a fast computer system. One is to use concurrency, and the other is to use fast components. Systolic structures are concurrent structures and are useful for implementing a diversity of parallel algorithms [16-21]. 4 ( ) 1 4 0 4 3 cos 4 3 2 cos 2 4 cos 4 ] [ ] [  − = + + + + + + + + + =                                           N n K k N n x K k N n x K k N n x k Cos n x K X        Revised Manuscript Received on April 25, 2020. * Correspondence Author Anamika Jain*, ECE department, Maharaja Agrasen Institute of Technology(MAIT) affiliated to GGSIP University,Delhi, India. Email: anaamikajain@yahoo.co.in Prof. Neeta Pandey, ECE department, Delhi Technological University(DTU) Delhi University, Delhi, India. Email: neetapandey@dce.ac.in Revised Manuscript Received on April 25, 2020. * Correspondence Author Anamika Jain*, ECE department, Maharaja Agrasen Institute of Technology(MAIT) affiliated to GGSIP University,Delhi, India. Email: anaamikajain@yahoo.co.in Prof. Neeta Pandey, ECE department, Delhi Technological University(DTU) Delhi University, Delhi, India. Email: neetapandey@dce.ac.in Let D N n x C N n x B N n x A n x = + = + = + =             4 3 , 2 , 4 , ] [ And N n K k 2 )1 2 ( + =   © The Authors. Published by Blue Eyes Intelligence Engineering and Sciences Publication (BEIESP). Algorithm for Computation of DCT and its Implementation using a Systolic Architecture Algorithm for Computation of DCT and its Implementation using a Systolic Architecture Algorithm for Computation of DCT and its Implementation using a Systolic Architecture Equation 3 can be written as ( )  − = + + + + + + =                         1 4 0 4 3 cos 2 cos 4 cos ] [ N n K k D K k C K k B k ACos K X        (4) ( )  − = − + + − + − + = +                         1 4 0 ) 2 )1 ( ( 4 , )1 ( ) 2 )1 ( , ] 4 [ N n D q B q q p Cos p C q A q p Cos q p X    (11) Si il l li d i f dd l f i Equation 3 can be written as ( )  − = + + + + + + =                         1 4 0 4 3 cos 2 cos 4 cos ] [ N n K k D K k C K k B k ACos K X        ( ( ) ( ) ( 1 4 0 4 3 2 4 4 3 cos 2 cos 4 cos ] [  − = + + − + + + =                                                                         N n K DSin K CSin K Sin B k Sin K D K C K B A k Cos K X         Let ] 4 [ ] [ q p X K X + =  (11) (11) (11) Similarly generalized equation for odd values of q is: ( ) ( ) ( ) ( ) ( )  − = + − + − + + − − = +                                       − + − − + − 1 4 0 ) ( 2 3 1 2 , ) ( , ] 4[ 2 1 2 3 1 2 )1 ( 2 3 1 N n D B C q q p Cos D B A q p Cos q p X p q p q    (12) (12) ( ) Now equations (11) and (12) are the generalized equations for DCT coefficient computation and has been used realization of DCT systolic structure. III. BLOCK DIAGRAM OF THE PROPOSED ALGORITHM Where p=0 to N/4-1, and q=0, 1, 2, 3 Where p=0 to N/4-1, and q=0, 1, 2, 3 Where p=0 to N/4-1, and q=0, 1, 2, 3 In designing special-purpose systems, cost-effectiveness and Fast solutions are always main concern. Fast computations can be achieved by using fast algorithms and costs can be reduced by the use of suitable architectures. Great saving can be achieved by decomposing a structure into a few simple substructures, which are used repetitively with simple interfaces. This is especially true for VLSI designs where a single chip comprises hundreds of thousands of components. Systolic architectures are concurrent structures- that can map high-level computations into hardware structures. In a systolic system, data flows in a rhythmic fashion, passing through many processing elements before it returns to memory and can achieve high throughput with balance memory bandwidth. Figure 1 shows a basic block diagram of the proposed algorithm where Pre-processing of the input data is performed to reduce the number of multiplications required to calculate the DCT coefficients. In designing special-purpose systems, cost-effectiveness and Fast solutions are always main concern. Fast computations can be achieved by using fast algorithms and costs can be reduced by the use of suitable architectures. Great saving can be achieved by decomposing a structure into a few simple substructures, which are used repetitively with simple interfaces. This is especially true for VLSI designs where a single chip comprises hundreds of thousands of components. Case 1: q=0 ( ) ( ) ( ) ( )  − = + + + =           1 4 0 3 cos 2 cos cos , ] 4 [ N n p D p C p B A q p Cos p X     (6) i e (6) (6) i.e. i.e. Systolic architectures are concurrent structures- that can map high-level computations into hardware structures. In a systolic system, data flows in a rhythmic fashion, passing through many processing elements before it returns to memory and can achieve high throughput with balance memory bandwidth. Figure 1 shows a basic block diagram of the proposed algorithm where Pre-processing of the input data is performed to reduce the number of multiplications required to calculate the DCT coefficients. I. INTRODUCTION This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/) 2162 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. 2162 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. Retrieval Number: D9047049420/2020©BEIESP DOI: 10.35940/ijeat. D9047.049420 Journal Website: www.ijeat.org Retrieval Number: D9047049420/2020©BEIESP DOI: 10.35940/ijeat. D9047.049420 Journal Website: www.ijeat.org Retrieval Number: D9047049420/2020©BEIESP DOI: 10.35940/ijeat. D9047.049420 Journal Website: www.ijeat.org III. BLOCK DIAGRAM OF THE PROPOSED ALGORITHM ( ) ( )      − = + − + + = 1 4 0 )1 ( , ] 4 [ N n D B p C A q p Cos p X  (7) ( ) ( )      − = + − + + = 1 4 0 )1 ( , ] 4 [ N n D B p C A q p Cos p X  (7) Case2:q=1 Case2:q=1 Equation 5 reduces to Equation 5 reduces to q ( ) ( ) ( )  − = + − + + + − − + = +                       1 4 0 ) ( 2 1 2 , ) ( 2 1 , ]1 4 [ N n D B p C q p Cos D B p A q p Cos p X    Fig 1. Block diagram of the proposed algorithm Pre- Processing Unit Systolic Array of Processing Outpu t Input Fig 1. Block diagram of the proposed algorithm Fig 1. Block diagram of the proposed algorithm Pre-processing units contains only adders and Subtractors. Different combination of the input (generated by the pre- processing unit) are fed to the systolic array of processing elements (PE). An example of pre-processing (PP) unit and processing element (PE) is shown in the figure 2 for two input values. Output of the pre -processing unit is the addition and subtraction of the two inputs. In the systolic array a single processing unit four inputs Xi, Yi, Ui, Vi . Two multipliers are used in the processing element and output is U0, V0. The inputs Xi and Yi are used by the other processing elements as X0 and Y0. ( )( )  − = − + − + − = +           1 4 0 ) ( 2 , )1 ( ) , ] 2 4 [ N n D B q p Cos p C A q p Cos p X    (9) And Case 4: q=3 ( ) ( ) ( )  − = + − − + − − − − = +                               1 4 0 ) ( 2 1 2 , ) ( 2 1 , ] 3 4 [ N n D B p C q p Cos D B p A q p Cos p X    2163 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved.       ) : (10) (10) Therefore, for even value of q=0,2 generalized equation is : (10) Therefore, for even value of q=0,2 generalized equation is : 2163 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. Retrieval Number: D9047049420/2020©BEIESP DOI: 10.35940/ijeat. Fig 1. Block diagram of the proposed algorithm here two multipliers α, β are used Uo= Ui+α *Xi Vo= Vi+β*Yi International Journal of Engineering and Advanced Technology (IJEAT) ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 2020 Pre-processor (PP) PP PROCESSING ELEMENT (PE) PROCESSING ELEMENT (PE) Fig2.Pre- processing unit, Processing element for two input samples α β Xi Yi Xo = Xi Yo = Yi Ui Vi Uo Vo that there are N/4 pre –processing unit in stage 1 (PP1, PP2, PP3 and PP4) where all the inputs are added and subtracted to provide input to the next stage of preprocessing (PP5). that there are N/4 pre –processing unit in stage 1 (PP1, PP2, PP3 and PP4) where all the inputs are added and subtracted to provide input to the next stage of preprocessing (PP5). that there are N/4 pre –processing unit in stage 1 (PP1, PP2, PP3 and PP4) where all the inputs are added and subtracted to provide input to the next stage of preprocessing (PP5). Section IV:- The idea for preprocessing unit suggested in section III is extended for N=16 .It can be seen from figure 3 provide input to the next stage of preprocessing (PP5). PP-1 PP-5 PP-6 PP-7 PP-4 Fig3.Pre- processing unit for N=16 β Yi Yo = Yi Uo Vo I0 I1 I2 I3 I4 I5 I6 I7 I8 I9 I10 I11 . A0-A3 C0-C3 O/P PP-3 O/P PP-4 O/P I12-I27 For calculating odd values I0+I3+I1+I 2 I0+I3-I1-I2 I4-I7 I5-I6 For calculating 2,6,10,14 For calculating 0,4,8,12 I0 00 I7 B2 B2+D2 D2 B2-D2 B3 B3+D3 D3 B3-D3 B0 B0+D0 D0 B0-D0 B1 B1+D1 D1 B1-D1 A2 A2+C2 C2 A2-C2 A3 A3+C3 C3 A3-C3 A0 A0+C0 C0 A0-C0 A1 A1+C1 C1 A1-C1 Section IV:- The idea for preprocessing unit suggested in section III is extended for N=16 .It can be seen from figure 3 Section IV:- The idea for preprocessing unit suggested in section III is extended for N=16 .It can be seen from figure 3 section III is extended for N=16 .It can be seen from figure 3 PP-1 PP-5 PP-6 PP-7 PP-4 Fig3.Pre- processing unit for N=16 I0 I1 I2 I3 I4 I5 I6 I7 I8 I9 I10 I11 . Fig 1. Block diagram of the proposed algorithm D9047.049420 Journal Website: www.ijeat.org Journal Website: www.ijeat.org International Journal of Engineering and Advanced Technology (IJEAT) ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 2020 Pre-processor (PP) PROCESSING ELEMENT (PE) Fig2.Pre- processing unit, Processing element for two input samples Section IV:- The idea for preprocessing unit suggested in section III is extended for N=16 .It can be seen from figure 3 that there are N/4 pre –processing unit in stage 1 (PP1, PP2, PP3 and PP4) where all the inputs are added and subtracted to provide input to the next stage of preprocessing (PP5). PP-1 PP-5 PP-6 PP-7 PP-4 PP a+b a-b a b α β Xi Yi Xo = Xi Yo = Yi Ui Vi Uo Vo here two multipliers α, β are used Uo= Ui+α *Xi Vo= Vi+β*Yi I0 I1 I2 I3 I4 I5 I6 I7 I8 I9 I10 I11 . A0-A3 C0-C3 O/P PP-3 O/P PP-4 O/P I12-I27 For calculating odd values I0+I3+I1+I 2 I0+I3-I1-I2 I4-I7 I5-I6 For calculating 2,6,10,14 For calculating 0,4,8,12 I0 00 I7 B2 B2+D2 D2 B2-D2 B3 B3+D3 D3 B3-D3 B0 B0+D0 D0 B0-D0 B1 B1+D1 D1 B1-D1 A2 A2+C2 C2 A2-C2 A3 A3+C3 C3 A3-C3 A0 A0+C0 C0 A0-C0 A1 A1+C1 C1 A1-C1 International Journal of Engineering and Advanced Technology (IJEAT) ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 2020 Pre-processor (PP) PROCESSING ELEMENT (PE) Fig2.Pre- processing unit, Processing element for two input samples Section IV:- The idea for preprocessing unit suggested in that there are N/4 pre –processing unit in stage 1 (PP1, PP2, PP3 and PP4) where all the inputs are added and subtracted to provide input to the next stage of preprocessing (PP5). PP a+b a-b a b α β Xi Yi Xo = Xi Yo = Yi Ui Vi Uo Vo here two multipliers α, β are used Uo= Ui+α *Xi Vo= Vi+β*Yi ournal of Engineering and Advanced Technology (IJEAT) ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 2020 Fig2.Pre- processing unit, Processing element for two input samples that there are N/4 pre –processing unit in stage 1 (PP1, PP2, PP3 and PP4) where all the inputs are added and subtracted to provide input to the next stage of preprocessing (PP5). Fig 1. Block diagram of the proposed algorithm A0-A3 C0-C3 O/P PP-3 O/P PP-4 O/P I12-I27 For calculating odd values I0+I3+I1+I 2 I0+I3-I1-I2 I4-I7 I5-I6 For calculating 2,6,10,14 For calculating 0,4,8,12 I0 00 I7 B2 B2+D2 D2 B2-D2 B3 B3+D3 D3 B3-D3 B0 B0+D0 D0 B0-D0 B1 B1+D1 D1 B1-D1 A2 A2+C2 C2 A2-C2 A3 A3+C3 C3 A3-C3 A0 A0+C0 C0 A0-C0 A1 A1+C1 C1 A1-C1 Fig3.Pre- processing unit for N=16 Retrieval Number: D9047049420/2020©BEIESP DOI: 10.35940/ijeat. D9047.049420 Journal Website: www.ijeat.org Algorithm for Computation of DCT and its Implementation using a Systolic Architectur O/P of PP-5 are I0 to I11 ,where I0-I7:- (An+Cn ) ± (Bn+Dn), n=0 to N/4-1 (I0,I1,I2,I3:- addition),(I4,I5,I6,I7:-subtraction) I8-I11:- (An-Cn ) - (B((N/4)-1-n)-D((N/4)-1-n)),n=0 to N/4-1 O/P of PP-7 : I12 to I27 where I12-I19:-[An±(Bn-Dn)/√2] = [An± (1/√2 of O/Ps from PP-3 and PP-4)], I20-I27:-:[Cn±(Bn+Dn)/√2] = [Cn± (1/√2 of O/Ps from PP-3 and PP-4)], specialized form of parallel computing, where cells compute the data which is coming as input and store them independently. A systolic architecture is an array composed of matrix-like rows of cells. Each cell shares the information with its neighbors immediately after processing. specialized form of parallel computing, where cells compute the data which is coming as input and store them independently. A systolic architecture is an array composed of matrix-like rows of cells. Each cell shares the information with its neighbors immediately after processing. For even DCT coefficients: X[k] (k=0,4,8,12)= X[4p+q] (q=0) For even DCT coefficients: X[k] (k=0,4,8,12)= X[4p+q] (q=0) For even DCT coefficients: X[k] (k=0,4,8,12)= X[4p+q] (q=0) A0-(B0-D0)/√2 Eg :- I12=A0+(B0-D0)/√2 I13= A0-(B0-D0)/√2 I14=A1+(B1-D1)/√2 I15=A1-(B1-D1)/√2, I16, I17 for n=2, I18, I19 for n=3, I20=C0+ (B0+D0)/√2, I21= C0-(B0+D0)/√2 Systolic array of PE: The architecture is a pipelined network arrangement of Processing Elements (PEs) called cells. It is a Figure 4 shows the systolic array unit for computation of even Systolic array of PE: The architecture is a pipelined network arrangement of Processing Elements (PEs) called cells. It is a Figure 4 shows the systolic array unit for computation of even coefficients which are multiple of N/4. Fig 4: Processing unit for computation of multiple od N/4 coefficients Remaining even coefficients X(2,6,10,14),here q=2 are obtained as X[2]=(I8*(a)+I9*(c)+I10*(-d)+I11*(-b)) X[6]=(I8*(c)+I9*(-b)+I10*(-a)+I11*(-d)) X[10]=(I8*(d)+I9*(-a)+I10*(b)+I11*(c)) X[14]=(I8*(b)+I9*(-d)+I10*(c)+I11*(-a)) Multiplication factors:-a=0.9807,b=0.1950,c=0.8314,d=0.5555 Systolic array of PE (one multiplier is used in these PEs) X[0] X[8] -β 1 O/Ps of PP-6 ℽ α α ℽ X[4] X[12] Fig 4: Processing unit for computation of multiple od N/4 coefficients 2165 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. 2165 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. 2165 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. Retrieval Number: D9047049420/2020©BEIESP DOI: 10.35940/ijeat. D9047.049420 Journal Website: www.ijeat.org International Journal of Engineering and Advanced Technology (IJEAT ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 202 X[2] X[6] X[10] X[14] PP-5 a c -d -b c d b -b -a -a -d b c -d c -a International Journal of Engineering and Advanced Technology (IJEAT) ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 2020 International Journal of Engineering and Advanced Technology (IJEAT) ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 2020 X[2] X[6] X[10] X[14] Fig 5. Processing element for computation of even coefficients of X[K] The Processing for odd values (1, 3, 5, 7, 9, 11, 13, and 15):- X[1]=m0*I12+m2*I14+m4*I16+m6*I18-m1*I20-m3*I22-m5*I24-m7*I26 X[5]=m4*I13+m1*I15-m6*I17-m2*I19-m5*I21-m0*I23-m7*I25+m3*I27 X[9]=m7*I12-m4*I14-m3*I16+m0*I18-m6*I20-m5*I22 +m2*I24+m1*I26 X[13]=m3*I13-m6*I15+m0*I17-m4*I19-m2*I21+m7*I23-m1*I25-m5*I27 X[3]=m2*I13+m7*I15+m1*I17-m5*I19+m3*I21+m6*I23+m0*I25+m4*I27 X[7]=m6*I12-m5*I14-m2*I16+m1*I18+m7*I20+m4*I22-m3*I24-m0*I26 X[11]=m5*I13-m0*I15+m7*I17+m3*I19+m4*I21-m1*I23-m6*I25+m2*I27 X[15]=m1*I12-m3*I14+m5*I16-m7*I18+m0*I20-m2*I22+m4*I24-m6*I26 Multiplication factors: - m0=0.9951, m1=0.0980, m2=0.9569, m3=0.2902, m4=0.8819, m5=0.4713, m6=0.7730, m7=0.6343 PP-5 a c -d -b c d b -b -a -a -d b c -d c -a International Journal of Engineering and Advanced Technology (IJEAT) ISSN: 2249 – 8958 (Online), Volume-9 Issue-4, April 2020 X[2] X[6] X[10] X[14] Fig 5. Algorithm for Computation of DCT and its Implementation using a Systolic Architecture 8 Comparison: The suggested algorithm for computing DCT is a reduced computational complexity algorithm. In this algorithm the number of multiplications for N=16, is reduced nearly 1/3 of the N2 (no of multiplications required in general method). The number of PE required to calculate all the DCT coefficients of a sequence N=16, are 43, and the number of multipliers per PE are 2.Latency is defined as the time required to compute the DCT computations. Parallel computing of even and odd coefficients leads to a latency of 11T as it needs maximum time to compute the odd coefficients. For computing even coefficients the PE (with two multipliers) required are only 11, and the latency for k=0,8 is T, For k=4,12, it is 2T, for k=2,6,10,14 latency is 5T.Maximum delay is for odd values k=1,3,5,7,9,11,13,15, the latency for these values is 11T.Therefore, the overall latency is consider to be 11T. T=(m+a), denotes the time required for multiplications(m) and additions(a). Table 1 shows the comparison of different systolic architecture for computation odd DCT. It can have seen from the table that the proposed architecture is efficient as it requires less number of processing elements as well as it is faster as its latency is less. S. Choomchuay, “A bit-serial architecture for a multiplierless DCT” Journal of Information and communication Technology, vol.2(1),pp.15-30, January 2020 S. Choomchuay, “A bit-serial architecture for a multiplierless DCT” Journal of Information and communication Technology, vol.2(1),pp.15-30, January 2020 ( ),pp , y 9 Y. H. Chen.,T. Y. Chang, C. Y. Li, “High throughput DA based DCT with high accuracy error-compensated adder tree” IEEE Trans. Very Large Scale Integr. (VLSI) Syst. (99),1-5 (2010) g g y 10 V. Vinetha Kasturi, Y. Syamala, “VLSI architecture for DCT based on distributed arithmetic” Int. J. Eng. Res. Technol. (IJERT) 2(5),2013. g 11 G. Deng, “Fast algorithm for zero-phase linear filter using discrete cosine transform” The Institute of Engineering and Technology (IET), vol. 55, Issue 10, pp.621-623, 16 May 2019. 12 M. N. Murthy, “Radix-2 algorithms for implementation of type-II discrete cosine transform and discrete sine transform” Int. J. Eng. Res. Appl.3(3), 602-608 (2013). 13 P. Dahiya and P. Jain, “Realization of Second-Order Structure of Recursive Algorithm for Discrete Cosine Transform” Circuits, Systems, and Signal Processing, vol. 38,pp.791-804. (2019). y g g pp 14 P. Dahiya and P. Jain, “Efficient MDCT Recursive Structure for VLSI Implementation” Circuits, Systems, and Signal Processing, vol. 39, pp. AUTHORS PROFILE Anamika Jain, B.E., M.E. in Electronics and Communication Engineering, Assistant Professor, Maharaja Agrasen Institute of Technology (MAIT) Affiliated to Guru Gobind Singh Indraprastha University, ECE department. More than 18 years of teaching experience. Her field of interest is VLSI,,DSP. Algorithm for Computation of DCT and its Implementation using a Systolic Architecture 1372-1386, (2020). 15 Y. H. Chan, L. P. Chau, W.C. Siu, “Efficient implementation of discrete cosine transform using recursive filter structure” IEEE Trans. Circuits syst. Video Technol. 4(6),pp. 550-552 (1994). y ( ) pp ( ) 16 S. B. Pan, R. H. Park, “Unified systolic array for fast computation of discrete cosine transform, discrete sine transform and, discrete Hartley transform”, IEEE Transactions on circuits and System for Video Technology 7 (2),413-419(1997). 17 D. F. Chiper, M. N. S. Swamy , M. O. Ahmad, “Systolic algorithm and a memory-based design approach for a unified architecture for the computation of DCT/DST/IDCT/IDST” IEEE Trans. Circuits Syst. I Regul. Pap. 52(6), 1125-1137 (2005). Table1. Performance comparison of systolic architecture for computing N=16 point DCT: Table1. Performance comparison of systolic architecture for computing N=16 point DCT: No of real multipliers per PE Required no. of PE Latency Throughput S.B. Pan, R.H. Park[16] 2 N2/4=64 (N-1)T=15T T Chang and Wang[22] 1 N1/2=128 (N-1)T=15T T Poposed 2 N2/6=43 (N-5)T=11T T 18 C. Chakrabarti and J. Jaja, “Systolic architectures for the computation of the discrete Hartley and the discrete cosine transforms based on prime factor decomposition” ,IEEE Transactions on Computers 39 (11),1359-1368, (1990). 19 C. Cheng, K. K. Parhi, “A novel systolic array structure for DCT” IEEE Trans. Circuits Syst. II Express Briefs 52(7) , 366-369 (2005). 20 P. K. Meher, J. C. Patra, “A new convolutional formulation of discrete cosine transform for systolic implementation”, IEEE International Conference on Information, Communications and Signal Processing (2007) , pp. 1-4. pp 21 M. N. Murthy, “Recursive algorithms and systolic architectures for realization of type-II discrete cosine transform and inverse discrete cosine transform” Int. J. Eng. Res. Appl. 4, 24-32 (2014). IV. CONCLUSION: g pp 22 Y. T. Chang and C. L Wang, “New systolic array implementation of the 2D discrete cosine transform and its inverse”, IEEE Transactions on Circuits and Systems Video Technology, CSVT-5,31-40, (1995). A new algorithm for computing DCT and its VLSI implementation using parallel and pipelined network of processing elements is proposed in the paper. The array of processing elements works in systolic fashion which makes the computation fast. A0-(B0-D0)/√2 Processing element for computation of even coefficients of X[K] The Processing for odd values (1, 3, 5, 7, 9, 11, 13, and 15):- X[1]=m0*I12+m2*I14+m4*I16+m6*I18-m1*I20-m3*I22-m5*I24-m7*I26 X[5]=m4*I13+m1*I15-m6*I17-m2*I19-m5*I21-m0*I23-m7*I25+m3*I27 X[9]=m7*I12-m4*I14-m3*I16+m0*I18-m6*I20-m5*I22 +m2*I24+m1*I26 X[13]=m3*I13-m6*I15+m0*I17-m4*I19-m2*I21+m7*I23-m1*I25-m5*I27 X[3]=m2*I13+m7*I15+m1*I17-m5*I19+m3*I21+m6*I23+m0*I25+m4*I27 X[7]=m6*I12-m5*I14-m2*I16+m1*I18+m7*I20+m4*I22-m3*I24-m0*I26 X[11]=m5*I13-m0*I15+m7*I17+m3*I19+m4*I21-m1*I23-m6*I25+m2*I27 X[15]=m1*I12-m3*I14+m5*I16-m7*I18+m0*I20-m2*I22+m4*I24-m6*I26 Multiplication factors: - m0=0.9951, m1=0.0980, m2=0.9569, m3=0.2902, m4=0.8819, m5=0.4713, m6=0.7730, m7=0.6343 X[1] X[5] X[9] X[13] X[7] X[3] X[15] X[11] Fig-6: systolic array of PE for computing odd DCT coefficients X[2] X[6] X[10] X[14] Fig 5. Processing element for computation of even coefficients of X[K] The Processing for odd values (1, 3, 5, 7, 9, 11, 13, and 15):- X[1]=m0*I12+m2*I14+m4*I16+m6*I18-m1*I20-m3*I22-m5*I24-m7*I26 X[5]=m4*I13+m1*I15-m6*I17-m2*I19-m5*I21-m0*I23-m7*I25+m3*I27 X[9]=m7*I12-m4*I14-m3*I16+m0*I18-m6*I20-m5*I22 +m2*I24+m1*I26 X[13]=m3*I13-m6*I15+m0*I17-m4*I19-m2*I21+m7*I23-m1*I25-m5*I27 X[3]=m2*I13+m7*I15+m1*I17-m5*I19+m3*I21+m6*I23+m0*I25+m4*I27 X[7]=m6*I12-m5*I14-m2*I16+m1*I18+m7*I20+m4*I22-m3*I24-m0*I26 X[11]=m5*I13-m0*I15+m7*I17+m3*I19+m4*I21-m1*I23-m6*I25+m2*I27 X[15]=m1*I12-m3*I14+m5*I16-m7*I18+m0*I20-m2*I22+m4*I24-m6*I26 Multiplication factors: - m0=0.9951, m1=0.0980, m2=0.9569, m3=0.2902, m4=0.8819, m5=0.4713, m6=0.7730, m7=0.6343 X[1] X[5] X[9] X[13] X[7] X[3] X[15] X[11] Fig-6: systolic array of PE for computing odd DCT coefficients Fig 5. Processing element for computation of even coefficients of X[K] X[1] X[5] X[9] X[13] X[7] X[3] X[15] X[11] 2166 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. Retrieval Number: D9047049420/2020©BEIESP DOI: 10.35940/ijeat. D9047.049420 Journal Website: www.ijeat.org Fig-6: systolic array of PE for computing odd DCT coefficients Fig-6: systolic array of PE for computing odd DCT coefficients Fig-6: systolic array of PE for computing odd DCT coefficients 2166 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. Retrieval Number: D9047049420/2020©BEIESP DOI: 10.35940/ijeat. D9047.049420 Journal Website: www.ijeat.org REFERENCES 1 Y. Han, W. He, S. Ji, Q. Luo, “A digital watermarking algorithm of color image based on visual cryptography and discrete cosine transform”, P2P Parallel grid cloud and internet computing (3PGCIC) 2014 Ninth International conference on pp.525-530,2014. pp 2 C. Li, Z. Qin, “A blind digital image watermarking algorithm based on DCT”, smart and sustainable city 2013 (ICSSC 2013) IET International conference on, pp.446-448,2013. 2 C. Li, Z. Qin, “A blind digital image watermarking algorithm based on DCT”, smart and sustainable city 2013 (ICSSC 2013) IET International conference on, pp.446-448,2013. Prof. Neeta Pandey, M. E. (Microelectronics) Ph.D. Professor in Delhi Technological University (DTU) with approximately 30 years teaching and research experience in Electronics and Communication Engineering. More than 250 international journal publications. Her area of interest are Analog and Digital VLSI Design, Current mode ADC Design. 3 L. Tan, Z.J. Fang, “An adaptive middle frequency embedded digital watermark algorithm based on DCT domain”, Management of e-commerce and e-Government 2008.ICMECG ’08. International conference on, pp.382-385,2008. 3 L. Tan, Z.J. Fang, “An adaptive middle frequency embedded digital watermark algorithm based on DCT domain”, Management of e-commerce and e-Government 2008.ICMECG ’08. International conference on, pp.382-385,2008. 4 M. Saidi, H. Hermassi, R. Rhouma, et al., “A new adaptive image steganography scheme based on DCT and chaotic map”, Multimed. Tools Appl 76,13493-13510 (2017). 4 M. Saidi, H. Hermassi, R. Rhouma, et al., “A new adaptive image steganography scheme based on DCT and chaotic map”, Multimed. Tools Appl 76,13493-13510 (2017). pp , ( ) 5 S. An, C. Wang, “Recursive algorithm, architectures and FPGA implementation of the two-dimensional discrete cosine transform” IET Image Process. 2(6),286-294 (2008). 6 A. Kassem, M. Hamad, E. Haidamous, “Image compression on FPGA using DCT” International conference on Advances in Computational Tools for Engineering Applications, 2009, ACTEA ’09, pp.320-323,15-17 July 2009 2167 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. 9, A ET 7 An, S., Wang, C. “Recursive algorithm, architectures and FPGA implementation of two-dimensional discrete cosine transform” IET Image Process 2(6),286-294 (2008). 2167 Published By: Blue Eyes Intelligence Engineering & Sciences Publication © Copyright: All rights reserved. Retrieval Number: D9047049420/2020©BEIESP DOI: 10.35940/ijeat. D9047.049420 Journal Website: www.ijeat.org
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COMPARATIVE ANALYSIS OF THE MAINTENANCE PRACTICE ON PROCESS PLANTS IN CEMENT, PAPERAND BREWERY INDUSTRIES IN LAGOS AND OGUN STATES INDUSTRIAL AXES OF NIGERIA.
Okoh Victor P. O. M.Sc. Fnivs
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COMPARATIVE ANALYSIS OF THE MAINTENANCE PRACTICE ON PROCESS PLANTS IN CEMENT, PAPERAND BREWERY INDUSTRIES IN LAGOS AND OGUN STATES INDUSTRIAL AXES OF NIGERIA. The authors recommend among others that monthly maintenance of plants should be practised in these three industries since it was mostly suited for them from the perspective of practising estate surveyors and valuers. Copy Right, IJAR, 2018,. All rights reserved. ……………………………………………………………… The aim of this study is to present a comparative analysis of the maintenance practice in process plants in cement, paper and brewery industries from the perception of practising estate surveyors and valuers in Lagos and Ogun States industrial axes of Nigeria because of their currency in economic activities and significant contributions towards the notable success of the manufacturing industry in this country. The objectives to achieve this shall be as underlisted to: identify the factors affecting the useful life of process plants in brewery, cement and paper industries; obtain and rank the views of practising estate surveyors and valuers on the factors affecting the useful life of process plants in these three industries in Lagos and Ogun States; obtain and rank the views of these practitioners on the periods for implementing maintenance schedules in these industries; obtain and rank the views of practising estate surveyors and valuers on the periods for retaining maintenance Engineers in the industries under analysis, establish which of the brewery, cement and paper industries mostly keep maintenance history of their plants and present a statement of the findings to practising estate surveyors and valuers in Lagos and Ogun States Nigeria. Questionnaire was the main instrument for soliciting data supported by scanty literature that were very difficult to find. A census of 337 practising estate surveying firms in the two states were administered with questionnaires and 172 returned representing 51% success rate which was considered fairly okay for this purpose. Statistical package for Social Sciences (SPSS) 20 was used to analyse these responses. It was found out that; frequency of usage of plant was ranked most significant (first) in cement and paper industries and was ranked second in brewery with Mean Item Score (MIS) of 4.38, 3.92 and 4.07 respectively. It was also found out that monthly maintenance schedule was mostly adopted in similar industries. The authors recommend among others that monthly maintenance of plants should be practised in these three industries since it was mostly suited for them from the perspective of practising estate surveyors and valuers. 894 Copy Right, IJAR, 2018,. All rights reserved. Corresponding Author:- Okoh Victor P. O. M.Sc. Fnivs. COMPARATIVE ANALYSIS OF THE MAINTENANCE PRACTICE ON PROCESS PLANTS IN CEMENT, PAPERAND BREWERY INDUSTRIES IN LAGOS AND OGUN STATES INDUSTRIAL AXES OF NIGERIA. Okoh Victor P. O. M.Sc. Fnivs1, Ebi Uchenna Ph.D. Fnivs2 and Kemiki Olurotimi A. Ph.D. Fnivs3. 1. Department of estate management and valuation, yaba college of technology, yaba lagos, nigeria. 2. Department of computer science, project management option, babcock university, ilisan-remo, nigeria. 3. Department of estate management, federal university of technology, minna, nigeria. …………………………………………………………………………………………………….... Manuscript Info Abstract ……………………. ……………………………………………………………… Manuscript History Received: 19 May 2018 Final Accepted: 21 June 2018 Published: July 2018 Keywords:- Process Plant, Maintenance Practice, Brewery Industry. Cement Industry, Paper Industry, Perception, Estate Surveyors &Valuers. The aim of this study is to present a comparative analysis of the maintenance practice in process plants in cement, paper and brewery industries from the perception of practising estate surveyors and valuers in Lagos and Ogun States industrial axes of Nigeria because of their currency in economic activities and significant contributions towards the notable success of the manufacturing industry in this country. The objectives to achieve this shall be as underlisted to: identify the factors affecting the useful life of process plants in brewery, cement and paper industries; obtain and rank the views of practising estate surveyors and valuers on the factors affecting the useful life of process plants in these three industries in Lagos and Ogun States; obtain and rank the views of these practitioners on the periods for implementing maintenance schedules in these industries; obtain and rank the views of practising estate surveyors and valuers on the periods for retaining maintenance Engineers in the industries under analysis, establish which of the brewery, cement and paper industries mostly keep maintenance history of their plants and present a statement of the findings to practising estate surveyors and valuers in Lagos and Ogun States Nigeria. Questionnaire was the main instrument for soliciting data supported by scanty literature that were very difficult to find. A census of 337 practising estate surveying firms in the two states were administered with questionnaires and 172 returned representing 51% success rate which was considered fairly okay for this purpose. Statistical package for Social Sciences (SPSS) 20 was used to analyse these responses. It was found out that; frequency of usage of plant was ranked most significant (first) in cement and paper industries and was ranked second in brewery with Mean Item Score (MIS) of 4.38, 3.92 and 4.07 respectively. It was also found out that monthly maintenance schedule was mostly adopted in similar industries. ISSN: 2320-5407 ISSN: 2320-5407 Int. J. Adv. Res. 6(7), 894-901 Journal Homepage: - www.journalijar.com Article DOI: 10.21474/IJAR01/7439 DOI URL: http://dx.doi.org/10.21474/IJAR01/7439 Introduction:- Whether engineering works, building structures, manufacturing plants or infrastructural facilities, organizations need not only build or provide but also need to maintain these facilities. The need to keep facilities running uninterrupted, sustain productivity, continue to provide service, repair and/or increase value as well as enhance life longevity of the plants remain some of the importance of maintenance. According to Erkoyuncu, Fernan-del Arno, Mura, Raykuma and Gino (2017) industrial maintenance target is to maximize plant operational continuity and safety at least cost. Miet and Odoom (2016) have stated earlier that maintenance management is one of the strategies for improving the performance of production and manufacturing firms. Researchers Oladokun and Ojo (2012) and others have established the lack of maintenance culture in infrastructural facilities, stadia (or stadiums), national art theatre in the built environment in Nigeria. Similar lack also exist in our public plants for example in our petroleum refineries at Port-Harcourt, Kaduna and Warri, in our fertilizer plants etc. This is one of the motivations for investigating if similar situation present itself in process plants in Lagos and Ogun States industrial axes of Nigeria. The purpose of this research is to analyse the maintenance practice in process plants in cement, paper and brewery industries in Lagos and Ogun States industrial axes of Nigeria from the perception of practising Estate Surveyors and Valuers, because of the importance of maintenance in the sustainability of plants especially in the third world countries where all the plants are imported from developed countries. The objectives set out to achieve this aim were to: identify the factors affecting the useful life of process plants; obtain and rank the views of practising Estate Surveyors and Valuers on the most significant factors influencing the useful life of process plants in these industries in Lagos and Ogun States, Nigeria, obtain and rank the views of practising Estate Surveyors and Valuers on the periods for implementing maintenance schedules in these industries under research; obtain and rank the views of practicing Estate Surveyors and Valuers on the periods of retainership of maintenance Engineers in the industries being compared; establish which of cement, paper and brewery industries mostly keep maintenance history of their plants and present a statement of importance of the findings to practising Estate Surveyors and Valuers and Engineers in Lagos and Ogun States of Nigeria. Review Of Literature:- Miet and Odoom (2016) are of the opinion that the main purposes of maintenance practice are minimizing cost and maximizing through put and plant efficiency. Mwanza and Mbohwa (2015) have found out that most organizations are using proper maintenance of operation facilities and plants to achieve world – class service delivery. Miet and Odoom (2016) researching on development of an effective industrial maintenance practice for plant optimum performance defined maintenance as the act of restoring plant into its functioning state or operational mode. Maintenance practice is concerned with organizational and managerial tasks connected with establishing objectives, strategies and realizing maintenance activities through action plans to monitor and control maintenance programmes. There is no imperial study in literature in this important endeavour of maintenance practice in process plants despite the fact that almost one hundred percent of plant and machinery are not made in African or to say the least, in Nigeria. These two authors above further found out that effective maintenance record keeping is very important and all forms of report should be organized to provide ready accessibility to data when needed and to flag down problem areas. Introduction:- The significance of this research is to stimulate further works in this area of industrial maintenance practice research among scholars as well as increase the momentum of investigations which is currently suffering from dearth of information due to insignificant research efforts. COMPARATIVE ANALYSIS OF THE MAINTENANCE PRACTICE ON PROCESS PLANTS IN CEMENT, PAPERAND BREWERY INDUSTRIES IN LAGOS AND OGUN STATES INDUSTRIAL AXES OF NIGERIA. Address:- Department of estate management and valuation, yaba college of technology, yaba lagos, nigeria. Copy Right, IJAR, 2018,. All rights reserved. Copy Right, IJAR, 2018,. All rights reserved. 894 Corresponding Author:- Okoh Victor P. O. M.Sc. Fnivs. Address:- Department of estate management and valuation, yaba college of technology, yaba lagos, nigeria. ding Author:- Okoh Victor P. O. M.Sc. Fnivs. Department of estate management and valuation, yaba college of technology, yaba lagos, 894 Corresponding Author:- Okoh Victor P. O. M.Sc. Fnivs. Address:- Department of estate management and valuation, yaba college of technology, yaba lagos, nigeria. 894 Int. J. Adv. Res. 6(7), 894-901 ISSN: 2320-5407 Methodology:- Methodology used for this article is descriptive in which questionnaire was administered to practising estate surveyors and valuers in Lagos and Ogun States of Nigeria. The number of practising estate surveyors and valuers in Lagos and Ogun States was obtained membership and firm directory (2014) of the Estate Surveyors and Valuers Registration Board of Nigeria (ESVARBON) and showed a total of 337 (317 from Lagos State and 20 from Ogun State). This number was administered with questionnaires. 172 of them completed and returned successfully. The 895 Int. J. Adv. Res. 6(7), 894-901 ISSN: 2320-5407 retrieved questionnaires were coded and entries made into Statistical Package for Social Sciences (SPSS) 20. This was used to analyse data in form of Mean Item Score (MIS) and ANOVA which was used to test the statistical significance in variations of factors affecting useful life of process plants in the three industries being compared. Findings are presented in the following tables: retrieved questionnaires were coded and entries made into Statistical Package for Social Sciences (SPSS) 20. This was used to analyse data in form of Mean Item Score (MIS) and ANOVA which was used to test the statistical significance in variations of factors affecting useful life of process plants in the three industries being compared. Findings are presented in the following tables: Table 1:-Ranking of Factors Affecting Useful Life of Plant and Machinery in the Industries Cement Industry Paper Industry Brewery Industry Plant and Machinery MIS Rank MIS Rank MIS Rank How often it was used 4.38 1 3.92 1 4.07 2 How old it was when acquired 4.10 2 3.88 2 3.90 3 How often it was repaired or renewed or part replaced 3.79 3 3.83 3 3.71 4 Technological improvements 3.56 4 3.49 4 4.52 1 The climate in which it was used 3.49 5 3.28 5 3.22 5 Prohibitory laws 3.49 6 3.10 8 3.17 7 Progress in the arts 3.48 7 3.24 6 3.18 6 Reasonably foreseeable economic changes 3.47 8 3.22 7 3.09 8 Shifting of business centres 3.40 9 3.09 9 3.01 9 Others 3.09 10 2.77 10 2.41 10 Source:field survey, 2018 Table 1:-Ranking of Factors Affecting Useful Life of Plant and Machinery in the Industries Table 1 above shows ranking of factors affecting useful life of plant and machinery. For cement industry, frequency of use was ranked as first with mean of 4.38. Methodology:- Age of machinery when acquired, frequency of repairs/part replacement, technological improvements and climate of location of use were ranked second, third, fourth and fifth with mean of 4.10, 3.79, 3.56 and 3.49 respectively. Prohibitory laws, progress in arts, reasonably foreseeable economic changes, shifting of business centres and others were ranked sixth, seventh, eighth, ninth and tenth with mean of 3.49, 3.48, 3.47, 3.40, and 3.09 respectively. For paper industry, frequency of use, age of machinery when acquired, frequency of repairs/change of parts, technological improvement and climate at the location of use were ranked first, second, third, fourth and fifth with mean of 3.92, 3.88, 3.83, 3.49 and 3.28 respectively. Progress in arts, reasonable foreseeable economic changes, prohibitory laws, shifting of business centres and others were ranked sixth, seventh, eighth, ninth and tenth with mean of 3.24, 3.22, 3.10, 3.09 and 2.77 respectively. For brewery industry, technological improvement, frequency of use, age of machinery when acquired, frequency of repairs/renewal of parts and climate at place of use were ranked first, second, third, fourth and fifth with mean of 4.52, 4.07, 3.90, 3.71 and 3.22 respectively. Progress of arts, prohibitory laws, reasonable foreseeable economic changes, shifting of business centres and others were ranked sixth, seventh, eighth, ninth and tenth with mean of 3.18, 3.17, 3.09, 3.01 and 2.41 respectively. Table 2:-ANOVA – Significant Differences in Brewery, Cement and Paper in Useful Life of Plant and Machinery Sum of Square F Mean Square F Sig. Between Groups Within Groups Total 0.333 5.995 6.328 2 27 29 0.167 0.222 0.750 0.482 p> 0.05 = Not significant. Table 2 shows ANOVA to determine whether there is statistically significant difference between our group means. Table shows that f(cal) 0.750 is greater f(tab) 0.021 at 0.05 level. Significant level of 0.482 (i.e. p = 0.021) is more than the adopted 0.05. There is therefore, no statistically significant variation in the factors affecting useful life of plant and machinery in cement, paper and brewery industries. 896 Int. J. Adv. Res. 6(7), 894-901 ISSN: 2320-5407 Table 3:-Dependent Variable – Useful Life of Plant and Machinery Industries (I) Industries (J) MeanDifference (I – J) Std. Error Sig. Table 4 shows the frequency distribution of respondents to maintenance schedules in the cement, paper and brewery industries. In the cement industry, and on turnaround maintenance, 23.2%, 29.6% and 22% agree on weekly, monthly and half-yearly schedule respectively, while 24% and 1.2% agree on yearly and others schedule respectively. On routine maintenance, 22.3%, 48.6% and 18.7% agree on weekly, monthly and half-yearly Methodology:- On preventive maintenance, 24.9%, 43.5% and 22.1% agree on weekly, monthly and half-yearly schedule respectively, while 8.3% and 1.2% agree on yearly and others schedule respectively. On curative maintenance, 22.9%, 38.2%, 26.9%, 10.8% and 1.2% agree on weekly, monthly, half-yearly, yearly and others schedule respectively. On other maintenance schedule in cement industry, 19.6%, 15.7%, 21.6%, 7.8% and 35.3% agree on weekly, monthly, half-yearly, yearly and others schedule respectively. respectively, while 7.2% and 3.2% agree on yearly and others schedule respectively. On preventive maintenance, 24.9%, 43.5% and 22.1% agree on weekly, monthly and half-yearly schedule respectively, while 8.3% and 1.2% agree on yearly and others schedule respectively. On curative maintenance, 22.9%, 38.2%, 26.9%, 10.8% and 1.2% agree on weekly, monthly, half-yearly, yearly and others schedule respectively. On other maintenance schedule in cement industry, 19.6%, 15.7%, 21.6%, 7.8% and 35.3% agree on weekly, monthly, half-yearly, yearly and others schedule respectively. On paper industry and on turnaround maintenance, 19.8%, 29%, 25%, 22% and 4% agree on weekly, monthly, half- yearly, yearly and other schedule respectively. On routine maintenance, 28.1%, 37.9%, 21.7% and 12.3% agree on weekly, monthly, half-yearly and yearly schedule respectively. On preventive maintenance, 25.9%, 39%, 21.9%, 11.4% and 1.6 agree on weekly, monthly, half-yearly, yearly and other schedule respectively. On curative maintenance, 27.6%, 36.4%, 20.4% and 15.6% agree on weekly, monthly, half-yearly and yearly schedule respectively. On other maintenance, 5.5%, 30.1%, 11%, 4.1% and 49.3% agree on weekly, monthly, half-yearly, yearly and other schedule respectively. On brewery industry and turnaround maintenance, 22.4%, 31.1%, 24.7%, 20% and 1.6% agree on weekly, monthly, half-yearly, yearly and other schedule respectively. On routine maintenance, 30.5%, 38.9%, 22.1%, 7.9% and 0.5% agree on weekly, monthly, half-yearly, yearly and other schedule respectively. On preventive maintenance, 27.5%, 48.1%, 16.4%, 7.4% and 0.5% agree on weekly, monthly, half-yearly, yearly and other schedule respectively. On curative maintenance, 29.4%, 40.1%, 16.6% and 13.9% agree on weekly, monthly, half-yearly and yearly schedule respectively. On other maintenance, 4.3%, 25.5%, 12.8%, 12.8% and 44.7% agree on weekly, monthly, half-yearly, yearly and other schedule respectively. On brewery industry and turnaround maintenance, 22.4%, 31.1%, 24.7%, 20% and 1.6% agree on weekly, monthly, half-yearly, yearly and other schedule respectively. On routine maintenance, 30.5%, 38.9%, 22.1%, 7.9% and 0.5% agree on weekly, monthly, half-yearly, yearly and other schedule respectively. On preventive maintenance, 27.5%, 48.1%, 16.4%, 7.4% and 0.5% agree on weekly, monthly, half-yearly, yearly and other schedule respectively. Methodology:- 95% Confidence Interval Lower Bound Upper Bound Cement Paper Brewery 0.24300 0.19700 0.21073 0.21073 0.523 0.650 -0.3028 -0.3488 0.7888 0.7428 Paper Cement Brewery -0.24300 -0.04600 0.21073 0.21073 0.523 0.976 -0.7888 -0.5918 0.3028 0.4998 Brewery Cement Paper -0.19700 0.04600 0.21073 0.21073 0.650 0.976 -0.7428 -0.4998 0.3488 0.5918 bl 3 b h l i l i diff d f h h h bl h i i i ll Table 3 above shows multiple comparisons as groups differed from each other. From the table, there is statistically insignificant difference in cement to paper and cement to brewery on useful life of plant and machinery (as p = 0.523, 0.650). There is also no statistically significant difference in paper to cement and paper to brewery on useful life of plant and machinery (as p = 0.523, 0.976). Furthermore, there is no statistically significant difference in brewery to cement and brewery to paper on useful life of plant and machinery (as p = 0.650, 0.976). There is therefore no statistically significant difference in the factors affecting useful life of plant and machinery in cement, paper and brewery industries. Table 4:-Maintenance Schedules in Cement, Paper and Brewery Industries Weekly Monthly Half-yearly Yearly Others Cement Industry Turnaround Maintenance 58(23.2%) 74(29.6%) 55(22.0%) 60(24.0%) 3(1.2%) Routine Maintenance 56(22.3%) 122(48.6%) 47(18.7%) 18(7.2%) 8(3.2%) Preventive Maintenance 63(24.9%) 110(43.5%) 56(22.1%) 21(8.3%) 3(1.2%) Curative Maintenance 57(22.9%) 95(38.2%) 67(26.9%) 27(10.8%) 3(1.2%) Others (please specify) 10(19.6%) 8(15.7%) 11(21.6%) 4(7.8%) 18(35.3%) Paper Industry Turnaround Maintenance 50(19.8%) 73(29.0%) 63(25.0%) 56(22.0%) 10(4.0%) Routine Maintenance 71(28.1%) 96(37.9%) 55(21.7%) 31(12.3%) 0(0%) Preventive Maintenance 65(25.9%) 98(39.0%) 55(21.9%) 20(11.4%) 4(1.6%) Curative Maintenance 69(27.6%) 91(36.4%) 51(20.4%) 39(15.6%) 0(0%) Others (please specify) 4(5.5%) 22(30.1%) 8(11.0%) 3(4.1%) 36(49.3%) Brewery Industry Turnaround Maintenance 43(22.4%) 59(31.1%) 47(24.7%) 38(20.0%) 3(1.6%) Routine Maintenance 58(30.5%) 74(38.9%) 42(22.1%) 15(7.9%) 1(0.5%) Preventive Maintenance 52(27.5%) 91(48.1%) 31(16.4%) 14(7.4%) 1(0.5%) Curative Maintenance 55(29.4%) 75(40.1%) 31(16.6%) 26(13.9%) 0(0%) Others (please specify) 2(4.3%) 12(25.5%) 6(12.8%) 6(12.8%) 21(44.7%) Source:field survey, 2018 Table 4 shows the frequency distribution of respondents to maintenance schedules in the cement, paper and brewery industries. In the cement industry, and on turnaround maintenance, 23.2%, 29.6% and 22% agree on weekly, monthly and half-yearly schedule respectively, while 24% and 1.2% agree on yearly and others schedule respectively. On routine maintenance, 22.3%, 48.6% and 18.7% agree on weekly, monthly and half-yearly 897 Int. J. Adv. Res. 6(7), 894-901 ISSN: 2320-5407 ISSN: 2320-5407 respectively, while 7.2% and 3.2% agree on yearly and others schedule respectively. Methodology:- On outside service constructions, 17.5%, 36.7%, 19.9%, 19.9% and 6% agree on weekly, monthly, half- yearly, yearly and other maintenance engineers in cement industry. On other maintenance service engineers in cement industry, 14%, 8%, 40%, 8% and 30% agree on weekly, monthly, half-yearly, yearly and others schedule respectively for maintenance engineers in cement industry. For paper industry and on external service engineers, 27%, 37.9%, 23.8%, 8.5% and 2.8% agree on weekly, monthly, half-yearly, yearly and others respectively, maintenance service engineers. On in-house service engineers, 31.9%, 44%, 13.3%, 9.3% and 1.3% respectively agree on weekly, monthly, half-yearly, yearly and others maintenance engineers. On manufacturers, service engineers, 18.4%, 40%, 24.4%, 14.8% and 2.4% agree on weekly, monthly, half-yearly, yearly and others engineers, respectively. On the three types of maintenance service engineers, 17.3%, 36.95%, 17.7%, 24.3% and 2.1% agree on weekly, monthly, half-yearly, yearly and others engineers, respectively. On outside service constructions, 11.9%, 38.7%, 28.4%, 16% and 4.9% agree on weekly, monthly, half-yearly, yearly and others service engineers, respectively. On other maintenance engineers in paper industry, 9.1%, 13.6%, 21.2%, 6.1% and 50% agree on weekly, monthly, half-yearly, yearly and others service engineers, respectively. On brewery industry, and for external service engineer, 25.3%, 44.7%, 16.8%, 11.6% and 1.6% agree on weekly, monthly, half-yearly, yearly and other service engineers, respectively. On in-house service engineers, 36.8%, 40.5%, 14.7%, 7.4% and 0.5% agree on weekly, monthly, half-yearly, yearly and others maintenance engineers, respectively. On manufacturer’s service engineers, 21.3%, 41%, 26.1%, 11.2% and 0.5% agree on weekly, monthly, half-yearly, yearly and other maintenance engineers, respectively. On the three types of maintenance engineers, 20.4%, 42.5%, 19.4%, 16.1% and 1.6% agree on weekly, monthly, half-yearly, yearly and other maintenance engineers, respectively. On outside maintenance engineers, 15.3%, 44.8%, 23%, 12% and 4.9% agree on weekly, monthly, half-yearly, yearly and other maintenance engineers, respectively. On other maintenance engineers in brewery industry, 2.5%, 20%, 12.5%, 10% and 55% agree on weekly, monthly, half-yearly, yearly and others maintenance service engineers respectively, in the brewery industry. Methodology:- On curative maintenance, 29.4%, 40.1%, 16.6% and 13.9% agree on weekly, monthly, half-yearly and yearly schedule respectively. On other maintenance, 4.3%, 25.5%, 12.8%, 12.8% and 44.7% agree on weekly, monthly, half-yearly, yearly and other schedule respectively. Table 5:-Maintenance Engineers Retained in Various Industries Weekly Monthly Half-yearly Yearly Others Cement Industry External Service Engineer 82(32.4%) 92(36.4%) 55(21.7%) 21(8.3%) 3(1.2%) In-house Service Engineer 76(30.0%) 100(39.5%) 40(15.8%) 33(13.0%) 3(1.2%) Manufacturer’s Service Engineer 54(21.3%) 74(29.2%) 73(28.9%) 46(18.2%) 6(2.4%) The three (3) types of Maintenance Service Engineers above 40(16.2%) 86(34.8%) 73(29.6%) 48(19.4%) - Outside Service Constructions 44(17.5%) 92(36.7%) 50(19.9%) 50(19.9%) 15(6.0%) Others please specify 7(14.0%) 4(8.0%) 20(40.0%) 4(8.0%) 15(30.0%) Paper Industry External Service Engineer 67(27.0%) 94(37.9%) 59(23.8%) 21(8.5%) 7(2.8%) In-house Service Engineer 79(31.9%) 109(44.0%) 33(13.3%) 23(9.3%) 4(1.6%) Manufacturer’s Service Engineer 46(18.4%) 100(40.0%) 61(24.4%) 37(14.8%) 6(2.4%) The three (3) types of Maintenance Service Engineers above 42(17.3%) 94(36.9%) 43(17.7%) 59(24.3%) 5(2.1%) Outside Service Constructions 29(11.9%) 94(38.7%) 69(28.4%) 39(16.0%) 12(4.9%) Others please specify 6(9.1%) 9(13.6%) 14(21.2%) 4(6.1%) 33(50.0%) Brewery Industry External Service Engineer 48(25.3%) 85(44.7%) 32(16.8%) 22(11.6%) 3(1.6%) In-house Service Engineer 70(36.8%) 77(40.5%) 28(14.7%) 14(7.4%) 1(0.5%) Manufacturer’s Service Engineer 40(21.3%) 77(41.0%) 49(26.1%) 21(11.2%) 1(0.5%) 898 Int. J. Adv. Res. 6(7), 894-901 ISSN: 2320-5407 The three (3) types of Maintenance Service Engineers above 38(20.4%) 79(42.5%) 36(19.4%) 30(16.1%) 3(1.6%) Outside Service Constructions 28(15.3%) 82(44.8%) 42(23.0%) 22(12.0%) 9(4.9%) Others please specify 1(2.5%) 8(20.0%) 5(12.5%) 4(10.0%) 22(55.0%) Source: field survey, 2018 Table 5 above shows the frequency distribution of respondents to types of maintenance engineers retained in various industries. On cement industry and on external service engineer, 32.4%, 36.4% and 21.7% agree on weekly, monthly and half-yearly retained maintenance engineers respectively, while 8.3% and 1.2% agree on yearly and other retained maintenance engineers, respectively. On in-house service engineers, 30%, 39.5% and 15.8% agree on weekly, monthly and half-yearly service engineers, respectively, while 13% and 1.2% agree on yearly and other service engineers, respectively. On manufacturer’s service engineers, 21.3%, 29.2% and 28.9% agree on weekly, monthly and half-yearly service engineers respectively, while 18.2% and 2.4% agree on yearly and other service engineers, respectively. On the three types of maintenance engineers, 16.2%, 34.8%, 29.6% and 19.4% agree on weekly, monthly, half-yearly and yearly service engineers, respectively. On other maintenance service engineers in cement industry, 14% agree on weekly, 8% agree on monthly, 20% agree on half-yearly, 8% on yearly and 30% on others. Discussions:- Comparing analysis of three industries, namely, brewery, cement and paper, was made for Ogun and Lagos States for purposes of maintenance practice in these industries. As indicated, factors affecting useful life of plant and machinery in these industries, frequency of usage was ranked first in cement and paper industries and second in brewery industry, with mean ranks of 4.38, 3.92 and 4.07 respectively. Shifting of business centres and others were ranked least with number 10 in maintenance practice in process plants in brewery, cement and paper industries in Ogun and Lagos States. On maintenance schedules in these three industries, most agree that monthly schedule is the best in the brewery, cement and paper industries for all types of maintenance, apart from others. Also, most agree that retainership for all types of service engineers should be on monthly basis for maintenance in brewery, cement and paper industries. Recommendations:- Surveyors and property managers should be aware of the rankings 1 – 10 as they affect maintenance practice in brewery, cement and paper industries in Ogun and Lagos States They should also note that it is best to do monthly maintenance on these process machines. Retainership of service engineers should also be on monthly basis. Adequate records for service and maintenance should also be kept in their maintenance register. ISSN: 2320-5407 ISSN: 2320-5407 ISSN: 2320-5407 Int. J. Adv. Res. 6(7), 894-901 Int. J. Adv. Res. 6(7), 894-901 Int. J. Adv. Res. 6(7), 894-901 Table 6 showing the maintenance history of the plants in various industries. On keeping maintenance history, 94.4% claimed yes while 5.6% claimed no. On other types of maintenance history the respondents keep, 45.2% claimed yes while 54.8% claimed no. On paper industry, on keeping maintenance history, 91.3% claimed yes while 8.7% claimed no. On other types of maintenance history the respondents keep, 52.2% claimed yes while 46.5% claimed no. On brewery industry, on keeping maintenance history, 96.1% claimed yes while 3.9% claimed no. On other types of maintenance history the respondents keep, 45.1% claimed yes while 54.9% claimed no. Methodology:- Table 6:-Maintenance History of the Plants in Various Industries Yes No Cement Industry Keep Maintenance History 237 (94.4%) 14 (5.6%) Indicate other types of Maintenance History you keep 75 (45.2%) 91 (54.8%) Paper Industry Keep Maintenance History 209 (91.3%) 20 (8.7%) Indicate other types of Maintenance History you keep 82 (52.2%) 73 (3.9%) Brewery Industry Keep Maintenance History 174 (96.1%) 7 (3.9%) Indicate other types of Maintenance History you keep 51 (45.1%) 62 (54.9%) Source: Field Survey Table 6:-Maintenance History of the Plants in Various Industries 899 Reference:- 1. Alico J. (1989). Appraising machinery and equipment. New York: McGraw-Hill Publishing Company. 1. Alico J. (1989). Appraising machinery and equipment. New York: McGraw-Hill Publishing Company. 2. American Society of Appraisers (2000).Valuing machinery and equipment, Washington D. C. American 1. Alico J. (1989). Appraising machinery and equipment. New York: McGraw-Hill Publishing Company. 2. American Society of Appraisers (2000).Valuing machinery and equipment, Washington D. C. American Society of Appraiser. USA. pp l Institute (2008). The appraisal of real estate.Thirteenth Edition. Chicago Illinois. Appraisal Institut y pp 3. Appraisal Institute (2008). The appraisal of real estate.Thirteenth Edition. Chicago Illinoi aisal Institute (2014). The appraisal of real estate.Fourteenth Edition. Chicago Illinois. Appraisal Ins 4. Appraisal Institute (2014). The appraisal of real estate.Fourteenth Edition. Chicago Illinois. Appraisal Institute. 5. Belo, M. A. (2003). Guide to plant and machinery valuation. LondonArmitage Book-Guru PR. 5. Belo, M. A. (2003). Guide to plant and machinery valuation. LondonArmitage Book-Guru PR. 6. Badhbhatti, K. (1999). Valuation of plant and machinery (Theory and Practice).Mumbai, Badhbhatti&Associates. 7. Erkoyuncu, J. A.; FernaandexdelAmo; Mura M.D.; Roy R. and Gino Dini (2017). Improving efficiency of industrial maintenance with context aware adaptive authoring in augmented reality: CIRP Annais – manufacturing Technology 66 (2017) 465-468. g gy 8. Ifediora, G.S. A. (2009). Plant and Machinery valuation. Enugu. Ezu Books Ltd. , ( ) y g 9. Kemiki, O. A. (2012). Geospatial analysis of the effects of pollution from a cement factory on property rental value in EwekoroOgun Sate, Nigeria.Journal of the Nigeria Institution of Estate Surveyors and Valuers.Vol.36 No. 1. 10. Miet, E. K. P. and Odoon, S. K. (2016).Development of an effective industrial maintenance practice for plant optimum performance. International Journal of Engineering Research and Application. ISSN 2248-9622, Vol. 6, Issue 3. , 11. Mwanza, B. G. and Mbohwa (2015). An assessment of the effectiveness of equipment maintenance practices in public hospitals. Committee of the Industrial Engineering and Service Science 2015 (IESS 2015). 12. Okoh, V. P. O., Ebi, U. and Johnson, O. O. (2017) Causes of depreciation in process plants in cement industry: Analysis of the perception of practising Estate Surveyors and Valuers. International Journal of humanities and Social Sciences. ISSN(E):2319-3948 Vol. 6 Issue 5. ISSN(P)2319-393X 13. Okoh, V. P. O., Ebi, U. and Dada, A. O. (2017). Causes of depreciation in process plants in paper industry: Analysis of the perception of practising Estate Surveyors and Valuers in Lagos and Ogun States. 17. Umeh, J. A. (2014). Valuation of plant and machinery.Second Edition. Enugu. Ezu Books Ltd. Conclusion:- While the study has succeeded in analysing maintenance practice in brewery, cement and paper industries in Ogun and Lagos States of Nigeria, it has also comparatively analysed these three industries also in these two states of Nigeria. This is a pioneer study which not only contributed to knowledge on maintenance of process plants in brewery, cement and paper industries but has also presented an opportunity for further study that will be of help to estate surveyors and property managers in their valuation and management briefs. 900 Int. J. Adv. Res. 6(7), 894-901 ISSN: 2320-5407 Reference:- g 16. Oladokun, T. T. and Ojo, O. (2012).An evaluation of the problems of commercial prope practice.Journal of the Nigeria Institution of Estate Surveyors and Valuers.Vol. 36 No. 1. Reference:- International Journal of Research in Business Management (Impact: IJRBM) ISSN(E)2347-4572. 14. Okoh, V. P. O., Ebi, U. and Aderogba, A. A. (2017). Perception of Estate Valuers on the causes of depreciation of process plants in brewery industry in Lagos State Nigeria. International Journal of Latest Engineering Research and Application. ISSN: 2455-7137 Vol. 02. Issue:08. 15. Okoh, V. P. O., Ebi, U. and Orelaja, A. O. (2017). Comparative study on the causes of depreciation of process plants in Lagos and Ogun States industrial axes of Nigeria. International Journal of latest Engineering and Management Research. ISSN: 2455-4847. Vol. 02.Issue 08. g 16. Oladokun, T. T. and Ojo, O. (2012).An evaluation of the problems of commercial property management practice.Journal of the Nigeria Institution of Estate Surveyors and Valuers.Vol. 36 No. 1. p g y 17. Umeh, J. A. (2014). Valuation of plant and machinery.Second Edition. Enugu. Ezu Books Ltd. 901
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Biomechanical influences of gait patterns on knee joint: Kinematic &amp; EMG analysis
Jin Ju Kim
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OPEN ACCESS As lumbar spinal stenosis commonly occurs between the L2 and L5 segments, hip abduc- tors are easily affected. However, studies regarding the gait pattern in these patients from the coronal plane have not yet been conducted. Citation: Kim JJ, Cho H, Park Y, Jang J, Kim JW, Ryu JS (2020) Biomechanical influences of gait patterns on knee joint: Kinematic & EMG analysis. PLoS ONE 15(5): e0233593. https://doi.org/ 10.1371/journal.pone.0233593 Citation: Kim JJ, Cho H, Park Y, Jang J, Kim JW, Ryu JS (2020) Biomechanical influences of gait patterns on knee joint: Kinematic & EMG analysis. PLoS ONE 15(5): e0233593. https://doi.org/ 10.1371/journal.pone.0233593 Editor: Riccardo Di Giminiani, University of L’Aquila, ITALY Editor: Riccardo Di Giminiani, University of L’Aquila, ITALY Received: July 17, 2019 Accepted: May 10, 2020 Published: May 29, 2020 To determine the effects of lumbar spinal stenosis on the gait pattern (stride width and femorotibial angle) and hip abductor surface electromyography in varied stride widths com- pared with healthy individuals. PLOS ONE RESEARCH ARTICLE Jin Ju Kim1☯, Han Cho1☯, Yulhyun Park2, Joonyoung Jang2, Jung Woo Kim3, Ju Seok RyuID2,4* 1 Department of Medicine, Seoul National University College of Medicine, Seongnam-si, Republic of Korea, 2 Department of Rehabilitation Medicine, Seoul National University Bundang Hospital, Seongnam-si, Republic of Korea, 3 Department of Rehabilitation Medicine, Seoul National University Hospital, Seongnam- si, Republic of Korea, 4 Department of Rehabilitation Medicine, Seoul National University College of Medicine, Seongnam-si, Republic of Korea ☯These authors contributed equally to this work. ☯These authors contributed equally to this work. * jseok337@snu.ac.kr * jseok337@snu.ac.kr Methods Seventeen patients and 20 healthy individuals were enrolled. Each participant completed three gait assessments in their normal gait, adducted gait and abducted gait. The femoroti- bial angle and surface electromyography signals were measured. Pain scores was used to quantify the degree of discomfort in the gluteal area and medial side of the knee. Copyright: © 2020 Kim 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. Prospective case-control study. Prospective case-control study. Prospective case-control study. PLOS ONE PLOS ONE Study design Peer Review History: PLOS recognizes the benefits of transparency in the peer review process; therefore, we enable the publication of all of the content of peer review and author responses alongside final, published articles. The editorial history of this article is available here: https://doi.org/10.1371/journal.pone.0233593 Introduction Lumbar spinal stenosis (LSS) is defined as a diminished space in the lumbar spinal canal, resulting in symptoms caused by compressed neural and vascular elements in the lumbar spine [1, 2]. Due to compressed neural and vascular elements, LSS may cause pain in the glu- teal area and the lower extremities, as well as fatigue and back pain, among others [2–4]. LSS is clinically diagnosed based on radiologic and clinical criteria; however, since MRI is considered as the “most appropriate, noninvasive test to confirm the presence of anatomic narrowing of the spinal canal or the presence of nerve root impingement,” radiologic findings are accepted as the most appropriate diagnostic method.[2] The narrowing of the spinal canal is typically caused by degenerative changes [5]; therefore, LSS commonly affects the elderly, and its incidence increases in aging populations [6, 7]. Walking is a complex task [8], and the ability to walk declines with age [9]. Since LSS symp- toms are aggravated with exercise, a decrease in walking ability, as aforementioned, is acceler- ated with LSS [4, 6], significantly affecting the daily life of LSS patients. Moreover, LSS is one of the most significant causes of gait restriction in elderly patients, especially for those over the age of 55 years, along with other clinical conditions, including osteoarthritis [10]. Stride length is also commonly measured in studies regarding gait patterns of LSS patients [11, 12]. Such studies approach gait patterns of LSS patients from the sagittal plane. However, to the best of our knowledge, studies regarding the gait pattern of LSS patients from the coro- nal plane have not yet been conducted. In normal gait in coronal plane torque, adducting vector is maintained and the intensity of gluteus medius, minimus and tensor fascia lata muscles increases to 20%, 20% and 25% of maximal manual muscle test value, respectively.[13] As LSS commonly occurs between the L2 and L5 segments, hip abductors, innervated at L4 and L5, are easily affected; therefore, weak- ness of hip abductors develops in severe cases and affects walking in the coronal plane. [14] We hypothesize that LSS patients can develop hip abductor weakness and sensory change, and these changes may induce abnormal gait patterns in the coronal plane. Moreover, abnor- mal gait pattern in the coronal plane could affect the mechanics of the knee joints and the development of knee osteoarthritis. Conclusion Wider stride widths indicated increased relative activation of the hip abductors, closer prox- imity between femorotibial angle and varus, and increased pain scores for discomfort. The same tendency was observed in patients group when compared with healthy individuals. Widening of stride width in patients group despite abductor weakness suggests that addi- tional muscle recruitment may be needed to maintain balance. Furthermore, such a distinc- tive gait pattern exerts increased loading on the medial knee, relating to the escalated risk of degenerative knee osteoarthritis. Results When the hip abductors’ surface electromyography signals were normalized by quadriceps femoris, patients group showed significantly higher activation ratios throughout all gait pat- terns. Generally, surface electromyography signals and ratios were significantly higher dur- ing abducted gait compared with a normal gait. Femorotibial angle became significantly closer to the varus in healthy individuals during abducted gait. When femorotibial angle dur- ing normal gait was compared between the two groups, patients group exhibited slightly Data Availability Statement: All relevant data are within the paper and supporting information files. Funding: This research was supported by a grant of the Korea Health Technology R&D Project through the Korea Health Industry Development 1 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 PLOS ONE Gait pattern and knee osteoarthritis wider stride width and FTA significantly closer to the varus. Pain scores were significantly higher in the patient group and during abducted gait. wider stride width and FTA significantly closer to the varus. Pain scores were significantly higher in the patient group and during abducted gait. Institute (KHIDI), funded by the Ministry of Health & Welfare, Republic of Korea (grant number: HI18C1169). Institute (KHIDI), funded by the Ministry of Health & Welfare, Republic of Korea (grant number: HI18C1169). Competing interests: The authors have declared that no competing interests exist. PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 Introduction The purpose of this study was to identify the changes in kinematic and electromyographic aspects of gait patterns in LSS patients compared with healthy individuals, thereby verifying the causative effects of LSS on the development of knee osteoarthritis in biomechanical aspect. PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 2 / 13 PLOS ONE Gait pattern and knee osteoarthritis Gait designation To elucidate how stride width can affect muscle activation and limb alignment, three distinc- tive gait patterns were designed: normal gait, adducted gait, and abducted gait (Fig 1(B, Right)). During normal gait, participants were asked to walk as usual. Then, they were asked to walk with medial borders of their feet touching each other, which was defined as the adducted gait. Finally, they were requested to walk with medial borders of their feet approximately 40cm apart, which was termed as the abducted gait. For each gait pattern, individuals were asked to walk for approximately 6 meters and repeat the gait twice, resulting in a total of six gait trials and the mean values were calculated. Participants The inclusion criteria for LSS were as follows: independent ambulation, age greater than 50 years, grade greater than 1 with the Hufschmidt grade (symptomatic criteria),[15] and more than moderate stenosis at L2-5 segments with MRI criteria.[16] A total of 17 patients were enrolled in the LSS group, and 20 healthy adults free of LSS symptoms (numbness and tingling of the lower extremities) were recruited to be included in the control group. Stride width Stride width was defined as the medial-lateral distance between the heels. Stride width was measured using a baropodometric platform. Data were collected using the FreeStep software1 (Fig 1(A), Sensor Medica, Rome, Italy). This software automatically demonstrated the step length, stride length and foot progression angle which is the angle between the heel and the path of gait. Stride width was calculated from the data of the contact points obtained by baro- podometric platform (Fig 1(B, Right)). Participants were instructed to walk back and forth as usual. This was repeated once more, resulting in a total of four trials. The first two trials were discarded as test trials, and the stride width of the last two trials was analyzed. Since optimum stride width is given as a ratio relative to leg length (0.12~0.13L; L: leg length) [17], normalized stride width values were computed by dividing stride width by height. Materials and methods Study design This prospective case-control study was performed between September 2018 and February 2019 in the tertiary hospital. All patients provided written informed consent, and the study protocol was approved by the Institutional Review Board (IRB No.: B- 1810-497-309). Surface electromyography analysis The sEMG signals were measured in the left and right gluteus medius (GMe), tensor fasciae latae (TFL), and quadriceps femoris (QF), using the wireless sEMG analysis system (BTS FREEEMG 1000 with EMG-BTS EMG-Analyzer1 (BTS Bioengineering Co, Italy, Fig 1(C)). Participants were asked to walk in the three aforementioned instructed gait patterns with elec- trodes placed, following the guidelines of Cram’s Introduction to Surface EMG [18]. To mea- sure the activation of GMe, electrodes were placed parallel to the muscle fibers, on the proximal third of the line, between the iliac crest and greater trochanter. The activation of TFL was recorded by electrodes placed parallel to the muscle fiber, 2cm below the anterior superior iliac spine. Electrodes for measuring the activation of QF were placed parallel to the muscle fibers, halfway between the knee and the iliac spine. 3 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 PLOS ONE Gait pattern and knee osteoarthritis Fig 1. These figures show the evaluation method. (A) Stride width was measured using the pressure plate with a sensorized matrix (FreeStep). Participants were instructed to walk end-to-end for 4 times. The first 2 trials were regarded as familiarization trials and the outcomes from the last 2 trials were obtained for step width analysis. (B) Stride width was defined as the distance between your heels when each heel is at its lowest point during the stride. The corresponding coordinates were collected and analyzed through manual specified by FreeStep software. Raw data was exported as Microsoft Excel file (.XLS format). The Microsoft Excel file containing each contact point (in yellow). The progression line is in green and the stride width is marked with an orange arrow. The width of each cell is 0.5cm, thus the number of cells between the green lines was counted and the final stride width was calculated (Left image). Three gait patterns (Right image). First, the participants were instructed to walk in their normal pace (“Normal gait”). Then, they were asked to walk with their medial borders of feet touching each other (“Adduction gait”). Finally, they were told to walk with their feet approximately 40cm apart (“Abduction gait”). (C) Surface electromyography (sEMG) analysis. Surface electromyography analysis sEMG was measured using BTS FREEEMG 1000 with EMG-BTS EMG-Analyzer1, with electrodes placed based on Cram’s introduction to surface EMG–proximal 1/3 between the iliac crest and the greater trochanter for GM, approximately 2cm below the ASIS for TFL and approximately 1/2 between the knee and the iliac spine for QF. sEMG signals of the muscles were measured twice for each gait pattern. (D) Gait analysis in the coronal plane. The femorotibial angle (FTA) was measured using Human Track1 (Gait & Motion Analysis System). The lumbar sensor was placed on the midpoint of the lateral iliac crest. The thigh and the shank sensors were placed 9cm proximal and distal from the patella respectively. The foot sensor was placed on the 2nd and the 3rd metatarsal. FTA was calculated from the midstance phase peaks in the knee coronal plane. Fig 1. These figures show the evaluation method. (A) Stride width was measured using the pressure plate with a sensorized matrix (FreeStep). Participants were instructed to walk end-to-end for 4 times. The first 2 trials were regarded as familiarization trials and the outcomes from the last 2 trials were obtained for step width analysis. (B) Stride width was defined as the distance between your heels when each heel is at its lowest point during the stride. The corresponding coordinates were collected and analyzed through manual specified by FreeStep software. Raw data was exported as Microsoft Excel file (.XLS format). The Microsoft Excel file containing each contact point (in yellow). The progression line is in green and the stride width is marked with an orange arrow. The width of each cell is 0.5cm, thus the number of cells between the green lines was counted and the final stride width was calculated (Left image). Three gait patterns (Right image). First, the participants were instructed to walk in their normal pace (“Normal gait”). Then, they were asked to walk with their medial borders of feet touching each other (“Adduction gait”). Finally, they were told to walk with their feet approximately 40cm apart (“Abduction gait”). (C) Surface electromyography (sEMG) analysis. sEMG was measured using BTS FREEEMG 1000 with EMG-BTS EMG-Analyzer1, with electrodes placed based on Cram’s introduction to surface EMG–proximal 1/3 between the iliac crest and the greater trochanter for GM, approximately 2cm below the ASIS for TFL and approximately 1/2 between the knee and the iliac spine for QF. Surface electromyography analysis sEMG signals of the muscles were measured twice for each gait pattern. (D) Gait analysis in the coronal plane. The femorotibial angle (FTA) was measured using Human Track1 (Gait & Motion Analysis System). The lumbar sensor was placed on the midpoint of the lateral iliac crest. The thigh and the shank sensors were placed 9cm proximal and distal from the patella respectively. The foot sensor was placed on the 2nd and the 3rd metatarsal. FTA was calculated from the midstance phase peaks in the knee coronal plane. https://doi.org/10.1371/journal.pone.0233593.g001 Using the recorded sEMG signals, the root-mean-square (RMS) value and peak value were measured. The signals recorded during initiation and termination of each gait trial were excluded. Also, the peak activation and RMS values during gait were obtained and compared among the three gait patterns. These measurements were performed two times, and the mean values were calculated. To decrease the individual variation of sEMG, the sEMG ratios (sEMG values divided by the QF muscle at each cycle) were compared among the gait patterns. Gait analysis in the coronal plane To assess limb alignments, Femorotibial angle (FTA) was measured using the Human Track1, Gait & Motion Analysis System (RBIOTECH CO., LTD, Korea, Fig 1(D)). Straps were attached according to the anatomical landmarks; the lumbar sensor was placed on the mid- point of the lateral iliac crest; the thigh and shank sensors were placed 9cm proximal and distal from the patella, respectively; and the foot sensors were placed on the 2nd and the 3rd metatar- sal bones. FTA was obtained from the analysis of the coronal plane knee joint. Gait cycles of 4 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 PLOS ONE Gait pattern and knee osteoarthritis each trial from the initiation phase to the termination phase were summed up. The abnormal gait cycles were also discarded. After summation, the peak FTA during the mid-stance phase was obtained; the mid-stance phase was defined as 10–40% of the raw gait cycle. These mea- surements were performed two times, and the mean values were calculated. Statistical analysis All statistical analyses were conducted using SPSS version 25 (SPSS Inc.; Chicago, IL, USA). Between the control and LSS groups, an independent T-test was conducted to compare the means (when P-value from Kolomogorov-Smirnov’s test of normality was < 0.05, indepen- dent samples Mann Whitney U test was conducted). When measurements from normal gait were compared with those of abducted and adducted gait within the group, repeated-measures ANOVA was used to compare the means. Bonferroni correction was used to reduce the risk of type I error. P-value < 0.05 was considered to be statistically significant. Subjective perception of discomfort during gait Between the repeated trials of each gait, participants were asked to rate their subjective percep- tion of discomfort using the visual analog scale (VAS). The discomforts of the hip and medial side of the knee were separately reported during each of the three designated gait patterns. Par- ticipants expressed their discomfort on a scale from 0 to 10, where 0 indicated no discomfort and 10 indicated most severe discomfort. Results Demographic data are presented in Table 1. The average age was 66.1 ± 8.0 years in the LSS group and 50.5 ± 6.0 years in the control group. The gender ratios were not significantly differ- ent between the two groups (p-value > 0.05). The average height and weight were 157.6 ± 6.3 (cm) / 59.3 ± 8.4(kg) and 163.1 ± 6.4(cm) / 60.9 ± 11.8(kg) in the LSS group and the control group, respectively. The average normalized stride width was slightly greater in LSS patients (4.11%) compared with that in the control group (4.07%) but without statistical significance. Table 2 illustrates the findings of gait analysis in the coronal plane. Lt. side FTA signifi- cantly changed to the varus when the control group walked in an abducted gait (p- value < 0.05). The normal gait in the LSS group showed a significant varus angle than those in the control group (p-value < 0.05). Other parameters between the two groups or gait patterns were not significantly different (p-value > 0.05, Fig 2). Table 3 and Fig 3 illustrate the RMS and peak sEMG values from GMe, TFL, and QF. RMS and peak values of GMe, TFL, and QF were significantly different in three gait patterns in both groups. In the control group, the RMS and peak values of TFL were significantly increased during abducted gait than normal and adducted gaits (p-value < 0.05). The RMS and peak val- ues of GMe were significantly increased during abducted gait than adducted gait (p- value < 0.05) and showed increased tendency than normal gait (p-value, RMS: 0.061, peak: 0.074). In the LSS group, RMS and peak values of GMe were significantly increased during abducted gait than adducted and normal gaits (p-value < 0.05). The RMS and peak values of TFL showed an increased tendency during abducted gait than normal gait (p-value, RMS: 0.052, peak: 0.061). Also, the RMS and peak values of GMe and TFL were significantly increased during adducted gait than normal gait (p-value < 0.05). When we compared QF among the three gait patterns, the RMS values of QF during abducted gait were significantly decreased in the control group (p-value < 0.05), while a significant increase was observed in the LSS group (p-value < 0.05). PLOS ONE Gait pattern and knee osteoarthritis Table 1. Demographic data of the lumbar spinal stenosis group and the control group. LSS group Control group Sample size Mean Sample size Mean p-value Age (years) 17 66.1±8.0 20 50.5±6.0 0.000 Height (cm) 17 157.6±6.3 20 163.1±6.4 0.007 Weight (kg) 17 59.3±8.4 20 60.9±11.8 0.647 Gender (M/F) 3/14 - 3/17 - 0.774 Normalized stride width (%) 17 4.113±1.995 20 4.067±1.927 0.537 LSS group: Lumbar spinal stenosis group. Values are expressed as mean ± standard deviation. https://doi org/10 1371/journal pone 0233593 t001 Table 1. Demographic data of the lumbar spinal stenosis group and the control group. values of TFL were significantly higher during normal, adducted and abducted gaits in the LSS group than those of the control group (p-value < 0.05). values of TFL were significantly higher during normal, adducted and abducted gaits in the LSS group than those of the control group (p-value < 0.05). Table 4 illustrates the sEMG RMS ratios (sEMG values divided by the QF muscle at each cycle). The RMS ratio of GMe and TFL in the control group and the RMS ratio of GMe in the LSS group showed a significant increase during the abducted gait than the normal gait (p- value < 0.05). (p-value < 0.05) When compared between the two groups, all sEMG RMS ratios were higher in LSS patients compared with the control group, regardless of stride width (p- value < 0.05). The sEMG peak ratio showed similar findings to the results of the sEMG RMS ratio (Table 4). The discomfort levels according to the gait pattern are described in Table 5 and Fig 4. Com- pared with the normal gait, the VAS scores were significantly higher during the adducted and abducted gait, which were also significantly higher in both the hip and medial sides of the knee (p-value < 0.05), except for the VAS score of hip in the LSS group, which showed an insignifi- cant increase (p-value > 0.05). The overall VAS scores in the LSS group were higher than those in the control group (p-value < 0.05). Results In comparison between the two groups, the RMS and peak val- ues of QF were significantly lower during normal and adducted gaits, and the RMS and peak 5 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 https://doi.org/10.1371/journal.pone.0233593.t002 group: Lumbar spinal stenosis group. Varus angle is positive and valgus angle is negative. The values are expressed as angle( omparisons of the normal gait pattern between the LSS and the control groups. Discussion These figures show the results of Femorotibial angle (FTA) of the right (A) and the left side (B). The FTA was changed to varus angle during abducted gait in both groups (, p-value < 0.05 only in the control group, left side). During normal gait, the LSS group’ FTA was significantly closer to varus than the control group (#, p- value < 0.05). Varus angle is positive and valgus angle is negative. The values are expressed as angle(˚). Fig 2. These figures show the results of Femorotibial angle (FTA) of the right (A) and the left side (B). The FTA was changed to varus angle during abducted gait in both groups (, p-value < 0.05 only in the control group, left side). During normal gait, the LSS group’ FTA was significantly closer to varus than the control group (#, p- value < 0.05). Varus angle is positive and valgus angle is negative. The values are expressed as angle(˚). https://doi.org/10.1371/journal.pone.0233593.g002 https://doi.org/10.1371/journal.pone.0233593.g002 hip abductors, alterations in gait patterns may develop especially in the coronal plane. This may lead to changes in the distribution of forces exerted on the joints affecting the bony align- ment of the lower limb, predisposing patients to degenerative pathologies of the joint.[28] Thus, we hypothesized that such biomechanical changes may affect the overall gait pattern with respect to the stride width and hip abductor sEMG activation signals. Furthermore, we expected an altered gait pattern to elicit changes in the knee joint, inducing the knee into a more varus or valgus formation. hip abductors, alterations in gait patterns may develop especially in the coronal plane. This may lead to changes in the distribution of forces exerted on the joints affecting the bony align- ment of the lower limb, predisposing patients to degenerative pathologies of the joint.[28] Thus, we hypothesized that such biomechanical changes may affect the overall gait pattern with respect to the stride width and hip abductor sEMG activation signals. Furthermore, we expected an altered gait pattern to elicit changes in the knee joint, inducing the knee into a more varus or valgus formation. However, exact predictions were impossible with two contradictory observations. On the one hand, a wider stride width requires higher activation of the hip abductor muscles.[24] On the other, older populations with hip abductor weakness, other than LSS, were reported to Table 3. Discussion Most of the previous studies to examine gait patterns in LSS patients focused on decreased physical performance[4, 6]. Among few exceptions, changes in stride or joint angles have only been viewed from the sagittal plane[19–23]. Though hip abductors play a significant role dur- ing the single-limb support phase of the gait cycle, most electromyography and gait analyses have also been focused on the sagittal plane[24–27]. Thus, specific gait patterns of LSS patients from the coronal plane are necessary to be clarified. LSS patients are known to develop hip abductors weakness, which is mainly innervated by the lumbar 5 segments, as a result of radiculopathy.[2] With major changes in the nerves and he analysis of coronal plane in gait analysis. Femorotibial angle (FTA) changed to varus angle during abduction gait in b ntrol group nalysis. Femorotibial angle (FTA) changed to varus angle during abduction gait in both the lumbar spinal stenosis group Table 2. The analysis of coronal plane in gait analysis. Femorotibial angle (FTA) changed to varus angle during abduction and the control group. Table 2. The analysis of coronal plane in gait analysis. Femorotibial angle (FTA) changed to varus angle during abduction gait in both the lumbar spinal stenosis group and the control group. Table 2. The analysis of coronal plane in gait analysis. Femorotibial angle (FTA) changed to varus angle during abduction gait in both the lumbar spinal stenosis group and the control group. Gait pattern LSS group Control Right Left Bilateral Right Left Bilateral Normal 0.281±2.404# 1.896±3.049# 1.089±2.838# -2.018±3.826 0.075±2.273 -0.973±3.299 Adducted -0.158±2.540 1.423±2.248 0.633±2.506 -1.880±4.704 0.708±2.702 -0.586±4.028 Abducted 0.448±3.587# 1.800±2.549 1.124±3.157# -1.560±4.044 1.178±2.845 -0.191±3.737 LSS group: Lumbar spinal stenosis group. Varus angle is positive and valgus angle is negative. The values are expressed as angle(˚). #: Comparisons of the normal gait pattern between the LSS and the control groups. : Comparisons of gait patterns within each group. , #: P-Value < 0.05 LSS group: Lumbar spinal stenosis group. Varus angle is positive and valgus angle is negative. The values are expressed as angle(˚). #: Comparisons of the normal gait pattern between the LSS and the control groups. : Comparisons of gait patterns within each group. , #: P-Value < 0.05 PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 6 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 PLOS ONE Gait pattern and knee osteoarthritis Fig 2. #: P-Value <0.05 in comparison to control group LSS group: Lumbar spinal stenosis group; RMS: Root mean square; GMe: Gluteus medius; TFL: Tensor fascia lata : P-Value <0.05 in comparison within each group https://doi.org/10.1371/journal.pone.0233593.t003 Discussion The surface EMG analysis of gluteus medius, tensor fascia lata and quadriceps femoris muscles. Gait pattern LSS group Control group RMS GMe TFL QF GMe TFL QF Normal 37.3 ± 25.5 70.0 ± 73.6# 55.2 ± 34.0# 38.6 ± 44.0 45.1 ± 30.2 78.1 ± 37.5 Adducted 39.4 ± 27.8 84.7 ± 104.0# 59.0 ± 34.1# 32.4 ± 22.0 49.5 ± 37.3 72.1 ± 37.0 Abducted 53.6 ± 36.9 89.2 ± 86.4# 67.4 ± 37.1 46.3 ± 31.1 60.6 ± 40.6 66.4 ± 33.9 Peak GMe TFL QF GMe TFL QF Normal 90.3 ± 61.5 154.7 ± 132.3 139.8 ± 91.0# 100.3 ± 90.4 124.4 ± 79.7 209.4 ± 92.9 Adducted 99.4 ± 68.1 178.8 ± 160.3# 144.3 ± 83.0# 90.8 ± 57.9 129.6 ± 98.5 196.4 ± 93.7 Abducted 116.4 ± 71.0 175.8 ± 129.2 149.7 ± 83.3 120.7 ± 79.0 145.7 ± 97.5 170.8 ± 80.2 LSS group: Lumbar spinal stenosis group; RMS: Root mean square; GMe: Gluteus medius; TFL: Tensor fascia lata : P-Value <0.05 in comparison within each group #: P-Value <0.05 in comparison to control group https://doi.org/10.1371/journal.pone.0233593.t003 Table 3. The surface EMG analysis of gluteus medius, tensor fascia lata and quadriceps femoris muscles. PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 7 / 13 7 / 13 PLOS ONE Gait pattern and knee osteoarthritis Fig 3. These figures show the results of sEMG analysis of gluteus medius, tensor fasciae and latae and quadriceps femoris muscles. (A) RMS of gluteus medius and tensor fasciae latae in the control group (A) and RMS of gluteus medius in the LSS group (B) were significantly increased during abducted gait than the normal gait. However, in the case of QF, the control group showed a decrease in amplitude (A) while the LSS group showed an increase (B, p-value < .05). Fig 3. These figures show the results of sEMG analysis of gluteus medius, tensor fasciae and latae and quadriceps femoris muscles. (A) RMS of gluteus medius and tensor fasciae latae in the control group (A) and RMS of gluteus medius in the LSS group (B) were significantly increased during abducted gait than the normal gait. However, in the case of QF, the control group showed a decrease in amplitude (A) while the LSS group showed an increase (B, p-value < .05). Discussion https://doi.org/10.1371/journal.pone.0233593.g003 have a wider stride width.[24, 29, 30] The results of our study supported our hypothesis as LSS patients exhibited changes in their gait patterns compared with healthy individuals with respect to stride width, hip abductor sEMG signals, and FTA. LSS patients were observed to walk with a slightly wider stride width, exhibit higher hip abductor muscle activation signals, have knees closer to a varus formation, and aggravated discomfort in the hip and medial knee areas. have a wider stride width.[24, 29, 30] The results of our study supported our hypothesis as LSS patients exhibited changes in their gait patterns compared with healthy individuals with respect to stride width, hip abductor sEMG signals, and FTA. LSS patients were observed to walk with a slightly wider stride width, exhibit higher hip abductor muscle activation signals, have knees closer to a varus formation, and aggravated discomfort in the hip and medial knee areas. When instructed to walk with a wider stride width, both the control group and LSS group showed higher activation of GMe and TFL relative to QF. These consistent elevations in the sEMG signals show that the hip abductor muscles are essential during the abducted gait. Table 4. The RMS and peak ratio of the surface EMG (surface EMG values divided by the quadriceps femoris at each cycle) in gluteus medius and tensor fasciae latae. Gait pattern LSS group Control group RMS GMe/nQF TFL/nQF GMe/nQF TFL/nQF Normal 0.880 ± 0.814# 1.659 ± 2.401# 0.608 ± 0.840 0.634 ± 0.362 Adducted 0.836 ± 0.795# 1.846 ± 2.878# 0.596 ± 0.532 0.771 ± 0.541 Abducted 0.992 ± 0.935 1.738 ± 2.300# 0.897 ± 0.845 1.078 ± 0.793 Peak GMe/nQF TFL/nQF GMe/nQF TFL/nQF Normal 0.877 ± 0.852# 1.493 ± 1.783# 0.609 ± 0.786 0.672 ± 0.439 Adducted 0.885 ± 0.813# 1.644 ± 2.024,# 0.643 ± 0.635 0.743 ± 0.524 Abducted 0.993 ± 0.880 1.559 ± 1.705# 0.909 ± 0.872 1.042 ± 0.902 LSS group: Lumbar spinal stenosis group; GMe: Gluteus medius; nQF: Normalized quadriceps femoris; TFL: Tensor fascia lata: RMS: Root mean square. : P-Value <0.05 in comparison within each group #: P-Value <0.05 in comparison to control group EMG (surface EMG values divided by the quadriceps femoris at each cycle) in gluteus medius and tensor fasciae Table 4. is group; GMe: Gluteus medius; nQF: Normalized quadriceps femoris; TFL: Tensor fascia lata: RMS: Root mean square. h h LSS group: Lumbar spinal stenosis group; GMe: Gluteus medius; nQF: Normalized quadriceps femoris; TFL: Tensor fascia lata: RMS: Root mean square. : P Value <0 05 in comparison within each group son within each group son to control group PLOS ONE Gait pattern and knee osteoarthritis Moreover, a wider stride width affected the FTA, shifting its degree to a more varus formation, increasing the loads on medial knee joints, which are known as a common location for osteo- arthritis in an elderly population. Although this tendency was not statistically verified in the LSS group, the control group showed significant changes toward a varus formation. The rea- son of insignificance in the LSS group might be related to the limited coronal motion of knee joints due to already developed OA. Lastly, when stride width deviated from its usual width, participants reported higher degrees of discomfort in both the hip and the medial knee areas. Although the widening of stride width was not statistically significant, the changes in sEMG and FTA suggest a significant resemblance between the normal gait in the LSS group and abducted gaits in the control group. However, such a correlation seems to contradict with the hip abductor weakness exhibited by patients, which is a major symptom of LSS. This contra- diction may be attributed to balance management. As a wider stride width is suggested to be Table 5. The discomfort level according to gait pattern was significantly higher in the LSS group. Discomfort increased by order of normal, adduction, abduction gait in both groups. Gait pattern LSS group Control group Gluteal area Medial knee Gluteal area Medial knee Normal 3.294 (± 2.932)# 2.000 (± 1.904)# 0.000 (± 0.000) 0.000 (± 0.000) Adducted 3.529 (± 2.875)# 2.529 (± 2.375),# 0.200 (± 0.410) 0.400 (± 0.598) Abducted 4.118 (± 2.848)# 2.647 (± 2.572)# 0.650 (± 0.813) 0.800 (± 0.834) LSS group: Lumbar spinal stenosis group; GMe: Gluteus medius; nQF: Normalized quadriceps femoris; TFL: Tensor fascia lata : P-Value <0.05 in comparison within each group #: P-Value <0.05 in comparison to control group https://doi.org/10.1371/journal.pone.0233593.t005 Fig 4. This figure shows the discomfort level according to the gait patterns. The VAS scores were significantly higher during adducted and abducted gait in both the hip and the medial side of the knee than the normal gait (p-value < 0.05). https://doi.org/10.1371/journal.pone.0233593.g004 p Table 5. The discomfort level according to gait pattern was significantly higher in the LSS group. Discomfort increased by order of normal, adduction, abduction gait in both groups. Discussion The RMS and peak ratio of the surface EMG (surface EMG values divided by the quadriceps femoris at each cyc latae PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 8 / 13 PLOS ONE Gait pattern LSS group Control group Gluteal area Medial knee Gluteal area Medial knee Normal 3.294 (± 2.932)# 2.000 (± 1.904)# 0.000 (± 0.000) 0.000 (± 0.000) Adducted 3.529 (± 2.875)# 2.529 (± 2.375),# 0.200 (± 0.410) 0.400 (± 0.598) Abducted 4.118 (± 2.848)# 2.647 (± 2.572)# 0.650 (± 0.813) 0.800 (± 0.834) LSS group: Lumbar spinal stenosis group; GMe: Gluteus medius; nQF: Normalized quadriceps femoris; TFL: Tensor fascia lata : P-Value <0.05 in comparison within each group #: P-Value <0.05 in comparison to control group pattern was significantly higher in the LSS group. Discomfort increased by order of normal, adduction, abduction gait bar spinal stenosis group; GMe: Gluteus medius; nQF: Normalized quadriceps femoris; TFL: Tensor fascia lata 5 i i i hi h Moreover, a wider stride width affected the FTA, shifting its degree to a more varus formation, increasing the loads on medial knee joints, which are known as a common location for osteo- arthritis in an elderly population. Although this tendency was not statistically verified in the LSS group, the control group showed significant changes toward a varus formation. The rea- son of insignificance in the LSS group might be related to the limited coronal motion of knee joints due to already developed OA. Lastly, when stride width deviated from its usual width, participants reported higher degrees of discomfort in both the hip and the medial knee areas. Moreover, a wider stride width affected the FTA, shifting its degree to a more varus formation, increasing the loads on medial knee joints, which are known as a common location for osteo- arthritis in an elderly population. Although this tendency was not statistically verified in the LSS group, the control group showed significant changes toward a varus formation. The rea- son of insignificance in the LSS group might be related to the limited coronal motion of knee joints due to already developed OA. Lastly, when stride width deviated from its usual width, participants reported higher degrees of discomfort in both the hip and the medial knee areas. Although the widening of stride width was not statistically significant, the changes in sEMG and FTA suggest a significant resemblance between the normal gait in the LSS group and abducted gaits in the control group. However, such a correlation seems to contradict with the hip abductor weakness exhibited by patients, which is a major symptom of LSS. PLOS ONE This contra- diction may be attributed to balance management. As a wider stride width is suggested to be Although the widening of stride width was not statistically significant, the changes in sEMG and FTA suggest a significant resemblance between the normal gait in the LSS group and abducted gaits in the control group. However, such a correlation seems to contradict with the hip abductor weakness exhibited by patients, which is a major symptom of LSS. This contra- diction may be attributed to balance management. As a wider stride width is suggested to be Fi 4 Thi fi h th di f t l l di t th it tt Th VAS i ifi tl hi h d i dd t d d bd t d it i Fig 4. This figure shows the discomfort level according to the gait patterns. The VAS scores were significantly higher during adducted and abducted gait in both the hip and the medial side of the knee than the normal gait (p-value < 0.05). https://doi.org/10.1371/journal.pone.0233593.g004 Fig 4. This figure shows the discomfort level according to the gait patterns. The VAS scores were significantly higher during adducted and abducted gait in both the hip and the medial side of the knee than the normal gait (p-value < 0.05). https://doi.org/10.1371/journal.pone.0233593.g004 https://doi.org/10.1371/journal.pone.0233593.g004 PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 9 / 13 PLOS ONE Gait pattern and knee osteoarthritis related to enhanced balance[31], balance maintenance could be a reasonable explanation for the stride width observed in the LSS group. Moreover, a wider stride width is commonly observed in older populations[30, 32, 33]. Moreover, the sEMG activation pattern of QF supports this notion. When the control group was instructed to walk with wider strides, their QF sEMG signals decreased, while sEMG of GMe and TFL increased; however, when the LSS group was asked to conduct the abducted gait, their QF sEMG signals increased, together with the signals of GMe and TFL. This suggests that LSS patients may have limited function to control each muscle, require more effort to maintain balance, and thus, need to recruit more muscles. In other words, while healthy individuals require less QF activation during the abducted gait, LSS patients may need not only higher activation of the hip abductors, but also higher activation of QF (Table 3). Study limitations The control group was not age-matched; and due to the small sample size, the intragroup anal- ysis based on gender was not possible. A follow-up study is required to evaluate the stride width according to age. However, this study evaluated three gait patterns such as normal, adducted and abducted gait patterns within each group. The differences in the three gait pat- terns in each group are thought to have contributed to the conclusion. This was a single session experiment; thus, long-term follow-up studies are needed to clarify the causality among LSS, joint angle, and knee osteoarthritis. Lastly, we have to consider the individual variation of sEMG. PLOS ONE Also notable was the fact that the LSS group required higher activation of the hip abductor muscles for the same amount of abducted gait than the control group. Since stride width for abducted gait was designated for all participants, the extent of abduction was equivalent. Thus, LSS patients exhibited inefficient hip abductor use, and this was revealed in the form of over- firing of the hip abductor muscles. A possible interpretation would be that the over-firing of such muscles may be to compensate for an impaired balance. Fig 5 shows the schematic diagram of a single limb support phase in the normal (A, d1) and abducted gait pattern (B, d1’). Widening of stride width in LSS patients despite abductor weak- ness implies that additional muscle recruitment (AB F’, longer arrow) may be needed to main- tain balance (B). Femorotibial angle (FTA) changed to the varus in an abducted gait pattern (B, FTA’). Such changes in the knee joint can be associated with knee osteoarthritis because when the knee joints are in a varus position, the loading of weight is focused on the medial side of the knee joint. Furthermore, the alteration of gait patterns found in LSS patients and elderly population during the abducted gait shows the potential for stride width changing the knee alignment in these subjects.[29, 30] This is not only because LSS patients’ knee joints tend to be closer to the varus during gait, but also because FTA changed when stride width was altered.[34] However, this study did not collect previous medical histories regarding knee osteoarthritis. Therefore, the causality between knee osteoarthritis and LSS cannot be drawn from this study. For clarifi- cation, long term follow-up studies should be conducted. Nevertheless, this study, to the best of our knowledge, is the first study to elucidate knee coronal angle changes in LSS patients, proposing a relationship between gait pattern and knee osteoarthritis from a biomechanical point of view. Conclusions The patients with spinal stenosis showed a wider stride width compared to the control group. With a wider stride width, the relative activation of the hip abductors increased, and FTA 10 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 PLOS ONE Gait pattern and knee osteoarthritis Fig 5. These figures show the schematic diagram of a single limb support phase in the normal (A, d1) and abducted gait pattern (B, d1’). Widening of stride width in LSS patients despite abductor weakness suggests that additional muscle recruitment (AB F’, longer arrow) may be needed to maintain balance (B). Femorotibial angle (FTA) changed to the varus in an abducted gait pattern (B, FTA’). Furthermore, such a distinctive gait pattern exerts increased loading on the medial knee, relating to the escalated risk of degenerative knee osteoarthritis. Fig 5. These figures show the schematic diagram of a single limb support phase in the normal (A, d1) and abducted gait pattern (B, d1’). Widening of stride width in LSS patients despite abductor weakness suggests that additional muscle recruitment (AB F’, longer arrow) may be needed to maintain balance (B). Femorotibial angle (FTA) changed to the varus in an abducted gait pattern (B, FTA’). Furthermore, such a distinctive gait pattern exerts increased loading on the medial knee, relating to the escalated risk of degenerative knee osteoarthritis. became closer to the varus. The VAS scores of the hip and medial side of the knee joint also increased with a widened stride width. The same tendency was observed in LSS patients com- pared with healthy individuals. Widening of stride width in LSS patients, despite abductor weakness, may indicate additional muscle recruitment for balance maintenance. Furthermore, such distinctive gait pattern exerts increased loading on the medial knee. References 1. Amundsen T, Weber H, Nordal HJ, Magnaes B, Abdelnoor M, Lilleås F. Lumbar spinal stenosis: conser- vative or surgical management?: A prospective 10-year study. Spine. 2000; 25(11):1424–36. 2. Kreiner DS, Shaffer WO, Baisden JL, Gilbert TJ, Summers JT, Toton JF, et al. An evidence-based clini- cal guideline for the diagnosis and treatment of degenerative lumbar spinal stenosis (update). The spine journal: official journal of the North American Spine Society. 2013; 13(7):734–43. 3. Katz JN, Dalgas M, Stucki G, Katz NP, Bayley J, Fossel AH, et al. Degenerative lumbar spinal stenosis Diagnostic value of the history and physical examination. Arthritis & Rheumatism: Official Journal of the American College of Rheumatology. 1995; 38(9):1236–41. 4. Ishimoto Y, Yoshimura N, Muraki S, Yamada H, Nagata K, Hashizume H, et al. Prevalence of symptom- atic lumbar spinal stenosis and its association with physical performance in a population-based cohort in Japan: the Wakayama Spine Study. Osteoarthritis and cartilage. 2012; 20(10):1103–8. 5. Kirkaldy-Willis WH, Wedge JH, Yong-Hing K, Reilly J. Pathology and pathogenesis of lumbar spondylo- sis and stenosis. Spine (Phila Pa 1976). 1978; 3(4):319–28. 6. Winter CC, Brandes M, Mu¨ller C, Schubert T, Ringling M, Hillmann A, et al. Walking ability during daily life in patients with osteoarthritis of the knee or the hip and lumbar spinal stenosis: a cross sectional study. BMC musculoskeletal disorders. 2010; 11(1):233. 7. Szpalski M, Gunzburg R. Lumbar spinal stenosis in the elderly: an overview. European spine journal: official publication of the European Spine Society, the European Spinal Deformity Society, and the European Section of the Cervical Spine Research Society. 2003; 12 Suppl 2:S170–5. 8. Hausdorff JM, Yogev G, Springer S, Simon ES, Giladi N. Walking is more like catching than tapping: gait in the elderly as a complex cognitive task. Experimental brain research. 2005; 164(4):541–8. 9. Shumway-Cook A, Guralnik JM, Phillips CL, Coppin AK, Ciol MA, Bandinelli S, et al. Age-associated declines in complex walking task performance: the walking InCHIANTI toolkit. Journal of the American Geriatrics Society. 2007; 55(1):58–65. 10. Steurer J, Roner S, Gnannt R, Hodler J. Quantitative radiologic criteria for the diagnosis of lumbar spinal stenosis: a systematic literature review. BMC musculoskeletal disorders. 2011; 12(1):175. 11. Tomkins-Lane CC, Holz SC, Yamakawa KS, Phalke VV, Quint DJ, Miner J, et al. Predictors of walking performance and walking capacity in people with lumbar spinal stenosis, low back pain, and asymptom- atic controls. Archives of physical medicine and rehabilitation. Supporting information 11 / 13 PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 PLOS ONE Gait pattern and knee osteoarthritis Author Contributions Conceptualization: Joonyoung Jang, Ju Seok Ryu. Conceptualization: Joonyoung Jang, Ju Seok Ryu. Data curation: Jin Ju Kim, Han Cho. Data curation: Jin Ju Kim, Han Cho. Formal analysis: Jin Ju Kim, Han Cho. Investigation: Jin Ju Kim, Han Cho, Yulhyun Park, Jung Woo Kim. Methodology: Yulhyun Park, Joonyoung Jang. Methodology: Yulhyun Park, Joonyoung Jang. Supervision: Joonyoung Jang, Ju Seok Ryu. Supervision: Joonyoung Jang, Ju Seok Ryu. Writing – original draft: Jin Ju Kim, Han Cho. Writing – original draft: Jin Ju Kim, Han Cho. Writing – original draft: Jin Ju Kim, Han Cho. Writing – review & editing: Ju Seok Ryu. Writing – review & editing: Ju Seok Ryu. Acknowledgments The authors thank the Medical Research Collaborating Center at Seoul National University Bundang Hospital for statistical analyses. References 2012; 93(4):647–53. 12. Conrad BP, Shokat MS, Abbasi AZ, Vincent HK, Seay A, Kennedy DJ. Associations of self-report mea- sures with gait, range of motion and proprioception in patients with lumbar spinal stenosis. Gait & pos- ture. 2013; 38(4):987–92. 13. Jacquelin P. Gait analysis, Normal and pathological function. United States of America: Harry C. Ben- son; 1992. 14. Poureisa M, Daghighi MH, Eftekhari P, Bookani KR, Fouladi DF. Redundant nerve roots of the cauda equina in lumbar spinal canal stenosis, an MR study on 500 cases. European spine journal: official PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 12 / 13 PLOS ONE Gait pattern and knee osteoarthritis publication of the European Spine Society, the European Spinal Deformity Society, and the European Section of the Cervical Spine Research Society. 2015; 24(10):2315–20. 15. Azimi P, Mohammadi HR, Benzel EC, Shahzadi S, Azhari S. Lumbar spinal canal stenosis classification criteria: a new tool. Asian spine journal. 2015; 9(3):399–406. 16. Park SH, Ahn JM, Lee JW, Lee GY, Kang HS. Value of Additional Cervicothoracic Sagittal T2-Weighted Images in Elderly Patients with Symptoms Suggestive of Lumbar Spinal Stenosis. Journal of the Korean Society of Radiology. 2015; 73(1):18–25. 17. Maxwell Donelan J, Kram R, Arthur D K. Mechanical and metabolic determinants of the preferred step width in human walking. Proceedings of the Royal Society of London Series B: Biological Sciences. 2001; 268(1480):1985–92. 18. Cram JR. Cram’s introduction to surface electromyography: Jones & Bartlett Learning; 2010. 19. Lim MR, Huang RC, Wu A, Girardi FP, Cammisa FP Jr. Evaluation of the elderly patient with an abnor- mal gait. JAAOS-Journal of the American Academy of Orthopaedic Surgeons. 2007; 15(2):107–17. 20. Lin S-I, Lin R-M, Huang L-W. Disability in patients with degenerative lumbar spinal stenosis. Archives of physical medicine and rehabilitation. 2006; 87(9):1250–6. 21. Lin S-I, Lin R-M. Disability and walking capacity in patients with lumbar spinal stenosis: association with sensorimotor function, balance, and functional performance. Journal of Orthopaedic & Sports Physical Therapy. 2005; 35(4):220–6. 22. Iversen MD, Katz JN. Examination findings and self-reported walking capacity in patients with lumbar spinal stenosis. Physical therapy. 2001; 81(7):1296–306. 23. Yokogawa N, Toribatake Y, Murakami H, Hayashi H, Yoneyama T, Watanabe T, et al. Differences in Gait Characteristics of Patients with Lumbar Spinal Canal Stenosis (L4 Radiculopathy) and Those with Osteoarthritis of the Hip. PLoS One. 2015; 10(4):e0124745. 24. Kubinski SN, McQueen CA, Sittloh KA, Dean JC. PLOS ONE | https://doi.org/10.1371/journal.pone.0233593 May 29, 2020 References Walking with wider steps increases stance phase glu- teus medius activity. Gait & posture. 2015; 41(1):130–5. 25. Lyons K, Perry J, Gronley JK, Barnes L, Antonelli D. Timing and relative intensity of hip extensor and abductor muscle action during level and stair ambulation. An EMG study. Phys Ther. 1983; 63 (10):1597–605. 26. Murray MP, Mollinger LA, Gardner GM, Sepic SB. Kinematic and EMG patterns during slow, free, and fast walking. Journal of orthopaedic research: official publication of the Orthopaedic Research Society. 1984; 2(3):272–80. 27. Yang JR, Yang HS, Ahn DH, Ahn DY, Sim WS, Yang HE. Differences in Gait Patterns of Unilateral Transtibial Amputees With Two Types of Energy Storing Prosthetic Feet. Annals of rehabilitation medi- cine. 2018; 42(4):609–16. 28. Neumann DA. Kinesiology of the hip: a focus on muscular actions. journal of orthopaedic & sports physi- cal therapy. 2010; 40(2):82–94. 29. Dean JC, Alexander NB, Kuo AD. The effect of lateral stabilization on walking in young and old adults. IEEE transactions on bio-medical engineering. 2007; 54(11):1919–26. 30. Schrager MA, Kelly VE, Price R, Ferrucci L, Shumway-Cook A. The effects of age on medio-lateral sta- bility during normal and narrow base walking. Gait Posture. 2008; 28(3):466–71. 31. Henry SM, Fung J, Horak FB. Effect of stance width on multidirectional postural responses. Journal of neurophysiology. 2001; 85(2):559–70. 32. Heitmann DK, Gossman MR, Shaddeau SA, Jackson JR. Balance performance and step width in noninstitutionalized, elderly, female fallers and nonfallers. Physical therapy. 1989; 69(11):923–31. 33. Brach JS, Berlin JE, VanSwearingen JM, Newman AB, Studenski SA. Too much or too little step width variability is associated with a fall history in older persons who walk at or near normal gait speed. Journal of neuroengineering and rehabilitation. 2005; 2(1):21. 34. Johnson F, Leitl S, Waugh W. The distribution of load across the knee. A comparison of static and dynamic measurements. The Journal of bone and joint surgery British volume. 1980; 62(3):346–9. 13 / 13
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Caracterización y análisis del desempeño de la red de datos de la Pontificia Universidad Javeriana
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Las muestras omitidas son las que presentan un tiempo menor o igual a 15 µs y mayores a 250 µs. La distribución obtenida es la suma de 4 distribuciones, conformadas por dos distribuciones Normales, una distribución Weibull y una Rayleigh: X ~ R ( )  N1 ( 1 ,  12 )  N 2 (  2 ,  2 2 )  W ( ,  ) 37 R ( ) , con   2.94279e - 05 N 1 ( 1 ,  12 ) , con 1  1.03198e - 4 y  12  1.90747 e -10 N 2 (  2 ,  2 2 ) , con  2  1.00133e - 4 y  2 2  3.9241e -11 W ( ,  ) , con   2.08673e - 4 y   9.64342 Figura 16 - Tiempo entre Paquetes CORE B - Distribución Para la caracterización del tamaño de paquetes, el 77,91% de las muestras corresponden a fuentes de valores fijos, paquetes de tamaño muy pequeños, inferiores a 67 Bytes y muy grandes, superiores a 1.460 Bytes. La distribución obtenida para este análisis, es la suma de una distribución Normal y una distribución Weibull: X ~ N (  ,  2 )  W ( ,  ) N (  ,  2 ) , con   136.34 y  2 =1112.32 W ( ,  ) , con   295.242 y   1.19522 38 Figura 17 - Tamaño entre Paquetes CORE B – Distribución 5.2.4. Caracterización CORE B – Alcatel Esta parte de la red está compuesta, por los enlaces del enrutador del CORE B que conectan con el equipo Alcatel, el cual cuenta con la salida a Internet de la universidad. Esta salida se encuentra contratada con el proveedor de servicios ETB y tiene una capacidad de servicio contratada de 1,2 Gbps. La captura de esta parte de la red, se realizó a una de las dos interfaces que comunican al enrutador del CORE B con el enrutador Alcatel. La captura se realizó por un tiempo de 600 segundos y se capturaron 6’603.113 paquetes. En la caracterización del tiempo entre paquetes, se tiene que el 88,33% forman parte de fuentes de valores fijos, que corresponde a tiempos entre paquetes inferiores a 10 µs. La distribución obtenida, es la suma de una distribución Rayleigh y 5 distribuciones Normales: X ~ N1 ( 1 ,  12 )  R ( )  N 2 (  2 ,  2 2 )  N 3 (  3 ,  3 2 )  N 4 (  4 ,  4 2 )  N 5 (  5 ,  5 2 ) N 1 ( 1 ,  12 ) , con 1  3.56384e - 5 y  12  1.2322e -10 39 R ( ) , con   4.41848e - 5 N 2 (  2 ,  2 2 ) , con  2  6.86363e - 5 y  2 2  3.8776 e -11 N 3 (  3 ,  3 2 ) , con 3  1.01358e - 4 y  3 2  5.49242e -11 N 4 (  4 ,  4 2 ) , con  4  2.6095e - 5 y  4 2  5.64129e -12 N 5 (  5 ,  5 2 ) , con 5  4.53019e - 5 y  5 2  1.89683e -11 Figura 18 - Tiempo entre paquetes CORE B – Alcatel En el caso de la caracterización del tamaño de paquetes, se tiene que el 57,6% son fuentes de valores fijos. El 42,4% restante de las muestras, se obtiene una distribución que está conformada por la suma de una distribución Normal Logarítmica y una Normal: X ~ N (  ,  2 )  LogN (  ,  2 ) N (  ,  2 ) , con   147,685 y  2  190,044 LogN (  ,  2 ) , con   4,21124 y  2  154,602 40 Figura 19 - Tamaño de Paquetes CORE B – Alcatel 5.3. Tráfico UDP versus TCP La mayor parte del tráfico que cursa sobre la distribución de este nodo, está relacionada con TCP y seguido por el protocolo de encapsulamiento GRE, el protocolo UDP es de muy poco tráfico en relación con los dos primeros. Protocolo Tráfico (GB) Porcentaje % UDP 183,88 3 TCP 4.397,18 72 GRE 1.490,59 25 Tabla 3 - Comparación tráfico UDP vs. TCP 41 En la Figura 20, se puede observar cómo se reparte el tráfico de estos tres protocolos, donde se puede evidenciar la gran mayoría del protocolo TCP versus los demás. Figura 20 - Tráfico por protocolo Como se puede observar en la Figura 21, el tráfico durante el día, los protocolos de UDP y GRE, aumentan cuando inicia la jornada de estudio en la universidad. Se observa un crecimiento en el tráfico TCP en el mismo horario, pero este último maneja un tráfico mínimo de 144 GB durante el día, en el que se relaciona con lo indicado por el departamento DTI de la Universidad, en que es normal y corresponde a equipos de seguridad y plataformas de servicio de la Universidad. 42 Figura 21 – Volumen de datos por protocolo durante el día (Giga Bytes) A manera de poder entender mejor este volumen de tráfico, en la Figura 22 se muestra cómo está repartido tráfico por protocolo, con su respectivo sentido y throughput. Figura 22 - Throughput durante un día (Mbps) Como se puede evidenciar mejor, esta parte de la red mantiene un throughput de cerca de 300 Mbps de salida y cerca de 50 Mbps de entrada. El throughput del 43 protocolo GRE, únicamente se presenta en horario normal de clases de la Universidad. Esta comparación se realizó con ayuda del gestor de red IMC, el cual como se explicó en el principio del documento, presentó muchos fallos en su funcionamiento y se únicamente se logró obtener información del CORE A – Distribución. En la Figura 23, se observa como la mayor parte del tráfico (74%) corresponde a aplicaciones http y https, se observa un 24% del total de tráfico para aplicaciones no conocidas sobre TCP. Se presentan muchos más protocolos, pero al tener muy poca presencia en los datos analizados, no se incluyen en el gráfico. Figura 23 - Tráfico por Aplicación 5.4. Modelo de colas A continuación, se dan a conocer los resultados del modelo de colas realizado para cada interfaz de cada parte de la red estudiada. 5.4.1. Modelo de colas CORE A - CORE B En esta parte de la red se toma la cantidad de 17’090.857 paquetes TCP, que corresponden al 97,8 % del total de la muestra capturada, de 2 interfaces. Los demás paquetes capturados corresponden a UDP con un 0,5 % y el 1,7 % restante corresponde a RTP, ARP, entre otros. 44 Al ser 2 interfaces, se realiza el modelo de 4 colas, ya que cada interfaz maneja procesos de recepción (Rx) y transmisión (Tx), que son independientes entre sí y se ven como 2 colas en el lado A hacia B y 2 colas en el lado B hacia A. 5.4.1.1. Interfaz 1 (AB_Q1) Esta cola se toma como una de las dos interfaces que salen del CORE B y entra al CORE A. Esta cola tiene cinco fuentes que dan el tiempo entre paquetes, en las que dos se toman como el promedio de paquetes mayores o iguales a 250 µs y menores o iguales a 10 µs. Las otras tres son distribuciones Normales y Weibull. Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,016866 >=2,5e-4 2 0,797246 <=1e-5 3 0,108435 W (6.8873e - 05 , 2.0628) 4 0,019363 N (2.72032e - 05 , 1.11325e - 11) 5 0,05809 N (9.98857 e - 05 , 4.13135e - 11) Tabla 4 - Fuentes Tiempo entre Paquetes cola AB_Q1 El tamaño de los paquetes, se obtienen de once fuentes que proporcionan distintos valores. Donde dos son el promedio de paquetes mayores o iguales a 1514 Bytes y menores o iguales a 65 Bytes, cuatro fuentes determinísticas y cinco fuentes con distribuciones Exponencial, Normal, Weibull y Uniforme. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,821845 >=1514 2 0,000682 <=65 3 0,008725 112 4 0,156982 194 5 0,001211 1334 6 0,001202 234 7 0,000486 Ex (136.407) 8 0,002917 N (766.677 , 5712.49) 9 0,000583 N (1139.25 , 5073.25) 10 0,003889 W (550.506 , 3.02983) 11 0,001478 U (940 , 1500) Tabla 5 - Fuentes Tamaño de Paquetes cola AB_Q1 45 Datos obtenidos para la Cola:   8, 6746e5   1,8547 e6   0, 4677 Lq  1, 2348 Wq  1, 4234e  6 W  1, 9626e  6 L  1, 7025 Para esta cola se tiene que se llega a una utilización de 46%, el número de paquetes en la cola y el sistema es de 2. 5.4.1.2. Interfaz 2 (AB_Q2) Esta cola se toma como la segunda de las dos interfaces que salen del CORE B y entra al CORE A. Esta cola tiene seis fuentes que dan el tiempo entre paquetes, en la que una se toma como el promedio de paquetes menores o iguales a 10 µs. Las otras cinco son distribuciones Normal, Exponencial y Weibull. Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,191825 Ex (2.19889 e - 06) 2 0,132293 N (1.01592 e - 4 , 9.96953e - 11) 3 0,066147 N (2.0264 e - 4 , 3.78227 e - 11) 4 0,330733 W (1.26254 e - 4 , 2.15542) 5 0,066147 N (3.42411e - 5 , 4.65137 e - 11) 6 0,212856 <=1e-5 Tabla 6 - Fuentes Tiempo entre Paquetes cola AB_Q2 El tamaño de los paquetes, se obtienen de nueve fuentes que proporcionan distintos valores. Donde dos son el promedio de paquetes mayores o iguales a 1510 Bytes y menores o iguales a 100 Bytes, seis fuentes determinísticas y una fuente con distribución Burr. 46 Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,479592 >=1510 2 0,394149 <=100 3 0,024186 1470 4 0,006518 1266 5 0,007025 1085 6 0,008897 1018 7 0,00397 837 8 0,002143 770 9 0,07352 Burr (129.148 , 17.1903 , 6.589 e - 2) Tabla 7 - Fuentes Tamaño de Paquetes cola AB_Q2 Datos obtenidos para la Cola:   1, 3286 e6   8, 6593e6   0,1534 Lq  185, 2039 Wq  1, 3940 e - 4 W  1, 3952 e - 4 L  185, 3573 En esta cola se tiene una utilización de 15%, el número de paquetes en la cola y en el sistema es de 186. El valor de números de paquetes en el sistema, a pesar que es muy superior a la cola anterior se tiene una utilización mucho más baja. Esto, como se puede observar en la tabla de fuentes de tamaño de paquetes, se tiene q hay un gran porcentaje de paquetes muy pequeños, lo cual su tiempo de servicio es muy bajo. 5.4.1.3. Interfaz 3 (AB_Q3) Esta cola se toma como una de las dos interfaces que salen del CORE A y entra al CORE B. Esta cola tiene cinco fuentes que dan el tiempo entre paquetes, en la que una se toma como el promedio de paquetes menores o iguales a 500 µs. Las otras cuatro son distribuciones Normal, Exponencial y Weibull. 47 Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,47621 <=0,5e-3 2 0,14186 Ex (1.83002e  6) 3 0,145497 N (1.02233e  4 , 7.13836 e - 11) 4 0,036374 N (2.03955e - 4 , 2.52517 e - 11) 5 0,200059 W (1.52364 e - 4 , 2.00744) Tabla 8 - Fuentes Tiempo entre Paquetes cola AB_Q3 El tamaño de los paquetes se obtiene de cuatro fuentes que proporcionan distintos valores. Donde una es el promedio de paquetes mayores o iguales a 1500 Bytes, dos fuentes determinísticas y una fuente con distribución Uniforme. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,908259 >=1500 2 0,07947 946 3 0,004781 378 4 0,007489 U (60 , 1500) Tabla 9 - Fuentes Tamaño de Paquetes cola AB_Q3 Datos obtenidos para la Cola:   3, 4832e5   8,8289e5   0, 3945 Lq  7, 9189 Wq  2, 2734 e - 5 W  2, 3867 e - 5 L  8, 3134 En esta cola se observa una utilización de 39%, con 9 paquetes en el sistema. 5.4.1.4. Interfaz 4 (AB_Q4) Esta cola se toma como la segunda de las dos interfaces que salen del CORE A y entra al CORE B. Esta cola tiene ocho fuentes que dan el tiempo entre paquetes, en la que una se toma como el promedio de paquetes menores o iguales a 650 µs. Las otras siete son distribuciones Normal, Exponencial y Weibull. 48 Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,1048 >=6,5e-4 2 0,168376 Ex (2.14416 e  6) 3 0,224502 N (1.02005e  4 , 9.50792 e - 6) 4 0,098219 N (2.03462 e - 4 , 1.6819 e - 10) 5 0,014031 N (3.06455e - 4 , 9.47846e - 11) 6 0,018241 N (4.1089 e - 4 , 8.14407 e - 11) 7 0,021047 N (6.19356e - 4 , 1.65274e - 10) 8 0,350784 W (2.16711e - 4 , 1.49874) Tabla 10 - Fuentes Tiempo entre Paquetes cola AB_Q4 El tamaño de los paquetes, se obtienen de cuatro fuentes que proporcionan distintos valores. Donde dos son el promedio de paquetes mayores o iguales a 1514 Bytes y menores o iguales a 65 Bytes, siete fuentes determinísticas y dos fuentes con distribuciones Normal Logarítmica y Valor Extremo. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,841225 >=1514 2 0,00487 <=65 3 0,053181 946 4 0,024397 1230 5 0,014592 1013 6 0,010987 729 7 0,003666 1011 8 0,001037 662 9 0,000698 443 10 0,038629 log N (529.765 , 0.5796) 11 0,006718 EV (1445.86 , 58.1065) Tabla 11 - Fuentes Tamaño de Paquetes cola AB_Q4 Datos obtenidos para la Cola:   4, 5420 e5   9,1819 e5   0, 4947 Lq  12, 4943 Wq  2, 7508e - 5 49 W  2,8597 e - 5 L  12, 9890 En esta cola se presenta una utilización del 49%, y se tienen 13 paquetes en el sistema. 5.4.2. Modelo de colas CORE A – Distribución En esta parte de la red se toma la cantidad de 17’091.407 paquetes TCP, que corresponden al 91,7 % del total de la muestra capturada, los cuales conforman dos interfaces. Los demás paquetes corresponden a RTSP (Real Time Streaming Protocol) con 8 % y el 0,3 % restante a protocolos como ARP, UDP, entre otros. Estas dos interfaces son las que conectan el CORE A con los equipos de Distribución, igual que la anterior parte de la red se modelan cuatro colas, las cuales dos son hacía el CORE A y dos hacia los equipos de Distribución, en este caso hacía el equipo nombrado como Arboleda. 5.4.2.1. Interfaz 1 (CA_Q1) Esta cola se toma como una de las dos interfaces que salen del CORE A y van a la distribución. Esta cola tiene seis fuentes que dan el tiempo entre paquetes, en la que una se toman como el promedio de paquetes mayores o iguales a 350 µs. Las otras cinco son distribuciones Normales, Exponencial y Weibull. Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,024713 >=3,5e-4 2 0,157546 Ex (2.1433e  6) 3 0,030009 N (2.93127 e  5 , 1.86772 e - 11) 4 0,37511 N (1.02294 e - 4 , 8.44141e - 11) 5 0,112533 N (2.04332e - 4 , 6.37741e - 11) 6 0,300088 W (1.48206 e - 4 , 2.47262) Tabla 12 - Fuentes Tiempo entre Paquetes cola CA_Q1 El tamaño de los paquetes, se obtienen de siete fuentes que proporcionan distintos valores. Donde una es el promedio de paquetes mayores o iguales a 1514 Bytes, cinco fuentes determinísticas y una fuente con distribución Uniforme. 50 Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,880087 >=1514 2 0,094642 946 3 0,005346 378 4 0,002634 770 5 0,002408 1014 6 0,001806 446 7 0,013077 U (65 , 1510) Tabla 13 - Fuentes Tamaño de Paquetes cola CA_Q1 Datos obtenidos para la Cola:   3, 3563e5   9, 3537 e5   0, 3588 Lq  2, 2099 Wq  6, 5843e - 6 W  7, 6534 e - 6 L  2, 5687 La utilización en esta cola es de 35% y en el sistema hay en promedio 3 paquetes. La mayor parte de paquetes son de tamaño igual o superior a 1514 Bytes. 5.4.2.2. Interfaz 2 (CA_Q2) Esta cola se toma como la segunda de las dos interfaces que salen del CORE A y van a la distribución. Esta cola tiene nueve fuentes que dan el tiempo entre paquetes, en la que una se toman como el promedio de paquetes mayores o iguales a 1 ms. Las otras ocho son distribuciones Normales, Exponencial y Weibull. 51 Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,05935 >=1e-3 2 0,151718 Ex (2.42977 e  6) 3 0,227577 N (1.02408e  4 , 8.91206 e - 11) 4 0,106202 N (2.035e - 4 , 5.17941e - 11) 5 0,045515 N (3.08476 e - 4 , 3.18879 e - 10) 6 0,091031 N (4.11548e - 4 , 3.12031e - 10) 7 0,030344 N (5.1486 e - 4 , 4.34578e - 10) 8 0,060687 N (6.18877 e - 4 , 3.10834 e - 10) 9 0,227577 W (2.41634 e - 4 , 1.27664) Tabla 14 - Fuentes Tiempo entre Paquetes cola CA_Q2 El tamaño de los paquetes, se obtienen de siete fuentes que proporcionan distintos valores. Donde una es el promedio de paquetes mayores o iguales a 1514 Bytes, tres fuentes determinísticas y tres fuentes con distribuciones Uniforme y Normales. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,877771 >=1514 2 0,049841 946 3 0,012746 445 4 0,007894 1013 5 0,033904 U (60 , 1513) 6 0,009636 N (1392.34 , 2398.48) 7 0,008208 N (1083.35 , 1676.38) Tabla 15 - Fuentes Tamaño de Paquetes cola CA_Q2 Datos obtenidos para la Cola:   3, 3198e5   9, 6943e5   0, 3424 Lq  5, 2241 Wq  1, 5736 e - 5 W  1, 6768e - 5 L  5, 5666 Se presenta una utilización de 34%. En la cola y el sistema se presentan 6 paquetes. 52 5.4.2.3. Interfaz 3 (CA_Q3) Esta cola se toma como una de las dos interfaces que entran al CORE A y vienen desde la distribución. Esta cola tiene seis fuentes que dan el tiempo entre paquetes, en la que una se toman como el promedio de paquetes mayores o iguales a 350 µs. Las otras cinco son distribuciones Normales, Exponencial y Weibull. Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,255545 >=3,5e-4 2 0,147053 Ex (1.9624 e  6) 3 0,275724 N (1.02462 e  4 , 8.98885e - 11) 4 0,036763 N (2.03251e  4 , 3.77632 e - 11) 5 0,009191 N (3.09389e - 4 , 2.32225e - 11). 6 0,275724 W (1.44811e - 4 , 2.33299) Tabla 16 - Fuentes Tiempo entre Paquetes cola CA_Q3 El tamaño de los paquetes, se obtienen de siete fuentes que proporcionan distintos valores. Donde dos son el promedio de paquetes mayores o iguales a 1514 Bytes y menores o iguales a 64 Bytes, dos fuentes determinísticas y dos fuentes con distribuciones Uniforme y Normal Logarítmica. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,707104 >=1514 2 0,006547 <=64 3 0,003037 946 4 0,008877 443 5 0,187712 log N (681.657 , 0.751534) 6 0,086723 U (65 , 1513) Tabla 17 - Fuentes Tamaño de Paquetes cola CA_Q3 Datos obtenidos para la Cola:   4,0043 e5   1,2195 e6   0,3284 53 Lq  2,5861 Wq  6, 4583e - 6 W  7, 2783e - 6 L  2,9145 La utilización en esta cola es de 32% y los usuarios en la cola y el sistema es de 3. 5.4.2.4. Interfaz 4 (CA_Q4) Esta cola se toma como la segunda de las dos interfaces que entran al CORE A y vienen desde la distribución. Esta cola tiene tres fuentes que dan el tiempo entre paquetes, en la que una se toman como el promedio de paquetes mayores o iguales a 6 ms. Las otras dos son distribuciones Normal y Normal Logarítmica. Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,00835 >=6e-3 2 0,19833 N (5.31012e  4 , 2.39389e - 8) 3 0,79332 log N (2.08294 e - 3 , 0.272373) Tabla 18 - Fuentes Tiempo entre Paquetes cola CA_Q4 El tamaño de los paquetes, se obtienen de cinco fuentes determinísticas que proporcionan distintos valores. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,00004 60 2 0,999778 66 3 0,000167 78 4 0,000008 228 5 0,000008 465 Tabla 19 - Fuentes Tamaño de Paquetes cola CA_Q4 Datos obtenidos para la Cola:   830,8729   1,8939 e7   4, 3870 e - 5 Lq  8, 4854 e -10 54 Wq  1, 0213e -12 W  5, 2801e - 8 L  4, 3871e - 5 En esta cola se observa que tiene una muy poca utilización, se encuentra inferior a 1%. Se observa también que mantiene 1 paquete en el sistema y son de tamaños muy pequeños en su mayoría (66 Bytes). 5.4.3. Modelo de colas CORE B - Distribución En este parte de la red se toma la cantidad de 3’541.896 paquetes TCP, que corresponden al 16 % del total de la muestra capturada, los cuales conforman 2 interfaces. En esta parte de la red, la cantidad de paquetes a modelar son muy pocos, ya que la mayor cantidad de paquetes capturados fueron del protocolo GRE (65 %). Otros protocolos con buena cantidad de paquetes capturados son QUIC (10%), que se corresponde a un protocolo usado por aplicaciones Google como lo es el navegador Chrome y TLSv1.2 (5 %), mientras que UDP solo corresponde al 1% del total capturado. Para esta captura se debió tomar del lado del equipo de la Biblioteca, ya que del lado del CORE B no fue posible su captura. Esta captura se debió tomar de las interfaces que van de la distribución hacia el acceso, teniendo en cuenta que este equipo se comunica, directamente hacia el CORE B por 2 interfaces. Se modelan cuatro colas de la totalidad de interfaces. 5.4.3.1. Interfaz 1 (CB_Q1) Esta cola se toma como una de las dos interfaces que salen del CORE B y van a la distribución. Esta cola tiene seis fuentes que dan el tiempo entre paquetes, en la que una se toman como el promedio de paquetes mayores o iguales a 350 µs. Las otras cinco son distribuciones Normales, Exponencial y Rayleigh. Fuentes Tiempo entre Paquetes Fuente Probabilidad 1 Distribución 0,125014 >=3,5e-4 2 0,222822 Ex (1.68349e  6) 3 0,217388 N (1.06731e - 4 , 1.96062 e - 10) 4 0,326082 N (2.0409 e - 4 , 3.16146 e - 10) 5 0,054347 N (3.08808e - 4 , 6.94313e - 11) 6 0,054347 R (1.276 e - 4) Tabla 20 - Fuentes Tiempo entre Paquetes cola CB_Q1 55 El tamaño de los paquetes, se obtienen de seis fuentes que proporcionan distintos valores. Dos fuentes son el promedio de valores mayores o iguales a 1514 Bytes y menores o iguales a 66 Bytes, dos fuentes determinísticas y dos fuentes con distribuciones Normal Logarítmica y Valor Extremo. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,956616 >=1514 2 0,009967 <=66 3 0,016135 1464 4 0,000978 1484 5 0,008152 log N (5.61968 , 0.77409) 6 0,008152 EV (1359.23 , 136.944) Tabla 21 - Fuentes Tamaño de Paquetes cola CB_Q1 Datos obtenidos para la Cola:   5, 5106e5   1,1244e6   0, 4901 Lq  7,8317 Wq  1, 4212e - 5 W  1, 5101e - 5 L  8, 3218 Esta cola presenta una utilización de 56%, presentando 8 paquetes en el sistema. En esta cola la mayor parte de paquetes son de 1514 Bytes. 5.4.3.2. Interfaz 2 (CB_Q2) Esta cola se toma como la segunda interfaz de las dos que salen del CORE B y van a la distribución. Esta cola tiene dos fuentes que dan el tiempo entre paquetes, en la que una se toman como el promedio de paquetes mayores o iguales a 5 ms. Las otra es una distribución Exponencial. 56 Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,030597 >=5e-3 2 0,969403 Ex (4.84694 e  4) Tabla 22 - Fuentes Tiempo entre Paquetes cola CB_Q2 El tamaño de los paquetes, se obtienen de seis fuentes que proporcionan distintos valores. Estas seis fuentes son determinísticas. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,612343 60 2 0,336181 66 3 0,045587 74 4 0,005362 82 5 0,000515 90 6 0,000012 751 Tabla 23 - Fuentes Tamaño de Paquetes cola CB_Q2 Datos obtenidos para la Cola:   5, 6595e 4   1, 9984e7   0, 0028 Lq  1, 0118 Wq  1, 7878e - 05 W  1, 7928e - 05 L  1, 0146 La utilización en esta cola es muy baja, con un valor de 0,28% y el número de paquetes en el sistema es igual a 2. 5.4.3.3. Interfaz 3 (CB_Q3) Esta cola se toma como una de las dos que entran al CORE B y vienen de la distribución. Esta cola tiene dos fuentes que dan el tiempo entre paquetes, en la que una se toman como el promedio de paquetes mayores o iguales a 5 ms. La otra es una distribución Exponencial. 57 Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,025063 >=5e-3 2 0,974937 Ex (3.39483e  4) Tabla 24 - Fuentes Tiempo entre Paquetes cola CB_Q3 El tamaño de los paquetes, se obtienen de nueve fuentes que proporcionan distintos valores. Estas nueve fuentes son determinísticas. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,359176 60 2 0,46701 66 3 0,118959 74 4 0,028658 82 5 0,026153 90 6 0,000006 542 7 0,000013 609 8 0,000006 1110 9 0,000019 1514 Tabla 25 - Fuentes Tamaño de Paquetes cola CB_Q3 Datos obtenidos para la Cola:   5,1675e 4   1, 9139 e7   0, 0027 Lq  0,1730 Wq  3, 3470 e - 6 W  3, 3993e - 6 L  0,1757 La utilización en esta cola es muy baja, de aproximadamente 0,27%. Los paquetes en el sistema son de 1 y el tamaño de los paquetes en su mayoría es de 60 y 66 Bytes. 5.4.3.4. Interfaz 4 (CB_Q4) Esta cola se toma como la segunda de las dos interfaces que entran al CORE B y vienen de la distribución. Esta cola tiene dos fuentes que dan el tiempo entre 58 paquetes, en la que una se toman como el promedio de paquetes mayores o iguales a 5 ms. La otra es una distribución Exponencial. Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,172637 >=5e-3 2 0,827363 Ex (4.3811e  4) Tabla 26 - Fuentes Tiempo entre Paquetes cola CB_Q4 El tamaño de los paquetes, se obtienen de dos fuentes que proporcionan distintos valores. Estas dos fuentes son determinísticas. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,958833 >=1514 2 0,041167 <=66 Tabla 27 - Fuentes Tamaño de Paquetes cola CB_Q4 Datos obtenidos para la Cola:   1, 0320e5   1,8041e6   0, 0572 Lq  0, 5857 Wq  5, 6756e - 6 W  6, 2299e - 6 L  0, 6429 En esta cola la utilización es de 5,76%, donde los paquetes en la cola son de 1. El tamaño de la mayoría de los paquetes en esta cola es de 1514. 5.4.4. Modelo de colas CORE B – Alcatel En esta parte de la red se toma la cantidad de 983.847 paquetes TCP, que corresponden al 15 % del total de la muestra capturada, los cuales se toman de una sola interfaz. La gran mayoría de paquetes capturados fueron del protocolo GRE (76 %). En esta parte de la red se tuvo un gran problema al momento de la captura, ya que al realizarla se descartó una gran cantidad de paquetes, que según Wireshark fue 59 de alrededor de 70 millones, en un periodo de 600 segundos. Esto se debe a que la interfaz maneja un trouhghput superior a 1 Gbps, y el equipo de cómputo tiene una tarjeta de red Gigabit Ethernet. Para realizar una mejor captura se requería una tarjeta de red de 10 Gigas, las cuales aún no son muy comerciales para equipos de cómputo del común. 5.4.4.1. Interfaz 1 (ALU_Q1) Esta cola se toma como la interfaz que entra al CORE B y vienen del CORE Alcatel (Internet y Datacenter). Esta cola tiene una distribución Exponencial para el tiempo entre paquetes. Fuentes Tiempo entre Paquetes Fuente 1 Probabilidad Distribución 1 Ex (9.75712 e  4) Tabla 28 - Fuentes Tiempo entre Paquetes cola ALU_Q1 El tamaño de los paquetes, se obtienen de dos fuentes con distribuciones Exponencial y Valor Extremo. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,446114 Ex (95.1153) 2 0,553886 EV (1505.55 , 28.5003) Tabla 29 - Fuentes Tamaño de Paquetes cola ALU_Q1 Datos obtenidos para la Cola:   1, 5442e 4   5,8661e 4   0, 2632 Lq  9, 4124 Wq  6, 0955e  4 W  6, 2660e  4 L  9, 6756 Con los datos capturados se obtiene una muestra muy poco real, ya que muestra una utilización del 26%, cuando por conocimiento y datos sobre el gestor IMC, se tiene que esta interfaz se encuentra por encima del 1,25 Gbps. Aun así, se decide utilizar los datos capturados. Para el cálculo de la cola se opta por limitar la interfaz 60 a 1,25 Gbps y no tomar el real de 10 Gbps, ya que como se dijo anteriormente, la salida de Internet contratada por la universidad es de 1,2 Gbps y por ende la capacidad de 10 Gbps no sería el limitante. 5.4.4.2. Interfaz 2 (ALU_Q2) Esta cola se toma como la interfaz que sale del CORE B y entran al CORE Alcatel (Internet y Datacenter). Esta cola tiene dos fuentes, con distribuciones Exponencial y Normal. Fuentes Tiempo entre Paquetes Fuente Probabilidad Distribución 1 0,9375 Ex (3.7997 e  5) 2 0,0625 N (9.99799e  4 , 3.43371e  10) Tabla 30 - Fuentes Tiempo entre Paquetes cola ALU_Q2 El tamaño de los paquetes, se obtienen de cinco fuentes, las cuales son determinísticas. Estas fuentes se tomaron como el promedio del total de muestras en cinco intervalos. Fuentes Tamaño de Paquete Fuente Probabilidad Distribución 1 0,077161 <=112 2 0,05759 paq>112 & paq<=1439 3 0,040875 paq>1440 & paq<=1484 4 0,000337 paq>1486 & paq<=1513 5 0,824037 >=1514 Tabla 31 - Fuentes Tamaño de Paquetes cola ALU_Q2 Datos obtenidos para la Cola:   1, 641e5   1, 6161e5   0,1016 Lq  0, 4707 Wq  2,8675e - 6 W  3, 4862 e - 6 L  0, 5722 61 En esta cola, no se aplicó la limitación a 1,25 Gbps. Esto debido a que el tráfico de subida es inferior por naturaleza y por medio de la información del IMC no se llegan a valores cercanos a una saturación aparente. 5.5. Cuellos de botella Un cuello de botella es el nodo o elemento dentro de una red, que hace que el tiempo de respuesta de toda la red se maximice. En palabras más simples, es el elemento más débil de toda la red. Al analizar una red de datos, se pueden encontrar múltiples elementos que la limitan. Estos elementos, son los cuellos de botella presentes en la red. Para resolver un cuello de botella o mejor, cambiar la condición de un elemento, para que deje de ser el eslabón más débil dentro de la red, no se debe necesariamente atacarse directamente este elemento, puede presentarse por consecuencia de otro elemento, que altera el comportamiento de este. El resolver un cuello de botella, hará que surja dentro de la red otro u otros cuellos de botellas, por lo cual antes de resolver un cuello de botella, se debe analizar y estimar que tanto va a aliviar la red y que tanto se impactarán los demás elementos. Para la red en estudio, se realiza el cálculo para cada cola, asumiendo Vk  1 (número de visitas de un paquete en la cola), debido a que en condiciones normales un paquete no debe pasar dos veces sobre una misma interfaz. Así el tiempo total de respuesta es: n R   Vk Rk  1, 015e  3 k 1 Ahora para determinar el cuello de botella de la red, se toma el valor que maximiza R , el cual es la cola ALU_Q1 que corresponde a la cola que va del CORE Alcatel y entra al CORE B. Este tráfico proviene del Datacenter y de Internet con destino la red de la Universidad. Aunque se tomó una muestra parcial del total de tráfico que realmente transita sobre esta interfaz, aun así, se puede observar como es el de mayor tiempo en el sistema y por ende el cuello de botella en la red. Adicional, se tiene una segunda cola que está por encima de la mayoría de las demás colas. Esta cola es la AB_Q2, que es la cola que va del CORE B al CORE A, el tráfico que cursa sobre esta cola en su mayoría corresponde a contenidos que 62 provienen de internet. Ya que como se dijo anteriormente, la forma como está desplegada la red, nos lleva a que la única salida y entrada de información hacía Internet, sea por estas interfaces. En la Tabla 32, se da a conocer el valor obtenido para todas las colas: Cola Vk Rk CA_Q1 1 9,78e-5 CA_Q2 1 4,65e-5 CA_Q3 1 7,28e-6 CA_Q4 1 5,28e-8 AB_Q1 1 1,96e-6 AB_Q2 1 1,40e-4 AB_Q3 1 2,39e-5 AB_Q4 1 2,86e-5 CB_Q1 1 1,22e-5 CB_Q2 1 1,79e-5 CB_Q3 1 3,40e-6 CB_Q4 1 6,23e-6 ALU_Q1 1 6,27e-4 ALU_Q2 1 3,49e-6 n R   Vk Rk 1,015e-03 k 1 Tabla 32 - Tiempo de respuesta por cada cola 5.6. Modelo de red de colas sobre la red Se realiza el cálculo de una red de Jackson abierta, tomando como entrada los valores obtenidos de tasa de servicio y tasa de arribo en el modelo de colas. Se toma esta red de colas como la conexión de las colas como se definió anteriormente en la Figura 4. Inicialmente se toman estas colas tipo M/M/1. Para realizar el modelo se debe armar un arreglo de probabilidades, en el que la suma de cada fila no puede ser mayor a 1. Para calcular estas probabilidades, se realiza tomando la cantidad de paquetes cursados por una cola y se divide por la suma total de los paquetes cursados de las posibles colas. Cada cola Q j , tiene una probabilidad Pij de pasar a la cola Qi , como se muestra en la Tabla 33. 63 COLA Pij CA_Q1 CA_Q2 CA_Q3 CA_Q4 AB_Q1 AB_Q2 AB_Q3 AB_Q4 CB_Q1 CB_Q2 CB_Q3 CB_Q4 ALU_Q1 ALU_Q2 1 2 3 4 5 6 7 8 9 10 11 12 13 14 CA_Q1 1 CA_Q2 2 CA_Q3 3 0,6541 0,3459 CA_Q4 4 0,6541 0,3459 AB_Q1 5 0,6215 0,3785 AB_Q2 6 0,6215 0,3785 AB_Q3 7 0,3616 0,3352 0,3032 AB_Q4 8 0,3616 0,3352 0,3032 CB_Q1 9 CB_Q2 10 CB_Q3 11 0,7553 0,2068 CB_Q4 12 0,7553 0,2068 ALU_Q1 13 0,721 0,1974 ALU_Q2 14 0,03784 0,03784 0,0431 0,0386 Tabla 33 - Tabla de probabilidades Con este arreglo de probabilidades, se realiza el cálculo de la red de colas. Se obtuvieron los siguientes valores: Cola j j CA_Q1 1 0,103100 0,1150 1,1347 CA_Q2 2 0,065500 0,0701 1,1343 CA_Q3 3 0,328400 0,4889 1,2209 CA_Q4 4 0,000044 0,00004 0,0528 AB_Q1 5 0,069000 0,0742 0,5792 AB_Q2 6 0,004100 0,0041 0,116 AB_Q3 7 0,297200 0,4229 1,6117 AB_Q4 8 0,151200 0,1781 1,2831 CB_Q1 9 0,131600 0,1516 1,0389 CB_Q2 10 0,006800 0,0068 0,0504 CB_Q3 11 0,002700 0,0027 0,0524 CB_Q4 12 0,057200 0,0607 0,5879 ALU_Q1 13 0,263200 0,3573 23,138 ALU_Q2 14 0,057000 0,0605 0,6562 E [Q j ] E [ D j ] , (  s ) Tabla 34 - Resultados obtenidos en cálculo de la Red de Colas Tiempo total medio en la red: E [ D ]  3,4867  s 64 Probabilidad de que la red este vacía: P (Q j  0)  0,1754 En la red modelada se puede observar que como se determinó en el análisis de cuellos de botella, la cola que más alto tiene el tiempo medio en la cola es ALU_Q1, su utilización es de 26% con los datos modelados, aunque como se dijo la salida a Internet se encuentra con utilización al 100%, con los datos que se lograron capturar no se alcanza a llegar a esta. Además, si se compara el total de los datos obtenidos, con los datos modelados para cada cola, se evidencia que las colas intermedias su tasa de arribo es menor. Esto se debe a que, en el desarrollo del trabajo, no se modelaron todas las interfaces y al no ser modeladas en su totalidad se hace evidente esta diferencia. Analizando el tiempo total medio en la red, que es un valor muy bajo a pesar de que hablamos de interfaces de 10 Gbps en su mayoría que se encuentran en la red, es debido a lo anteriormente mencionado. La probabilidad de que la red se encuentre vacía, es muy alta para ser el horario en que se realizaron las capturas, un 17% es una probabilidad muy alta. Para realizar un mejor modelo de cómo se comporta esta red de colas, se realizan dos simulaciones de redes de colas, la primera trabajando las colas como una cola tipo M/M/1 y la segunda como colas tipo G/G/1. Esto con razón de determinar que los datos calculados y simulados para la red de colas M/M1 sean consistentes y al realizar el cambio en la simulación por colas G/G/1, sea una simulación válida. En la Tabla 35, se puede observar los datos obtenidos para la primera simulación, la cual se toma realizando una simulación con datos de entrada los valores obtenidos para la tasa de arribo y la tasa de servicio, del modelo realizado para cada una de las colas. 65 Cola j j CA_Q1 1 0,103116 0,6313 1,1347 CA_Q2 2 0,065548 0,5723 1,1343 CA_Q3 3 0,328356 1,0455 1,2222 CA_Q4 4 0,000044 0,50025 0,0528 AB_Q1 5 0,069049 0,5473 0,5792 AB_Q2 6 0,004054 0,5033 0,116 AB_Q3 7 0,297234 0,9075 1,6112 AB_Q4 8 0,151207 0,6813 1,2833 CB_Q1 9 0,131638 0,6335 1,0389 CB_Q2 10 0,006757 0,5053 0,0504 CB_Q3 11 0,002700 0,5023 0,0524 CB_Q4 12 0,057203 0,5653 0,5879 ALU_Q1 13 0,263241 0,8374 23,132 ALU_Q2 14 0,057046 0,5573 0,6562 E [Q j ] E [ D j ] , (  s ) Tabla 35 - Resultados obtenidos en simulación de la Red de Colas M/M/1 Tiempo total medio en la red: E [ D ]  15,728  s Probabilidad de que la red este vacía: P (Q j  0)  0,1754 En la simulación se tiene que los valores obtenidos para E [Q j ] , son muy diferentes a los calculados, pero en cambio los datos obtenidos para E[ D j ] , tienden a ser más parecidos y la diferencia es mínima. En cuanto al tiempo medio total en la red, se aproxima más a un valor en condiciones reales de la red. Realizando un cálculo aproximado, un paquete de 1514 Bytes que se procese por una interfaz de 10 Gbps, demora aproximadamente un tiempo de 1,2 µs, asumiendo que el paquete pase por tres interfaces y sea el único paquete en la red, su tiempo será de 3,6 µs. Es el valor obtenido en los cálculos realizados, pero si le adicionamos la variable de carga real sobre cada nodo, este tiempo aumentará. 66 En la Tabla 36, se dan a conocer los valores obtenidos en la simulación de la red de colas, tomando cada cola como una G/G/1. Para esta simulación se, realiza la simulación de todas las colas y luego se realiza la conexión de estas, tal y como se trabajaron con las anteriores simulaciones. j E [Q j ] E[ D j ] , (  s ) Cola j CA_Q1 1 0,042304841 0,532994924 0,1175 CA_Q2 2 0,548605147 0,512562814 0,7107 CA_Q3 3 0,033872324 0,512562814 0,3509 CA_Q4 4 0,000020800 0,502512563 0,0252 AB_Q1 5 0,007478636 0,502512563 0,3463 AB_Q2 6 0,023712337 0,502512563 0,1800 AB_Q3 7 0,040439806 0,512562814 0,3422 AB_Q4 8 0,017119283 0,502512563 0,2755 CB_Q1 9 0,030502254 0,522613065 0,1983 CB_Q2 10 0,000505115 0,502512563 0,0121 CB_Q3 11 0,001386992 0,502512563 0,0526 CB_Q4 12 0,005473189 0,502512563 0,5378 ALU_Q1 13 0,020047957 0,502512563 1,4546 ALU_Q2 14 0,066247341 0,512562814 0,8374 Tabla 36 - Resultados obtenidos en simulación de la Red de Colas G/G/1 Tiempo total medio en la red: E [ D ]  47,05  s Probabilidad de que la red este vacía: P (Q j  0)  0,3361 Al realizar el modelo con colas G/G/1, los valores son muy diferentes a los calculados y simulados con colas M/M/1. Los valores de E [Q j ] son similares a los simulados con colas M/M/1, pero E[ D j ] varía mucho. Hay algo que resaltar y es que la cola ALU_Q1, siempre tiende a comportarse de la misma forma en los tres casos, es que siempre va a ser la de mayor tiempo en el sistema. El tiempo medio en cada cola G/G/1, en la simulación, tienden a ser de valores muy inferiores que para las colas M/M/1, por la razón que el proceso exponencial en la cola M/M/1 de la tasa de servicio, hace que la máxima probabilidad sea para la tasa de servicio más bajas y esta probabilidad decrece exponencialmente entre más altas sean estas tasas, en cambio en la cola G/G/1, la probabilidad no decrece 67 exponencialmente, sino que puede aumentar, en valores de tasas de servicio más altas. Esta es la principal razón por la cual los valores tienden a ser tan diferentes entre ambas simulaciones. Cuando se realiza una simulación del modelo con colas M/M/1, se tiene que el comportamiento de las tasas de servicio y de arribo sean de un comportamiento determinado, por así decirlo. En cambio, al realizar el modelo con colas G/G/1, se tienen múltiples fuentes que cambian el comportamiento de la red de colas. Esto nos lleva a entender que el comportamiento de las colas G/G/1 modelizadas en la red, son muy dependientes de la cantidad de paquetes simulados. Se realiza con el mayor posible y la simulación arroja el mejor resultado expuesto en la Tabla 36. 68 CONCLUSIONES La caracterización y análisis de desempeño realizado a la red de datos de la Pontificia Universidad Javeriana, da cuenta de varios aspectos que tal vez no se tienen presentes en el saber general de los administradores y usuarios de la red. Estos aspectos nos llevan a concluir que: 1. La red de datos la Pontificia Universidad Javeriana, es una red en la que el tráfico que cursa sobre esta en su mayoría es interno. Tráfico que se relaciona con equipos de seguridad y de servicios, que ofrece la institución dentro de las instalaciones. 2. Esta red tiene su mayor demanda en los días hábiles de lunes a viernes en horario de 11 de la mañana a 12 del mediodía, donde la mayor parte del tráfico que se atiende en capa de transporte es TCP y cuando inicia la jornada académica, aumenta considerablemente este tráfico. 3. La presencia del protocolo de encapsulamiento GRE es de gran relevancia dentro de la red, se presenta en una mayor cantidad que UDP, aumenta y únicamente está presente en la red durante la jornada académica de la Universidad. El tráfico de este protocolo se evidenció en gran cantidad en las capturas realizadas y en el gestor IMC. 4. Los protocolos de capa de aplicación que más demandan tráfico dentro de la red corresponden a HTTP y HTTPS. 5. Los nodos de CORE no tienen una distribución definida para los paquetes que arriban (tamaño y tiempo entre llegadas), se comportan como la suma de varias fuentes, cada una con su propia distribución. 6. Al realizar un análisis teórico de la red permitió encontrar el modelo de colas que mejor se ajusta a la red. El modelo de colas aplicado sirvió para dar cuenta de la demanda real de la red de CORE. El modelo realizado sirve para realizar un trabajo posterior, donde se necesite relacionar estos elementos y su comportamiento. 7. Es una red con tendencia a tener una ocupación considerable. Con el modelo de colas realizado se pudo observar que, si bien no se encuentra en un valor cercano a un estado de congestión, la ocupación se puede presentar hasta valores cercanos del 50%. 8. Dentro del análisis de colas, el cuello de botella presente en la red es la salida a Internet contratada. Se pudo determinar, gracias al modelo de colas realizado, que la ocupación es más alta en esta conexión y es el elemento que más impacta el desempeño del servicio para un usuario final.
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Diagnosis of subglottic stenosis in a rabbit model using long‐range optical coherence tomography
Olubunmi Ajose-Popoola
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ERROR: type should be string, got "https://escholarship.org/uc/item/58g4w73w Copyright Information\nThis work is made available under the terms of a Creative Commons Attribution License, \navailalbe at https://creativecommons.org/licenses/by/4.0/ UC Irvine\nUC Irvine Previously Published Works\nTitle\nDiagnosis of subglottic stenosis in a rabbit model using long-range optical coherence \ntomography.\nPermalink\nhttps://escholarship.org/uc/item/58g4w73w\nJournal\nThe Laryngoscope, 127(1)\nISSN\n0023-852X\nAuthors\nAjose-Popoola, Olubunmi\nSu, Erica\nHamamoto, Ashley\net al.\nPublication Date\n2017\nDOI\n10.1002/lary.26241\nCopyright Information\nThis work is made available under the terms of a Creative Commons Attribution License,\navailalbe at https://creativecommons.org/licenses/by/4.0/\n \nPeer reviewed UC Irvine\nUC Irvine Previously Published Works\nTitle\nDiagnosis of subglottic stenosis in a rabbit model using long-range optical coherence \ntomography. Permalink\nhttps://escholarship.org/uc/item/58g4w73w\nJournal\nThe Laryngoscope, 127(1)\nISSN\n0023-852X\nAuthors\nAjose-Popoola, Olubunmi\nSu, Erica\nHamamoto, Ashley\net al. Publication Date\n2017\nDOI\n10.1002/lary.26241\nCopyright Information\nThis work is made available under the terms of a Creative Commons Attribution License,\navailalbe at https://creativecommons.org/licenses/by/4.0/\n \nPeer reviewed Title Title\nDiagnosis of subglottic stenosis in a rabbit model using long-range optical coherence \ntomography. Permalink Title\nDiagnosis of subglottic stenosis in a rabbit model using long-range optical coherence \ntomography. UC Irvine UC Irvine Previously Published Works UC Irvine Previously Published Works\nTitle\nDiagnosis of subglottic stenosis in a rabbit model using long-range optical coherence \ntomography. Correspondence and request for reprints: Brian J-F. Wong, MD, PhD, Professor and Vice Chairman, Dept. of Otolaryngology-Head & \nNeck Surgery University of California Irvine, 1002 Health Sciences Road, Irvine, CA 92617, bjwong@uci.edu, Phone number: \n949-824-4770, Fax number: 949-824-8413.\n* HHS Public Access\nA h\ni Author Manuscript Published in final edited form as: Published in final edited form as:\nLaryngoscope. 2017 January ; 127(1): 64–69. doi:10.1002/lary.26241. Laryngoscope. 2017 January ; 127(1): 64–69. doi:10.1002/lary.26241. Level of Evidence: NA\nPresented at SPIE Photonics West, San Francisco, CA, USA on February 13, 2016.\nConflict of Interest and Financial Disclosures\nDr. Zhongping Chen has a financial interest in OCT Medical Imaging, Inc., which, however, did not provide support for this work. *These authors contributed equally to the study Powered by the California Digital Library\nUniversity of California eScholarship.org eScholarship.org Abstract Objective—Current imaging modalities lack the necessary resolution to diagnose subglottic \nstenosis. The aim of this study is to use optical coherence tomography (OCT) to evaluate nascent \nsubglottic mucosal injury and characterize mucosal thickness and structural changes using texture \nanalysis in a simulated intubation rabbit model. Author Manuscript Study Design—Prospective animal study in rabbits. Diagnosis of Subglottic Stenosis in a Rabbit Model Using Long-\nRange Optical Coherence Tomography Olubunmi Ajose-Popoola, MD1,*, Erica Su, BS2,*, Ashley Hamamoto, BS2, Alex Wang, BS2, \nJoseph C. Jing, PhD2,3, Tony D. Nguyen, BS2,4, Jason J. Chen, BS2, Kathryn E. Osann, \nPhD4, Zhongping Chen, PhD2,3, Gurpreet S. Ahuja, MD1,5, and Brian J.F. Wong, MD, \nPhD1,2,3 Author Manuscript Presented at SPIE Photonics West, San Francisco, CA, USA on February 13, 2016. Keywords y\nsubglottic stenosis; optical coherence tomography; rabbit model; diagnostic imaging; intubation \ninjury Laryngoscope. Author manuscript; available in PMC 2018 January 01. Study Design—Prospective animal study in rabbits. Methods—Three-centimeter-long sections of endotracheal tubes (ETT) were endoscopically \nplaced in the subglottis and proximal trachea of New Zealand white rabbits (n=10) and secured via \nsuture. OCT imaging and conventional endoscopic video was performed just prior to ETT segment \nplacement (Day 0), immediately after tube removal (Day 7), and one week later (Day 14). OCT \nimages were analyzed for airway wall thickness and textural properties. Results—Endoscopy and histology of intubated rabbits showed a range of normal to edematous \ntissue, which correlated with OCT images. The mean airway mucosal wall thickness measured \nusing OCT was 336.4μm (Day 0), 391.3μm (Day 7), and 420.4μm (Day 14) with significant \ndifferences between Day 0 and Day 14 (p=0.002). Significance was found for correlation and \nhomogeneity texture features across all time points (p<0.05). Author Manuscript Author Manuscript Page 2 Ajose-Popoola et al. Conclusion—OCT is a minimally invasive endoscopic imaging modality capable of monitoring \nprogression of subglottic mucosal injury. This study is the first to evaluate mucosal injury during \nsimulated intubation using serial OCT imaging and texture analysis. OCT and texture analysis \nhave the potential for early detection of subglottic mucosal injury, which could lead to better \nmanagement of the neonatal airway and limit the progression to stenosis. Author Manuscript Introduction Acquired subglottic stenosis (SGS) is most commonly caused by prolonged intubation or \nintubation with an oversized endotracheal tube (ETT). Mucosal injury, as a result of \nischemic necrosis, typically occurs at the subglottis because the cricoid cartilage is a \ncontinuous ring, which does not flex with pressure or allow centrifugal displacement of \ninflammatory edema. Ulceration of the subglottic epithelium may occur within hours of \nintubation and permanent damage is frequently observed within the first 7 days. Although \nthe incidence of neonatal acquired SGS is approximately 0.24–2.0%, the development of \nSGS may have devastating consequences1. Author Manuscript Early diagnosis of SGS is not possible using imaging modalities such as CT and MRI as \nthey lack the necessary imaging resolution. SGS is managed with a range of surgical and \nendoscopic procedures2; however, these procedures may lead to re-stenosis due to induced \ninflammation, requiring additional anti-inflammatory treatments3. Direct laryngoscopy and \nbronchoscopy with dilation is the gold standard for the management of SGS, but it presents \nwith the operative risks of losing a stable, intubated airway and hypoxia. Consequently, the \ntreatment of neonatal SGS remains a diagnostic challenge for otolaryngologists. There have been several SGS models in rabbits using direct trauma to the mucosa (i.e., \nbrushing, caustic chemicals) but very few in evaluating the use of imaging modalities on \nETT injury4. Optical coherence tomography (OCT) is an emerging minimally invasive \noptical imaging technique that provides high resolution (~10 μm) images of living tissue \nbased on different optical properties. OCT has profound impact in diagnosis and \nmanagement of retinal disease in ophthalmology, and has been evaluated intensely in \ncoronary vasculature and GI tract imaging5,6. Traditionally, OCT has focused primarily on \nimaging the upper aerodigestive tract and vocal fold diseases7–9. Our group, along with \nothers, have also focused on the developing pediatric airway as a new application for \nOCT10–12. Author Manuscript Texture analysis is an objective and automated method to obtain quantifiable information \nfrom medical images for the purposes of tissue classification, lesion detection, and \npathologic quantification13. In a digital image, texture is defined as the spatial distribution of \nintensity values, while texture analysis is the evaluation of the relative position and intensity \nof these pixels13. Texture properties derived from gray-level co-occurrence matrices \n(GLCM)—a commonly used statistical approach—have been investigated to characterize Ajose-Popoola et al. Page 3 tissues imaged with OCT14. The main properties successfully used to objectively classify \ntissue include contrast, correlation, homogeneity, and energy14,15. Rabbit Model and Data Acquisition Rabbit Model and Data Acquisition Ethical approval for this study was obtained from the University of California Institutional \nAnimal Care and Use Committee. Ten New Zealand white rabbits (2.4–4.3 kg) were used. At this weight and stage of development, the airway dimensions at the level of the cricoid \n(5.4–5.8 mm) approximate that of neonates (4.5–5.5 mm)17. Author Manuscript The intubation-induced subglottic injury model developed by Kelly et al. was adapted for \nthis study4. A detailed description of the surgical technique and procedure is available in the \nonline supplement. On Day 0, a 3-cm long section of ETT was endoscopically placed just \nbelow the vocal cords (subglottis and proximal trachea) and secured with a suture via a small \ncervical incision. Prior to insertion, the subglottis was sized with an appropriately tight \nfitting ETT (3.5–4.0). OCT and digital video imaging was conducted prior to ETT \nplacement from 3 cm below the subglottis to the level of the glottis. On Day 7, imaging was \nacquired after the segment of ETT was endoscopically removed. On Day 14, the animal was \neuthanized after imaging. The larynx and proximal trachea were dissected free and fixed in \nformaldehyde for 24 hours. The samples were then processed, embedded in paraffin, and \nsequentially sectioned into 6 μm thick slices for histological analysis (hematoxylin-eosin \nstaining). The intubation-induced subglottic injury model developed by Kelly et al. was adapted for \nthis study4. A detailed description of the surgical technique and procedure is available in the \nonline supplement. On Day 0, a 3-cm long section of ETT was endoscopically placed just \nbelow the vocal cords (subglottis and proximal trachea) and secured with a suture via a small \ncervical incision. Prior to insertion, the subglottis was sized with an appropriately tight \nfitting ETT (3.5–4.0). OCT and digital video imaging was conducted prior to ETT Author Manuscript Introduction As OCT studies generate \nhundreds to thousands of images per patient, automated or semi-automated analysis is \nessential, particularly if this technology evolves into a screening measure in the neonatal \nintensive care unit (NICU). Author Manuscript The study objectives are to evaluate OCT as an imaging modality to 1) detect nascent \nsubglottic injury from simulated prolonged intubation in a rabbit model, 2) obtain \nmeasurements of airway wall morphology, and 3) perform automated texture analysis for \ndiagnosis of the condition. Methods\nOCT System Author Manuscript The details of the OCT device and instrumentation used in this study are available in the \nonline supplement and have been previously described16. The flexible OCT probes were \ncustom-built with outer diameters of 1.2 mm and placed within a fluorinated ethylene \npropylene sheath (Zeus Inc., Orangeburg, SC). The probes were then rotated proximally \nwhile being retracted, acquiring images in a retrograde, helical fashion. The system has an \naxial and a lateral resolution of approximately 10 μm and 112 μm, respectively. Laryngoscope. Author manuscript; available in PMC 2018 January 01. Endoscopic and Histologic Analyses Author Manuscript Preintubation endoscopy of all animal subjects was confirmed to be negative for injury in the \nsubglottis prior to the surgical procedure. Control endoscopy of the subglottis was taken to \nallow subsequent comparison (Figure 2A). ETT and suture placement was verified \nendoscopically (Figure 2B). Following extubation, endoscopy of the animal subjects \nuniformly demonstrated edema and inflammation (Figure 2C). Five of the 8 animals \ndemonstrated focal areas of ulceration by Day 14 of the study (Figure 2D). Histologic sections at the level of the cricoid were compared between the intubated group at \nDay 14 and controls from a parallel study19; no animals were euthanized on Day 7. In the \nintubated animals, there was evidence of mucosal thickening in both the epithelium and \nunderlying lamina propria (Figure 3). Regions of the mucosal layer demonstrated signs of \nepithelial metaplasia and abnormal basement membranes with the presence of inflammatory \ncells. In the submucosa, there was indication of increased vascularity and development of \ngranulation tissue. Author Manuscript Morbidity and Mortality Two out of 10 rabbits were excluded from the study: one died as a consequence of a \nwitnessed aspiration during the intubation process, and the other was excluded after one \nweek of intubation as the ETT segment was found to have migrated to the distal trachea. Data Analysis Histologic sections of the subglottis were examined using light microscopy (Microphot-\nFXA; Nikon) and digitized (PictureFrame; Optronics) for documentation. The mucosal and \nsubmucosal layers of the specimen were visually compared to the control specimen from a Ajose-Popoola et al. Page 4 parallel study for changes in thickness and mucosal lining. The sections were also compared \nto corresponding OCT images. Author Manuscript Morphometric and texture analyses were performed on the subglottic region. The tissue \nsegmentation and micrometry methods have been previously described18. Figure 1A shows a \nrepresentative linear image (Figure 1A) and Figure 1B shows a circular image (analogous to \nCT axial images) of the subglottis with manual segmentation in Figure 1C–D. The statistical \nvalues (i.e., mean, standard deviation, and range) of the thickness were calculated across all \naxial-lines of the segmented region of each animal. The average statistical values of each \nexperimental day is reported in Table E1. Texture analysis was performed on the segmented images. Sixteen texture features (contrast, \ncorrelation, energy, and homogeneity) were derived from GLCM (0°, 45°, 90°, and 135°) per \nimage. The mean values per experimental day and their standard error were reported. The \nrepeated measures analysis of variance (rANOVA) was used to measure changes across the 3 \ntime points. Pairwise differences were performed using a one-tailed Student t-test with \nBonferroni correction to adjust for the multiple comparisons. Author Manuscript Laryngoscope. Author manuscript; available in PMC 2018 January 01. OCT Analysis: Soft Tissue Thickness and Texture Analysis Images of Day 0 (control) demonstrated subglottic epithelial layer of low intensity pixels \nwhile the underlying lamina propria presented a uniform layer of higher intensity (Figure \n4A). Darker regions within the submucosal layer indicated the presence of submucosal \nglands or blood vessels, and the first tracheal ring and perichondrium were clearly visible. Laryngoscope. Author manuscript; available in PMC 2018 January 01. Ajose-Popoola et al. Page 5 Images obtained on Day 7, following ETT segment removal, indicated significant pathology \n(Figure 4B). The contrast between the substructures was less pronounced, and the lamina \npropria and submucosa were darker and degraded in appearance. This observation is \nconsistent with granulation tissue and edema10, which were also observed with conventional \ndigital endoscopy. The subglottic airway also demonstrated circumferential narrowing. Images obtained on Day 14 showed marked thickening of the mucosa and submucosa \n(Figure 4C). The contrast between the mucosal substructures was comparable to the control \nand visibly different from images obtained on Day 7; however, the contour of the subglottis \nwas more irregular and focal regions of ulceration were observed. Author Manuscript Author Manuscript Segmentation of the airway cross-section divided the axial tissue structures into 1) the \nairspace, 2) the mucosa and the submucosa, and 3) the cartilage layer. The mean thickness of \nthe mucosa and submucosa layer was 336.4 ± 20.7 μm on Day 0, 391.3 ± 22.9 μm on Day 7, \nand 420.4 ± 15.4 μm on Day 14. There was a significant increase in thickness between Day \n0 and Day 14 of imaging (p=0.002). Between Day 0 and Day 7, the increase was nearly \nsignificant (p=0.053). Figure 5 shows a graphical representation of the mean thickness \nmeasurements for each animal across the 3 imaging days with standard error of the means. Author Manuscript Analysis with rANOVA showed statistically significant increases for correlation and \nhomogeneity variables for all directions across the 3 time points (p<0.05). Running pairwise \ncomparisons between the levels, there was significance between Day 0 and Day 14 for \ncorrelation in all directions (p≤0.016). Changes between Day 0 and Day 7 did not reach \nstatistical significance (p≥0.06 for all directions). For contrast, homogeneity, and energy \nparameters, there were noticeable trends in all directions across the 3 time points. Contrast \nvalues decreased between Day 0 and Day 7 and returned to values more similar to the \ncontrol on Day 14. OCT Analysis: Soft Tissue Thickness and Texture Analysis Energy and homogeneity values increased between Day 0 and Day 7 and \nreturned to more similar values to the control on Day 14. Details of the statistical analysis \nare found in Table E1. Author Manuscript Laryngoscope. Author manuscript; available in PMC 2018 January 01. Discussion In our previous study in critically ill intubated neonates in the NICU, OCT measurement of \nsoft tissue changes in the subglottic mucosa was reported20. However, we were not able to \ncorrelate endoscopic images or histopathology, as the number of subjects progressing to \noperative endoscopy was small, and full thickness (including cartilage) surgical specimens \nare rarely available in these subjects20. In this study, the animal model was used to simulate \nthe clinical scenario (intubation) to provide insight into the relationship between OCT, \nhistologic, and endoscopic observations. Early injury due to prolonged intubation cannot be \ndiagnosed using conventional imaging modalities (CT, MRI, etc.) due to their limited \nimaging resolution. Direct laryngoscopy is the gold standard of the diagnosis of SGS, but is \ngenerally performed under general anesthesia, which could result in complete airway \nobstruction. Alternatively, OCT can be performed daily as a screening measure through the \nendotracheal tube and would not require extubation or endoscopy. With its high resolution, \nOCT may detect early signs of SGS, providing a means to better manage the ETT, prevent \nprogression to high-grade SGS, and even predict patients with high risk for extubation \nfailure. Author Manuscript Ajose-Popoola et al. Page 6 Page 6 This study illustrates the potential for OCT to detect mucosal injury and thickening in the \nsubglottis. Soft tissue layer thickness measurements and texture analysis demonstrated \nstatistically significant increases in mucosal and submucosal thickness and changes in \ntexture parameters over time, respectively. The model used here best replicates the clinical \ncircumstances, where the ETT remains in the airway for a prolonged time period. Texture \nanalysis has been used in many settings particularly in remote sensing and machine vision \napplications21. Here, texture analysis is demonstrated as an automated means to analyze \ntissue. Author Manuscript\nA Author Manuscript Previous SGS models with arduous methods (i.e., electrocautery, chemical irritation, curette,\nlaser, nylon brush) produced high-grade stenoses associated with high mortality rates and \ndid not mimic clinical neonatal SGS19,22–25. Actual intubation models have been used, \nhowever only acute changes can be studied due to limitations with respect to how long a \nrabbit can remain intubated26. In contrast, the ETT model developed by Kelly et al. has \ndemonstrated to increase lamina propria thickness, mucosal thickness, and goblet cell \ndensity4. The mucosal injuries induced in this study were similar, though no perichondritis \nor chondritis was observed. Laryngoscope. Author manuscript; available in PMC 2018 January 01. Discussion This is possibly due to differences in ETT sizing, as the degree \nof injury depends on the pressure induced by the oversized ETT. Regardless, ulceration, \ngranulation tissue, and mucosal thickening were observed. The superficial injury created \nhere is more similar to what is believed to occur during the early stages of subglottic injury \nin the neonate, which is seldom clinically documented as operative endoscopy is rarely, if \never, performed at this time in disease evolution. Additionally, OCT tracked mucosal \nthickening over 3 time points in the same animal, while other animal studies have relied \nentirely upon histology obtained only at euthanasia. Author Manuscript A limiting factor in this study was not including micrometry of histologic sections at \ndifferent time points as histology is only available on Day 14, the time in which euthanasia \noccurred. Animal subject numbers were kept limited because previous studies have already \ndemonstrated the link between OCT-based measurements of mucosal thickness and \nhistology19. Furthermore, micrometry based upon histologic sections is fraught with artifact \ndue to fixation methods, whereas OCT micrometry is precise to less than 10 μm27. Mucosal thickness was found to increase through one week of intubation and continued to \nincrease after extubation. There was statistical significance between measurements on Day 0 \nand Day 14, near significance between Day 0 and Day 7, and no significance between Day 7 \nand 14. This suggests that most of the mucosal injury occurs within the week of intubation \nwhile the inflammatory process may have continued even after extubation. These findings \ncorrelate with the signs of early SGS, including ischemia and edema caused by prolonged \nmucosal compression, then ulceration, inflammation, and granulation tissue formation \nfollowing persistent injury. After extubation, the healing of subglottic ulcers continues and \nfollows a similar pathway as wound healing of the skin28. Author Manuscript Each OCT scan includes hundreds of images, and if used as a clinical screening measure, \nautomated or semi-automated processes may be required. In this study, labor intensive \nmanual segmentation of distinct tissue regions was performed by one investigator (E.S.). The feasibility of texture analysis using OCT images for the purposes of tissue classification Ajose-Popoola et al. Page 7 Page 7 have been reported, though use has not been widespread14,29. GLCM properties potentially \nallow differentiation of tissue type without manual segmentation14 and of tissue phantoms \ncontaining various sizes and distributions of scattering foci29. Supplementary Material Refer to Web version on PubMed Central for supplementary material. Author Manuscript Conclusion This study is the first to characterize ETT injury to the rabbit airway using OCT and apply \ntexture analysis to detect changes in tissue composition. OCT allows for quantifiable \nmeasurements of airway soft tissue thickening, showing statistically significant changes \nacross different time points. Texture analysis provides a basis to characterize the state of the \npathology relative to the control, and the success herein makes automated classification of \npathology possible. Such an automated approach would be essential should OCT evolve to \nbecome a common part of ETT and airway management in the NICU. Future studies will \nfocus on combining this ETT SGS injury model with pepsin and hydrochloric acid \napplication to simulate acid reflux. Author Manuscript Discussion To our knowledge, our \ninvestigation is the first to apply texture analysis to airway OCT images. Changes in the \ntexture statistics show measurable differences between pathological states of the intubated \nsubglottis. The significant changes in correlation and homogeneity herein demonstrate \npotential for automated diagnosis. In addition, the trends in homogeneity and energy indicate \nan increase in the value after one week of intubation followed by a return to values similar to \nthe control after one week following extubation. Contrast showed a decrease followed by a \nreturn to values similar to the control. Author Manuscript Acknowledgments This study was supported by National Institutes of Health (NIH) award numbers: 1-R01-HL103764-01 and 1-R01-\nHL105215-01 from the National Heart, Lung and Blood Institute (NHLBI), 1-R43-HD071701-01 from the National \nInstitute of Child Health and Human Development (NICHD), and P41EB015890 from the National Institute of \nBiomedical Imaging and Bioengineering (NIBIB). References 1. Walner DL, Loewen MS, Kimura RE. Neonatal Subglottic Stenosis-Incidence and Trends. Laryngoscope. 2001; 111(1):48–51. DOI: 10.1097/00005537-200101000-00009 [PubMed: \n11192899] 2. Wei JL, Bond J. Management and prevention of endotracheal intubation injury in neonates. Curr \nOpin Otolaryngol Head Neck Surg. 2011; 19(6):474–477. DOI: 10.1097/MOO.0b013e32834c7b5c \n[PubMed: 21986802] Author Manuscript 3. Ingrams DR, Ashton P, Shah R, Dhingra J, Shapshay SM. Slow-release 5-fluorouracil and \ntriamcinolone reduces subglottic stenosis in a rabbit model. Ann Otol Rhinol Laryngol. 2000; \n109(4):422–424. [PubMed: 10778898] 3. Ingrams DR, Ashton P, Shah R, Dhingra J, Shapshay SM. Slow-release 5-fluorouracil and \ntriamcinolone reduces subglottic stenosis in a rabbit model. Ann Otol Rhinol Laryngol. 2000; \n109(4):422–424. [PubMed: 10778898] 4. Kelly NA, Murphy M, Giles S, Russell JD. Subglottic injury: A clinically relevant animal model. Laryngoscope. 2012; 122(11):2574–2581. DOI: 10.1002/lary.23515 [PubMed: 22961393] 4. Kelly NA, Murphy M, Giles S, Russell JD. Subglottic injury: A clinically relevant animal model. Laryngoscope. 2012; 122(11):2574–2581. DOI: 10.1002/lary.23515 [PubMed: 22961393] 5. Gerckens U, Buellesfeld L, McNamara E, Grube E. Optical coherence tomography (OCT): Potential \nof a new high-resolution intracoronary imaging technique. Herz. 2003; 28(6):496–500. DOI: \n10.1007/s00059-003-2485-9 [PubMed: 14569390] 5. Gerckens U, Buellesfeld L, McNamara E, Grube E. Optical coherence tomography (OCT): Potential \nof a new high-resolution intracoronary imaging technique. Herz. 2003; 28(6):496–500. DOI: \n10.1007/s00059-003-2485-9 [PubMed: 14569390] Laryngoscope. Author manuscript; available in PMC 2018 January 01. Ajose-Popoola et al. Page 8 6. Costa RA, Skaf M, Melo LAS, et al. Retinal assessment using optical coherence tomography. Prog \nRetin Eye Res. 2006; 25(3):325–353. DOI: 10.1016/j.preteyeres.2006.03.001 [PubMed: 16716639] Author Manuscript 7. Sepehr A, Armstrong WB, Guo S, et al. Optical coherence tomography of the larynx in the awake \npatient. Otolaryngol - Head Neck Surg. 2008; 138(4):425–429. DOI: 10.1016/j.otohns.2007.12.005 \n[PubMed: 18359348] 8. Kobler JB, Chang EW, Zeitels SM, Yun SH. Dynamic imaging of vocal fold oscillation with four-\ndimensional optical coherence tomography. Laryngoscope. 2010; 120(7):1354–1362. DOI: 10.1002/\nlary.20938 [PubMed: 20564724] 9. Ridgway JM, Armstrong WB, Guo S, et al. In vivo optical coherence tomography of the human oral \ncavity and oropharynx. Arch Otolaryngol Head Neck Surg. 2006; 132(10):1074–1081. DOI: \n10.1001/archotol.132.10.1074 [PubMed: 17043254] 10. Ridgway JM, Ahuja G, Guo S, et al. Imaging of the Pediatric Airway Using Optical Coherence \nTomography. 2007; 117doi: 10.1097/MLG.0b013e318145b306 11. Lazarow FB, Ahuja GS, Chin Loy A, et al. Intraoperative long range optical coherence tomography \nas a novel method of imaging the pediatric upper airway before and after adenotonsillectomy. Int J \nPediatr Otorhinolaryngol. 2015; 79(1):63–70. Laryngoscope. Author manuscript; available in PMC 2018 January 01. References DOI: 10.1016/j.ijporl.2014.11.009 [PubMed: \n25479699] Author Manuscript 12. Volgger V, Sharma GK, Jing JC, et al. Long-range Fourier domain optical coherence tomography \nof the pediatric subglottis. Int J Pediatr Otorhinolaryngol. 2015; 79(2):119–126. DOI: 10.1016/\nj.ijporl.2014.11.019 [PubMed: 25532671] 13. Castellano G, Bonilha L, Li LM, Cendes F. Texture analysis of medical images. Clin Radiol. 2004; \n59:1061–1069. DOI: 10.1016/j.crad.2004.07.008 [PubMed: 15556588] 14. Gossage KW, Tkaczyk TS, Rodriguez JJ, Barton JK. Texture analysis of optical coherence \ntomography images: feasibility for tissue classification. J Biomed Opt. 2003; 8(3):570–575. DOI: \n10.1117/1.1577575 [PubMed: 12880366] 15. Lin Y-S, Chu C-C, Lin J-J, et al. Optical coherence tomography: A new strategy to image planarian \nregeneration. Sci Rep. 2014; 4:6316.doi: 10.1038/srep06316 [PubMed: 25204535] 16. Jing J, Zhang J, Loy AC, Wong BJF, Chen Z. High-speed upper-airway imaging using full-range \noptical coherence tomography. J Biomed Opt. 2012; 17(11):110507.doi: 10.1117/1.JBO. 17.11.110507 [PubMed: 23214170] Author Manuscript 17. Loewen MS, Walner DL. Dimensions of rabbit subglottis and trachea. Lab Anim. 2001; 35(3):253–\n256. DOI: 10.1258/0023677011911714 [PubMed: 11459410] 18. Su, E., Sharma, GK., Chen, J., et al. Analysis and digital 3D modeling of long-range fourier-\ndomain optical coherence tomography images of the pediatric subglottis. In: Choi, B.Kollias, \nN.Zeng, H., et al., editors. Proc. SPIE 8926, Photonic Therapeutics and Diagnostics X; 2014. p. 89262J 19. Lin JL, Yau AY, Boyd J, et al. Real-Time Subglottic Stenosis Imaging Using Optical Coherence \nTomography in the Rabbit. JAMA Otolaryngol Neck Surg. 2013; 139(5):502.doi: 10.1001/\njamaoto.2013.2643 20. Sharma GK, Ahuja GS, Wiedmann M, et al. Long Range Optical Coherence Tomography of the \nNeonatal Upper Airway for Early Diagnosis of Intubation-related Subglottic Injury. Am J Respir \nCrit Care Med. Jul.2015 150727130422005. doi: 10.1164/rccm.201501-0053OC 21. du Buf JMH, Kardan M, Spann M. Texture feature performance for image segmentation. Pattern \nRecognit. 1990; 23(3–4):291–309. DOI: 10.1016/0031-3203(90)90017-F Author Manuscript 22. Cincik H, Gungor A, Cakmak A, et al. The effects of mitomycin C and 5-fluorouracil/\ntriamcinolone on fibrosis/scar tissue formation secondary to subglottic trauma (experimental \nstudy). Am J Otolaryngol. 2005; 26(1):45–50. [PubMed: 15635581] 23. Roh JL, Lee YW, Park HT. Subglottic wound healing in a new rabbit model of acquired subglottic \nstenosis. Ann Otol Rhinol Laryngol. 2006; 115(8):611–616. [PubMed: 16944660] 24. Steehler MK, Hesham HN, Wycherly BJ, Burke KM, Malekzadeh S. Induction of tracheal stenosis \nin a rabbit model-endoscopic versus open technique. Laryngoscope. 2011; 121(3):509–514. DOI: \n10.1002/lary.21407 [PubMed: 21344426] Laryngoscope. Author manuscript; available in PMC 2018 January 01. Ajose-Popoola et al. Page 9 25. Laryngoscope. Author manuscript; available in PMC 2018 January 01. Laryngoscope. Author manuscript; available in PMC 2018 January 01. References Chafin JB, Sandulache VC, Dunklebarger JL, et al. Graded carbon dioxide laser-induced subglottic \ninjury in the rabbit model. Arch Otolaryngol Head Neck Surg. 2007; 133(4):358–364. DOI: \n10.1001/archotol.133.4.358 [PubMed: 17438250] Author Manuscript 26. Kumar SP, Ravikumar A, Thanka J. An animal model for laryngotracheal injuries: An experimental \nstudy. Laryngoscope. 2015; 125(1):E23–E27. DOI: 10.1002/lary.24867 [PubMed: 25111795] 27. Kaiser ML, Rubinstein M, Vokes DE, et al. Laryngeal epithelial thickness: A comparison between \noptical coherence tomography and histology. Clin Otolaryngol. 2009; 34(5):460–466. DOI: \n10.1111/j.1749-4486.2009.02005.x [PubMed: 19793279] 28. Eid, Ea. Anesthesia for subglottic stenosis in pediatrics. Saudi J Anaesth. 2009; 3(2):77–82. DOI: \n10.4103/1658-354X.57882 [PubMed: 20532108] 29. Gossage KW, Smith CM, Kanter EM, et al. Texture analysis of speckle in optical coherence \ntomography images of tissue phantoms. Phys Med Biol. 2006; 51(6):1563–1575. DOI: \n10.1088/0031-9155/51/6/014 [PubMed: 16510963] Author Manuscript Author Manuscript Author Manuscript Ajose-Popoola et al. Page 10 Figure 1. Representative OCT image of the rabbit subglottis in linear (A) and circular representation \n(C). Sample segmented images in linear (B) and circular representation (D). Scale bar \nrepresents 2 mm. Definition of abbreviations: TC = tracheal cartilage, LP = lamina propria, \nPS = outer probe sheath. Author Manuscript Author Manuscript Figure 1. Figure 1. Representative OCT image of the rabbit subglottis in linear (A) and circular representation \n(C). Sample segmented images in linear (B) and circular representation (D). Scale bar \nrepresents 2 mm. Definition of abbreviations: TC = tracheal cartilage, LP = lamina propria, \nPS = outer probe sheath. Author Manuscript Author Manuscript Ajose-Popoola et al. Page 11 Figure 2. Endoscopic footage of gross morphology of the subglottis. (A) The control subglottic region \nand (B) subglottic region after tube placement with clear visualization of the suture. (C) \nEdema and inflammation apparent after one week of intubation and (D) focal areas of \nulceration after one week of extubation. Figure 2. Endoscopic footage of gross morphology of the subglottis. (A) The control subglottic region \nand (B) subglottic region after tube placement with clear visualization of the suture. (C) \nEdema and inflammation apparent after one week of intubation and (D) focal areas of \nulceration after one week of extubation. Author Manuscript Author Manuscript\nAu Author Manuscript Figure 2. Endoscopic footage of gross morphology of the subglottis. (A) The control subglottic region \nand (B) subglottic region after tube placement with clear visualization of the suture. Laryngoscope. Author manuscript; available in PMC 2018 January 01. Laryngoscope. Author manuscript; available in PMC 2018 January 01. Laryngoscope. Author manuscript; available in PMC 2018 January 01. References (C) \nEdema and inflammation apparent after one week of intubation and (D) focal areas of \nulceration after one week of extubation. Figure 2. Endoscopic footage of gross morphology of the subglottis. (A) The control subglottic region \nand (B) subglottic region after tube placement with clear visualization of the suture. (C) \nEdema and inflammation apparent after one week of intubation and (D) focal areas of \nulceration after one week of extubation. Author Manuscript Author Manuscript Page 12 Ajose-Popoola et al. Figure 3. Histologic comparison between control and intubated specimen. (A) The normal mucosal \nand submucosal layers of an unintubated animal and (B) thickened mucosal and submucosal \nlayers of an intubated animal sacrificed after one week of extubation. Scale bars for (A) and \n(B) represent 250 μm. (C) Entire section of the normal subglottis at the level of the cricoid \ncartilage. (D) Entire section of the intubated subglottis with evidence of edema and \ngranulation tissue. Scale bars for (C) and (D) represent 2 mm. Author Manuscript Figure 3. Histologic comparison between control and intubated specimen. (A) The normal mucosal \nand submucosal layers of an unintubated animal and (B) thickened mucosal and submucosal \nlayers of an intubated animal sacrificed after one week of extubation. Scale bars for (A) and \n(B) represent 250 μm. (C) Entire section of the normal subglottis at the level of the cricoid \ncartilage. (D) Entire section of the intubated subglottis with evidence of edema and \ngranulation tissue. Scale bars for (C) and (D) represent 2 mm. Author Manuscript Author Manuscript Author Manuscript Page 13 Page 13 Ajose-Popoola et al. Figure 4. OCT images of the subglottis at different time points. (A) Control subglottic region showing \nnormal anatomy. (B) Thickened mucosal layer of the subglottic region with evidence of \nedema (darker regions) after one week of intubation. (C) Thickened mucosal and \nsubmucosal layers after one week of extubation. Scale bar represents 2 mm. Author Manuscript Figure 4. g\nOCT images of the subglottis at different time points. (A) Control subglottic region showing \nnormal anatomy. (B) Thickened mucosal layer of the subglottic region with evidence of \nedema (darker regions) after one week of intubation. (C) Thickened mucosal and \nsubmucosal layers after one week of extubation. Scale bar represents 2 mm. Author Manuscript Author Manuscript Author Manuscript Page 14 Ajose-Popoola et al. Page 14 Figure 5. Graphical representation of the effect of intubation on the mucosal and submucosal \nthickness. Laryngoscope. Author manuscript; available in PMC 2018 January 01. References Mean airway soft tissue thickness measurements of all animals are shown with \nsignificant increase in thickness between Day 0 and Day 14 (*p = 0.002). Author Manuscript Author Manuscript Author Manuscript Figure 5. Graphical representation of the effect of intubation on the mucosal and submucosal \nthickness. Mean airway soft tissue thickness measurements of all animals are shown with \nsignificant increase in thickness between Day 0 and Day 14 (*p = 0.002). Author Manuscript"
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German-Science-Pile
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Phar mako]ogisches u A d r e n a l i n . Zum SchluB noch einige Worte liber die Wirkung versehiedener Pharmaka auf unseren Konsgitutionstyp. Bei 25 Patienten habe ieh Adrenalininjektionen "con 1 mg subkutan vorgenommen. Blutdruek und Puis warden alle 3 Ninuten beobaehtet. Die meisten haben sehr sehwaeh darauf reagiert. Bei œ fehlte sogar Steigerung von Blutdruek und PulsIrequenz. Nur in zwei sehwereren Fiillen mit anIallsweiser Asphyxie ~nd Synkope der Fi~ger - - eine h” aueh symmetrisehe Gangrgn - - erzielte sieh stgrkere Reaktionen. ]~ei letzterer wurde die Farbe der vorher seharlachroten Brust eyanotiseL Kapillarstudien bel Vasoneurosem 35I Mikroskopisch beobachtete ich engš224 Sehenkel der Kapillaren bel weitett venSsen und weiten Gefagen des subpapill5ren Plexus und Stagnieren des Blutstroms, der vorher gut vonstattœ gega~gen war. Die m~dere bekam einen Anfall von sehwarz-blauer Ve~fgrbung der Finger. Dies will aber nieht riel bedeuten, da bel ihr schon geri~ge psyehisehe Einfliisse das gleiche bewirkten. A t r o p i n . Auf Atropin bel einma]iger Injekgion von 1 mg subku™ sah ich bel 15 Patienten keinen nachweisbaren Effo]g weder im Allgemeinzustand noeh an den Kapillaren, m5ehte aber ausdriiek]ieh bemerken, dag l~ingerer AtropingebIauch die Besehwerden dieser Patienten wesentlich lindert. Pil o k a r p i n . Enorm stark war che Wirkung bei den an sehwereren vasomotorisehen StSrungen leidenden Patienten auf Pilokarpin: enormer Sehweigausbrueh und Speiehelfluf~, die vorher asphyktisehen blauen 'Finger ziegelrog (H51~lin beobachtet Zuriiekgehen der Azlf~lle von lokMer Synkope auf Pilokarpin), Erbreehen oder jedenfalls Wiirgen, Diese Beobaehtungen stimmen gut mit denen von t I e u k tiberein. Dieser injizierte einer l~aynaud-Kr anken (ohne Gangrgn)~mg Adrenalin subkutan ohne Effekt, fand aber auf 0,0075 Pilokarpin eine das normal• Mal~ zweifellos iibersteigende Wirkung. Xhnliehe Beobaehtungen brachten E p p i n g e r und g e l ] zur Aufstellnng des Krankheitsbegriffes der Yagotoniœ Ich mSehte aber gleich anftigen, das wir in 2 Fiillen, wie oben erw~hnt, auch auf Adrenalin bel solchen I™ starke W~kung fanden (in 1 Fal]e Blutdrueksteigerung bis sui 200 mm ttg von vorher 140 mm)~ wiihrend bel dieser Patientin die Reaktion auI Pilokarpin gering vcar. Wir diiffen eben nur von Disharmonie ira Antagonismus zwisehen Sympathieus nnd Yagus Spreehen und werden, je nachdem gerade einmal dieser oder jener iiberwiegt, eine stgrkere Reaktion auf Adrena]in oder Pilokarpin haben. Zusammenfassung. Auf Grund ausgedehnter kapillarmikioskopischer Beobachtungen beiVasoneurotikern wird die innereVe~wandtsehaft der auI~erordent]ieh zahlreiehen, auf konstitutioneller Grund~age entstehenden Gef~l]neurosen dargelegt. Die alte Einteilung in vasokonstrild~orisehe und vasodilatatorisehe Neurosen wird verlassen. Es zeigt sich, dag iihnlieh wie ara Yerdauungstraktus rein sl0astisehe und rein atonisehe Zustgnde 352 PARRISIUS doch nur ausnahmsweise vorkommen, dag vielmehr bel einem und demselben Kranken nicht nur zu versehiedenen Zeiten, sondern zugleich sowohl sloastisehe wie atonische Ph~inomene beobaehtet werden. Die Gef~il]neurose erseheint serait unter dem allgemeinen Gesichtspunkt einer Disharmonie zwischen vegetativen und autonomisehen Einfliissen. Diese Disharmoniœ ist in merklieher Weise aneh von seelisehen Unausgegliehenheiten begleitet, wenn nieht dureh diese sogar hervorgerufen. Morphologiseh l~l]t sieh der Ubergang von ]eieht spastiseh-atenisehen Kapillarveriinderungen bis zu den sehwersten ZirkulationsstSrungen mit lokalem Gewebstod oder bis zut Anhgufung grSl3erer Blutmassen ira venSsen Anteil des Gefgl]systems veffo]gœ Das Krankheitsbild der bekannten, klagenreichen Patientin, ,,der es tiberall fehlt", wir d dureh uns ere Beobaehtungen ans einem rein funktionellen zu einem organisehen. Wer die zahlreichen tlautkapillaraneurysmen dieser Patienten sieht, wird verstehen, dal] sie œ Besehwœ hervorzurufen imstande sind. Dureh das hgufige Zusammenf87 dieser vasone~otischen Konstitu™ mit Geschwtirsbildungen ira Magendarmkanal nnd ara Untersehenkel wird die Frage angesehnitten, ob diese Defekte nieht in ~Lhnlicher Weise erklgrt werden kSnnen wie die Raynaudsche Ga_~griin. Beme 9 liber die T e e h n i k der A b b i l d u n g e n. DieBeobachtungen aller Kapi]laren ara Nagellimbus wurden mittels eines Zeil3schen Stativmikroskops bei 53facher VergrSl~erung vorgenommen. Di s Zeichnungen wnrden nach diesen mikroskopischen Beobachtungen durch Herrn Universiti/tszeiehner D ett el bach er hergestellt, tIierbei wurde der grolle mi~'oskopisehe Zeichena,pparat von Abb› benutzt. Fast jeder Abbildung vert Limbuskspillaren ist ein Ma•stab beigezeichnet. Er entspricht der Lii~_ge von 4/87mm, jeder seiner 5 Teilstriehe is~ 160/2 l~ng. Die iibrigen tIau~stellen (Brust, Oberarm, Oberschenkel) wurden mittels des Miillerschen tIautkapillarmikroskops von Zeil] bei 608 Vei-gr513erung untersucht. Heur D e t t e l b s c h e r hat auch hier die Befnnde zeichnerisch dargesteIlt. Kapillarstudien bei Vasoneurosen. 353 Literaturverzeichnis. 1. B e n e k e , Uber die hhmorrhagischen Erosionen des Magens (Stigmafa ventriculi). Verhandl. d. Deutschen path. Ges. 1908. 2. B e r g m a n n , Das spasmogene Ulcus pepticum. Miinch. med. Wochenschr. 1913, Nf. 4. 3. B i e d l , Uber experimentell erzeugte hnderungen der Gef/ilBweite. Fragmente aus d. Geb. der exper. Pathol. tIerausg, v. Stricker 1894, I. Heft, S. 32. 4. Bier, Die Entstehung des Kollateralkreislaufs. Virehows Arch. f. path. Anat. u. Physiol. u. fil,I klin. Med. Bd. 147 u. 153. 5. B r e m e r , Die Nerven der Kapillaren, der kleinen Arferien und Venenl Arehiv f. mikrosk. Anat. 1882, 21. Bd. 6. B ru n s u. K 6 n i g , Uber die Str{Smung in den B]utkapillaren der menschlichen 1-Iaut bel kMten und warmen B~dern und liber die I{eaktion in und nach kiihlen Wasser- und Kohlens~iureb~idern. Zeitschr. f. physik, u. diiitet. Therapie 1920, I, S. 1. 7. C a s s i r e r , Die vasomotorisch-trophischen Neuro.~en. 2. Aufl. 8. C o l l i n s , zit. nach Cassirer. 9. C o n h e i m , Ubcr Entziindung und Eiterung. Virchows Arch. f. path. A n a l u, Physiel. u. fiir klin. Med. 1867, 40. Bd. 1O. C u r s e h m a n n , Vasomotorische und trophische Neurosen. 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Archives de Physiologie 5. S› 9. Tome, 13. 661. 29. Jahrg. 1897. Siehe auch Itallion et . . .. 19. v. F r a n k l - I ~ o e h w a r d t , Akropar'!sthesien in Nothnagels Spez. Path. u. Therap. XI, 2. Anhang. 20. F r e y , Uber die Wirkungen der ersehlaffenden GefglBnerven. Arbeiten aus der physikal. Angsalt zu Leipz;g von Ludwig, XI. Jahrg. 1876, S. 106. 21. ~'iirs trie r, II. Sitzung der 27. Wandervers. d. siidwestdeutsehen Neurologen u. Irren~rzte zu Baden-Baden ara 24. u. 25. V. 1902. l~ef. in Neuf. Centr.-B1. 21. Jahrg. 1902, S. 629. 354 PA~RIS~US 22. Gloser, Innervation der BlutgefgBe in ,,Des veget. Nerven,S ystem ~~ von L. R. Miiller, Berlin 1920, S. 82. 23. G o lu b e w, Beitrgge zur Kenntnis des ]3eues und der Entwieklungsgesehiehte der K~pillargef/iBe des Frosehes. Arehiv f. mikrosk. Anat. V. Bd., 1869. 24. G r g d i n e s e u , Der EinfluB der Nebennieren auf den Blutkreislauf und d en Stoffwechsel. Pfl/igers Areh. f. Physiol. 152. Bd., 1913, S. 187. 25. G r i i t z n e r , Betraehtungen iiber die Bedeutung der Gef/il3muskeln und ihrer Nerven. Deutsehes Arch. f. klin. Med. 1906, Bd. 89, S. 132. 26. G u b l e r , zit. naeh Vutpian, siehe dort u. Hermanns Handb. d. Physioh IV., S. 456. 27. t t a l l i o n und Ch. A. F r a n ™ Sur. l'immrvation vasomotr ce de l'intestin. Archives de Physiol., 5. S› 8. :Bd., 28. Jahrg. 1896; siehe auch Fran™ .... 28. t I a l l i o n u. Comte, l~ef. in Hermanns J~hresbericht S. 62, s. d. 29. H a l p e r t , Uber Mikrokapillarbeobaehtungen bei einem Fall von l~aynaudscher Krankheit. Zeitschr. 9 d. ges. experiment. Med. 1920, Heft 3--4. 30. tI a i n i 13, Zut Differentialdi~gncse des Scharlachs. Miinch. med. Woehenschr. 1918, N'r. 32, S. 869. 31. t t a s e b r o e k , ~ber den exgrak~rdialen Kreislauf des Blutes, Jena 1914. 32. K e n d e r s o n - L o e w l , Uber die Wirkung der Dilatatorenreizung. Arehiv f. exp. Path. u. Pharmak. 1905, 53. Bd. 3 3 . I { e i n r i e h , Hautvergnderungen wghren& der l~Ienses. Inaug.-Diss. 1919, GSttingen. 34. H e r m a n n s Jahresberieht liber die Fortschritte der Physiologie VIII. Bd., 1900. 35. g e 1], W. R., Die Arterienmuskulatur als ,,peripheres tterz" ? Pfliigers Arch. f. d. ges. Physiol. 1916, Bd. 163, S. 555. 36. HeB und I ™ Uber Neurosen der Hautgefgl]e. Wiener klin .... Woehenschr. 1911, Nr. 42, S. 1460. 37. !{e u bn er, ~ber Vgrgifttmg der Blutk~pi!laren. Arehiv f. exp. Path. u. Pharmak., 1907, 56, S. 370. 38. H e u k , Rayaaudsche Krankheit und periodische ~elancholie. Archiv 9 Psych. u. Nervenkrankheiten. 1920, 63. Bd., Heft 2. 29: K e yrows k y, Cardi0spasmus und Ulcus ventriculi. Wiener klin. Wochenschr. 1912, S. 1406. 40. tto ehenegg, t~ber symmetrische Gangrgn und lokale Asphyxie in Ned. Jahrbiicher 1885, S. 699. 41. H o l l a n d und Meyer. Mit einem Vorwort von Prof. Dr. O. Miiller: Beobaehtungen an den tIautkapillaren bel Kindœ mit exsudativer Dia™ Miinch. med. Wochensehr. 1919, Nr. 42, S. 1191. 42. I-ISBlin, ~ber lokale Asphyxie. Miinch. med. Weehenschr. 1888, Nr. 6. 432 H o u g h u. Bertha B a H a n t y n e , l~ef. i n I-Iermanns Jahrœ S. 62; siehe dort. 44. tt0Yer, ~ber, unmittelbare Einmfindung kleinster Arterien in Gef~B~ste venSsen Charakters. Archiv f. mikrosk. Anatomie 1877; x I I i . :Bd. K:apillarstudien bel Vasoneurosen. 355 45. H u e t e r , Die Cheilo-Angioskopie, eine neue Untersuchungsmethode zu physiologischen und pathologischen Zwecken. ZentralbL f. med. Wissensch. J~hrg. 1879, Nr. 13 u. 14. 46. J ~ k o b y , Beobachtungen ara peripheren Gef~Bapparat unter lokaler Beeinflussung desselben durch pharmak. Agentien. Archiv f. exp. Pathol. u. Pharmak. 1920, 86. Bd. 1. u. 2. Heft. 47. J ~ n k o w s k y , ~ber das vasomotorische Reizph~nomen mit besonderer Be~ riicksichtigung der Urt. factitia. Inaug.-Diss. Breslau 1887. 48. Derselbe, Dber die Bedeutung der Gef~Bnerven fiir die Entstehung des Odems. Virchows Archiv frit pathol. Anat. u. Physiol., 93. Bd. 49. J a n s s e n , (lber Morbus coeruleus. Zentralbl. f. Herz- u. Gef~13krankh. 10. Jahrg~ 1918, ‡ 67. 50. J i i r g e n s e n , Mikrokapillarbeobachtungen und Puls der kleinen GefgBe. Zš f. klin. Med. 1918, 86. Bd., Heft 5 u. 6. 51. D e r s e l b e . Mikrokupillarbeobach~ungen. Deutsches Arch. f. klin. Med. 132. [Bd, 3. u. 4. I-Ieft, S. 204. 52. K a t z e n s t e i n , Ober Entstehung und Wesen des arteriellen Kollateralkreislaufs. Deutsche Zeitschr. f. Chir. Bd. 77, S. 189. 53. K l e b s , Allgemeine Pathologie II. 1889. 54. K l e m e n s i e w i e z , Die Pathologie'der LymphstrSmung in Handb. d. aUgem. P~thot. von Krehl u. Marchand 1912, 2. [Bd., 1. Abt., S. 398. 55. Derselbe, ~J-ber die Wirkung der [Blutung auf dus mikroskopische [Bild des Kreislaufs. Sitzungsber. d. Kais. ~ Akad. d . Wissensch. math.-naturw. Klasse. 96. [Bd., 3. Abt., S. 51. 56. Motoi K o b a y a s h i , Ober experimentelle Erzeugung von peptischen Erosionen (Stigmata ventriculi).. Frankf. Zeitschr. f. Path. 3, 1909. 57. K i i l b s , ~ber lokale Hautreize und I~aut~reaktlon. Berliner klin. Wochenschr. 1909, I~r. 8. 58. K u k u l k ~ , Mikroskopisch feststellbarei funktionelle Ver~nderungen der Gefgl3kapillaren nach Adrenalineinwirkung. Zeitschr. f. exp. Path. u. Ther:1920, XXI. Bd., 3. Heft. 59. L a p i n s k y , Uber den Mechanismus und die diagnostische Bedeutung der Dermographie ara 9beren Telle des Riickens und ~m hinteren Tei!e des Halses. Zeitschr. f. d. ges. l~eurologie u. Psychatrie, XXII, 1914. 60. L i c h t e n b e l t , zit. nach [Bergmann. 61. l~[ares, Der allgemeine [Blutstrom und die FSrderung der [BlutdurohstrSmung der Organe durch die Tgt.igkeit ihres GefiiBsystems. Pfliigers Arch. f. d. ges. Pliysiol. 1916, [Bd. 165, S. 159ff. 62. M~tthes, Einige [Beobachtungen zut Lehre vom Kreislauf in der Peripherie. Deutsches Arch. f. klin. Med. 1906, 89. [Bd., S. 381. 63. ~ ~ y e r , S., Die Muskularisierung der kapillaren [Blutgefgi]e. AnaL. Anzeiger 1902, [Bd. 21. 64. Mertz, [Beobachtung an den I-Iautkapillaren von Si~uglingen. Monatsschr. f. t™ XVIII. Abt., Origin. 65. Morin, zit. nach Leber~: Beitr~ge zur Gesohichte und _~tiologie des Magengesehwfirs. [Berli¡ klin. Wochenschr. 1876, Nr, 39 U. 40. Deulsche Zeitschriftf. Nerve~heilkunde.Bd. 72. 23 356 PA~u~is~s 66. Miiller, L. ~., Dus vegetative Nervensystem. Berlin 1920 67. Derse] be, Studien fiber den Dermograpbismns und dessert diugnostische Bcdeutung. Deutsche Zeitschr. f. 1%rvenheilk. 1913, 47. u. 48. Bd., S. 413. 68. Miiller, Otfried, u. Veiœ Beitr~gœ zur Kreisluufsphysiologie des Menschen, besonders zur Lehre von der Btutverteilung. Sammlung klin. Vortr~ige d. inn. Med. 9 167--196, S. 641, u. 9 197--225, S. 51. 69. Miiller, Otfried, Zur Beobachtung des Kapillarkreislaufs beim Menschen. Verhandl. des Deutschen Kongresses f. inn. Med. 1920, S. 211. 70. 9 Hundbuch der Physiologie des Menschen. I 1 u. I 2. Braunschweig 1905. 71. 9 a t u s , Beitr~ge zur Lehre vert der Stuse nach Versuchen ara Punkreas des lebenden Kaninehens. Virehows Archiv f. path. Anut. n. Physiol. u. f. klin. Med. 1910, Bd. 199. 72. N e u m a n n , Kapillarstudien mittels der mikroskopi'-'ehen Kapillarbeobachtungsmethode nuch Miiller-WeiI~. Berliner klin. Wochenschr. 1920, 98 32, S. 826~ 73. N i e k a u , Anatomisehe und klinische Beobaehtungen mit dem HauptkapillarmikroSkop Deutsehes Arch. f. klin. MeR. 1920, 132. Bd., 5. d. 6. l~eft. 74. O p p e n h e i m , Lehrbuch der 9 75. P a l t a u f , Diskussionsbemerkung. Wiener klin. Wochenschr. 1908, S. 205, 76. P a r r i s i u s , Zut Frage der Kontraktilit~t der menschlichen ttantkapillaren. Pfliigers Archiv f. d. ges. Physiologie 1921. Bd. 191. 77. P a y r , Experimente liber Magenver~nc~erungen als Folge von Thrombose und Embolie im Pfortadergebiet. Verhundl. d. Deutschen Ges. f. Chir. 36. Kongrefi Berlin 1907, S. 679. 78. P o l o n s k y , Dus vasomotor9 NachrSten und seine diagnostisehe Bedeutung bei organischen: und funktionellen Neurosem Inaug.-Diss. Berlin 1911. 79. P r i b r a m , Hypophyse und Ruynuudsehe Krankheit. Mfinch. med. Wochensehr. 1920, 9 45. 80. R e c k l i n g h a u s e n , Handb. der allg. Puthol. des Kreisluufs in ,,Deutsche Chirurgie". 1883, LieL 2 u. 3. 81. R e g e l s b e r g e r , Zur Frage der Darmneurosen~ Archiv ffir Verdauungskrankheiten. 1917, Bd. 23, S. 199. 82. R i e g e l , Uber den EinfluB des 9234 auf den Kreislauf und die 9K6rpertemperatur. Pfliigers Arch. f. d. ges. Physiol. 4, 1871. 83. R o h r e r , t~ber Myotonia atrophica (Dysthrophia myotonica.) Deutsche Zeitschr. f, Nervenheilk. 1916, 55. 84. R o m i n g e r , Ein Fall von Morbus coeruleus mit Demonstration der Hautkapillaren ara Lebenden nach Weil~ u . . . . .. Ref. Freiburgœ med. Ges. in Deutsche med. Woehensehr. 1919, :Nr. 6, S. 168. 85. R o u g e t , M› sur le d› la structure et les propri›233 physiologiques des capillaires sanguines et lymphatiques. Archives de Physiol. 5. Bd., 1873, S. 603. 86. D e r s e l b e , Sur la contructilit› des capillaires sanguines. Comptes rend, hebt. d. s› de l'akad, des sciences 1879, 88. Bd. 9 Kapillarstudien bei Vasoneurosen. 357 87. R o y u. B r o w n , zit. nach tteubner, siehe dort, u. Lapinsky, siehe dort. 88. R y n e k u. W e b e r , zit. nach 2r siehe dort. 89. S c h u l t z e , ])ber Akropargsthesien. Deutsche Zeitschr. f. Nervenheilk. 3, 1893. 90. S c h w i m m e r , Die neuropathischen Dermatosen. Wien u. Leipzig, Urban & Schw~rzenberg 1883. 91. Sehrt, Eine neue Art chirurgischer Beobachtung. Miinch.med. Woehenschr. 1918, Nr. 32, S. 869. 92. Sergejew, Das Verhalten einiger Riickenmarksnerven zum Blutkreislauf in der lVlembr~na nietitans des Frosches. Zentralbl. f. d. med. Wissenseh. 1894, 32. Jg., Nf. 9 u. 10. 93. S e v e r i n i , zit. nach tIermanns Itandb., siehe dort, u. Chutaro Tomita, siehe dort. 94. Siaweillo, zit. nach ttermanns Jahresberieht S. 64, siehe dort. 95. Singer, Pylorospasmus und Magenblutung bel organischer Vagusaffektion. Med. K1, 1916, Nr. 28, S. 739. 96. S p a l t e h o l z , Die Verteilung der BlutgefgBe in der Haut. Archiv f. Anat. u. EntwieMungsgeseh. 1893, S. 1. (Anat. Abtl. des Arch. f. Anat. u. Physiol.) 97. S t g d t l e r , ~ber den diagnostisehen Wert des Dermographismus. Inaug.Diss. Erl~ngen 1907. 98. S t e i n a e h u. K a h n , Echte KontraktilitS~t und motorisehe Innervation der Blutkapillaren. Pfliigers Areh. f. d. ges. Physiol. 1903, Bd. 97. 99. S t e i n e r t , Myopathol. Beitr5ge. Deutsche Zeitschr. f. Nervenheilk. 1909, Nr. 37. 10O. StShr, Lehrbueh der Histologie und mikrosk. Anatomie des iYienschen. 14. Aufl., Jena 1910. 9 101. Straul~, ~ber heredit~res und famili~res Vorkommen von Ulcus ventrieuli et duodeni. Miinch. med. Wochensehr. 1921, I~r. 9, S. 274. 102. S t r i c k e r , 38. Vorlesung aus ,,Vorlesungen fiber Atlg. u. exper. PathoL" Wien 1887, S. 675. 103. D e r s e l b e . Studi› iiber den Bau und das Leben der kapillaren BlutgefgBe. Sitzungsber. d. kais, Akad. d. Wissenseh. math.-naturw. Klasse 1865, 52. Bd. 104: D er sel b e. Uutersuehungen iiber die kapillaren Blutgefgge in der Nickhaut des Frosehes. Sitzungsber. d. kais. Akad. d. Wissensch. f. math.-naturw. Klasse 1865, 51. Bd., 2. Abt. 105. Derselbe. Untersuchungen liber dieKontraktilitgt der Kapillaren. Sitzungso ber. d. kais, Akad. d. Wissenseh., naturwissensch. Klasse, 1876, Bd. 74, 3. Abt. 106. S z y m o n o w i e z , Lehrbueh der ttistologie und der mikrosk. Anatomie 1915, 3. Aufl., S. 143. 107. T a r c h a n o f f , Beobaehtungen liber kontraktile Elemente in den Blut- und Lymphkapillaren. Archiv f. d: ges. Physiol. 1874, 9. Bd. 108. T h a l l e r u. D r a g a , Zut diagnostisehen Verwertbarkeit der mikroskopischen ttautkapillartmtersuchungen am lebenden Menschen. Wiener klin. Wochenschr. 1917, Nf. 22, S. 686. 109. Derselbe. Die Bewegungen der ttautl~pillaren. Wiener klin. Woehensehr. 1917, Nr. 22, S. 687. 23* 358 ~~ Kapillarstudien bei Vasoneurosen. 110. T h o e l e , Das vitalisti,~ch-teleologische Denken in der inneren Medizin. Stuttgart 1909. 111. T i g e r s t e d t , Die Str5mung des Blutes in den Kapillaren und Venen. Ergebnisse d. Physiol. 18. Jahrg. 1920, S. I. 112. D e r s e l b e . Lehrbuch der Physiologie des Menschen. 7. Aufl., Bd. 1. 113. T o m i t a , Chutaro, ~ber die ttyper~mie der t t a u t nach von Esmarchscher Blutleere. P 9 Arch. f. die ges. Physiol. 1907, Bd. 116, S. 299, 114. U n n a , Kriegsaphorismen eines Dermatologen. II. Aufl. 1917, S. 100ff. 115. V o l h a r d , in Mohr-Staehelins Handb. d. inneren. Krankheiten 3. Bd., 2. T e i l , S. 1301 u. 1371. 116. V u l p i a n , Le™ sur l'appareil vasomoteur. Paris 1875. 117. Weil], E., Beobaohtungen der Hautkapillaren und ihre klinische Bedeutung. ~[ed. ]~orrespondenzbl. des wiirttemb. s Landesvereins 1918, Nf. 4 u. 5. 118. D e r s e l b e . Beobachtungen und mikrophotographische Darstellungen der Hautkapillaren ara lebenden Menschen mit einem Vorwor~ von O. Miiller. Deutsches Archiv f. klin. Med. 1916, 119, S. 1. 119. D e r s el b e. Blutdruckmessung und Kapillarbeobach~ung. lYIed.Klinik 1920, Nr. 22, S. 577. 120. D e r s e l b e . Das Verhalten der Hautl~pillaren bei akuter Nephri~is. Miinch. med. Wochenschr. 1916, Nr. 26, S. 925. 121. D e r s e l b e . Eine neue Methode zut Suffizienzpriifung des Kreislaufs. Zeitschr. f. exp. Path. u. Ther~p. 1918, 19.Bd., 3. Iteft. 1'22. D e r s e l b › Mit Vorwort von Prof. Miiller. ~ber Beobaehtung der Hautk~pill~ren und ihre klinische Bedeutung. ~Iiinch. med. Wochenschr. 1917, Nr. 19, S. 609. 123. WeiB. E., u. H a n f l a n d , Beob~chtungen iiber Ver~nderungen der Haut~ kapillaren bel Exanthemen. Miinch. mc~l. Wochensehr. 1918, Nr. 23, S. 607. 124. WeiIl, E., u. Meta H o l l a n d , Zur Morphologie und Topographie der Itautkapillaren. Zei~schr. f. exp. Path. u. Therap. 1921. 1'25. Weil], E., u. D i e t e r , Die Str5mung in den Kapillaren und ihre Beziehung zur Gef~l]funktiom Zentralbl. f. Herz- u. Gef~Bkrankh. ,1920, XII. Jahrg., ~r. 23. 126. WeiB, E., Uber mikroskopische Kapillarbeobachtung. Wiener klin. Wochenschr. 1920, Nr. 38, S. 840. 127. WeiB, IV[.,~-ber sog. symmetrische Gangriin. ZeiVschr. f. tteilkunde (Prager) 1882, III. Bd. 128. D e r s e l b e . ~)ber symmetrische Gangr~n. Wiener Klinik 1881. 129. W e s t p h a l , ~ber hysterische Pseudotetanie mit eigenartigen vasomotorischen StSrungen. Berliner klin. Wochenschr. 1907, Nr. 49, S. 1567. 130. W h a r ~ o n J o n e s , zit. nach Tigerstedt (Ergebnisse). Siehe dort. 131. W o r m -Miiller, Die Abh~ngigkeit des arteriellen Drucks von der Blutmenge. Beric~te liber die Verhandl. d. kgl. s~chs. Ges. d. Wissensch. zu Leipzig. Math.-phys. Klasse. XXV. Bd., 1873, S. 650. 132. Z e l l e r , Studien an Bindehautgef~l]en. Klinische Monatsbl~tter f. Augenheilk. Mai 1921. ~utsche Zeitschrift ftir Nervenheilkunde Band 72. Taiel L(ohtdruck vou ~[~rtiu Rommel & Co., StuttgarL. eutsche Zeitschrift ftir Nervenheilkunde Band 72. Tafel L|cbtdruck von Martin Rommel & 0o,, Stuttgsrt. lsche Zeitschrift ftir Nervenheilkunde Band 72. Tafel 111. Lichtdruck von Martin Rommel & Co,, StuttgarL ~sche Zeitschrift fiir Nervenheilkunde Band 72. Tafel I L|ch~druck von Martin R o m m e l k Co., S t u t t g a r t. t ! sche Zeitschrift fiir Nervenheilkunde Band 72. TaIel Lichtdruy von Mart|u Rommel & Co87 8tuttgart. I~utsche Zeitschrift fiir Nervenheilkunde Band 72, Tafel V Llchtdruck von Martlu Rommel & Co., 8tutt~art. utsche Zeitschrift fur Nervenheilkunde Band 72. Tafel Vl Liohtdruck von Msrttn Rommel & Co., Stuttgart.
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Spanish-Science-Pile
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Various open science
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Spanish
Spoken
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596
El acceso y disponibilidad de información digital en el proceso formativo de educandas angolanas Dr. C. Irima Campillo Torres. Universidad de Camagüey “Ignacio Agramonte Loynaz”. Circunvalación norte Km 5 ½ entre Ave. Ignacio Agramonte y Camino Viejo de Nuevitas. Camagüey, Cuba. Código Postal 54650. Móvil: 58009391 Casa 32 214009. E-mail: irimacampillotorres@gmail.com, irima.campillo@reduc.edu.cu Lic. Natalia Esperança Timóteo Yange. Instituto Superior de Ciências da Comunicação. Telef. 244 943 804 884 – 244 917 771 976 XVI Conferencia Internacional de Ciencias de la Educación, 2021. Coordinador: Dr. C. Jorge García Batán. Desarrollo personal y ciudadano de los educandos. Dr. C Georgina Amayuela Mora Resumen El presente trabajo se enmarca justamente en el quinto objetivo fundamental trazado por las Naciones Unidas en la Agenda 2030 para el desarrollo sostenible, relacionado con la promoción, igualdad y empoderamiento del género femenino en la sociedad actual. El estudio forma parte de una investigación orientada en el Institutito Superior de Ciencias de la Comunicación (ISUCIC), hoy perteneciente a la Universidad Agostinho Neto, Luanda, Angola. La pesquisa tiene como propósito contribuir al proceso de educación y formación de estudiantes angolanas, mediante el uso y acceso a la información digital contenida en el denominado sitio web jovemulher.com. El estudio de tipo mixto con un abordaje cualitativo – cuantitativo, empleó un conjunto de métodos de investigación como el análisis documental, histórico lógico y análisis y síntesis. El método estadístico facilitó el proceso de tabulación, gráficos y presentación de datos. Las técnicas utilizadas como la entrevista, encuesta y observación indirecta, posibilitaron el conocimiento profundo sobre el uso de información digital disponible en el sitio web jovemulher.com. El trabajo enfatiza en la necesidad de una educación ciudadana, específicamente en las estudiantes, para el acceso a la información digital disponible, debido a su papel preponderante en los quehaceres profesionales, sociales, domésticos y familiares. Palabras Clave: Proceso formativo, sitio web, educación ciudadana, Angola.
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The Church of England Advisory Council of Empire Settlement and Post-War Child Migration to Australia
Gordon Lynch
English
Spoken
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  clesiastical History, Vol. , No. , October . © The Author(s), . Jnl of Ecclesiastical History, Vol. , No. , October . © The Author(s), .  Published by Cambridge University Press. This is an Open Access article, distributed under the terms of the Creative Commons Attribution licence (http://creativecommons.org/licenses/by/./), which permits unrestricted re-use, distribution, and reproduction in any medium, provided the original work is properly cited. doi:./S https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press The Church of England Advisory Council of Empire Settlement and Post-War Child Migration to Australia by GORDON LYNCH University of Kent E-mail: G.Lynch@kent.ac.uk Between and , British children were sent to Australia under the auspices of the Church of England Advisory Council of Empire Settlement and its successor bodies. Situating this work in wider policy contexts, this article examines how the council involved itself in this work with support from some senior clergy and laity despite being poorly resourced to do so. Noting the council’s failure to maintain standards expected of this work by the Home Office and child-care professionals, the article considers factors underlying this which both reflected wider tensions over child migration in the post-war period as well as those specific to the council. B etween and , children were sent to Australia unaccompanied by their parents under the auspices of the Church of England Advisory Council of Empire Settlement and its successor bodies.One of eight voluntary organisations approved by the United Kingdom government to undertake child migration work with B CRC = Church of England Record Centre, London; LPL = Lambeth Palace Library, London; NAA = National Archives of Australia, Canberra; NLA = National Library of Australia, Canberra; TNA = The National Archives In the period covered by this article the name of the Church of England Council of Empire Settlement changed to the Church of England Advisory Council of Empire Settlement in , to the Church of England Council for Commonwealth and Empire Settlement in and then to the Church of England Council for Commonwealth Settlement in . The council was then reconstituted in as a committee operating under the Board of Social Responsibility. The decision to begin child migration work, and most of its child migration activities, took place whilst the organisation was constituted as the Advisory Council, but over a hundred children were also migrated in its later organisational forms and this continued until the mid-s. See, for example, Barry Coldrey, ‘“A charity which has outlived its usefulness”: the last phase of Catholic child migration, –’, History of Education xxv/(), –; Geoffrey Sherington and Chris Jeffrey, Fairbridge: empire and child migration, Nedlands, WA ; Constantine, ‘The British government’, –; Julie Grier ‘Voluntary rights and statutory wrongs: the case of child migration, –’, History of Education xxxi/(), –; and Ellen Boucher, Empire’s children: child emigra- tion, welfare and the decline of the British world, –, Cambridge . On earlier moral framing of some of these schemes see also Shurlee Swain and Margaret Hillel, Child, nation, race and empire: child rescue discourse, England, Canada and Australia, –, Manchester . Stephen Constantine, ‘The British government, child welfare, and child migration to Australia after ’, Journal of Imperial and Commonwealth History xxx/(), – . See Legislative Assembly, Western Australia, Select Committee into Child Migration, Interim report, Perth ; UK Parliament Health Committee, Third Report, The welfare of former British child migrants, London ; Preliminary report on Neerkol for the Commission of Inquiry into Abuse of Children in Queensland Institutions, Brisbane ; Report of the Commission of Inquiry into Abuse of Children in Queensland Institutions, Brisbane (Forde Report); Australian Senate Community Affairs Committee, Lost innocents: righting the record: report on child migration, Canberra ; Historical Institutional Abuse Inquiry, Report of the Historical Institutional Abuse Inquiry, module , Belfast ; Australian Royal Commission, Case studies (on Salvation Army institutions in Queensland and New South Wales), (on Christian Brothers institutions in Western Australia) and (on St Joseph’s Orphanage, Neerkol), Canberra ; and Independent Inquiry into Child Sexual Abuse, Child migration programmes investigation report, London . Stephen Constantine, ‘The British government, child welfare, and child migration to Australia after ’, Journal of Imperial and Commonwealth History xxx/(), – . See, for example, Barry Coldrey, ‘“A charity which has outlived its usefulness”: the last phase of Catholic child migration, –’, History of Education xxv/(), –; Geoffrey Sherington and Chris Jeffrey, Fairbridge: empire and child migration, Nedlands, WA ; Constantine, ‘The British government’, –; Julie Grier ‘Voluntary rights and statutory wrongs: the case of child migration, –’, History of Education xxxi/(), –; and Ellen Boucher, Empire’s children: child emigra- tion, welfare and the decline of the British world, –, Cambridge . On earlier moral framing of some of these schemes see also Shurlee Swain and Margaret Hillel, Child, nation, race and empire: child rescue discourse, England, Canada and Australia, –, Manchester . See Legislative Assembly, Western Australia, Select Committee into Child Migration, Interim report, Perth ; UK Parliament Health Committee, Third Report, The welfare of former British child migrants, London ; Preliminary report on Neerkol for the Commission of Inquiry into Abuse of Children in Queensland Institutions, Brisbane ; Report of the Commission of Inquiry into Abuse of Children in Queensland Institutions, Brisbane (Forde Report); Australian Senate Community Affairs Committee, Lost innocents: righting the record: report on child migration, Canberra ; Historical Institutional Abuse Inquiry, Report of the Historical Institutional Abuse Inquiry, module , Belfast ; Australian Royal Commission, Case studies (on Salvation Army institutions in Queensland and New South Wales), (on Christian Brothers institutions in Western Australia) and (on St Joseph’s Orphanage, Neerkol), Canberra ; and Independent Inquiry into Child Sexual Abuse, Child migration programmes investigation report, London . On the historiography of the involvement of the Anglican Church in imperial migration in earlier periods see, for example, Hilary Carey, God’s empire: religion and colo- nialism in the British world, c. –, Cambridge ; Joseph Hardwick, An Anglican British world: the Church of England and the expansion of the settler empire, c. –, Manchester ; Rowan Strong (ed.), The Oxford history of Anglicanism, III: Partisan Anglicanism and its global expansion, –c. , Oxford ; Rowan Strong, Victorian Christianity and emigrant voyages to the British colonies c. –c. , Oxford ; and Michael Snape, ‘Anglicanism and interventionism: Bishop Brent, the United States and the British empire in the First World War’, this JOURNAL lxix (), –. On the changing post-war context for Commonwealth ties and migration see, for example, Boucher, Empire’s children, and Sarah Stockwell, The British end of the end of empire, Cambridge . f f p g Post-war child migrants sent overseas through funding agreements made under the Empire Settlement Act were sent to residential institutions in Australia, Canada and Southern Rhodesia, with only a small number placed directly or subsequently in family homes for adoption or fostering. A short-lived scheme to New Zealand, funded by the New Zealand government, which placed children directly in foster- care was not a subject of policy discussions within the United Kingdom government as it played no formal role in the funding or regulation of this scheme. The Church of England Advisory Council of Empire Settlement and Post-War Child Migration to Australia https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A  financial support provided through the Empire Settlement Act and subsequent iterations of this legislation, the council was responsible for the migration of around per cent of all post-war unaccompanied British child migrants to Australia. g The child migration work of the council, and indeed the council’s work more generally, has previously received relatively little scholarly attention. Historical research on post-war child migration to Australia has focused more on government policy processes or on the work of other voluntary organisations involved in the delivery of these schemes.Whilst the work of the council has received some attention in the eight previous public investigations into the abuse and neglect of former British child migrants, both these investigations and public representations of the history of post- war child migration more generally have tended to focus more on the Fairbridge Society and Catholic organisations.Drawing on archival records for the council held by the Church of England Record Centre and Lambeth Palace Library, as well as other relevant archival and oral history material in the UK and Australian National Archives and National Library of Australia, this article addresses this gap by examining both the policy context within which the council undertook this work, its relation- ship with the wider Church and the nature and implications of its working practices. See Legislative Assembly, Western Australia, Select Committee into Child Migration, Interim report, Perth ; UK Parliament Health Committee, Third Report, The welfare of former British child migrants, London ; Preliminary report on Neerkol for the Commission of Inquiry into Abuse of Children in Queensland Institutions, Brisbane ; Report of the Commission of Inquiry into Abuse of Children in Queensland Institutions, Brisbane (Forde Report); Australian Senate Community Affairs Committee, Lost innocents: righting the record: report on child migration, Canberra ; Historical Institutional Abuse Inquiry, Report of the Historical Institutional Abuse Inquiry, module , Belfast ; Australian Royal Commission, Case studies (on Salvation Army institutions in Queensland and New South Wales), (on Christian Brothers institutions in Western Australia) and (on St Joseph’s Orphanage, Neerkol), Canberra ; and Independent Inquiry into Child Sexual Abuse, Child migration programmes investigation report, London . https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press On the historiography of the involvement of the Anglican Church in imperial migration in earlier periods see, for example, Hilary Carey, God’s empire: religion and colo- nialism in the British world, c. –, Cambridge ; Joseph Hardwick, An Anglican British world: the Church of England and the expansion of the settler empire, c. –, Manchester ; Rowan Strong (ed.), The Oxford history of Anglicanism, III: Partisan Anglicanism and its global expansion, –c. , Oxford ; Rowan Strong, Victorian Christianity and emigrant voyages to the British colonies c. –c. , Oxford ; and Michael Snape, ‘Anglicanism and interventionism: Bishop Brent, the United States and the British empire in the First World War’, this JOURNAL lxix (), –. On the changing post-war context for Commonwealth ties and migration see, for example, Boucher, Empire’s children, and Sarah Stockwell, The British end of the end of empire, Cambridge . Post-war child migrants sent overseas through funding agreements made under the Empire Settlement Act were sent to residential institutions in Australia, Canada and Southern Rhodesia, with only a small number placed directly or subsequently in family homes for adoption or fostering. A short-lived scheme to New Zealand, funded by the New Zealand government, which placed children directly in foster- care was not a subject of policy discussions within the United Kingdom government as it played no formal role in the funding or regulation of this scheme. On this, see, for example, Constantine, ‘The British government’, and Gordon Lynch, Remembering child migration: faith, nation-building and the wounds of charity, London . The Church of England Advisory Council of Empire Settlement and Post-War Child Migration to Australia https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A migrants in the meso-level structures and cultures of individual voluntary organisations alongside the macro-level failures of government policy and regulation.With issues of safeguarding failures in religious organisa- tions also receiving significant public attention through the recent work of the Royal Commission into Institutional Responses to Child Sexual Abuse in Australia and the Independent Inquiry into Child Sexual Abuse in England and Wales, this article also provides an historical case study of how the complex structures of the Church of England led to failures in the governance and oversight of the council’s work with children. To set the council’s post-war child migration activities in context, this article begins by discussing its formation in in the wake of more ambi- tious government policies for encouraging imperial migration. The rapid rise in the council’s assisted migration activities, followed by an equally dra- matic decline in the face of global economic depression, led to a re-framing of the council’s aims and the scope of its work during the mid-s. Despite being reconstituted primarily as an advisory body through that process, this article goes on to consider how the council quickly sought to involve itself again in administering assisted migration. As part of its renewed work in assisted migration, in the post-war period the council began for the first time to arrange for the migration of children to residen- tial homes run by Anglican and other Protestant organisations in Australia. This work was undertaken in the context of continued significant financial pressures on the council’s work, as well as growing resistance to it within the Church, and with its child migration activities largely undertaken by a soli- tary administrator with no significant oversight of her work. The article goes on to consider how the council’s child migration work took place in the context of broader post-war policy discussions about child migration and discusses how, by , its activities had come to be regarded with sign- ificant concern by the Home Office. The Church of England Advisory Council of Empire Settlement and Post-War Child Migration to Australia https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H Whilst this article adds to our understanding of migration work under- taken by the Anglican Church in a comparatively under-researched period in the historiography of the Church and imperial migration,its primary focus is on understanding the context and reasons for the coun- cil’s failure to adhere to standards for child migration expected by the Home Office and other child-care professionals. Post-war child migration operated in the wider context of a major reframing of the policy and public governance of children’s out-of-home care, shaped both by the influential Curtis report and the Children Act. In this wider context, new expectations were developed both about the working methods of voluntary organisations in the United Kingdom responsible for sending child migrants overseas and for the standards of care that they would receive in the institutions to which they were sent.As other studies have noted, a number of voluntary organisations failed to adhere to these standards in a wider context of policy failure by Australian Commonwealth and state governments, and United Kingdom government departments, to maintain effective systems of regulation and oversight. Whilst these failures by voluntary organisations might be perceived more generally in terms of tensions between state and the voluntary sector in the emerging post-war welfare state, the causes of these failures were grounded in structural and cultural factors specific to each organisation. In examining factors which led to failures in the council’s work, this article therefore seeks to contribute to a more nuanced, critical history of post-war child migration that situates the failure to safeguard child f f p g Post-war child migrants sent overseas through funding agreements made under the Empire Settlement Act were sent to residential institutions in Australia, Canada and Southern Rhodesia, with only a small number placed directly or subsequently in family homes for adoption or fostering. A short-lived scheme to New Zealand, funded by the New Zealand government, which placed children directly in foster- care was not a subject of policy discussions within the United Kingdom government as it played no formal role in the funding or regulation of this scheme. p y g g On this, see, for example, Constantine, ‘The British government’, and Gordon Lynch, Remembering child migration: faith, nation-building and the wounds of charity, London . On a comparable study of such organisational failings in the context of post-war Catholic child migration see Gordon Lynch, ‘Catholic child migration schemes from the United Kingdom to Australia: systemic failures and religious legitimation’, Journal of Religious History, forthcoming. This study should therefore be understood as working within the history of child- hood, in that its focus is on organisational structures and working practices in relation On a comparable study of such organisational failings in the context of post-war Catholic child migration see Gordon Lynch, ‘Catholic child migration schemes from the United Kingdom to Australia: systemic failures and religious legitimation’, Journal of Religious History, forthcoming.  Ibid. paras –. Conference of prime ministers and representatives of the United Kingdom, the Dominions and India, held in June, July and August, : summary of proceedings and documents, cmd., London , –. to children, rather than as a children’s history primarily concerned with the lived experiences of children sent overseas through the council’s work. For accounts of the experiences of child migrants sent to Anglican children’s homes in Australia see, for example, Margaret Humphreys, Empty cradles, London , –, –, – , and also interview with Ken Pound, ‘Forgotten Australians and Former Child Migrants Oral History Project’, NLA, nla.obj–. On eight accounts of sexual abuse at Anglican children’s homes in Australia see Independent Inquiry into Child Sexual Abuse, Child Migration Programmes Investigation Report, London , .    Ibid. –. Given that this agreement focused on the use of migration to encourage primary production in the Dominions, the South African government indicated that the lack of need for white labour in South Africa meant that it was unlikely to participate in this arrangement in this form which seemed more suited to the needs of Australia, New Zealand and Canada. The Church of England Advisory Council of Empire Settlement and Post-War Child Migration to Australia The article concludes both by compar- ing the nature of the council’s child migration work with that of other voluntary organisations at that time, arguing that its failures to maintain appropriate child-care standards of that time reflected not simply a conflict between voluntarism and the increasing professionalisation of chil- dren’s out-of-home care or between supporters of imperial migration and of progressive approaches to child-care, but the particular nature of the council’s governance, structures and culture as a body operating at that time within the Church of England. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press Child Sexual Abuse, Child Migration Programmes Investigation Report, London , . Final report of the Royal Commission on the natural resources, trade and legislation of certain portions of his majesty’s dominions, cmd., London . to children, rather than as a children’s history primarily concerned with the lived experiences of children sent overseas through the council’s work. For accounts of the experiences of child migrants sent to Anglican children’s homes in Australia see, for example, Margaret Humphreys, Empty cradles, London , –, –, – , and also interview with Ken Pound, ‘Forgotten Australians and Former Child Migrants Oral History Project’, NLA, nla.obj–. On eight accounts of sexual abuse at Anglican children’s homes in Australia see Independent Inquiry into Child Sexual Abuse, Child Migration Programmes Investigation Report, London , . p f j y Ibid. paras –. The formation of the Church of England Council of Empire Settlement In the Dominions Royal Commission concluded its five-year review of how the natural, human and economic resources of Britain and its five self- governing overseas Dominions could be most effectively managed. In its final report, the commission argued that there was considerable scope for far more effective use of these human resources through better co-ordi- nated and funded schemes of assisted migration to the Dominions which could support their economic development and thus strengthen trade between these constituent parts of the empire.Noting that the ‘youth and adaptability’ of child and juvenile migrants made them the most advan- tageous recipients of funding for assisted migration, its report echoed the sentiments of later post-war advocates of child migration in regretting that more children in the care of the state had not been made available for this purpose. In response to the commission’s recommendations, the Oversea Settlement Committee was established as part of the administrative respon- sibilities of the Dominions Office to develop and fund more effective assisted migration policies. Under the committee’s auspices discussions began with the Dominion governments of Canada, Australia and New Zealand about the development of more ambitious assisted migration schemes with substantial financial support from the United Kingdom gov- ernment.Ratified by the Prime Ministers’ Conference,this agree- ment was enacted into law through the Empire Settlement Act which enabled the Secretary of State for Dominion Affairs to authorise govern- ment funding for up to half of the costs of any agreed scheme for assisted    Ibid. –. Given that this agreement focused on the use of migration to encourage primary production in the Dominions, the South African government indicated that the lack of need for white labour in South Africa meant that it was unlikely to participate in this arrangement in this form which seemed more suited to the needs of Australia, New Zealand and Canada. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A migration to the Dominions, subject to agreement from the Treasury. Government expenditure under these provisions was allowed to rise in fol- lowing years up to £million per annum, with this legislation subject to renewal every fifteen years. f y g  , , See, for examples, documents and correspondence at NAA, CP.... On contact with overseas committees organised by archbishops or bishops in their respect- ive states see also memorandum on Church of England Advisory Council of Empire Settlement, TNA, n.d., MH/. Report of the Church of England Council for Empire Settlement for the nine months ending st December , and Second annual report for the Church of England Council for Empire Settlement for the year ending st March , CRC, CECES–. Ibid. The formation of the Church of England Council of Empire Settlement y y In the context of these more ambitious plans and financial support for migration to the Dominions, new opportunities arose for voluntary organi- sations to act as bodies which could undertake the administrative work to develop specific migration schemes and receive and disburse Empire Settlement Act funding. Both the Oversea Settlement Committee and Dominion governments recognised that the potential financial resources made available by the act were only likely to be drawn on sufficiently if there was more effective collaboration between organisations in the Dominions which could raise group nominations for immigrants based on local opportunities and support immigrants on arrival, and organisa- tions in the United Kingdom which could publicise these opportunities and put forward migrants to fill them. Religious organisations were an obvious means of such trans-national co-operation, and in the Church Assembly of the Church of England responded to invitations from the Dominions Governments to engage in this work by establishing the Church of England Council of Empire Settlement, formed under the presidency of the archbishop of Canterbury and the chairmanship of Lord Jellicoe, the Admiral of the Fleet. J With its creation publicly welcomed by both King George V and the sec- retary of state for Dominion Affairs, Leo Amery,an early task for the council was to ensure that appropriate overseas partners were identified with whom it could collaborate. In Australia, working relationships were established with diocesan organisations across most Australian states, such as the Church of England Immigration Council in Queensland which received financial support both from the Australian Commonwealth Government as well as from the Church of England Council of Empire Settlement.Agreement to support the council’s work was also obtained from other organisations associated with the Church, such as the SPCK, the Society for the Propagation of the Gospel, the Waifs and Strays Society and the Church Army, which not only publicised the council’s work but in some cases also passed on a number of people for whom assisted migration arrangements were https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H made.By the growing numbers of applicants for assisted migration being helped through the council’s office had led the Dominions Office to award a recurrent grant-in-aid towards its administrative costs. g   , , Fourth annual report of the Church of England Council of Empire Settlement for the year ending st March , ibid. For statistics on annual rates of assisted migration after the passing of the Empire Settlement Act see Report to the secretary of state for Dominion Affairs of the inter-departmental committee on migration policy, cmd., London , . British Oversea Settlement Delegation to Australia, Report to the president of the Oversea Settlement Committee from the delegation appointed to enquire into conditions affecting British settlers in Australia, cmd., London ; British Oversea Delegation to Canada, Report to the secretary of state for the colonies, president of the Oversea Settlement Committee, from the delegation appointed to obtain information regarding the system of child migration and settlement in Canada, cmd., London . In the post-war period, the Waifs and Strays Society (now the Church of England Children’s Society) did not migrate children exclusively through the council, but also used other recognised sending organisations such as the Northcote Trust: TNA, MH/.  g , ,  Report of the Oversea Settlement Committee for the period st April to st March , cmd., London . https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press Third annual report of the Church of England Council of Empire Settlement for the year ng st March , CRC, CECES–. In the post-war period, the Waifs and Strays Society (now the Church of England Children’s Society) did not migrate children exclusively through the council, but also used other recognised sending organisations such as the Northcote Trust: TNA, MH/. Third annual report of the Church of England Council of Empire Settlement for the year ending st March , CRC, CECES–. Fourth annual report of the Church of England Council of Empire Settlement for the year ending st March , ibid. For statistics on annual rates of assisted migration after the passing of the Empire Settlement Act see Report to the secretary of state for Dominion Affairs of the inter-departmental committee on migration policy, cmd., London , . British Oversea Settlement Delegation to Australia, Report to the president of the Oversea Settlement Committee from the delegation appointed to enquire into conditions affecting British settlers in Australia, cmd., London ; British Oversea Delegation to Canada, Report to the secretary of state for the colonies, president of the Oversea Settlement Committee, from the delegation appointed to obtain information regarding the system of child migration and settlement in Canada, cmd., London . Report of the Oversea Settlement Committee for the period st April to st March , cmd., London . The formation of the Church of England Council of Empire Settlement During the following year this was extended to grants made payable by the Dominions Office to support the work of the council’s partner organisa- tions overseas with more than per cent of the council’s income now coming from Empire Settlement Act funding.Whilst the numbers being migrated through the council – ,in and ,in – remained relatively modest in the context of the national average of between ,and ,assisted migrants per annum during the s, the council consoled itself that its contribution to empire settlement extended beyond this to publicising opportunities for migration to the Dominions that some might eventually take up through other migration agencies.Reflecting the strong support for juvenile migration in reports by recent Oversea Settlement Committee delegations to Australia and Canada,the council also actively encouraged juvenile migration (i.e. the migration of teenagers over school-leaving age) for work place- ments, usually in agriculture or domestic service. y g By , however, the global economic depression was significantly cur- tailing assisted migration. Rising unemployment and a slump in the market for agricultural products led Dominion governments to take a far less supportive view of assisted migration from the United Kingdom. As the introduction of British immigrants competing with the existing under-utilised labour force became increasingly politically sensitive, Dominion governments began introducing more stringent immigration controls and significantly scaling back or ending their financial support for assisted migration.The United Kingdom government followed suit, In the post-war period, the Waifs and Strays Society (now the Church of England Children’s Society) did not migrate children exclusively through the council, but also used other recognised sending organisations such as the Northcote Trust: TNA, MH/. g , ,  Report of the Oversea Settlement Committee for the period st April to st March , cmd., London .  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A and by only people sailed from the United Kingdom on assisted passages funded through the Empire Settlement Act. p g g p The dramatic contraction in assisted migration was to have a significant effect on the council’s work. Sixth annual report of the Church of England Council of Empire Settlement for the year ending st March , CRC, CECES–. Seventh annual report of the Church of England Council of Empire Settlement for the year ending st March , ibid. Eighth annual report of the Church of England Council of Empire Settlement for the year ending st March , ibid. Report of the Church of England Council of Empire Settlement, London , ibid. CA. Report of the Church of England Advisory Council of Empire Settlement for the year st September to st August , ibid. CA. Report to the Secretary of State for the Colonies, President of the Oversea Settlement Committee, from the Delegation Appointed to obtain information regarding the System of Child Migration and Settlement in Canada, British Oversea Delegation to Canada, cmd., London . See, for example, TNA, DO//M/; DO//M/. The formation of the Church of England Council of Empire Settlement Its sixth annual report, in , began by observing that ‘never in the history of Empire Settlement has the opportun- ity and prospects for the time being been worse’.Despite a positive reso- lution about the value of imperial migration being passed at a meeting of bishops convened by the council alongside the Lambeth conference, not only were prospects for further migration substantially limited by the economic downturn, but a number of those migrated by the council were now facing significant challenges through unemployment or reduced wages, with some juvenile migrants placed on farms now having to work for board and lodging only. Whilst emphasising the practical support that had been offered to them through its overseas partners, the council also sought to avoid being held responsible for these difficulties, stating that it merely sought to provide information and help those who had made their own decision to migrate. In its seventh annual report, in , it recorded that its core administrative funding from the Dominions Office had now been completely withdrawn, along with that for all other voluntary organisations undertaking similar work.The council continued to make unsuccessful representations to the Dominions Office re restoring its grant-in-aid, with its annual report record- ing that ‘it was at one with all those people in the Empire who believe that future Empire Settlement can alone maintain in full vigour the bond of the Empire, or keep the new countries refreshed with the blood of the old’. With the council’s administrative work in arranging any further assisted migration having ground to a halt, and questions raised about the rationale for its continued existence, its remaining staff became more preoccupied with welfare issues concerning the ,people – including around , juvenile migrants – who had previously migrated under its auspices. p The crisis led to the council commissioning a review of its past work and future role. The formation of the Church of England Council of Empire Settlement In a report submitting this review to the Church Assembly, the new chair of the council, Sir Wyndham Deedes, gave the council’s full support to the review’s main recommendation that it be dissolved in its current form, and re-constituted as an advisory body with a chair appointed https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H by the archbishops of Canterbury and York.Rather than having any on- going involvement in receiving and publicising group nominations from overseas partners, selecting applicants for these nominations and making arrangements for the funding of passages and emigrants’ reception over- seas, the newly reconstituted body would focus instead on gathering and sharing information between church and government bodies in relation to empire settlement, and to ‘advise the Church Assembly how the energies of the Church might most usefully be aroused and directed to organise suc- cessful settlement overseas’. In this recommendation was implemen- ted and the council was replaced with a new body, The Church of England Advisory Council of Empire Settlement, chaired by the former governor- general of Canada, Vere Ponsonby, th earl of Bessborough.Other members of the revised council included the former bishop of Bathurst in Australia, Horace Crotty, the Conservative MPs, Peter Agnew, Sir Edward Grigg and William Wakefield, and the Labour MP, Tom Smith. Another initial appointment was Margaret Bondfield, the former Labour Cabinet Minister and trade unionist who had led the Oversea Settlement Committee delegation which had recommended ending UK government support for the migration of children under school-leaving age to private households in Canada.An executive committee made up of representatives of church and other organisations with an interest in emigration was also formed. by the archbishops of Canterbury and York.Rather than having any on- going involvement in receiving and publicising group nominations from overseas partners, selecting applicants for these nominations and making arrangements for the funding of passages and emigrants’ reception over- seas, the newly reconstituted body would focus instead on gathering and sharing information between church and government bodies in relation to empire settlement, and to ‘advise the Church Assembly how the energies of the Church might most usefully be aroused and directed to organise suc- cessful settlement overseas’. See A. R. Peters, memorandum, Nov. , NAA, A, //; Nutt to acting secretary, Department of the Interior, with enclosures, Aug. , NAA, A, /; Arthur Calwell, How many Australians tomorrow?, Melbourne ; ‘Migration to Australia – New Minister Explains Government Plans’, Aug. , TNA, DO//M//; Inter–Departmental Committee on Migration, Sept. , NAA, A, /.  The formation of the Church of England Council of Empire Settlement In this recommendation was implemen- ted and the council was replaced with a new body, The Church of England Advisory Council of Empire Settlement, chaired by the former governor- general of Canada, Vere Ponsonby, th earl of Bessborough.Other members of the revised council included the former bishop of Bathurst in Australia, Horace Crotty, the Conservative MPs, Peter Agnew, Sir Edward Grigg and William Wakefield, and the Labour MP, Tom Smith. Another initial appointment was Margaret Bondfield, the former Labour Cabinet Minister and trade unionist who had led the Oversea Settlement Committee delegation which had recommended ending UK government support for the migration of children under school-leaving age to private households in Canada.An executive committee made up of representatives of church and other organisations with an interest in emigration was also formed. g Within a year of its formation, however, government support for assisted migration to Australia resumed, and despite its reconstitution as a primarily advisory body, the advisory council quickly became involved again in sup- porting group nominations from its Australian partners and recruiting and selecting migrants to fill these. Numerous approaches continued to be made to the Dominions Office for the restoration of government funding to support its core administrative activities. These were initially delayed by the United Kingdom government’s suspension and review of its assisted migration policies during the war, and then ultimately refused on grounds of insufficient economic resources.Despite the limited time during which the advisory council was able to resume its direct involve- ment in arranging assisted migrations before the onset of war, this willing- ness on its part to move beyond its formal advisory brief was to provide the https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A organisational context in which it became involved in child migration in the post-war period. organisational context in which it became involved in child migration in the post-war period. g p     Lord Bessborough to C. Addison, Nov. , TNA, DO//M/. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press The council and post-war child migration Post-war assisted migration to Australia took place in the context of a sub- stantial review by the Australian Commonwealth government of its immi- gration policy. Both awareness of the difficulty of defending the vast Australian land mass with a comparatively limited population and demo- graphic trends that seemed to challenge the country’s viability in coming decades led to more ambitious plans to increase the Australian population through immigration. A new national department of immigration was created with the senior Labor politician, Arthur Calwell, its first minister. Although some Commonwealth government funding had been provided to support child migration in the pre-war period, new proposals were devel- oped to try to attract ,child migrants from the United Kingdom and continental Europe in the years immediately after the war with plans drawn up to place them in government-run homes and hostels in urban areas. The prohibitive costs of this proposed scheme, as well as challenges in recruiting numbers of children on that scale, meant that it was suspended and replaced by the pre-war policy of funding children to be placed in insti- tutions run by voluntary organisations. Child migration remained a high priority for Calwell’s department, however, with children seen as being more adaptable and posing less immediate challenges in terms of employ- ment and housing than adult migrants as Australian society adjusted to demobilisation and the shift from a wartime economy. y As voluntary organisations in Australia began to adapt to the Commonwealth government’s more ambitious aims for child migration, so the advisory council also began to contemplate the inclusion of child migration within its wider portfolio of assisted migration work.With agreements for post-war assisted migration coming into effect between the Australian Commonwealth and United Kingdom governments in , the advisory council began to resume its work. See correspondence and documents in TNA, DO/, and NAA, K, W/. Walter Garnett to C. W. Dixon, with enclosure, June , TNA, DO/. Church of England Advisory Council of Empire Settlement Scheme, memoran- dum from meeting on Feb. , TNA, MH/. On how children were referred to the council see speech by Bell in Church Assembly: report of proceedings, xxxiv, , , spring session, p. , CRC. G. A. N. Lowndes to secretary of state for Home Affairs, July ; R. L. Dixon note, Aug. , TNA, DO/; memorandum on the Church of England Advisory Council of Empire Settlement, n.d., TNA, MH/. Enid Jones to Noel Lamidey, Sept. , NAA, A, //. Report of the Church of England Advisory Council of Empire Settlement for the year st January to st December , CRC, CECES––CA, . https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press y p , , , / Enid Jones to Noel Lamidey, Sept. , NAA, A, //. See correspondence and documents in TNA, DO/, and NAA, K W/.  J y p Report of the Church of England Advisory Council of Empire S anuary to st December , CRC, CECES––CA, . J y p     Report of the Church of England Advisory Council of Empire Settlement for the year st January to st December , CRC, CECES––CA, . The council and post-war child migration Information given to the Home Office about the council’s child migration work in by its secretary, Enid Jones, was also vague on this.Some children seem to have been referred through church organisations associated with its work, including what had by then become the Church of England Children’s Society, some from local authority care and some referred on by the Law Society.There is also evi- dence, in , that the advisory council approached London County Council with a view to the possible migration of children under their care through the Poor Law and that for at least part of the early post-war period it relied on other local authorities for identifying possible child migrants.The degree of interest from local authorities, mindful of a duty of care that had been consolidated in the Children Act, was regarded as ‘poor’ by the council with only two local authorities putting children forward for migration under the council’s auspices by the autumn of .With at least some of these children still living with their families rather than in residential institutions, the advisory council noted from the outset that ‘recruiting suitable children under this scheme presents great difficulties, especially as there appears to be some reluctance on the part of parents or guardians to allow children to travel such a long distance’.Although this practice became more common with some other child migration organisations in Britain from the mid- s, it appears that from a fairly early stage the advisory council sent a number of children whose parents were to follow them to Australia at a https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A later stage and who might take them out of residential care when family cir- cumstances allowed. The migration of sixteen children to the Swan Homes under this nomin- ation during the autumn of revealed both flaws within the advisory council’s own systems as well as poor oversight of the placement of children sent to Western Australia under both Anglican and Catholic schemes by the UK High Commission in Canberra. See, for example, confidential appendix on Swan Homes, Perth: TNA, BN/ . See also correspondence at NAA, K, W/, and Jones to Lamidey  Sept. , NAA, A, //. Although the council appeared to have accepted parental assurances that they were planning to migrate to Australia in the future and would reunite with their families, the UK government’s fact-finding mission noted the emotional disruption caused for child migrants who were migrated to Australia and admitted to residential institutions without clear plans about when their parents would join them. The council and post-war child migration One of its first activ- ities was to support a request for child migrants from the Committee for https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H Anglican Orphanages for the Diocese of Perth.Although an initial nom- ination had been submitted for fifty children to be sent to the Anglican Swan Homes in Perth, consultation between state officials and the Homes’ manager confirmed that, on the basis of the available accommoda- tion, this should be reduced to twenty boys between the ages of ten and twelve. A lack of records makes it difficult to establish exactly how the advisory council went about identifying and selecting children to be put forward for these nominations. Report for the year st January to st December , . See T. M. Nulty to R. L Dixon, with enclosure, Aug. , TNA, MH/, and DO/. The limit of boys for this nomination is repeated through other Commonwealth Relations Office files as well: TNA, DO/. , / See Lamidey to Tasman Heyes, Dec. , and Heyes to Lamidey, Dec. , NAA, K, W/.    See Garnett to F. H. Ordish, May , NAA, K, W/. See also H. E. Smith to Heyes, May , with enclosures, NAA, A, //. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press p j Report for the year st January to st December , . The council and post-war child migration In its annual report for , the advis- ory council noted that a nomination for twenty-five children for the Swan Homes had been accepted by Australian immigration officials, and that its contacts in Western Australia had sent a ‘very cheerful account’ of the child migrants who arrived at the Swan Homes that autumn.In reality, though, only a maximum of twenty boys were meant to be sent under this nomin- ation with this having been reduced from an original request for fifty chil- dren.The advisory council included six girls in the second party of child migrants that it sent to the Swan Homes that autumn despite the fact that a report by state officials earlier in the year had indicated that no accommo- dation was available for girls. Before their sailing the advisory council appear to have insisted to immigration officials at Australia House that no reduction had been made to the original requested numbers and that there had been no restriction on the migration of girls, with Australia House only apparently later checking this with the Commonwealth Department of Immigration which informed them that the advisory council was wrong.This failure to observe the agreed terms of the group nomination was noticed by Walter Garnett, the Official Secretary of the UK High Commissioner, the following year, who asked the Commonwealth Department of Immigration why these girls had been included in breach of this agreement.No response to this query from Commonwealth or state immigration officials is recorded on file. This was not an exceptional case, however. Fifty-two Roman Catholic girls had https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H been sent to Nazareth House, Geraldton, in the autumn of despite it not being a receiving institution approved by the United Kingdom govern- ment, and the numbers and ages of young Catholic boys sent to the Christian Brothers’ residential institution at Castledare that autumn were also in breach of agreed limits. Whilst these failures clearly demonstrated a lack of effective monitoring by the United Kingdom government about the profiles and numbers of children being sent to receiving institutions in Western Australia, the migration of these children in contravention of agreed limits also suggested that immigration officials at Australia House may have been prepared to exercise a certain latitude in order to maintain the numbers of children being sent. See TNA, DO/. Constantine, ‘The British government’, . See, for example, Report of the Church of England Advisory Council of Empire Settlement for the year st January to st December , CRC, CECES––CA. See notes , Mar. , Geoffrey Fisher papers, LPL, MS , fos –. This commendation was reprinted in the council’s annual report that year: Report of the Church of England Advisory Council of Empire Settlement, for the year st January to st December , NAA, A, //. The council and post-war child migration g With funding agreements for child migrants’ maintenance and outfi- tting finalised with the Commonwealth Relations Office (formerly the Dominions Office) in October ,the advisory council’s child migra- tion work gradually increased. With only twenty-eight children migrated under its auspices in and , it arranged the migration of thirty- nine children in and until (with the exception of a drop in ) continued to migrate between thirty-five and fifty children per annum.Group nominations, or ‘requisitions’, for specific numbers of children (of particular gender and age ranges) for specific receiving insti- tutions in Australia began to be advertised in its annual reports.The arch- bishop of Canterbury, Geoffrey Fisher, provided a warm endorsement of the council’s child migration work in based on his recent experience of visiting Australia. He wrote that Nothing more impressed me than the Swan Homes near Perth … The accommo- dation was good, the whole spirit of the Homes most helpful and friendly, the chil- dren themselves obviously happy and full of life. The Homes have a lovely situation and the scenery surrounding them is very English, fields with their cows and horses, a stream meandering through them, and hills in the distance which might be the Chilterns. The children were being effectively trained to be good citizens and good Christians. Lack of funding from the Commonwealth Relations Office and the Church Assembly continued to create significant financial pressures for the council, however. p  ‘Empire settlement’, The Times, May , held ibid. See documents and correspondence at TNA, DO/.  https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press p y  Bessborough and Fisher to Robert Gascoyne-Cecil, marquess of Salisbury, Jul , ibid.  p  Salisbury to Fisher, July , TNA, DO/. Fisher made a further approach to the Commonwealth Relations Office for the restoration of this funding in and was again turned down: Fisher to Alec Douglas- Home, Mar. , and Sandys to Fisher, Oct. , Fisher papers, MS , fos –. J. P. Gibson, note, July , ibid. On the wider context of the growing scepti- cism within the Commonwealth Relations Office about the economic value of the United Kingdom government’s financial contribution to assisted migration to Australia see, for example, TNA, DO/. See documents and correspondence at TNA, DO/. ‘Empire settlement’, The Times, May , held ibid. Bessborough and Fisher to Robert Gascoyne-Cecil, marquess of Salisbury, July , ibid. J. P. Gibson, note, July , ibid. On the wider context of the growing scepti- cism within the Commonwealth Relations Office about the economic value of the United Kingdom government’s financial contribution to assisted migration to Australia see, for example, TNA, DO/. Salisbury to Fisher, July , TNA, DO/. Fisher made a further approach to the Commonwealth Relations Office for the restoration of this funding in and was again turned down: Fisher to Alec Douglas- Home, Mar. , and Sandys to Fisher, Oct. , Fisher papers, MS , fos –. See Church Assembly: report of proceedings xxii autumn session –CRC Bessborough and Fisher to Robert Gascoyne-Cecil, marquess of Salisbury, July , ibid. J. P. Gibson, note, July , ibid. On the wider context of the growing scepti- cism within the Commonwealth Relations Office about the economic value of the United Kingdom government’s financial contribution to assisted migration to Australia see, for example, TNA, DO/. y   p p   See Church Assembly: report of proceedings, xxii, , autumn session, –, CRC y   p p   See Church Assembly: report of proceedings, xxii, , autumn sess The council and post-war child migration Further unsuccessful attempts were made by Bessborough to press the Secretary of State for Commonwealth Relations https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A to restore the advisory council’s grant-in-aid,after which Bessborough and Fisher sought to increase voluntary subscriptions to it through a letter in The Times which foregrounded its child migration activities as exemplifying the good work that it was undertaking.When this appeal failed to generate sufficient funds, Bessborough and Fisher made a fresh attempt to have government funding restored in , noting the valuable work that was done both in arranging the migration of children and man- aging the pastoral care of adult migrants despite only having two paid staff.A private briefing note advising on the response to this by a Commonwealth Relations Office civil servant noted that, under continued difficult economic circumstances, the trend was towards ending rather than renewing such funding. The advisory council’s migration work was described as ‘useful but modest’, capable of being taken over by other orga- nisations doing similar work and the advisory council was seen as ‘hardly indispensable’.A more carefully phrased response from the secretary of state regretting his inability to provide funding under current economic conditions was sent,and the advisory council continued to be funded through private subscriptions and bequests. g p p q Shortly after this, the advisory council’s precarious financial position led the Church Assembly to pass a motion proposed by the bishop of London, William Wand, to appoint a commission to undertake another review of the Church of England’s involvement in supporting migration to the former ‘white Dominions’ including the advisory council’s future role and consti- tution.Seconded by George Bell, bishop of Chichester, both bishops argued that there was a need for an active effort to maintain an Anglican presence in overseas Dominions given the Catholic Church’s active support for migration, with Wand also noting that the council’s child migration work involved sending children to some ‘first class’ residential homes. See, for example, Church Assembly: report of proceedings, xxxxi, , summer session, , ibid. See, for example, Church Assembly: report of proceedings, xxxxi, , summer session, , ibid. See, for example, more extensive debates on reports by the Assembly’s Overseas Council and the Council for Ecumenical Cooperation, ibid. spring session, –; xxxiv, , spring session, –, CRC. Correspondence and documents relating to the creation of the Campbell Commission are held in the George Bell papers, LPL, MS , fos –. Its final report was published as Church Assembly, Report of the Empire Settlement Commission, Jan. , CRC, CECES––CA. William Wand also made the point about the moral obligation of the Church of England to honour the financial commitment of Anglican dioceses in expanding chil- dren’s homes to receive child migrants by sending children to fill these vacancies in his speech commending the Campbell Commission to the Church Assembly: Church Assembly: report of proceedings, xxxiv, spring session, , CRC. On Roy Peterkin’s recollec- tion of pressure from the archbishop of Perth for the Swan Homes to compete with Catholic child migration work see Australian Senate Community Affairs Committee, Lost innocents, para .. On attempts to secure Commonwealth and State https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press The council and post-war child migration Wand lamented the fact that, in his nine years as a member of the Church Assembly, he could not recall any previous discussion of the council’s work and that, given the severe pressures under which the https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H council’s limited staff were attempting to maintain its work, more interest needed to be taken by the Church Assembly if it were to survive. Whilst it was not unusual in this period for Church Assembly councils to present their reports without debate at the Church Assembly,it was also the case that discussion of international matters in its meeting focused far less on relations with the Dominions and more on issues such as the Cold War, the rise of Communism and the implications of the rise of national independence movements.The commission would therefore provide an opportunity for the Church to reaffirm its commitment to build- ing up the Anglican Communion in the ‘white Dominions’ through Anglican emigration from the United Kingdom. g g g Chaired by Sir Gerald Campbell, the former UK High Commissioner to Canada, and with its membership including Wand, George Bell, Bessborough, Sir Harry Batterbee (a former senior civil servant and UK High Commissioner to New Zealand) and the Conservative MP, Enoch Powell, the commission endorsed the critical role that non-governmental bodies including the Church had always played in imperial migration. With the United Kingdom government still cautious in its support for emi- gration and its involvement focused on practical matters of administration, there would, the commission argued, always remain an important role for the Church in providing the wider forms of pastoral care and support which were necessary for making emigration to Commonwealth countries successful. William Wand also made the point about the moral obligation of the Church of England to honour the financial commitment of Anglican dioceses in expanding chil- dren’s homes to receive child migrants by sending children to fill these vacancies in his speech commending the Campbell Commission to the Church Assembly: Church Assembly: report of proceedings, xxxiv, spring session, , CRC. On Roy Peterkin’s recollec- tion of pressure from the archbishop of Perth for the Swan Homes to compete with Catholic child migration work see Australian Senate Community Affairs Committee, Lost innocents, para .. On attempts to secure Commonwealth and State See, for example, more extensive debates on reports by the Assembly’s Oversea Council and the Council for Ecumenical Cooperation, ibid. spring session, – xxiv, , spring session, –, CRC. , , p g ,  , Correspondence and documents relating to the creation of the Campbe ommission are held in the George Bell papers, LPL, MS , fos –. Its fina eport was published as Church Assembly, Report of the Empire Settlement Commission an. , CRC, CECES––CA.  session, , ibid. See, for example, more extensive debates on reports by the Assembly’s Overseas Council and the Council for Ecumenical Cooperation, ibid. spring session, –; xxxiv, , spring session, –, CRC. Correspondence and documents relating to the creation of the Campbell Commission are held in the George Bell papers, LPL, MS , fos –. Its final report was published as Church Assembly, Report of the Empire Settlement Commission, Jan. , CRC, CECES––CA. The council and post-war child migration Furthermore, it claimed, there was often too little appreciation in Britain of the need for maintaining a proper ‘religious balance’ in Commonwealth countries and, in the face of the obvious commitment of the Catholic Church to supporting emigration, there was an obvious duty for the Church of England to match this in providing migrants for Anglican Churches overseas.This included the need to meet the William Wand also made the point about the moral obligation of the Church of England to honour the financial commitment of Anglican dioceses in expanding chil- dren’s homes to receive child migrants by sending children to fill these vacancies in his speech commending the Campbell Commission to the Church Assembly: Church Assembly: report of proceedings, xxxiv, spring session, , CRC. On Roy Peterkin’s recollec- tion of pressure from the archbishop of Perth for the Swan Homes to compete with Catholic child migration work see Australian Senate Community Affairs Committee, Lost innocents, para .. On attempts to secure Commonwealth and State https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A demands for British children from Anglican children’s homes in Australia which ‘the Church of England is clearly under an obligation to satisfy’ – a remark apparently reflecting evidence received by the commission that the Anglican Church in Australia had spent thousands of pounds expanding their children’s homes to make space for British child migrants. Despite the important work previously done by the advisory council, the commission noted that this was too little known within the Church Assembly itself, let alone the wider Church of England, and that it was now essential to formalise the advisory council’s role as the Church’s official migration body by constituting it as a formal council of the Church Assembly and providing it with sufficient annual funding from the Central Board of Finance to allow the employment of more support staff. As part of these additional resources, for the first time in the existence of the (advisory) council, it was recommended that funding be provided to enable Jones to visit the institutions in Australia to which it was sending child migrants. Government funding to expand the Swan Homes to provide additional space to accom- modate child migrants see Roy Peterkin to Calwell, Mar. , and Calwell to Peterkin, Apr. , NAA, K, W/. See also previous concerns amongst Protestant Churches in the United Kingdom about more organised Catholic migration schemes, and the suspicion that Catholic organisations received preferential treatment from the Commonwealth Department of Immigration under Calwell: Bessborough to Fisher, June , and Burlingham to Eley, July , Fisher papers, MS , fos , .  Memorandum on the present position, Bell papers, MS , fos –. R p t f th E pi S ttl t C i i A ibid f  p p p p   Report of the Empire Settlement Commission, Apr. , ibid. fos –. ,  Memorandum on the present position, Bell papers, MS , fos –. Report of the Empire Settlement Commission, Apr. , ibid. fos –. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  Memorandum on the present position, Bell papers, MS , fos –  The council and post-war child migration The ambiguity suggested by the word ‘advisory’ in the coun- cil’s name should be dropped, with the newly constituted body to be now known as the Church of England Council for Commonwealth and Empire Settlement. The positive endorsement of the Advisory Council’s work in the Campbell Commission’s report obscured a more complex picture, however. In preparation for the Campbell Commission, Geoffrey Fisher appointed a smaller review of the advisory council’s work to provide infor- mation which could inform the setting up of the larger commission. The confidential report produced by this review was far more critical in its assessment of the relationship between the advisory council and the Church.It was clear, it stated, that the advisory council had operated for a number of years almost solely through the work of its secretary, Enid Jones, with its limited financial resources meaning that she was con- tinuing to undertake this work whilst still owed £in wages. There was little by way of organisational structures to support her work. The council itself only met annually – with only four or five of its members usually attending even then – and its executive committee, which was meant to have some role in supporting the selection of migrants, had not met https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H since . It was, the review concluded, ‘little short of deplorable’ that the council’s work had relied on Jones’s goodwill to such an extent, and without her commitment to this work the Church of England’s involve- ment in supporting assisted migration would have come to a halt. The Church Assembly was clearly at fault, the review stated, for allowing the council to continue with such little financial support, but the council itself also bore responsibility for not presenting its dire financial position strongly enough to the Church Assembly. The advisory council had almost entirely failed in its objective of advising the Church Assembly on how its energies could best be channelled to encourage successful overseas settlement, and by concentrating instead on managing requests for migrants arising from nominations from overseas partners, the advisory council had exceeded its terms of reference. An urgent review of the Church’s policy with regard to the advisory council was therefore required. p y g y q When presented with a copy of this review, Bessborough strenuously objected to it. Bessborough to Fisher, May , ibid. fos –. This point was further expanded on in Bessborough, chairman of the Church of England Advisory Council of Empire Settlement, memorandum, ibid. fos –. Fisher to Bessborough, May , and Bessborough to Fisher, May , ibid. fos –. Bessborough to Fisher, May , ibid. fos –.  The council and post-war child migration Writing to Fisher,he agreed that it was deplorable that Jones should have had to continue to work without pay, but pointed out that he had regularly made both Fisher and his predecessor, William Temple, aware of the council’s financial difficulties and tried to work with them both in approaching the Commonwealth Relations Office for funding and in mounting public appeals. If there was a fault to be found, it lay with the Church Assembly for failing to provide any core funding. Bessborough noted that he had even gone to the trouble, during the war years, of appointing Jones as secretary to an educational association that he chaired so that she could have a salary that would enable her to continue work for the council and receive expenses that would contribute towards the council’s office costs. The review’s criticisms of the council’s work failed to take account of the fact that it had provided periodic reports to the Church Assembly and in the absence of any objections being raised, the council could be understood to have received the Assembly’s ‘tacit approval’. Rather than taking such a negative line, Bessborough retorted, it would be better to recognise that if the council had not undertaken the work it had then ‘the whole of Church migration would have come to an end’. After receiving a conciliatory response from Fisher, who declared himself appalled at the lack of support from the Church Assembly and reassured Bessborough that the review’s comments would not be taken any further, Bessborough replied that he was glad that the review’s report was ‘now buried’. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A As the review’s confidential report had observed, however, Jones had evi- dently been undertaking the advisory council’s child migration work almost entirely by herself with little or no oversight from the advisory coun- cil’s members. Empire Settlement Commission meeting, Sept. , appendix II, ibid. fo. . Church of England Advisory Council of Empire Settlement, memorandum on present activities of the council, ibid. fos –. The Church of England Council for Commonwealth and Empire Settlement, report for the fifteen months, st January to st March , CRC, CECES––CA. See, for example, Jones to George Bell, Feb. , Bell papers, MS , fo. ; Fisher to Home, Jan. , Fisher papers, MS , fos –; Church Assembly: report of proceedings, xxxiv, , spring session, –; xxxvi, , summer session, –; xxxvii, , summer session, –. Bell to Fisher, Feb. , and Fisher to Bell, Mar. , Fisher papers, MS  fos , . Whilst Fisher supported the council’s work, he also regarded the Campbell Commission’s funding request for it from the Church Assembly as financially challenging: Fisher to Bessborough, Jan. , ibid. fo. .    Bell to Fisher, Feb. , and Fisher to Bell, Mar. , Fisher papers, MS  fos , . Whilst Fisher supported the council’s work, he also regarded the Campbell Commission’s funding request for it from the Church Assembly as financially challenging: Fisher to Bessborough, Jan. , ibid. fo. . https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press Empire Settlement Commission meeting, Sept. , appendix II, ibid. fo.   p g  p  pp  Church of England Advisory Council of Empire Settlement, memorandum o resent activities of the council, ibid. fos –.  See, for example, Jones to George Bell, Feb. , Bell papers, MS , fo. ; Fisher to Home, Jan. , Fisher papers, MS , fos –; Church Assembly: report of proceedings, xxxiv, , spring session, –; xxxvi, , summer session, –; xxxvii, , summer session, –.   The Church of England Council for Commonwealth and Empire Settlement, report for the n months, st January to st March , CRC, CECES––CA. The council and post-war child migration Despite agreeing a budget for the coun- cil’s work in , including funding to enable the appointment of more junior administrative staff to support Jones, the Central Board of Finance subsequently blocked approval for the salary for an assistant for her on the basis that the council wanted to appoint someone with more senior responsibilities than had been agreed with the board. With no progress made in obtaining this approval, by the summer of , the council had resorted to appointing an assistant to her on an unpaid basis and regarded this obstruction as symptomatic of a wider lack of understanding and sympathy for its work within the Church.To add to these difficulties, in the summer of the Church’s Committee on Central Funds pro- duced a report questioning whether there was a strong enough rationale for the council to exist as a separate body and whether it should be amal- gamated into a larger Council of Church Relations which would deal with international affairs – a proposal reflecting a wider trend towards the Assembly dealing with reports from fewer councils.Members of the council strenuously resisted this, and nothing came of these proposals. In subsequent years, however, doubts continued to be expressed (albeit outside the formal sessions of the Church Assembly) about whether the council’s work constituted value for money, whether it undertook work that should properly be done by a government department, whether it acted primarily as a migration agency for people who in practice had little active connection with the Church and whether supporting emigra- tion was a broadly desirable policy.By the Central Board of Finance had made it clear that it was no longer willing to meet the full budget requested by the council.For the council’s members, such oppos- ition to its work was seen as an irresponsible disregard for the Church’s responsibilities for involving itself in overseas settlement in British Dominions. As Jones put it, in a memorandum to council members: investigation that … children were shipped to Australia’.Bell’s support was to prove important as the greater profile given to the council in the Church Assembly through the Campbell Commission appears to have sti- mulated stronger opposition to it. , See Church of England Council for Commonwealth and Empire Settlement, report for the year st April to st March , CRC, CECES––CA, . p ,  ,  See Bell to Harry Batterbee, July , ibid. fo. ; Fisher to Williams, Jan. , Fisher papers, MS , fos –; Hodgins to Fisher, Mar. , Fisher papers, MS , fo. . The council and post-war child migration This was confirmed by Jones herself in an initial submission that she made to the Campbell Commission, in which she also noted that there was little privacy in the council’s office for interviews with prospective child migrants and their parents.In a subsequent, longer written submis- sion to the commission, Jones described in more detail the care she took in considering potential child migrants, gathering information on their back- grounds and making decisions based on this, finding escorts for child migrants’ sailings and passing on information about children to receiving institutions in Australia.The commission members appear to have been satisfied with her account and no questions were raised by them about the suitability of an arrangement in which the management of a child migration rested on the work and judgement of one person with no formal child-care training and minimal supervision. As was to become clear later, however, the account that Jones had given of the careful man- agement of this work was not one that was achieved in practice. g p The Campbell Commission’s recommendations were accepted by the Church Assembly and the council, in its new form, came into being on  January , with Bessborough continuing as its chair and George Bell becoming its vice-chair.Bell’s advocacy for the council’s work, until his death in , was important both in ensuring the Church Assembly’s support for the recommendations of the Campbell Commission and the Assembly’s approval of the annual renewal of the council’s funding. Bell also privately lobbied Fisher to ensure that the Campbell Commission’s recommendations would be implemented, with Fisher assur- ing him in advance of the Assembly’s debate that this would happen.In speaking in support of the Campbell Commission’s recommendations at the Church Assembly, Bell also commented – presumably on the basis of Jones’s evidence to the commission – that ‘it was only after careful https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H investigation that … children were shipped to Australia’.Bell’s support was to prove important as the greater profile given to the council in the Church Assembly through the Campbell Commission appears to have sti- mulated stronger opposition to it. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press Church Assembly: report of proceedings, xxxiv, , spring session, , CRC.  The blocking of this appointment led to extensive correspondence held on file ell papers, MS , fos –, –, . Church Assembly: report of proceedings, xxxiv, , spring session, , CRC. The blocking of this appointment led to extensive correspondence held on file at Bell papers, MS , fos –, –, . See minutes of ad hoc meeting of the council, Oct. , ibid. fos –. See confidential situation report, Oct. , ibid. fo. . See Bell to Harry Batterbee, July , ibid. fo. ; Fisher to Williams, Jan. Church Assembly: report of proceedings, xxxiv, , spring session, , CRC. The blocking of this appointment led to extensive correspondence held on file at Bell papers, MS , fos –, –, . See minutes of ad hoc meeting of the council, Oct. , ibid. fos –. See confidential situation report, Oct. , ibid. fo. . See Bell to Harry Batterbee, July , ibid. fo. ; Fisher to Williams, Jan. , Fisher papers, MS , fos –; Hodgins to Fisher, Mar. , Fisher papers, MS , fo. . See Church of England Council for Commonwealth and Empire Settlement, report for the year st April to st March , CRC, CECES––CA, . See minutes of ad hoc meeting of the council, Oct. , ibid. fos –. See confidential situation report, Oct. , ibid. fo. . ee minutes of ad hoc meeting of the council, Oct. , ibid. fos –. ee confidential situation report Oct ibid fo  ell papers, MS , fos , , . See minutes of ad hoc meeting of the council, Oct. , ibid. fos –. The council and post-war child migration In other words the Church of England at home is not concerned whether the Church of England survives or not which for Australia would be a great shock at the present time with the Roman Church making a big drive towards making Australia a Roman Catholic country. [i]f the Council ceases to exist then the Church of England in the Commonwealth will have to be informed that the Church here is no longer interested in helping its own members to go overseas. In other words the Church of England at home is not concerned whether the Church of England survives or not which for Australia would be a great shock at the present time with the Roman Church making a big drive towards making Australia a Roman Catholic country. Amongst the criticisms of the council, some disquiet was evidently felt by other members of the Church about the desirability of child migration and one of the council’s supporters produced a briefing memorandum in defence of its work asserting that it did not seek to separate children from their parents.Whilst the council’s child migration work had previ- ously been presented as one of its major activities, it now insisted that it was a relatively minor part of its overall administrative work, despite the numbers of children being migrated through the council remaining broadly the same.Although the council, in its re-constituted form follow- ing the Campbell Commission, met on a more regular basis, there was no evidence of scrutiny of Jones’s management of its child migration work and, given the difficulties in getting funding for her assistant, no new support created for her to undertake it. The provision of funding from the Central Board of Finance did, however, make it possible for Jones to undertake a visit to New Zealand and Australia between December  and February .Reporting on her visit, the council noted her meet- ings with both Commonwealth government immigration officials and church representatives.Concern was expressed by the latter at the com- paratively higher rates of Catholic immigration to Australia, with the Australian Catholic population reportedly growing by per cent in the past five years partly as a result of this. The council and post-war child migration Despite agreeing a budget for the coun- cil’s work in , including funding to enable the appointment of more junior administrative staff to support Jones, the Central Board of Finance subsequently blocked approval for the salary for an assistant for her on the basis that the council wanted to appoint someone with more senior responsibilities than had been agreed with the board. With no progress made in obtaining this approval, by the summer of , the council had resorted to appointing an assistant to her on an unpaid basis and regarded this obstruction as symptomatic of a wider lack of understanding and sympathy for its work within the Church.To add to these difficulties, in the summer of the Church’s Committee on Central Funds pro- duced a report questioning whether there was a strong enough rationale for the council to exist as a separate body and whether it should be amal- gamated into a larger Council of Church Relations which would deal with international affairs – a proposal reflecting a wider trend towards the Assembly dealing with reports from fewer councils.Members of the council strenuously resisted this, and nothing came of these proposals. In subsequent years, however, doubts continued to be expressed (albeit outside the formal sessions of the Church Assembly) about whether the council’s work constituted value for money, whether it undertook work that should properly be done by a government department, whether it acted primarily as a migration agency for people who in practice had little active connection with the Church and whether supporting emigra- tion was a broadly desirable policy.By the Central Board of Finance had made it clear that it was no longer willing to meet the full budget requested by the council.For the council’s members, such oppos- ition to its work was seen as an irresponsible disregard for the Church’s responsibilities for involving itself in overseas settlement in British Dominions. As Jones put it, in a memorandum to council members: https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A [i]f the Council ceases to exist then the Church of England in the Commonwealth will have to be informed that the Church here is no longer interested in helping its own members to go overseas. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press e pape s, S , o. , w t Jo es to Be , Nov. , b d. o.  See proposal to appoint an assistant secretary, ibid. fos –. Secretary’s memorandum, Oct. , Bell papers, MS , fos –. Committee on Commonwealth and Empire Settlement, preliminary note, n.d., Fisher papers MS , fos –; Bickersteth, memorandum, n.d., Bell papers, MS, fo. ; Church of England Council for Commonwealth and Empire Settlement, report for the months st January, to the st March, , CRC, CECES––CA, . Contrast, for example, confidential report of the Empire Settlement Commission, Bell papers, MS , fo. , with Jones to Bell, Nov. , ibid. fo. . See proposal to appoint an assistant secretary, ibid. fos –. Report for the fifteen months Jan. to Mar. , CRC, CECES–– CA. Secretary’s memorandum, Oct. , Bell papers, MS , fos –.   J y,   , , , ,  Contrast, for example, confidential report of the Empire Settlement Commissio ell papers, MS , fo. , with Jones to Bell, Nov. , ibid. fo. . p p pp y   Report for the fifteen months Jan. to Mar. , CRC, CECES– A. Secretary s memorandum, Oct. , Bell papers, MS , fos . Committee on Commonwealth and Empire Settlement, preliminary note, n.d., Fisher papers MS , fos –; Bickersteth, memorandum, n.d., Bell papers, MS, fo. ; Church of England Council for Commonwealth and Empire Settlement, report for the months st January, to the st March, , CRC, CECES––CA, . Secretary’s memorandum, Oct. , Bell papers, MS , fos –. Committee on Commonwealth and Empire Settlement, preliminary note, n.d., Fisher papers MS , fos –; Bickersteth, memorandum, n.d., Bell papers, MS, fo. ; Church of England Council for Commonwealth and Empire Settlement, report for the months st January, to the st March, , CRC, CECES––CA, . Contrast, for example, confidential report of the Empire Settlement Commission, Bell papers, MS , fo. , with Jones to Bell, Nov. , ibid. fo. . The council and post-war child migration The Church of England was said to be ‘lagging far behind the highly organised Roman Catholic Church activities in this particular field’ and there was a need for a national Anglican immigration organisation to match the work of the national Federal Catholic Immigration Committee which had been formed back in . Jones also reportedly visited all the residential institutions to https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H which the council had sent child migrants and was said to be ‘very satisfied with all she saw’. The council’s child migration work and post-war standards in children’s out-of- home care Through the s the council operated in the context of wider public debates and policy initiatives aimed at safeguarding the welfare of unaccompanied British child migrants. The recommendations of the Care of Children Committee report (more commonly known as the Curtis Report) played a central role in both restructuring government systems for children’s out-of-home care in the emerging post-war welfare state and consolidating support for approaches to child-care which empha- sised the importance of the emotional care of the child and offering care in environments as close as possible to the ‘normal family home’.In imple- menting many of its recommendations, the Children Act also conso- lidated regulations for children migrated from the care of local authorities, for which the consent of the secretary of state was now required in all cases, and also enabled the secretary of state to introduce regulations for the emi- gration of children in the care of voluntary organisations.The Home Office eventually abandoned its efforts to introduce these regulations in , apparently taking the view that the legal constraints of trying to enforce standards within overseas institutions and organisations receiving child migrants meant that such regulations would have limited practical value.Regulations were drafted, however. Gordon Lynch, ‘Pathways to the Curtis Report and the post-war reconstruc- tion of children’s out-of-home care’, Contemporary British History, Apr. , <https:// doi.org/./..>. Children Act, , ss., . See documents and correspondence at TNA, MH/. See, for example, D. R. Hall to under-secretary of state, Nov. , TNA, MH/. The minutes of meetings of the Council of Voluntary Organisations for Child Emigration are held in the Fairbridge collection at the University of Liverpool, Special Collections and Archives. The council and post-war child migration Consultations over the contents of these took place with the main voluntary organisations responsible for migrating British children which, including the advisory council, formed an umbrella organisation, the Council of Voluntary Organisations for Child Emigration (CVOCE) in order to represent their interests against feared tighter regulation.Although never formally intro- duced, this drafting and consultation process made it clear that amongst standards of good practice expected by the Home Office – to which the constituent members of the CVOCE officially mostly gave their formal agreement – were requirements for child migrants’ selection being under- taken through case committees with a good knowledge of their individual https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A circumstances including a trained social or child-care worker, adequate preparation of children prior to their migration, sending case histories and medical information about child migrants to receiving institutions and ensuring regular reporting on their welfare and progress once over- seas.It was not clear that the advisory council was necessarily well- placed to meet these requirements, however. As Tasman Heyes, the secretary of the Australian Commonwealth Department of Immigration, noted when arguing against the United Kingdom government’s refusal to approve the Royal Overseas League as a child migration organisation on the grounds of its lack of organisational resources and specialist child- care expertise, such objections could equally be applied to bodies such as the advisory council whose work had received formal government approval. pp Other evidence of problems with the management of Anglican child migration also emerged. In , during a semi-official tour of receiving institutions for child migrants in Australia, John Moss discovered that some boys sent to the Swan Homes in Perth had been passed on to the Padbury Farm School at Stoneville, Western Australia, when it was found that the Swan Homes had insufficient accommodation for them on their arrival.Although Padbury was another Church of England home under the same board of management as the Swan Homes– partly func- tioning to provide agricultural produce for consumption at the Swan Homes – it had not been approved as a receiving institution for child migrants by the United Kingdom government. See, for example, note and memorandum by Home Office, TNA, MH/. Heyes to Official Secretary, UK High Commission, July , NAA, A, / /.  See, for example, note and memorandum by Home Office, TNA, MH/. Heyes to Official Secretary, UK High Commission, July , NAA, A, / /. See also (n. above) interview with Ken Pound on his experience of being trans- ferred immediately from the Swan Homes to Padbury. See, for example, Anglican Homes for Children, Western Australia, th annual report, , TNA, MH/. Extract from notes of Mr Moss, n.d., TNA, MH/; report on Padbury’s Boys’ Farm School, Dec. , NAA, PP/, /H/. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press See also (n. above) interview with Ken Pound on his experience of being trans- ferred immediately from the Swan Homes to Padbury. ferred immediately from the Swan Homes to Padbury. See, for example, Anglican Homes for Children, Western Australia, th annual report, , TNA, MH/. Extract from notes of Mr Moss, n.d., TNA, MH/; report on Padbury’s B ’ F S h l D NAA PP/ /H/ /. See also (n. above) interview with Ken Pound on his experience of being trans- ferred immediately from the Swan Homes to Padbury. See, for example, Anglican Homes for Children, Western Australia, th annual p  Extract from notes of Mr Moss, n.d., TNA, MH/; report on Padbury’s Boys’ Farm School, Dec. , NAA, PP/, /H/. See, for example, note and memorandum by Home Office, TNA, MH/. Heyes to Official Secretary, UK High Commission, July , NAA, A, / /. See also (n. above) interview with Ken Pound on his experience of being trans- ferred immediately from the Swan Homes to Padbury y y See, for example, Anglican Homes for Children, Western Australia, th annual report, , TNA, MH/. E f f M M d TNA MH /  P db ’ See Nutt to UK High Commission, Sept. ; P. L. Taylor to R. L. Dixon,  Sept., Oct. , MH/. See Ken Pound interview (n. above). Child migration to Australia: report of a fact-finding mission, cmd., London . Consent would have been required from the Home Secretary for children sent from England and Wales, and the Secretary of State for Scotland for children sent from Scotland. This proposal would have extended the existing requirement of s.of the Children Act for such consent to be given for children migrated from the care of local authorities. The council and post-war child migration As Moss observed, it would have been unlikely to have been approved based on the conditions he saw there during his visit. Padbury was situated in an isolated rural area and the site was still under development using the labour of the boys who had been placed there. Furthermore, Moss commented, Padbury’s primary emphasis on training boys for agricultural work meant that it was not an appropriate place to send boys until they had formed a reasonable idea of the future career that they might want to pursue and he recommended that boys under school-leaving age should not be sent there.A discussion then ensued between the Commonwealth Department of Immigration, Commonwealth Relations Office and Home Office about how best to proceed, which ended with the Home Office choosing not to press its https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H concerns about Padbury being approved as a receiving institution for younger children.When Roy Peterkin, the director of the Swan Homes, was consulted about the Home Office’s concerns, he commented that ‘a boy’s welfare, both educational, social and vocational, as well as his living conditions are all thoroughly safeguarded at Padbury. I have never seen an unhappy boy there’. This view did not accord with experiences later described by a former child migrant sent to Padbury at that time, who recalled it as a place of harsh discipline, physical cruelty and sexual abuse. p p p y y In it was agreed that a United Kingdom government fact-finding mission should be sent to Australia to investigate conditions for child migrants to inform policy decisions being made about the future of child migration policy alongside the periodic renewal of the Empire Settlement Act. See documents and correspondence at TNA, BN/. p , /  On the following points see confidential appendices on Melrose, Pendle Hill; St John’s Church of England Home, Melbourne; Swan Homes, Perth; Clarendon Church of England Home, Kingston Park: ibid. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press Some boys whom members of the mission met at Melrose were also said to be con- fused about why they had been sent to Australia. Positive comments were also made in the confidential appendices about Burton Hall Farm School, Tartura, Victoria, where although some criticism was made of selection choices by the council, no concerns were raised about lack of records. In a response to the mission’s report, Enid Jones sought to justify the limited case histories sent over with child migrants by the council on the questionable grounds that such histories would inevitably be less detailed for children sent from parental, rather than residential, care: Jones to secretary of state, Oct. , TNA, DO/. The council and post-war child migration Led by John Ross, the former head of the Home Office Children’s Department, the mission produced a report which was critical of a number of aspects of current policy, and advised that in future the migration of all children should be subject to consent from the relevant secretary of state.The mission’s strongest comments were, however, reserved for a series of confidential appendices based on inspections of twenty-six of the residential institutions to which British child migrants had been sent, in which some were identified as unsuitable for receiving any more children and a number of others as failing to achieve standards set out in the Curtis report.These confidential appendices suggested a number of problems with the council’s work.Boys had been sent through the council to the Melrose home in Pendle Hill, Sydney, where the fact-finding mission found that the lead staff were untrained and inex- perienced and had no appreciation of children’s needs. Whilst manage- ment and standards at the St John’s Church of England Home in Melbourne and the Clarendon Church of England Home in Tasmania was found to be better, complaints were raised by staff about the lack of information provided by the council about children’s backgrounds, family histories and reasons for emigration which had left some children https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A confused as to why they had been sent to Australia.Whilst some aspects of the Swan Homes in Perth were considered acceptable by the mission, concern was also noted about the emotional disruption caused to children by accommodating them separately by age and gender (regardless of whether they had siblings at the same institution) and rotating children to prevent them becoming too attached to a particular house-mother – all things that contradicted the Curtis emphasis on maintaining family bonds, home-like environments and an on-going sense of security of affec- tion from a particular care-giver. y ,  , , /  See, for example, Gibson to R. W. Whittick, Nov. , and Whittick to Gibson, Jan. , TNA, DO/. On some degree of compliance with expected stan- dards see the council’s apparent avoidance of sending siblings to different parts of Australia: Jones to Madeleine, Mar. , NAA, A, //. On an earlier case of Home Office concern about the rigour of its selection processes, see also the earlier case in which the Home Office had intervened to suspend the migration of Report of the inter-departmental committee on migration policy, , TNA, DO/, paras –. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press See E. R. Sudbury circular, Dec. , TNA, DO/. Some boys whom members of the mission met at Melrose were also said to be con- fused about why they had been sent to Australia. Positive comments were also made in the confidential appendices about Burton Hall Farm School, Tartura, Victoria, where although some criticism was made of selection choices by the council, no concerns were raised about lack of records. In a response to the mission’s report, Enid Jones sought to justify the limited case histories sent over with child migrants by the council on the questionable grounds that such histories would inevitably be less detailed for children sent from parental, rather than residential, care: Jones to secretary of state, Oct. , TNA, DO/. Report of the inter-departmental committee on migration policy, , TNA, DO/, paras –. See E. R. Sudbury circular, Dec. , TNA, DO/. See, for example, Gibson to R. W. Whittick, Nov. , and Whittick to Gibson, Jan. , TNA, DO/. On some degree of compliance with expected stan- dards see the council’s apparent avoidance of sending siblings to different parts of Australia: Jones to Madeleine, Mar. , NAA, A, //. On an earlier case of Home Office concern about the rigour of its selection processes, see also the earlier case in which the Home Office had intervened to suspend the migration of The council and post-war child migration p g A United Kingdom government inter-departmental committee on migration policy, convened later in , decided not to support the tighter controls over child migration that had been recommended by Ross, fearing in part a negative reaction to this from both the Australian Commonwealth government and those powerful stakeholders in the United Kingdom, including the council, who were organisationally invested in child migration.Instead a system of informal inspection was introduced, tied to the renewal of United Kingdom government mainten- ance funding for child migrants, in which sending organisations were now expected to co-operate in making their records available to Home Office inspectors.The Home Office inspection of the council’s records raised significant concerns. Whilst the Commonwealth Relations Office ques- tioned how these concerns could be raised in a way that would not bolster the council’s claim for a re-introduction of a grant-in-aid in order to pay for more staff, the Home Office insisted that the shortcomings iden- tified in the council’s work were sufficiently serious for them to need to be addressed if it were to continue to arrange any further migration of children. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H In a letter to Jones in April , the Home Office Children’s Department noted that its inspectors had found that she had been under- taking the council’s child migration work almost entirely by herself without any support or effective oversight from any other members of the council.Full case histories of children being migrated through the council had not been developed, nor sufficient liaison undertaken with other organisations previously involved in their care to establish a full picture about their backgrounds. Where information about children had been obtained by Jones, including through selection interviews, she had tended to commit this to memory rather than to written records. This point about the organisational value of receiving regular reports on child migrants overseas was emphasised in Women’s Group on Public Welfare, Child emigra- tion, London , , a report with which members of the Council of Voluntary Organisations for Child Emigration would have been familiar. three brothers in a case where the council seemed to have made inadequate enquiries about the consent of both parents to their emigration in a case of contested custody: W Lyon to G M Wansborough-Jones Dec TNA MH/) https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press W. Lyon to G. M. Wansborough Jones, Dec. , TNA, MH/). On this and the other criticisms see Whittick to Jones, Apr. , TNA, DO/ . three brothers in a case where the council seemed to have made inadequate enquiries about the consent of both parents to their emigration in a case of contested custody: W. Lyon to G. M. Wansborough-Jones, Dec. , TNA, MH/). On this and the other criticisms see Whittick to Jones, Apr. , TNA, DO/  p g y W. Lyon to G. M. Wansborough-Jones, Dec. , TNA, MH/). On this and the other criticisms see Whittick to Jones, Apr. , TNA, DO/ . This point about the organisational value of receiving regular reports on child migrants overseas was emphasised in Women’s Group on Public Welfare, Child emigra- tion, London , , a report with which members of the Council of Voluntary Organisations for Child Emigration would have been familiar. ‘Emigration of children who have been deprived of a normal home life’, n.d., TNA, MH/; NAA, K, W/. Whittick to D. M. Cleary with enclosure, Feb. , TNA, DO/. See Whittick to W. Peters, Apr. , TNA, DO/. W. Peters note, Sept. , TNA, DO/. See, for example, House of Commons debates on Children Bill, Hansard, s.cdl, May , and s., cdlii, June , and House of Lords debates on Children Bill, Hansard, s., cdxlviii, Mar. and s., cdxlix, Apr. . Whilst disagreements were evident within the Church of England as to whether the welfare state was more The council and post-war child migration Although not raised by the Home Office inspectors – presumably because Jones had visited receiving institutions for child migrants in Australia relatively recently – the fact that the council had no direct per- sonal experience of these receiving institutions for the first eight years of its post-war child migration work fell short of the Home Office’s expect- ation that voluntary organisations in the United Kingdom would have a https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A  liaison officer with direct experience of the residential homes to which chil- dren were being sent. g No response to this letter was received from the council despite numer- ous requests from the Home Office, and in the following spring the Home Office reportedly wrote directly to Sir Harry Batterbee as the new chair of the council to press for one.In the absence of such a response, the Home Office suggested to the Commonwealth Relations Office that the council might well be in breach of its obligations as an approved sending organisa- tion, and that such approval might in future need to be withdrawn. The council eventually agreed that improvements in its administration of child migration were needed and asked the Home Office to allow them time to rectify this situation through a further public appeal for funds. After further funds were successfully raised to increase the council’s admin- istrative resources, the Home Office undertook a further inspection of its office and in the autumn of agreed that it be allowed to continue as a recognised child migration organisation.In the following years, however, the council only arranged for the migration of three more children. The systemic failures within the council to maintain expected standards in post-war child migration gives further insight into the complex relation- ship between voluntary organisations and the state in the ‘mixed economy’ of the post-war welfare state. Post-war child migration operated, more gen- erally, in the context of centralising trends in children’s out-of-home care exemplified in the Children Act. The council and post-war child migration It did not appear that all receiving institutions for children sent by the council were sending regular progress reports on their welfare, and when this did take place these reports seemed to be sent directly to families rather than through the council’s offices, making it harder for the council to maintain a sense of standards in receiving institutions or issues that it should bear in mind in future selection of child migrants.Although Jones was reportedly now trying to send more information about children sent by the council to receiving institutions – presumably having received the same complaints about this that were heard by the Ross fact-finding mission only a couple of months after her own visit to Australia – this had not generally been the case in the past. The fact that the council assumed no responsibility for the care of children in the United Kingdom even immediately prior to migration meant that it had no means of checking whether a child had changed his or her mind about emigration before being placed on board ship. Similarly escorts on ships arranged by the council did not accompany children to their receiving institutions on arrival in Australia, creating problems with continuity of care. The council and post-war child migration Whilst some welcomed the growing emphasis on care by the state as a step towards better and more consistent standards (as well as a shift from seeing some children as ‘charity cases’), others questioned whether this might introduce too much statist control over the work of voluntary organisations and whether those who took care of children as a state-paid job could ever do this as well as those drawn to the work from a strong sense of (often religious) vocation. Such disagreements were – in most cases – restricted to the degree of autonomy that voluntary organisations would have under these new arrangements, however, and the passage of the Children Bill through par- liament was marked by substantial political consensus about the need to raise standards of child-care in line with the spirit of the Curtis report. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H Child migration was, however, an important area of post-war children’s welfare provision in which support for Curtis principles diverged as atti- tudes to child-care came into conflict with well-established sentiments about the importance of Commonwealth migration. Whilst child-care pro- fessionals and staff in the Home Office Children’s Department insisted that Curtis principles should be the standard against which any programme of child migration should be judged, supporters of voluntary organisations involved in this work argued that emigration was in the better interests of some children and that the work should not be held back by dogmatic adherence to a particular approach to child-care. Enid Jones, who had no training or professional background in child-care, fell into this latter group. g p The kind of failures demonstrated by the council in the selection of chil- dren, the transfer of records and post-migration monitoring were far from unique. The confidential addenda to the fact-finding mission observed similar problems in the work of the Overseas League, the National Children’s Home and Catholic sending organisations. However, these failures arose not simply from broader policy disagreements with child-care trends in the emerging welfare state, but from factors specific to individual sending organisations. generally a support or hindrance to the development of Christian virtues such disagree- ments were less common in relation to debates about raising standards of child-care: Church Assembly: report of proceedings, xxxi, , spring session, –, CRC. See, for example, Jones to secretary of state, Oct. , TNA, DO/. See Lynch, ‘Catholic child migration’. Independent Inquiry into Child Sexual Abuse, Child migration, –. y g Independent Inquiry into Child Sexual Abuse, Child migration, –. The council and post-war child migration In the case of Catholic child migration, for example, significant problems arose through the willingness of national Catholic child-care officials to continue to work with Australian Catholic administrators despite their recruiting children directly from residential homes against agreed guidelines as well as from the complex politics of relationships between diocesan officials and the religious orders who ran residential children’s homes.In the case of the Overseas League – more comparable to the council – a single, voluntary worker with no specialist child-care training had been given considerable latitude to undertake this work with little evidence of close scrutiny by senior officers in the League.With the council, however, a number of factors gave rise to these failures which reflected its work as a semi-autonomous body working within the Church of England in that period. y g g p In addition to the financial reasons for the under-resourcing of the coun- cil’s work – and its impact on the rigour of its child migration work – wider structural factors lent wider public credibility to the council’s work even though it functioned with little or no effective governance. The Church’s strong social capital and networks meant that the council was always able https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  P O S T‐ W A R C H I L D M I G R A T I O N T O A U S T R A L I A to draw on an impressive array of public figures, including former diplo- mats and senior Dominion administrators,for its members, in addition to the public support that it received for its work from senior clergy such as Fisher and Bell. Whilst the ability of these senior supporters to influence policy-makers, child-care professionals or public opinion should not be over-estimated, their association with the council nevertheless lent its work a degree of credibility which it would otherwise have lacked, contrib- uting to an environment in which civil servants were reluctant to support the stronger controls over child migration work recommended by the fact-finding mission.However, despite the symbolic value of their involvement, members of the council undertook no close oversight of its child migration or other administrative work. This was further com- pounded by the limitations of the Church Assembly as a mechanism for scrutinising in any detail the work of bodies reporting to it. See a similar ability to recruit senior figures from the colonial and Dominions ser- vices to chair territorial councils of the Assembly’s Overseas Council: Church Assembly: report of proceeding, xxxi, , autumn session, , CRC. See Confidential Report of the Inter-Departmental Committee on Migration Policy, , TNA, DO/. On this settlement see Church Assembly: report of proceedings, xxi, –, CRC. Church Assembly: report of proceedings, xxxiv, spring session, , ibid. The council and post-war child migration In the early s around ten councils submitted periodic reports to the Assembly, many of which were received without any debate. The Advisory Council of Empire Settlement was not even a formal body within the Assembly until the recommendations of the Campbell Commission were implemen- ted, and even then the extent of the Assembly’s control over its work was primarily only financial, reflecting a wider settlement in which the Assembly agreed with its councils that they should have greater latitude over their work and constitutions in return for the councils agreeing to greater control of their funding by the Central Board of Finance. There may not have been overwhelming interest or support for the coun- cil’s work within the Church Assembly, with the short debates about its annual reports from onwards usually filled with complimentary speeches from a small group of its supporters. However, there also gener- ally appears to have been insufficient time, information or inclination for Assembly members to scrutinise its child migration work and after the Campbell Commission debate in no reference to the council’s child migration activities was made again in Assembly debates. The spiritual symbolism of the valiant, sacrificial worker also meant that the isolation and under-resourcing of Enid Jones’s work could be presented as a display of virtue – with Bell praising her in the Assembly for persisting with her work ‘despite handicaps which would have daunted a less courageous woman’– rather than as a source of concern about the vulnerable to draw on an impressive array of public figures, including former diplo- mats and senior Dominion administrators,for its members, in addition to the public support that it received for its work from senior clergy such as Fisher and Bell. Whilst the ability of these senior supporters to influence policy-makers, child-care professionals or public opinion should not be over-estimated, their association with the council nevertheless lent its work a degree of credibility which it would otherwise have lacked, contrib- uting to an environment in which civil servants were reluctant to support the stronger controls over child migration work recommended by the fact-finding mission.However, despite the symbolic value of their involvement, members of the council undertook no close oversight of its child migration or other administrative work. This was further com- pounded by the limitations of the Church Assembly as a mechanism for scrutinising in any detail the work of bodies reporting to it. See a similar ability to recruit senior figures from the colonial and Dominions ser- vices to chair territorial councils of the Assembly’s Overseas Council: Church Assembly: report of proceeding, xxxi, , autumn session, , CRC. See Confidential Report of the Inter-Departmental Committee on Migration Policy, , The council and post-war child migration In the early s around ten councils submitted periodic reports to the Assembly, many of which were received without any debate. The Advisory Council of Empire Settlement was not even a formal body within the Assembly until the recommendations of the Campbell Commission were implemen- ted, and even then the extent of the Assembly’s control over its work was primarily only financial, reflecting a wider settlement in which the Assembly agreed with its councils that they should have greater latitude over their work and constitutions in return for the councils agreeing to greater control of their funding by the Central Board of Finance. There may not have been overwhelming interest or support for the coun- cil’s work within the Church Assembly, with the short debates about its annual reports from onwards usually filled with complimentary speeches from a small group of its supporters. However, there also gener- ally appears to have been insufficient time, information or inclination for Assembly members to scrutinise its child migration work and after the Campbell Commission debate in no reference to the council’s child migration activities was made again in Assembly debates. The spiritual symbolism of the valiant, sacrificial worker also meant that the isolation and under-resourcing of Enid Jones’s work could be presented as a display of virtue – with Bell praising her in the Assembly for persisting with her work ‘despite handicaps which would have daunted a less courageous woman’– rather than as a source of concern about the vulnerable https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press  G O R D O N L Y N C H children about whose lives she was making crucial decisions. The absence of any effective over-arching governance of such semi-autonomous bodies within the Church also meant that even after members of the Church’s Moral Welfare Council understood in that professional opinion amongst child-care workers had clearly turned against child migration to residential institutions,the Council for Commonwealth and Empire Settlement was still able to continue to send children overseas. Whilst the fact that a number of voluntary organisations involved in post- war child migration shared similar failings in their work might imply that this arose from broader conflicts between state and voluntarism in the early post-war period, this article suggests that such failings need to be understood in relation to the specific structures and culture of individual voluntary bodies involved. See report by Eve Kennedy, minutes of meeting of Church of England Moral Welfare Council, Nov. , ibid. MWC/Min/M/. The council and post-war child migration In the case of the council the organisational factors underlying its failures to safeguard children’s welfare reflected par- ticular complexities of the Church of England, a national body which com- bined perceived moral authority, strong social capital and networks with senior figures in public life and a complex organisational structure which – unlike other organisations such as the Fairbridge Society or Dr Barnardo’s Homes – meant that no central governance structures existed to provide oversight of a body like the council. In recent years, the chal- lenges of fragmented governance structures within Churches for safe- guarding children have become a central focus of national child abuse inquiries. This article suggests that more contemporary cases may have longer historical antecedents, and that whilst many elements of the coun- cil’s work were specific to its time, aspects of its failures in a complex reli- gious organisational environment may resonate with challenges still being discussed today. See report by Eve Kennedy, minutes of meeting of Church of England Moral Welfare Council, Nov. , ibid. MWC/Min/M/. See report by Eve Kennedy, minutes of meeting of Church of England Moral Welfare Council, Nov. , ibid. MWC/Min/M/. https://doi.org/10.1017/S0022046920000081 Published online by Cambridge University Press
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1888 : L'inauguration à Barcelone du monument en hommage à Christophe Colomb et le jour de l'hispanité : la célébration d'un espace euro-américain. Presses universitaires de Rennes. Les Européens et la mondialisation, du XVe siècle à nos jours., pp.147, 2023, 978-2-7535-8988-9. &#x27E8;hal-04300873&#x27E9;
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1888 : L’inauguration à Barcelone du monument en hommage à Christophe Colomb et le jour de l'hispanité : la célébration d'un espace euro-américain Stéphane Michonneau En 1888, dans le cadre de l'Exposition Universelle que Barcelone organise, le plus grand monument jamais édifié en hommage à Christophe Colomb est inauguré. L'édifice, placé en bas des Ramblas, à deux pas du port, consiste en une immense colonne de 63m de haut - plus haute que celle de Trafalgar Square -, couronnée par une statue gigantesque du découvreur représenté au moment où il aperçoit le sol américain, le doigt tendu vers le Nouveau Continent. Ce monumentalisme est à la hauteur de l'enjeu d'un projet colossal né en novembre 1874, alors que l'Espagne bruisse des rumeurs d'une restauration monarchique, après l'épisode révolutionnaire de la Gloriosa en 1868. Lorsque le jeune monarque, Alphonse XII, rentre de son exil marseillais en 1875, il pénètre en Espagne par ce même lieu consacré à l'entrée maritime des souverains espagnols. L'inauguration se déroule en grande pompe, le jour anniversaire de la Régente, Maria Cristina : le monument est le clou de l'Exposition et marque à jamais la silhouette de la capitale catalane. Il est surtout une entreprise de glorification de l'impérialisme espagnol qui renaît de ses cendres à partir de 1860, avec la "guerre d'Afrique" menée par le général Prim au Maroc, en même temps qu'il est une promesse de prospérité industrielle et commerciale pour les élites catalanes. Le monument à Colomb, le premier du genre inauguré en Espagne à l'époque, illustre un véritable projet de société fondé sur l'ordre public, la prospérité industrielle et la reconstitution d'un empire colonial. Lorsque Barcelone inaugure le monument de Colomb, le monde occidental s’est déjà pris de passion pour cette figure depuis les années 1830. En Espagne mais aussi en Italie et en France, des milliers d’ouvrages relatent la vie du découvreur et se disputent sur ses origines nationales. Ces parutions reflètent une passion pour l’aventure colombine : la question des origines “nationales” du découvreur fait débat. À l’époque romantique, entre 1830 et 1860, les monuments et les souvenirs publics se multiplient : à Barcelone en 1837, la première référence à Colomb se trouve sculptée en bas-relief sur la façade des Porxos d’En Xifré. En Espagne, sept monuments sont alors inaugurés. Huit autres suivront rapidement entre 1888 et 1892 à l’occasion du IVe centenaire de la découverte de l’Amérique, notamment à Huelva d'où partit le navigateur. À Madrid par exemple, on trouve trois représentations de Colomb en 1892. Cette passion s’explique par la teneur libérale et romantique du mythe de Colomb : un homme du peuple dont le génie a forcé le destin, auteur d’un geste qui inaugure la modernité, incarnation de la liberté individuelle contre les préjugés de son époque, une fierté pour les pays qui se disputent ses origines. Colomb est donc l’un des premiers héros globaux de la civilisation européenne. Mais la passion colombine embrase bien au-delà du Vieux Continent. En 1888, le monument de Barcelone n’est plus que le 58e édifice commémoratif du monde si l’on prend en compte les plaques commémoratives, les monuments et les sculptures diverses qui ornent les façades de nombreux édifices. Dès la fin du XVIIIe siècle, des monuments ont fleuri, notamment aux États-Unis où les immigrés d'origine italienne célèbre déjà le Columbus Day. Le premier monument à Colomb du monde fut inauguré en 1792 à Baltimore. Mais c’est vraiment à partir de 1860 qu’une vague d’inauguration couvre toute l’Europe et les Amériques. Pour moitié, les emplacements de ces monuments reflètent les épisodes de la vie du découvreur, principalement en Espagne, en Italie et aux Antilles ; pour l’autre, ces lieux n’ont aucun rapport avec la vie de Colomb et essaiment dans tout le continent américain, surtout sur la côte est de l'Amérique du Nord. En Europe, on trouve de nombreuses traces du culte colombin, notamment dans les anciens ports hanséatiques allemands. Il n'existe alors qu'un seul monument à Colomb hors de l'espace euro-américains, au Caire. Ce mouvement "statuomaniaque" connaît son apogée en 1892, lors de la célébration du IVe centenaire de la découverte de l'Amérique mais il change alors de signification : de symbole de l'impérialisme espagnol, il devient celui d'une communauté hispanique à l'échelle globale, telle que l'Union ibéro-américaine, fondée en 1885, s'efforce de la promouvoir. Parallèlement, le culte colombin perd la connotation régionaliste et industrialiste que les élites catalanes lui avaient donné pour acquérir une connotation plus religieuse et linguistique, célébrant les fondements d'une communauté culturelle propre. La lecture libérale du navigateur qui s'est développée aux États-Unis perd de son aura au profit d'une interprétation culturaliste et identitaire qui répond aux enjeux d'un sous-continent ibéro-américain en prise avec l'impérialisme naissant des États-Unis, manifeste en Amérique centrale et à Cuba, à partir de 1898. C'est pourquoi, au début du XXe siècle, Colomb devient le cheval de bataille d'une culte transnationale à la "Race" hispanique, contre les prétentions étatsuniennes d'une "Amérique aux Américains", affirmée pour la première fois en 1823 par la doctrine Monroe, et revigorée par l'Union panaméricaine fondée à Washington en 1910. Le culte à "la Raza" ne revêt toutefois pas à cette époque un contenu racialiste mais culturaliste : il s'agit de célébrer une même communauté spirituelle et linguistique où l'hispanité ferait contrepoids à une américanité jugée encombrante. Le culte surgit parmi les immigrés espagnols et italiens présents en Amérique latine, comme par exemple au Mexique en 1906. Il se développe au cours des années 1910 comme un culte fédérateur d'un nouveau panaméricanisme latin, à tel point que Hipolito Yrigoyen, le président argentin issu du radicalisme démocratique, déclare le 12 octobre - jour anniversaire de la découverte de l'Amérique - fête nationale de son pays. À sa suite, le Chili, Cuba, le Guatemala, El Salvador, Honduras, le Costa Rica, le Panama, l'Equateur, le Pérou, l'Uruguay et le Paraguay adoptent le 12 octobre comme "jour de la Race". L'Espagne, enfin, en fait sa fête nationale en 1918. Ramiro de Maeztu, le polémiste conservateur espagnol, écrit alors sa célèbre Defensa de la Hispanidad. Pendant la Première Guerre mondiale, ce culte colombin revisité sert à la diplomatie espagnole pour conforter une union des pays neutres, surtout depuis l'entrée en guerre des États-Unis aux côtés des Français et des Britanniques en avril 1917, bientôt suivis par le Brésil. La dictature militaire du général Primo de Rivera qui règne en Espagne depuis 1923 du culte à la Race l'épine dorsale de ses politiques de mémoires, non sans arrière-pensées impérialistes à l'heure où l'Espagne mène la guerre du Rif. Curieusement, le culte est si bien implanté qu'il survit au changement de régime en 1931, la Seconde République espagnole y voyant une opportunité de célébrer la solidarité des républiques ibéro-américaines. Parallèlement, la droite conservatrice continue de lier le destin de Colomb à celui d'une défense d'une identité espagnole/hispanique marquée par le catholicisme. C'est pourquoi le franquisme n'a cessé de célébrer Christophe Colomb et la Race, que seule la victoire des Alliés oblige à rebaptiser "jour de l'hispanité" en 1947. Le dictateur fonde le Conseil de l'Hispanité qui anime une importante action de diplomatie culturelle et entretient des liens étroits entre l'Espagne et l'Amérique latine. En vérité, le succès de ce culte transnational se nationalise dans chacun des pays d'Amérique latine, notamment en Argentine et au Mexique dans la période postrévolutionnaire. Dans ce dernier pays qui n'a jamais reconnu la légitimité de Franco, le culte colombin donne même lieu à une contre-offensive culturelle sous la forme d'un mouvement indigéniste clamant haut et fort les droits des peuples indiens précolombins. Le 19 avril 1940 se tient à Páscuaro le premier congrès indigéniste latinoaméricain qui constitue un véritable tournant culturel dans nombre de pays du souscontinent, notamment dans la zone andine. Les États-Unis voient une occasion de promouvoir le 19 avril en "Jour de l'Amérique" à partir des années 1930. Cette sorte de "contre-12 octobre" prolonge ses feux jusqu'au début des années 1970. Ces initiatives font écho aux polémiques surgies en 1992 à l'occasion de la célébration du Ve centenaire de la découverte de l'Amérique dont l'Exposition Universelle de Séville constituait le point d'orgue. Colomb y fut fortement remis en question comme figure de l'impérialisme européen, au nom du respect des cultures indigènes américaines ayant souffert les conséquences d'une conquête violente. Si bien qu'aujourd'hui, à l'heure du postcolonialisme, le culte colombin est en déshérence, même si la célébration du Jour de l'Hispanité lui a survécu. Au total, le culte colombin et son avatar moderne, le culte de la Raza, attestent l'existence de mémoires transnationales précoces qui irriguent le monde ibéroaméricain dès le XIXe siècle. Rapidement nationalisé, le culte revêt malgré tout une dimension globale qui révèle une tension autour de la définition d'une certaine américanité, prise en tension entre l'Europe et les États-Unis. Il est surtout le lieu de réaffirmation d'une solidarité culturelle et diplomatique qui s'exprime encore aujourd'hui à travers la tenue annuelle du Congrès ibéro-américain, sous l'égide de la SEGIB (Secrétariat général ibéro-américain), et qui réunit 22 pays (19 pays latinoaméricains, 3 pays européens - Espagne, Portugal, Andorre). Parallèlement à la SEGIB, cinq organismes supranationaux œuvrent au renforcement de ces solidarités dans les domaines de l'éducation et la science, la jeunesse, les politiques sociales et la justice. Fruit d'une interprétation impérialiste de l'histoire de l'Espagne, le 12-Octobre a fini par s'imposer comme un lieu de dialogue et de coopération entre une Europe à la sensibilité atlantique exarcerbée et une Amérique latine non seulement rétive à l'influence des États-Unis mais aussi soucieuse de conserver la tradition d'un panaméricanisme latin, tel que Simon Bolivar l'avait définie en 1821. Ces liens sont aujourd’hui fortement remis en question par une mobilisation militante qui demande l’enlèvement des statues à Colomb dans la lignée du mouvement Black Lives Matter. Colomb est devenu le symbole d’un colonialisme honni, accusé d’être un génocidaire. À Mexico, Buenos Aires ou Caracas, la statue a été retirée de l’espace public. À La Paz, elle fut l’objet d’attaques comme à Boston, Miami et Los Angeles. Au Chili et en Colombie, le mouvement s’étend à d’autres figures de « découvreurs ». À Barcelone, le débat autour du monument à Colomb fut intense mais n’a pas abouti à son démantèlement. À travers ces actions, c’est toute la relation euro-américaine qui est aujourd’hui à repenser. Stéphane Michonneau IRHiS, UMR 8529, Université de Lille / CNRS Bibliographie : David Marcilhacy, Raza Hispana. Hispanoamericnismo e imaginario nacional en la España de la Restauración, Madrid, Centro de Estudios Políticos y Constitucionales, 2010. Stéphane Michonneau, « Le monument à Colomb : un projet national catalan pour l'Espagne » in Carlos Serrano (dir.), Ibérica, “Nations en quête de passé. la péninsule ibérique (XIXe-XXe siècles)”, Paris, Presses de l'Université de Paris-Sorbonne, 2000, pp. 109-124. Miguel Rodríguez, Celebración de "la Raza". Una historia comparativa del 12 de octubre, México, Univesidad iberoamericana, 2004.
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Le principe pour les criminels n'est pas de payer des impôts. La connexion entre fraude fiscale et transaction bancaire avec l'étranger est donc un moyen de surveiller la circulation de l'argent. En avril 2016, il y a eu une affaire conduite par un réseau de journalistes (International Consortium of Investigative Journalists - Organized Crime and Corruption Reporting Project) pour découvrir 11,5 de documents concernant 214 488 entités incorporées ou individuelles dans 200 pays et territoires venant du cabinet panaméen Mossack Fonseca qui traite d'incorporation offshore. Pour simplifier, ce sont des transactions qui consistent à mettre de l'argent gagné dans des pays fiscalisés sur des comptes anonymes offshore sans payer d'impôts. L'affaire couvrait une période entre 1977 et 2015. Depuis 2014, les États-Unis ont leur propre système qui s'étend pratiquement au monde entier, le Foreign Account Tax Compliance Act (FATCA). Ce système a pour objectif de lutter contre la fraude fiscale des Américains en surveillant leurs comptes à l'étranger. Comme toutes les banques étrangères qui veulent travailler aux États-Unis doivent remplir les déclarations du FATCA, en pratique, toutes les banques à l'étranger doivent respecter le droit américain. Il suffit d'un seul compte en banque d'un américain pour qu'une banque se soumette au FATCA. Ce système est vivement critiqué par le monde bancaire international parce qu'il constitue un regard du droit américain partout dans le monde sur les affaires bancaires. Il repose en pratique sur une registration des établissements bancaires auprès du « Department of the Treasury Internal Revenue Service ». C'est donc un système de détection de la fraude fiscale avant d'être un dispositif anti-blanchiment. Les deux objectifs ne sont pas bien distingués. B/ La criminalisation des infractions de blanchiment à l'échelle internationale L'objectif de toutes les conventions internationales est le rapprochement des législations pénales des États. Le principe est de reconnaître comme une activité criminelle les mêmes faits dans tous les pays. Le contenu de ces textes concerne l'échange d'informations pendant la phase des recherches et l'extradition pendant la phase de jugement. Mais tout le travail de capture des criminels revient à la police des 52 États. Les instruments internationaux évitent d'avoir des pays qui accueillent des criminels ayant organisé ou participé à des trafics mais aussi ayant cherché à cacher les profits. Il y a donc une coopération internationale entre les États qui prévoient des institutions pour superviser la lutte contre les profits du crime à l'échelle mondiale. Amandine, Le Il y a 8 groupes régionaux : The Eurasian Group (Moscou, 6 octobre 2004) ;Asia-Pacific Group on Money Laundering (février 1997) ; The Committee of Experts on the Evaluation of Anti-Money Laundering Measures and the Financing of Terrorism (Conseil de l'Europe, 1997) ; Inter Governmental Action Group against Money Laundering in West Africa (10 décembre 1999) ; Groupe Anti-blanchiment en Afrique Orientale et Australe (Arusha, 26 août 1999) ; Financial Action Task Force of Latin America (Cartagène 8 décembre 2000) ; Caribbean Financial Action Task Force (Aruba mai 1990) ; Middle East & North Africa Financial Action Task Force (30 novembre 2004 à Manama). Les Émirats arabes unis sont membres du MENAFTA. 101 (UN International Convention for the Suppression of the Financing of Terrorism. UN Convention Against Illicit Traffic in Narcotic Drugs and Psychotropic Substances. UN Conventions Against Transnational Organized Crime) 53 Mais il y a aussi les 40 recommandations (2003), les 9 recommandations spéciales sur le financement du terrorisme (2001) et la méthodologie (2004) révisée du FATF102. Le FATF élabore des recommandations qui « ont vocation à être appliquées par tous les pays du monde »103. Les recommandations n'ont pas de force juridique. Elles sont reprises par les pays membres dans leur droit national. Aux Émirats, la première loi contre le blanchiment de l'argent (anti money laundering – AML) a été adoptée sous la loi fédérale n° 4 du 22 janvier 2002. Elle a été amendée par la loi fédérale n° 9 de 2014104. Le titre a élargi l'objectif de la loi. La loi initiale concernait la criminal du blanchiment. La loi de 2014 concerne le crime de financement du terrorisme (combat terrorism Crimes – CTC) et la lutte anti-blanchiment. Mais c'est toujours la loi de 2002 qui reste le texte de base et qui est mentionnée dans les textes mêmes les plus récents105. Les recommandations peuvent être reprises des pays qui ne sont pas membres du FATF ou d'un groupe régional. Les pays non coopératifs s'exposent à des problèmes puisque le FATF a publié en février 2015 une liste des juridictions non coopératives (République islamique d'Iran et la République démocratique populaire de Corée). Ces deux pays subissent aussi des sanctions internationales des Nations Unies. International Standards on Combating Money Laundering and the Financing of Terrorism & Proliferation - The FATF Recommendations, FATF, Paris, France, 2015, 128 pages. 103 GAFI-FATF : http://www.fatf-gafi.org/fr/pages/aproposdugafi/quisommes-nous/ 104 Clifford Chance corp, The updated UAE Federal Anti-Money Laundering Framework, briefing note, mai 2015, 6 pages. 105 Par exemple dans le domaine des assurances, le texte de 2015 se fonde sur la loi de 2002 et de ses amendements de 2014 : Insurance Authority Board Resolution n°13 de 2015 - Instructions Concerning Anti-Money Laundry and Counter-Terrorism Financing in Insurance Activities. 106 Pour les Émirats arabes unis, l'évaluation est de 2008. MENAFATF. Mutual Evaluation Report. Anti Money Laundering and combating the financing of terrorism. United Arab Emirates. 9 avril 2008. 54 ou institutions actifs (groupe Egmont et INTERPOL) dans la lutte contre les profits des groupes criminels ou des fraudeurs107. 1/ Le groupe Egmont a été fondé au Egmont Arenberg Palace à Bruxelles en Belgique le 9 juin 1995. Pour exposer le système assez compliqué, il faut remonter à la convention des Nations-Unies contre la corruption du 31 octobre 2003 (entrée en vigueur le 14 décembre 2005) qui demande à chaque pays partie de créer une Financial Intelligence Units (FIU). En France c'est TRACFIN. Pour les EAU, le FIU est l'Anti Money Laundering and Suspicious Cases Unit (AMLSCU). C'est la coopération de ces FIU qui est organisée dans le cadre du Groupe d'Egmont. C'est donc un dispositif opérationnel et pas normatif. Une Financial Intelligence Unit (FIU) est en charge au niveau national de recevoir et d'analyser les transactions suspectes (a) et les autres informations pertinentes sur les infractions reliées au blanchiment et au financement du terrorisme (b)108. Ce groupe Egmont est informel comme le FATF. Il y a une charte de juillet 2013 qui révise la charte initiale de 2007. Mais il y a en 2016, 151 FIU participants. Mais le problème ce sont les pays qui ne participent pas. La charte du Groupe Egmont permet de suspendre un membre pour non-respect des principes de la charte109. Le groupe Egmont est intervenu par exemple dans l'affaire du vol de la banque centrale du Bangladesh le 5 février 2016 qui est un exemple de cybercriminalité d'origine chinoise. 2/ C'est la police qui agit en première ligne contre les organisations criminelles qui se sont spécialisées dans le blanchiment de l'argent. Les activités criminelles de blanchiment sont devenues une activité profitable. Les personnes impliquées dans ces activités sont dangereuses et violentes. Le blanchiment est au centre de toutes activités criminelles qui commettent des s pour assurer la sécurité de leur trafic. Au niveau international, INTERPOL est en charge de la coopération policière. Les 7 résolutions d'INTERPOL qui n'ont pas de valeur contraignante doivent être reprises par les droits nationaux. Elles visent l'identification, la traçabilité et la saisie des avoirs Selon Convention des Nations-Unies contre le trafic illicite de stupéfiants et de substances psychotropes de 1988 l'UNODC a un mandat pour lutter contre la criminalité organisée et le blanchiment d'argent. 108 Egmont Group of Financial Intelligence Units Charter, juillet 2013. Point 1-1 . 109 Egmont Group of Financial Intelligence Units Charter, juillet 2013. Ce dispositif d'INTERPOL est très complet et place la police au centre de la lutte contre le blanchiment. Le contenu de la résolution d'INTERPOL AGN/66/RES/15 (1997) : Money laundering : Legislation montre que les États doivent adopter des textes de mise en oeuvre : RECOMMENDS that member countries consider adopting national laws which would: (1) PROVIDE for the criminal prosecution of individuals and legal entities that knowingly participate in the laundering of assets derived from criminal activities; (2) ALLOW for the confiscation of such assets, and give law enforcement officials the power to identify, trace, and freeze assets derived from illegal activities in order to prevent those assets from being placed beyond the reach of appropriate authorities; (3) MAKE provision for the repatriation of assets derived from illegal activities; (4) ALLOW for the possibility of sharing out confiscated illicit assets among law enforcement services, including the ICPO-Interpol to be used in the fight against drug trafficking and the prevention of drug abuse ; (5) REQUIRE banks and other financial institutions to report unusual or suspect currency or other transactions to appropriate officials who would have authority to conduct further investigations to determine if the transactions reported involved funds derived from illegal activities; (6) REQUIRE financial institutions to maintain, for at least five years after the conclusion of the transaction, records on both domestic and international transactions so that money laundering cases can be properly investigated; (7) FACILITATE international co-operation by enabling member countries to respond to each others' requests for such records; (8) FORBID the acceptance of anonymous accounts by banks and financial institutions; (9) ALLOW for the expeditious extradition of individuals charged with money laundering offences 56 C'est ce type de résolution que les États doivent mettre en oeuvre dans leurs droits nationaux ce que les Émirats ont fait. b) La criminalisation du blanchiment par les conventions internationales Le blanchiment est une infraction transfrontière. Il existe de nombre accords internationaux qui visent le crime organisé et le blanchiment110. Il y a 4 conventions à portée mondiale qui visent la pénalisation de la criminalité directement. La question du blanchiment et de la saisie des avoirs des groupes criminels est abordée par ces conventions de manière différente. La convention des Nations Unies contre le trafic illicite de stupéfiants et de substances psychotropes a été adoptée à Vienne le 20 décembre 1988. 57 conformément à l'alinéa a du présent paragraphe ou d'une participation à une de ces infractions ; Source : convention des Nations Unies contre le trafic illicite de stupéfiants et de substances psychotropes, 20 décembre 1988, article 3 (extrait). Deuxièmement la convention internationale pour la répression du financement du terrorisme adoptée à New York par l'Assemblée générale des Nations Unies le 9 décembre 19991. Cette convention porte sur la répression du financement (CTC) et les actes criminalisés sont ceux du blanchiment. La loi adoptée en 2014 aux Émirats est conforme à cette convention. 1. Chaque État Partie adopte, conformément aux principes de son droit interne, les mesures nécessaires à l'identification, à la détection, au gel ou à la saisie de tous fonds utilisés ou destinés à être utilisés pour commettre les infractions visées à l'article 2, ainsi que du produit de ces infractions, aux fins de confiscation éventuelle. Source : Convention internationale pour la répression du financement du terrorisme, 9 décembre 1999, article 8. Troisièmement, la convention des Nations-Unies contre la criminalité transnationale organisée a été adoptée à Palerme le 15 décembre 2000111. Elle contient un article 7 spécialement destiné à la répression du blanchiment d'argent : Article 7. Mesures de lutte contre le blanchiment d'argent 1. Chaque État Partie : a) Institue un régime interne complet de règlementation et de contrôle des banques et institutions financières non bancaires, ainsi que, le cas échéant, d'autres entités particulièrement exposées au blanchiment d'argent, dans les limites de sa compétence, afin de prévenir et de détecter toutes formes de blanchiment d'argent, lequel régime met l'accent sur les exigences en matière d'identification des clients, d'enregistrement des opérations et de déclaration des opérations suspectes; b) S'assure, sans préjudice des articles 18 et 27 de la présente Convention, que les autorités administratives, de règlementation, de détection et de répression et autres, chargées de la lutte contre le blanchiment d'argent (y compris, quand son droit interne le prévoit, les autorités judiciaires) sont en mesure de coopérer et d'échanger des informations aux niveaux national et international, dans les conditions définies par son droit interne et, à cette fin, envisage la création d'un service de renseignement financier qui fera office de centre national de collecte, d'analyse et de diffusion d'informations concernant d'éventuelles opérations de blanchiment d'argent. 111 Il y a trois protocoles additionnels à cette convention : Le protocole additionnel à la Convention des Nations Unies contre la criminalité transnationale organisée visant à prévenir, réprimer et punir la traite des personnes, en particulier des femmes et des enfants. Il est entré en vigueur le 25 décembre 2003. Le protocole contre le trafic illicite de migrants par terre, air et mer, additionnel à la Convention des Nations Unies contre la ité transnationale organisée est entré en vigueur le 28 janvier 2004. Le protocole contre la fabrication et le trafic illicite d'armes à feu, de leurs pièces, éléments et munitions, additionnel à la Convention des Nations Unies contre la criminalité transnationale organisée, entré en vigueur le 3 juillet 2005. 2. Les États Parties envisagent de mettre en oeuvre des mesures réalisables de détection et de surveillance du mouvement transfrontière d'espèces et de titres négociables appropriés, sous réserve de garanties permettant d'assurer une utilisation correcte des informations et sans entraver d'aucune façon la circulation des capitaux licites. Il peut être notamment fait obligation aux particuliers et aux entreprises de signaler les transferts transfrontières de quantités importantes d'espèces et de titres négociables appropriés. 3. Lorsqu'ils instituent un régime interne de règlementation et de contrôle aux termes du présent article, et sans préjudice de tout autre article de la présente Convention, les États Parties sont invités à prendre pour lignes directrices les initiatives pertinentes prises par les organisations régionales, interrégionales et multilatérales pour lutter contre le blanchiment d'argent. 4. Les États Parties s'efforcent de développer et de promouvoir la coopération mondiale, régionale, sous-régionale et bilatérale entre les autorités judiciaires, les services de détection et de répression et les autorités de règlementation financière en vue de lutter contre le blanchiment d'argent. Source : Convention des Nations-Unies contre la criminalité transnationale organisée, 15 décembre 2000, article 7. Quatrièmement, la convention des Nations-Unies contre la corruption du 31 octobre 2003 est entrée en vigueur le 14 décembre 20051. Elle comporte un article 14 qui vise spécialement le blanchiment : Article 14. Mesures visant à prévenir le blanchiment d'argent 1. Chaque État Partie : a) Institue un régime interne complet de règlementation et de contrôle des banques et institutions financières non bancaires, y compris des personnes physiques ou morales qui fournissent des services formels ou informels de transmission de fonds ou de valeurs ainsi que, s'il y a lieu, des autres entités particulièrement exposées au blanchiment d'argent, dans les limites de sa compétence, afin de décourager et de détecter toutes formes de blanchiment d'argent. Ce régime met l'accent sur les exigences en matière d'identification des clients et, s'il y a lieu, des ayants droit économiques, d'enregistrement des opérations et de déclaration des opérations suspectes ; b) S'assure, sans préjudice de l'article 46 de la présente Convention, que les autorités administratives, de règlementation, de détection et de répression et autres chargées de la lutte contre le blanchiment d'argent (y compris, dans les cas où son droit interne le prévoit, les autorités judiciaires) sont en mesure de coopérer et d'échanger des informations aux niveaux national et international, dans les conditions définies par son droit interne et, à cette fin, envisage la création d'un service de renseignement financier faisant office de centre national de collecte, d'analyse et de diffusion d'informations concernant d'éventuelles opérations de blanchiment d'argent. 2. Les États Parties envisagent de mettre en oeuvre des mesures réalisables de détection et de surveillance du mouvement transfrontière d'espèces et de titres négociables appropriés, sous réserve de garanties permettant 'assurer une utilisation correcte des informations et sans entraver d'aucune façon la circulation des capitaux licites. Il peut être notamment fait obligation aux particuliers et aux entreprises de signaler les transferts transfrontières de quantités importantes d'espèces et de titres négociables appropriés. 3. Les États Parties envisagent de mettre en oeuvre des mesures appropriées et réalisables pour exiger des institutions financières, y compris des sociétés de transfert de fonds : a) Qu'elles consignent sur les formulaires et dans les messages concernant les transferts électroniques de fonds des informations exactes et utiles sur le donneur d'ordre ; b) Qu'elles conservent ces informations tout au long de la chaîne de paiement ; et c) Qu'elles exercent une surveillance accrue sur les transferts de fonds non accompagnés d'informations complètes sur le donneur d'ordre. 4. Lorsqu'ils instituent un régime interne de règlementation et de contrôle en vertu du présent article, et sans préjudice de tout autre article de la présente Convention, les États Parties sont invités à s'inspirer des initiatives pertinentes prises par les organisations régionales, interrégionales et multilatérales pour lutter contre le blanchiment d'argent. 5. Les États Parties s'efforcent de développer et de promouvoir la coopération mondiale, régionale, sous-régionale et bilatérale entre les autorités judiciaires, les services de détection et de répression et les autorités de règlementation financière en vue de lutter contre le blanchiment d'argent. Source : Convention des Nations-Unies contre la corruption, 31 octobre 2003, article 14. C'est cette convention qui demande à chaque pays de se doter d'une Financial Intelligence Units (FIU). La coopération de ces FIU est organisée dans le cadre du Groupe d'Egmont. Tout le dispositif jconventionnel repose sur la mise en oeuvre nationale des infractions liées au blanchiment. Le mécanisme juridique consiste à créer des infractions et à rendre extradables les criminels. Le blanchiment se présente comme une infraction accessoire à un trafic. Par exemple, la convention de Vienne du 20 décembre 1988 contre le trafic illicite de stupéfiants et de substances psychotropes incrimine deux infractions. La première vise la conversion ou le transfert de biens qui proviennent du trafic dans le but de dissimuler l'origine des biens ou d'aider celui qui s'y livre à échapper aux conséquences de ses actes112. La deuxième vise la dissimulation ou le déguisement de la nature, de l'origine, de la provenance, de la disposition ou de la propriété réelle des biens ou des droits dont l'auteur sait qu'ils proviennent de trafics113. En criminalisant ces faits, la convention interdit en principe de considérer qu'il s'agit seulement de fraude fiscale, mais surtout elle introduit le gel, la confiscation et la saisie des biens à la demande d'un pays étranger afin de pouvoir rattraper le produit des activités criminelles en dehors de son territoire. 112 Article 3-1 b i 3 1 b ii 113 Articles 60 Sur la base de ces conventions, les États doivent mettre la criminalisation du blanchiment dans leurs législations. Aux Émirats, la première loi contre le blanchiment de l'argent (anti money laundering – AML) a été adoptée sous la loi fédérale n° 4 du 22 janvier 2002. Elle a été amendée par la loi fédérale n° 9 de 2014114. Le titre a élargi l'objectif de la loi. La loi initiale concernait la criminalisation du blanchiment. La loi de 2014 concerne le crime de financement du terrorisme (combat terrorism Crimes – CTC) et la lutte anti-blanchiment. Mais c'est toujours la loi de 2002 qui reste le texte de base et qui est mentionnée dans les textes mêmes les plus récents115. Section 2 La lutte contre les insuffisances institutionnelles Il n'y a pas d'insuffisance institutionnelle aux Émirats. Le pays protège ses intérêts à long terme en jouant un rôle important dans la traçabilité de l'argent du terrorisme. Les Émirats sont une place financière de premier plan dans la région. C'est la place la plus importante dans le Golfe. Cela veut dire qu'il y a un risque que les fonds pour le financement du terrorisme soient prélevés ou recyclés à Dubaï. Il faut ajouter que le développement du terrorisme oblige les Émirats à tenir un rôle important dans la lutte contre les financements et les approvisionnements en argent des organisations criminelles ou terroristes. Dans ce domaine, les Émirats sont très sévères et la coopération des Émirats avec le GAFI (Groupe d'action en matière financière qui dépend du G 20) après les attentats du 11 septembre 2001 est totale116. Le dispositif des Émirats est conforme aux standards internationaux pour la traçabilité. Mais les peines sont très sévères : la loi n ° 1/2004 a prévu sanctions de peine de mort et de prison à vie pour les crimes liés au financement du terrorisme. Il y a aussi la saisie des biens et des avoirs financiers des condamnés et des sanctions spéciales pour ceux qui fabriquent ou importent des armes pour des actions terroristes. Mais si la situation aux Émirats est satisfaisante, les Émirats doivent rester vigilants sur la capacité de l'argent du crime d'entrer dans les institutions administratives et étatiques. « La corruption est un mal insidieux dont les effets sont aussi multiples que délétères. 61 fausse le jeu des marchés, nuit à la qualité de la vie et crée un terrain propice à la criminalité organisée, au terrorisme et à d'autres phénomènes qui menacent l'humanité »117. Sur le plan pratique, il faut montrer qu'il y a un lien étroit entre corruption et blanchiment (§1). Il faut montrer aussi le lien étroit entre blanchiment et fraude fiscale (§2). § 1 La connexion entre corruption et blanchiment La lutte contre la corruption est un élément central du combat contre le crime organisé. Le crime organisé profite de la corruption parce qu'à haut niveau les dirigeants corrompus vendent les avantages politiques ou administratifs. Au niveau le plus bas, la corruption entretient des relais dans toutes les couches d'une société. En achetant les fonctionnaires des administrations, il est possible d'empêcher de découvrir des opérations criminelles. En pratique, la corruption va se développer dans les pays où les bas salaires obligent les fonctionnaires mais aussi toute la population à trouver des moyens pour augmenter les revenus. Dans ce cas, il existe une corruption de routine quotidienne qui n'a rien à voir avec la criminalité organisée, mais qui fabrique un réseau utilisable par ces organisations. Par exemple, le fonctionnaire corrompu pour l'obtention des visas pourra être utilisé pour d'autres services. La corruption est plus difficile dans les pays où les salaires sont bons comme aux Émirats et dans les pays européens. L'explication c'est que la prise de risque est plus coûteuse pour les organisations criminelles. Les services sont payés plus cher. Le crime organisé profite de la corruption pour abriter ses activités. Le crime organisé se développe dans les endroits où les autorités publiques sont intéressées à la distribution des profits du crime. Les officiels laissent les trafics se développer parce qu'ils perçoivent de l' . L'argent du crime organisé peut facilement déstabiliser des États entiers. Lesmasses financières qui sont en jeu sont prises en compte dans le préambule de la convention des Nations-Unies sur la corruption : « les affaires de corruption qui portent sur des quantités considérables d'avoirs, pouvant représenter une part substantielle des ressources des États, et qui menacent la stabilité politique et le développement durable de ces États »118. Il n'y a pas que les pays en développement qui sont 62 concernés119. Les conséquences politiques et les conséquences techniques de ces fragilités sont importantes parce qu'il y a un impact majeur sur la répression du crime organisé (A) et que la corruption à haut niveau est difficile à arrêter (B). A/ La corruption, obstacle majeur à la mise en oeuvre de la répression du crime organisé Selon Transparency International, la corruption concerne les 2/3 des pays dans le monde120. Sur 180 pays, la France est 23° dans ce classement. Les Émirats sont classés 21°. Il y a donc une situation presque comparable entre les deux pays. Ce classement est honorable. Il traduit le fait que la corruption existe mais dans impliquer une perte de contrôle des administrations de l'État. Aucune administration de ces pays ne peut être considérées comme corrompue. Il y a des actes dispersés de corruption. Mais la lutte contre la corruption doit être ferme : « La corruption existe non seulement au sein des institutions étatiques, mais également dans de nombreuses activités criminelles, comme la traite des êtres humains, la vente des organes humains, le trafic de drogue, le délit d'initié et la contrefaçon »121. Il y a toujours un risque que le pouvoir de l'argent des criminels implique une perte de contrôle des autorités publiques. La situation des Émirats est favorable parce que le niveau des rémunérations dans le secteur public est une protection. En France, la situation économique peut conduire à des dérives isolées. La corruption entraîne deux types d'impacts. Le premier impact c'est que la corruption a pour objectif d'obtenir des avantages qui permettent d'augmenter les profits des entreprises, des particuliers ou des groupes criminels. L'argent qui échappe aux États manque aux États pour développer une police et une justice efficace. Selon un rapport de 2016 la Stolen Asset Recovery Initiative (StAR), entre 1999 2012, « sur les presque 6 milliards de dollars imposés au titre de sanctions pécuniaires, seuls 197 millions, soit 3,3 %, ont fait l'objet d'une restitution ou d'un ordre de restitution aux pays dont les agents publics avaient été prétendument ou 119 COMPIN Frédéric, La criminalité financière existe rait- elle sans la manipulation des connaissances compt ables? Congrès de l ' Association Francophone de Comp tabilité , Lille , 2005 , page 17. 120 Transparency International, Index de perception de la corruption 2017. 121 Conseil de l'Europe - Assemblée parlementaire - Commission des questions juridiques et des droits de l'homme. 63 effectivement corrompus »122. Il y a donc une impossibilité technique de récupérer l'argent de la corruption. La corruption doit être stoppée avant d'être effective. Après il est trop tard. Le second impact est encore plus grave. C'est la déstabilisation des États et la perte de confiance dans les autorités par toute la population. Il y a donc le problème de l'État de droit (a). Mais il y a aussi les problèmes de gouvernance qui mélangent le fonctionnement des institutions politiques avec les activités illégales (b). a) L'absence d'État de droit L'UNODC a déclaré « que le développement durable et l'état de droit sont fortement interdépendants et se renforcent mutuellement »123. Mais aucune institution ne peut échapper à la corruption. Toutes les institutions internationales qui sont productrices de règles de droit vérifient l'intégrité de leurs membres124. Le risque est que les moyens du crime organisé infiltrent les assemblées pour la production des règles de droit. La menace c'est d'intégrer les intérêts des groupes criminels directement dans les législations pour assurer leur protection. Ce risque n'est pas imaginaire. Selon un rapport de 2018 du Conseil de l'Europe, la corruption atteint l'assemblée parlementaire : « En septembre 2017, le projet Organized Crime et Corruption Reporting Project (OCCRP), en association avec Transparency International et plusieurs organes de presse européens, a publié un rapport alléguant l'existence d'un mécanisme complexe de blanchiment d'argent impliquant 2,9 milliards de dollars US utilisés par des membres de l'équipe dirigeante azerbaïdjanaise comme caisse noire pour rémunérer des personnalités politiques européennes, acheter des produits de luxe, blanchir des capitaux et en tirer par ailleurs des bénéfices personnels. Selon certaines allégations, certain membres et anciens membres de l'APCE et du Parlement européen auraient été concernés par ce mécanisme »125. Un autre rapport du Conseil de l'Europe de 2013 montre que la corruption atteint directement l'état de 122 ANYANGO ODUO Jacinta et autres, Laissés pour compte - Les accords transactionnels dans affaires de corruption transnationale et leurs conséquences en matière de recouvrement d'avoirs, World Bank – UNODC, Washington, 2016, pages 2 -3. 123 ONUDC. Déclaration de Doha sur l'intégration de la prévention de la criminalité et de la justice pénale dans le programme d'action plus large de l'organisation des nations unies visant à faire face aux problèmes sociaux et économiques et à promouvoir l'état de droit aux niveaux national et international et la participation du public, Treizième congrès des Nations Unies pour la prévention du crime et la justice pénale, Doha, 12–19 avril 2015, New York, point 4. 124 OCDE. Rapport sur la Lutte contre la Corruption et la Promotion de l'Intégrité présenté au Secrétaire général de l'OCDE, Paris, Groupe Consultatif à Haut Niveau, 2017, 48 pages. 125 Conseil de l'Europe. Rapport du Groupe d'enquête indépendant concernant les allégations de corruption au sein de l'Assemblée parlementaire, Strasbourg, 15 avril 2018, page xv 64 droit126. Des exemples d'affaires de corruption à haut niveau concernent la France127. Mais les cas les plus graves concernant le crime organisé sont d'Europe de l'Est. Selon un rapport du Conseil de l'Europe qui s'appuie sur Transparency International, «en Bulgarie, qui se positionne tout à la fin du classement de l'IPC dans les États membres de l'Union européenne, plusieurs personnes accusées de faire partie de groupes de la criminalité organisée ont été systématiquement acquittées. Récemment, deux hommes d'affaires, connus sous le nom des frères Galev et qui auraient commis des actes de fraude, de trafic de drogue et d'autres infractions, ont été acquittés en raison de ce qui a été considéré comme une influence indûment exercée sur la justice, malgré l'existence de preuves substantielles contre eux»128. Cette affaire montre que la corruption de la justice entraîne l'impossibilité pratique de condamner les criminels. C'est donc en modifiant le droit en faveur des groupes criminels ou en çant la justice que le crime organisé trouve les moyens les plus efficaces pour durer. Selon l'UNODC, parmi les éléments les plus vulnérables de la traite d'êtres humains dans la chaîne menant à la corruption « 65 % des personnes interrogées ont désigné les contrôles aux frontières, l'immigration et les douanes, 50 % ont désigné l'application des lois et la police, 25 % ont désigné les organisations de la société civile comme étant les plus soumises à la corruption »129. Ce sont donc les administrations chargées de la lutte contre le crime organisée qui sont le plus menacées par la corruption. Cette situation explique que les autorités ferment les yeux sur les trafics. promouvoir une culture de la légalité propre à faire prévaloir l état droit et les droits homme lle »130. Il faut noter que l'Agence française anticorruption (AFA) a organisé un cycle de formation avec l'Ecole nationale de la magistrature (ENM) sur la corruption: détection, prévention, répression131. Les policiers des Émirats ont participé à cette formation. Le problème c'est que le niveau de développement dans beaucoup de pays est favorable au développement de la corruption. Sur le plan matériel, le manque d'argent limite les capacités d'action de la police contre les organisations criminelles et fragilise les personnels tentés d'accepter des avantages pour améliorer leur vie. L'autre problème c'est qu'il y a un écart entre le développement très lent de l'état de droit dans beaucoup de pays et l'évolution rapide de la criminalité organisée. Le système judiciaire de beaucoup de pays est sous-équipé. Il habitue les populations à ne pas s'adresser à la police ou à la justice. Les populations développent leur propre système de régulation. Les indicateurs de l'état de droit établis par les Nations Unies visent les autorités de police et la perception de la population de l'aptitude de la police à contrôler la criminalité au sein de la communauté »132. Il est mentionné dans le rapport des Nations Unies la « possibilité d'éviter une arrestation en offrant un pot-de-vin »133. Dans ce domaine, les Émirats présentent une situation favorable. Premièrement, le niveau de vie des officiers de police est important. Deuxièmement, dans une place financière comme les Émirats, le blanchiment a plus besoin des services des professions spécialisées (banquiers, comptables, avocats, auditeurs, experts, transporteurs) que des services de la police. Troisièmement l'organisation de la société des Émirats est fondée sur des valeurs religieuses et familiales très fortes. L'implication d'un officiel dans la corruption concerne tout le groupe familial qui a des moyens de pression pour faire cesser les mauvais comportements. ONUDC. Déclaration de Doha sur l'intégration de la prévention de la criminalité et de la justice pénale dans le programme d'action plus large de l'organisation des nations unies visant à faire face aux problèmes sociaux et économiques et à promouvoir l'état de droit aux niveaux national et international et la participation du public, Treizième congrès des Nations Unies pour la prévention du crime et la justice pénale, Doha, 12–19 avril 2015, New York, point 7. 131 Agence Française Anticorruption. Rapport d'activité annuelle 2017, Paris, 18, page 45. 132 ONU. Indicateurs de l'état de droit des Nations Unies - Guide d'application et outils de gestion de projet, New York, juin 2012, page 45. 133 ONU. Indicateurs de l'état de droit des Nations Unies - Guide d'application et outils de gestion de projet, New York, juin 2012, page 47. Pour résumer la question de l'état de droit, le problème est très grave parce qu'une majorité de pays sont concernés par des défaillances de leur police ou de leur justice134. Ces pays deviennent des sanctuaires pour les groupes criminels. Les pays en développement sont ciblés par les organisations criminelles comme des points d'appui pour les trafics en direction de l'Europe, de l'Amérique du Nord ou d'autres régions avancées. b) L'aggravation des problèmes de gouvernance Selon le FMI, « la gouvernance est une vaste notion qui englobe tous les aspects de la gestion des affaires d'un pays, notamment la politique économique, le cadre réglementaire et l'état de droit. La corruption –l'abus d'autorité ou de confiance dans l'exercice de la puissance publique détournée à des fins d'enrichissement personnel – y est étroitement liée, la mauvaise gouvernance ouvrant la voie aux abus et incitant davantage à la corruption »135. Selon Transparency , l'échelle du problème est énorme. 68 % des États dans le monde ont un problème de corruption avec la moitié des pays membres du G20 avec eux. Cela veut dire que la corruption peut se développer dans des pays développés ou dans des pays pauvres. Une affaire de septembre 2018 à Genève met en cause un conseiller d'État de Genève pour un voyage à Abu Dhabi136. Selon le ministère public, un conseiller d'État aurait accepté une invitation avec sa famille a voir les grand prix de formule 1 à Abu Dhabi137. C'est interdit par la législation de Genève. Indicateurs de l'état de droit des Nations Unies - Guide d'application et outils de gestion de projet, New York, juin 2012, page 58. 135 FMI. Le FMI et la bonne gouvernance, Washington, IMF factsheet, 2016, 3 pages. 136 Tribune de Genève, Pierre Maudet auditionné à nouveau en octobre - Voyage à Abu Dhabi, 29 septembre 2018. 137 Communiqué de presse du ministère public. Voyage à Abu Dhabi : le Ministère public saisit le Grand Conseil d'une demande d'autorisation de poursuivre Pierre Maudet, 30 septembre 2018. Source : Corruption perception index 2015. Transparency international. Lien internet : http://www.transparency.org/cpi2015 La carte montre la dimension du problème. Dans les pays les plus gravement atteints, le pouvoir politique est envahi par l'argent des groupes criminels. L'argent finance les campagnes électorales de représentants favorables aux intérêts des criminels comme en Colombie : «Les narcotrafiquants ont accédé au pouvoir législatif, ou ont soutenu des candidats acquis à leur cause pour accéder au pouvoir législatif, si bien qu'en 2001, plus de 50 % de la législature nationale oeuvrait en faveur de l'industrie de la cocaïne »138. Dans certains cas, les criminels influencent les élections comme en 1989 en Colombie où Pablo Escobar a éliminé 3 candidats sur 5. Dans ce cas, l'objectif des cartels est de transformer l'État en base criminelle. Cette technique est rendue impossible aux Émirats en raison du système politique qui ne dépend pas des élections. La même situation se retrouve dans de nombreux pays où l'argent de la corruption et du crime facilite l'élection des présidents. La Banque mondiale est au premier plan pour lutte contre la corruption dans les administrations139. L'argent du développement est massivement détourné par des dirigeants corrompus. Une partie de cet argent sert à maintenir les dirigeants au pouvoir. Mais une autre partie finance les mouvements terroristes et criminels qui 138 TORKELSTON Erin, Vers une interprétation des réseaux de crime organisé comme souverainetés parallèles, Institut d'études de sécurité, note de politique générale 59, août 2014, page 2. 139 CARTIER-BRESSON Jean, La Banque mondiale, la corruption et la gouvernance. RevueTiersMonde, tome 41, n°161, 2000, Corruption, libéralisation, démocratisation, pages 165 à192. 68 déstabilisent des régions. La Banque mondiale a donc engagé une action pour récupérer les fonds qui sont volés. La Banque mondiale a créé le dispositif Stolen Asset Recovery Initiative (StAR)140. Cette initiative est un partenariat entre la Banque Mondiale et l'Office des Nations-Unies sur la Drogue et le Crime (UNODC). Il existe une base de données. Il n'y a aucune affaire concernant les Émirats ou les entreprises des Émirats. Mais il y a beaucoup d'affaires concernant la France et d'autres pays européens. Ce dispositif permet à la Banque Mondiale d'écarter pendant une période les entreprises qui ont favorisé des marchés publics en utilisant des méthodes violant les règles éthiques de la Banque. Par exemple, « en 2002, Alsthom a effectué un paiement irrégulier de 110 000 € à une entité contrôlée par un ancien haut responsable du gouvernement pour des services de conseil dans le cadre du projet de réhabilitation de l'électricité en Zambie financé par la Banque mondiale»141. Dans un autre cas, au Lesotho, « M. Masupha Ephraim Sole, directeur général de l'Agence de développement des hautes terres du Lesotho, a été reconnu coupable d'avoir accepté des pots-de-vin de diverses sociétés multinationales dans le cadre du projet d'eau au Lesotho Highlands »142. Une entreprise française a plaidé coupable dans cette affaire. Mais le problème est de récupérer les fonds et la Banque mondiale n'a aucun pouvoir de police. Les mêmes méthodes doivent être appliquées pour la corruption et le crime organisé : « Bien que les confiscations étendues et les présomptions de style de vie criminel soient plus souvent utilisées dans les affaires de drogue et de crime organisé, les pays devraient les appliquer dans les affaires de corruption»143. INTERPOL donc un partenaire essentiel de la Banque Mondiale dans la récupération de l'argent volé aux États. La résolution n°1 AG-2015-RES-01 a été adoptée par INTERPOL en novembre 2015. L'objectif est de priver les groupes criminels des ressources provenant de la corruption : « un des moyens les plus efficaces de lutter contre la criminalité, y compris le terrorisme, la cybercriminalité, la corruption et le crime organisé, est la recherche, la contrainte, la saisie, le recouvrement et la confiscation du produit et des instruments du crime afin de priver les criminels des gains acquis de Banque mondiale Stolen Asset Recovery Initiative (STRI). The World Bank Press Release No: 2012/282/INT, Enforcing Accountability: World Bank Debars Alstom Hydro France, Alstom Network Schweiz AG, and their Affiliates, February 22, 2012. 142 World Bank, World Bank Sanctions Lahmeyer International for Corrupt Activities in Bank-Financed Projects, Press Release No: 129/2007/INT, November 6, 2006. 143 GRAY Larissa - HANSEN Kjetil - RECICA-KIRKBRIDE Pranvera - MILLS Linnea, Few and Far - The Hard Facts on Stolen Asset Recovery, World Bank – UNODC, Washington, page 41. manière illicite »144. Les notices d'argent qui devaient servir à mettre en place la recherche internationale des avoirs criminels est toujours en phase d'étude. En 2015, INTERPOL a aussi adopté une résolution sur un accord de coopération avec l'institut de Bâle sur la gouvernance145. Ce texte est précis sur les menaces : INTERPOL est préoccupé «par la participation croissante des groupes criminels organisés aux activités licites et illicites, générant des profits énormes résultant de la corruption et d'autres crimes financiers, qui minent gravement le développement, les politiques publiques et la croissance économique d'un pays, tout en offrant de nouvelles incitations et des opportunités au crime organisé groupes »146. Pour résumer, le lien entre blanchiment, corruption et gouvernance est fait quand les activités criminelles pénétrent les institutions politique, administrative et économique. Dans ces conditions, l'action de la police devient pratiquement impossible : « Aux États-Unis et en Europe occidentale, divers moyens ont été mis en place pour blanchir de grandes quantités d'argent à l'étranger. Ces opérations, qui sont exécutées depuis plusieurs années, sont souvent commises par d'anciens membres du KGB qui disposent des contacts à 'étranger, des compétences linguistiques et des connaissances pour opérer efficacement à l'étranger. Ces anciens membres des forces de sécurité ont créé leurs propres groupes criminels organisés spécialisés dans le blanchiment d'argent par l'intermédiaire de banques étrangères»147. B/ Le problème de la corruption à haut niveau Il y a des cas de corruption au sommet de pays qui entraînent l'impunité pour les les groupes criminels qui financent les dirigeants. La première technique employée par les groupes criminels est la violence ou la menace. Les avantages obtenus sont gratuits. Mais ils ne sont pas durables. Il faut exercer une pression permanente très coûteuse en personnel pour obtenir des résultats. Les risques pour les groupes criminels sont importants. L'argent en cash est la condition de la survie des criminels. Résolution AG-2015-RES-01, 2015. Résolution AG-2015-RES-02, 2015. 146 Ibid. 147 SHELLEY Louise, Post-soviet organized crime : Implications for the Development of the Soviet Successor States and Foreign Countries, Washington, The National Council for Soviet and East European Research, 1994, page 15. 145 70 les moyens financiers de quitter le pays ni d'assurer des complicités. Il était réduit à utiliser sa famille ce qui est le moyen le plus sûr d'être repéré par la police. L'autre méthode consiste à payer pour obtenir la complicité au sommet des administrations. Ce phénomène permet en Amérique latine et centrale d'assurer le développement des cartels148. Ce moyen est plus coûteux mais plus sûr. Les complicités dans l'administration et dans la classe politique se gagnent par le sommet. Il vaut mieux payer un dirigeant chef d'État que de payer un nombre de fonctionnaires. La corruption au sommet de l'État est donc une bonne gestion des affaires criminelles : « à l'arrivée, le cumul d'une série de compromis ou de rackets coûte plus cher à l'entreprise, par employé, qu'un guichet unique à l'échelon global (le ministre ou le président) ou qu'une contribution à une mafia puissante et agissant comme régulateur »149. L'ensemble de l'administration devient directement ou indirectement complice des activités criminelles. C'est la seule façon d'expliquer la permanence de certains groupes criminels. Pour le crime organisé, la corruption est destinée à obtenir la passivité des autorités qui pourraient normalement les poursuivre (a). Le résultat est une application limitée des poursuites (b). a) La corruption pour obtenir la passivité des autorités Le problème, c'est que la corruption commence par le sommet de l'État. Certains experts mettent directement en cause certains chefs d'État africains150. Les relations directes avec le sommet de l'État rendent impossibles techniquement l'intervention de la police et de la justice. En disposant des moyens d'État, il est possible de couper la piste du blanchiment des fonds des criminels qui prennent les mêmes chemins que l'argent de la corruption. Le problème supplémentaire c'est que les chefs d'États corrompus sont soutenus par les groupes criminels et aussi les entreprises qui profitent de l'accès aux marchés publics. La condamnation pour corruption le 3 octobre 2018 de Rodrigo Rato pour 4 ans de prison est inquiétante. 71 international de 2004 à 2007. A ce poste, les contacts avec les chefs d'États sont directs. Il y a donc un climat de corruption au sommet de la gouvernance mondiale qui complique l'action de la police. Au Brésil, Luis Ignacio Lula Da Silva a été président de la République entre 2003 et 2011. Il a accepté de l'argent de la compagnie pétrolière brésilienne Petrobras. Il a été condamné en juillet 2017 à 9 ans de prison pour corruption et blanchiment d'argent. Il a été mis en prison le 7 avril 2018. Mais, le 1° janvier 2011, sa chef de cabinet, Dilma Roussef a été élue présidente de la République. Elle était donc une proche de l'ancien chef de l'État. Pour protéger Lula contre la prison, elle a nommé le 17 mars 2016, l'exprésident Lula, ministre d'État et chef de cabinet de la présidente de la République. Ce poste assurait une immunité contre la condamnation à la prison. La présidente Dilma Roussef a été destituée par le parlement le 31 août 2016 après le scandale de corruption « Lava Jato » (Car Wash) qui concerne le blanchiment des fonds de la même compagnie pétrolière. C'est en réalité la même affaire. Le 31 août 2016, la présidence du Brésil revient à Michel Temer. Le 24 septembre 2016, une enquête pour corruption a été ouverte contre Michel Temer toujours avec la compagnie Petrobas. Une élection est prévue en octobre 2018. Lula voulait se représenter mais il est en prison et sa candidature a été invalidée. 3 présidents au Brésil sont soupçonnés ou condamnés dans la même affaire. Cette affaire est aussi dans les Panama Papers151. Cette affaire se développe au Brésil, au Pérou, au Panama, en Équateur, Colombie, en Suisse et aux États-Unis. Ce cas de corruption au Brésil montre que le sommet de l'État est soumis à la corruption sur de longues durées (2004 – 2018 au moins). Cela montre aussi que le changement de président ne change rien aux mauvaises pratiques. Il ya aussi la preuve que le pouvoir se transmet entre les proches d'un même clan politique. La conclusion, c'est que la démocratie électorale n'est pas une protection contre la corruption, le blanchiment et les réseaux financiers illégaux. Le Brésil est un pays émergent. Ce n'est pas un pays en développement. Il y a donc un risque pour les pays pauvres d'être soumis à l'argent du crime. Il y a aussi le fait que la population s'habitue à la corruption de ses dirigeants. La popularité de Lula au Brésil est une preuve. Les groupes criminels peuvent agir avec la complicité de dirigeants populaires qui paralysent les institutions de répression. Il y a donc une participation générale de toute une société aux activités criminelles. Chaque niveau de la société peut profiter plus ou moins d'une partie des profits illégaux. C'est la situation de la Colombie entre les années 1980 et 1990, du temps des cartels de Medellin et de Cali. Dans un cas au Nigéria, jugé au Royaume-Uni, la corruption touchait le ministre du pétrole. En 2013, le juge a déclaré : « Je conclus comme fait que, lors de sa création et à tout moment opportun, Dan Etete (le ministre) avait des intérêts bénéficiaires importants dans Malabu (la société fictive qui a reçu l'argent) »152. Il est très facile de donner des exemples de corruption au sommet de l'État dans beaucoup de pays. Le résultat, c'est que la lutte contre le crime organisé est ralentie. Pour résumer, la corruption frappe les pays avancés pour les questions de blanchiment et de dissimulation des profits. Elle frappe les pays en développement pour protéger la production ou les transports. Dans les 2 cas, il est préférable de viser le sommet de l'État. Mais les pays les mieux structurés sur le plan politique résistent mieux que les autres. Les Émirats appartiennent à cette catégorie. b) Une application limitée des poursuites contre le blanchiment à haut niveau Dans beaucoup de pays, il est plus facile de corrompre les autorités en charge de l'application de la loi que d'essayer d'éviter les contrôles. Cet objectif est malheureusement atteint. Les données fournies au G20 par le FATF en 2016 montrent que la plupart juridictions nationales n'ont jamais mis en oeuvre les sanctions financières des Nations-Unies contre les mouvements terroristes. 67 % des juridictions nationales n'ont aucune action dans le domaine de la lutte contre la circulation des biens des groupes terroriste ou criminel sur la liste des sanctions du Conseil de sécurité sur un total de 194 pays évalués par le rapport. 9% des pays mettent en oeuvre les sanctions. Il y a donc une minorité de pays qui appuient le Conseil de sécurité dans la chasse au terrorisme et au crime organisé. Cette situation est avantageuse pour les organisations criminelles. »153. Le même rapport montre qu'un cabinet comme Mossack Fonseca (les fondateurs ont été arrêté en 2017 à la demande des États-Unis) est utilisé par les officiels, les criminels, les terroristes et toutes les personnes qui veulent échapper à l'impôt. C'est un lieu de centralisation des activités illégales : « Un facilitateur financier tel que le cabinet Mossack Fonseca au Panama a fourni des services aux kleptocrates, et les membres d'organisations criminelles et terroristes, leur permettant de cacher leur richesse dans un lieu offshore »154. Cela explique les problèmes d'application des convention internationales dans le domaine de la corruption. Les actions judiciaires sont peu nombreuses : « Ces dernières années, seuls 3 à 5 pour cent des flux financiers illicites au niveau mondial ont été saisis et confisqués »155. La convention de Palerme comporte un article 9 sur la corruption156. Le traité le plus complet est la convention des Nations-Unies contre la corruption (dite convention de Mérida) adoptée le 31 octobre 2003157. Les Émirats ont signé en 2005 et sont parties à la convention. Elle a 140 signataires en octobre 2018. Cette conventionest le résultat du Consensus de Monterrey, Conférence internationale sur le financement du développement tenue au Mexique en 2002. Cette conférence a fait de la lutte contre la corruption à tous les niveaux une priorité158. Elle a recommandé l'adoption d'une convention contre la corruption159. Le Consensus de Monterrey a relié la Convention 153 SHELLEY Louise, Terrorism and international Crime – Corruption as The enabler, Transparency International Deutschland, Berlin, 2018, page 4. 154 SHELLEY Louise, Terrorism and international Crime – Corruption as The enabler, Transparency International Deutschland, Berlin, 2018, page 5. 155 INTERPOL. Résolution n° 1 AG-2015-RES-01. Projet pilote concernant une nouvelle catégorie de notices spécialement consacrées au traçage et au couvrement d'avoir s (« notice argent »). 156 Convention des Nations-Unies contre la criminalité transnationale organisée, 15 décembre 2000 : Article 9. Mesures contre la corruption 1. Outre les mesures énoncées à l'article 8 de la présente Convention, chaque État Partie, selon qu'il convient et conformément à son système juridique, adopte des mesures efficaces d'ordre législatif, administratif ou autre pour promouvoir l'intégrité et prévenir, détecter et punir la corruption des agents publics. 2. Assemblée Générale, résolution 58/4. Entrée en vigueur le 14 décembre 2005. Rapport de la Conférence internationale sur le financement du développement, Monterrey (Mexique), 18-22 mars 2002, A/CONF.198/11, New-York 2002, point 13, page 4. 159 Nations-Unies. Rapport de la Conférence internationale sur le financement du développement, Monterrey (Mexique), 18-22 mars 2002, A/CONF.198/11, New-York 2002, point 65, page 17 : « Nous nous engageons à négocier et à conclure dans les meilleurs délais une convention des Nations Unies sur la lutte contre la corruption sous tous ses aspects, y compris la question durapatriement des fonds acquis illégalement dans les pays d'origine, ainsi qu'à promouvoir une coopération plus vigoureuse pour éliminer le blanchiment de l'argent ». 158 Nations-Unies. 74 des Nations Unies contre la criminalité transnationale organisée et la future convention sur la corruption160. Les efforts doivent concerner le système judiciaire dans les pays où il n'est pas développé : « La modernisation du système judiciaire a été considérée comme l'une des modifications structurelles des plus importantes, car elle renforce la gouvernance en améliorant la transparence et la responsabilité, ce qui peut contribuer à réduire la corruption là où elle pose problème. En conséquence, la mise en place d'un système judiciaire fort devrait être facilitée par l'assistance technique »161. La convention de l'OCDE sur la lutte contre la corruption d'agents publics étrangers dans les transactions commerciales internationales a été signée le 17 décembre 1997. Elle est entrée en vigueur le 15 février 1999. En octobre 2018, elle comprend 44 États signataires dont 8 ne sont pas membres de l'OCDE162. Selon Transparency International, l'application de cette convention est limitée. 4 pays seulement sont actifs : Mise en oeuvre active : 4 pays représentant 22,8% du commerce mondial – Allemagne, Suisse, Royaume-Uni, États-Unis Mise en oeuvre modérée : 6 pays représentant 8,9% du commerce mondial – Autriche, Australie, Canada, Finlande, Italie, Norvège Mise en oeuvre limitée : 9 pays représentant 12,6% du commerce mondial – France, Grèce, Hongrie, Pays-Bas, Nouvelle Zélande, Portugal, Afrique du Sud, Corée du Sud, Suède Mise en oeuvre faible ou inexistante : 20 pays représentant 20,5% du commerce mondial – Argentine, Belgique, Brésil, Bulgarie, Chili, Colombie, République Tchèque, Danemark, Estonie, Irlande, Israël, Luxembourg, Japon, Mexique, Pologne, Russie, République Slovaque, Slovénie, Espagne, Turquie Source : Transparency International . Corruption http://www .transparency.org / Lien internet : La France est dans la 3° catégorie. Selon Transparency International, « Ce n'est pas un secret, mais de nombreux gouvernements des pays de l'OCDE continuent de faire très peu ou rien pour s'assurer que leurs entreprises ne paient pas les régimes corrompus pour des contrats lucratifs »163. Pour résumer, dès que l'argent du crime 160 Résolution 55/25 de l'Assemblée générale Rapport de la Conférence internationale sur le financement du développement, Monterrey (Mexique), 18-22 mars 2002, A/CONF.198/11, New-York 2002, point 11, page 34. 162 Les 7 pays non membres de l'OCDE qui ont signé sont : Afrique du Sud, Argentine, Brésil, Bulgarie, Colombie, Costa-Rica, Pérou et Russie. 163 Transparency International. Progress report 2015: enforcement of the OECD anti-bribery convention. Lien internet : http://www.transparency.org/news/feature/how_some_oecd_governments_do_nothing_to_stop_ grand _ corruption 161 Nations-Unies. 75 est mélange à l'économie et à la politique par la corruption, les intérêts économiques des pays mêmes avancés ralentissent la lute contre le crime organisé. Cette convergence des intérêts est un avantage pour le crime organisé. § 2 La connexion étroite entre blanchiment et fraude fiscale « La marginalisation de la fraude fiscale a été exploitée par les blanchisseurs qui, pour échapper au dispositif de lutte contre le blanchiment, se contentent d'arguer devant les autorités de lutte que les fonds faisant l'objet du blanchiment proviennent d'une fraude fiscale »164. Les États ne luttent pas contre la fraude fiscale comme contre le blanchiment. Le blanchiment des profits du crime menace la sécurité des États. La fraude fiscale menace les finances des États. La fraude fiscale prive les pays de leurs ressources mais il n'y a pas systématiquement d'activité criminelle comme les trafics de drogue ou d'armes à la base. La fraude fiscale peut concerner un commerçant qui ne veut pas payer ses impôts. La lutte contre la fraude fiscale au nom de la sécurité des États peut servir contre le financement du trafic de drogue et du terrorisme. Mais dans le cas de la fraude, il y a un conflit de légitimité parce que l'utilité des impôts exigés par les États est discutable. La contestation de l'impôt qui conduit les spécialistes des sociétés à l'optimisation fiscale est légale. Elle consiste à trouver les moyens légaux de payer le moins d'impôts possible ce qui est une tendance normale pour un contribuable. La fraude fiscale franchit la limite de la légalité et dissimule l'argent à l'administration. Au contraire, le terrorisme, le trafic de drogue, d'armes, de migrants, la prostitution et les vols d'objets d'art ne sont pas discutables. Ils condamnés partout dans le monde. Ils sont définis par les conventions dans la catégorie du crime transnational et sont commis par des groupes criminels165. Il y a donc une grande différence entre la lutte contre la fraude fiscale et contre le crime organisé. Mais entre le blanchiment et la fraude fiscale il y a beaucoup de points communs. Les techniques sont internationales, l'origine des fonds est inconnue et les objectifs c'est de ne pas respecter la loi et d'augmenter les profits. La fraude fiscale et le crime organisé utilisent les ressources du droit.
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Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0
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Congreso In-Red 2017 UPV, 13 y 14 de julio de 2017 Doi: http://dx.doi.org/10.4995/INRED2017.2017.6877 Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 José Daniel Sierra Murilloa a Universidad de La Rioja, Departamento de Química, Área de Física Aplicada; Complejo Científico-Tecnológico, C/ Madre de Dios 51 26006-Logroño, daniel.sierra@unirioja.es. Abstract An innovative project on Experimental Theoretical Practices in Physics in a Virtual Environment 3.0 is proposed. The aim is to improve the competences of the student's autonomous and collaborative work. Supported both on a variant of the "Flipped Learning" Methodology and within a Virtual Environment 3.0. Obviously, in addition to the improvement in the learning of Physics, it is of great interest the acquisition by students of computer skills, very important in a scientific-technological environment of the 21st century. The development of the project is carried out in three Phases: Introduction, Preparation and Application of the methodology used to achieve the fundamental objectives of this project. Some of the results pursued by this project are, among others, corroborate the importance of using the new technologies of the information and communication society, not only in the transmission of information, but also in the processes of University learning. All of it, within a Virtual Environment 3.0 or, even, within an approximation to 4.0. This profile of the project combines with the philosophy of Bologna 2020 regarding changes in teaching-learning models. Keywords: Theoretical-Practical Experiences, Physics, Competences, Autonomous and Collaborative Work, Flipped Learning Methodology, Informatica Skills, Virtual Environment 3.0 Resumen Se propone un proyecto innovador sobre Experiencias Teórico-Prácticas en Física en un Entorno Virtual 3.0. Se pretende la mejora de las competencias del trabajo autónomo y colaborativo del alumno. Apoyadas ambas sobre una variante de la Metodología “Flipped Learning” y dentro de un Entorno Virtual 3.0. Obviamente que además de la mejora en el aprendizaje de la Física, es de gran interés la adquisición por parte del alumnado de habilidades informáticas, muy importantes en un entorno científicotecnológico del siglo XXI. El desarrollo del proyecto se lleva a cabo en tres Fases: Introducción, Preparación y Aplicación de la metodología utilizada para alcanzar los objetivos fundamentales de este proyecto. Alguno de los resultados que se persiguen con este proyecto son, entre otros, corroborar la importancia de la utilización de las nuevas tecnologías de la sociedad de la información y de la comunicación, no solo en la transmisión de información, 2017, Universitat Politècnica de València Congreso In-Red (2017) Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 Autor: José Daniel Sierra Murillo sino también en los procesos de aprendizaje universitario. Todo ello, dentro de un Entorno Virtual 3.0 ó, incluso, dentro de una aproximación al 4.0. Este perfil del proyecto conjuga con la filosofía de Bolonia 2020 relativa a los cambios en los modelos de docencia-aprendizaje. Palabras clave: Experiencias Teórico-Prácticas, Física, Competencias, Trabajo Autónomo y Colaborativo, Metodología “Flipped Learning”, Habilidades Informáticas, Entorno Virtual 3.0. Introducción La educación superior ha experimentado un gran cambio dentro del sistema educativo de la sociedad actual en diferentes ámbitos (Ortega Carrillo, 2004; González Mariño, 2008) como, por ejemplo: • La evolución de los procesos de formación desde entornos presenciales convencionales hacia otros ámbitos más amplios. • La demanda generalizada para que los estudiantes adquieran competencias específicas y transversales (Bolonia, 2009), así como ciertas habilidades necesarias para su aprendizaje continuo. El espacio de aprendizaje ha progresado de forma vertiginosa. Las instituciones educativas, ya sean presenciales o a través de entornos virtuales, tienen que reajustar sus sistemas de intercambio de información y comunicación. Estos cambios traen consigo el desarrollo de nuevas estructuras organizativas de la enseñanza, caracterizadas por la modularidad, la interconexión y la flexibilidad/capacidad de intercambio sobre entornos virtuales diversos. Esto exige a las instituciones de educación, entre otras la superior, flexibilidad en sus procedimientos y en su estructura administrativa, de acuerdo a las necesidades de una nueva sociedad (Ortega Carrillo, 2004). Las instituciones actuales deben responder a este desafío, revisar sus referentes actuales y promover experiencias innovadoras en los procesos de enseñanza-aprendizaje. Para ello, pueden apoyarse en las nuevas Tecnologías de la sociedad de la Información y de la Comunicación (TIC), sin olvidar hacer énfasis en la docencia. Cambios de estrategias didácticas de los profesores y alumnos para acceder, buscar, compartir y gestionar toda la información referida a diferentes materiales objeto de estudio y aprendizaje, es decir, en los procesos de innovación docente. (Mora Mora H., Signes Pont, M. T., De Miguel Casado, G. and Gilart Iglesias, V., 2015) La Universidad dispone de multitud de experiencias de «enseñanza virtual», «aulas virtuales», etc. No obstante, se necesita la participación activa y la motivación del profesorado y alumnado, además de un fuerte compromiso institucional con la innovación 2017, Universitat Politècnica de València Congreso IN-RED (2017) Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 Autor: José Daniel Sierra Murillo docente y su puesta en valor al mismo nivel que la investigación específica de dichos actores, profesorado y alumnos. El devenir actual de la actividad universitaria promueve la investigación, a veces, en detrimento de la docencia y de los proyectos de innovación docente (Salinas, 2004). Cuando estos procesos innovadores docentes pueden ser métodos de mejora de la actividad universitaria, tanto docente como investigadora. Más aún, se olvida a veces en algunas instituciones que la formación básica en los primeros cursos de las diferentes titulaciones es fundamental para un sólido crecimiento del aprendizaje del alumnado en la diversidad de conocimientos necesarios hoy en día. Como competencias específicas y transversales, así como habilidades asociadas, relacionados todos ellos con el afán de mejora profesional de los actores implicados. En cuanto al Entorno Virtual 3.0 (EV-3.0), se considera como un estado en el que Internet proporciona condiciones de gran interés para que los individuos y las organizaciones puedan compartir información independientemente de las redes y dispositivos que utilicen. (Mora Mora H., Azorín López, J., Jimeno Morenilla, A., Sánchez Romero, J. L., Pujol López, F., García Rodríguez, J., Serra Pérez, J. A., Morell Giménez, V., Rives Pérez, M. F., Saval Calvo, M., García García, A. and Orts Escolano, S., 2016) Las Webs 3.0 también se han venido a denominar Webs semánticas (Berners-Lee, 2001; W3C, 2001). Este nuevo concepto de Web semántica constituye esencialmente una extensión de la Web tradicional en la que la información se coloca de forma estructurada para permitir su fácil consulta y acceso tanto por interlocutores humanos como por sistemas automáticos (Silva, J. M., Mahfujur, A. S. Md. and El Saddik, A., 2008; Nacer and Aissani, 2014). En el ámbito educativo esas herramientas adquieren más relevancia debido a que contribuyen a revisar los planteamientos docentes actuales. Los estudiantes, ya no solo tienen que ser buenos conocedores de cada materia en cuestión, sino también deben desarrollar otras actitudes como la creatividad, el espíritu crítico y la capacidad para el aprendizaje continuo que la sociedad les demanda. Todo ello, en línea con la Declaración Mundial para la Educación Superior en el siglo XXI (Granados, 2011) y la Declaración de Bolonia 2020 (Bolonia, 2009). Seguidamente se describen brevemente los apartados de los que consta este artículo. A continuación (Sección “Objetivos”), se exponen los objetivos que se pretenden alcanzar a través de este proyecto innovador. Posteriormente, y dentro de la Sección “Desarrollo de la innovación”, se describe el desarrollo de la metodología utilizada en este proyecto mediante una planificación en tres Fases. Por lo que respecta a la Sección titulada “Resultados”, en ella se muestra una comparativa de las mejoras observadas en los mismos. Finalmente, se termina con unas breves conclusiones que confirman el potencial del uso racional de las TIC en el estudio Teórico-Práctico de la Física. Objetivos Los objetivos principales de este proyecto innovador, basado en Experiencias TeóricoPrácticas en Física sobre un EV-3.0, son la mejora de las competencias del trabajo autónomo y colaborativo del alumnado. Para la mejora de éste último, los tradicionales 2017, Universitat Politècnica de València Congreso In-Red (2017) Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 Autor: José Daniel Sierra Murillo Grupos Reducidos (GR  entre 25 y 30 alumnos) se subdividen en pequeños subGrupos Reducidos (sbGR  entre 3 y 5 alumnos) con el objetivo de un mejor seguimiento (individual y colectivo) por parte del profesor (Mazur, 1997). Dichos objetivos competenciales se consiguen de una forma más eficiente mediante la utilización de la Metodología “Flipped Learning” (MFL), (Prieto, 2015), dentro de un EV-3.0. Aunque es obvio el objetivo de mejora en el aprendizaje de la Física, es de gran interés la adquisición por parte del alumno diversas habilidades informáticas, muy importantes en un entorno científico-tecnológico en pleno siglo XXI. (Karpicke and Blunt, 2011; Deslauriers, L., Schelew, E. and Wieman C., 2011; Freeman, S., Eddy, S. L., McDonough, M., Smith M. K., Okoroafor N., Jordt, H. and Wenderoth, M. P., 2014) En la sección correspondiente a la parte metodológica, se describen los objetivos y, además, se muestra el desarrollo del proyecto llevado a cabo en tres Fases: Introducción, Preparación y Aplicación de la metodología utilizada para alcanzar los objetivos fundamentales de este proyecto. Alguno de los resultados que se persiguen con este proyecto son, entre otros, corroborar la importancia de la utilización de las nuevas tecnologías de la sociedad de la información y de la comunicación, no solo en la transmisión de información, sino también en los procesos de aprendizaje universitario, todo ello, dentro de un EV-3.0. Este perfil del proyecto conjuga con la filosofía de Bolonia 2020 relativas a los cambios en los modelos de docencia-aprendizaje. Desarrollo de la innovación La planificación de la metodología utilizada en este proyecto consta de tres Fases. Pretendería evolucionar la enseñanza tradicional (centrada en el protagonismo del profesor que explica todo a sus alumnos) hacia otro tipo de enseñanza en la que el protagonismo se reparta más entre el profesor y sus alumnos. Para que sean estos los que profundicen en el estudio de los temas objeto de investigación teórico-práctica a partir de los materiales y/o referencias proporcionados previamente por el profesor. Todo ello, a través de un trabajo autónomo-colaborativo dentro de un EV-3.0. El trabajo autónomo y colaborativo del alumno en la preparación de experiencias teóricoprácticas de Física a través de la MFL y la utilización de un EV-3.0 es sumamente interesante. Por ello, el objetivo fundamental de una de las Fases (Fase 2), es buscar la eficacia autónoma y colaborativa de cada alumno en dicho trabajo de preparación como miembro activo de un sbGR. La optimización de esta Fase 2, con un posible asesoramiento complementario del profesor, promueve una mejora sustancial en el buen desarrollo posterior de la experimentación teórico-práctica. Sobre todo, porque otra de las Fases en este proyecto (Fase 3) necesita un trabajo constructivo/eficiente de los equipos de alumnos (denominados sbGR) en el desarrollo resolutivo de las mencionadas experiencias teórico-prácticas: análisis de las mismas, propuestas de posibles vías de resolución (una o varias) y comprobación de las mismas, reflejando en el correspondiente documento los razonamientos por los que se ha elegido 2017, Universitat Politècnica de València Congreso IN-RED (2017) Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 Autor: José Daniel Sierra Murillo dichas vías de resolución, el proceso de resolución matemático y la selección física de las soluciones matemáticas obtenidas. Además, la posibilidad de transmitir/compartir la información obtenida/generada en todo el proceso de aprendizaje a través de los mencionados entornos virtuales crea hábitos de transparencia y superación entre los alumnos. Fase 1: Introducción metodológica. Una vez se haya impartido uno de los temas de la asignatura de Física, el profesor propondrá a cada equipo de trabajo (sbGR con 3-5 alumnos) una tipología de experiencias teórico-prácticas para su estudio y preparación mediante una variante de la MFL. Los alumnos, a través del EV-3.0 (sobre todo, con la ayuda del aula virtual Blackboard Learn™ versión 9.1, que forma parte de este entorno), dispondrán de la información necesaria: número de sbGR al que pertenecen (sbGR.A1.01, el alumno pertenece al subgrupo reducido 01, dentro del Grupo Reducido (GR) A1), la mencionada tipología de ejercicios teóricoprácticos asignada a cada sbGR, documentación correspondiente a la temática vinculada con dicha tipología y ya tratada en clase, con amplia información sobre la misma: referencias bibliográficas en papel y online, etc.; pero podrán complementarla con información obtenida por ellos de forma autónoma pero contrastada con el profesor. No obstante, en la 1ª sesión de experiencias teórico-prácticas, el profesor expondrá/mostrará a los alumnos, dentro del entorno presencial (también posible en el EV3.0) del aula, los siguientes puntos fundamentales para un buen trabajo teórico-práctico:  El programa de trabajo.  La forma de trabajo de un científico/tecnólogo en un proceso resolutivo teórico-práctico basado en una variante del Método Científico.  El material relativo a las experiencias teórico-prácticas utilizado para la realización de cada una de las mencionadas experiencias de Física.  El material informático (hardware y software) que forma parte del EV-3.0 del que disponen en la universidad. Fase 2: Preparación metodológica. Para comenzar el proceso de preparación del trabajo teórico-práctico (trabajo autónomo y/o colaboración virtual entre los miembros de cada sbGR y el profesor), cada sbGR utilizará toda la información recibida por parte del profesor a través de una vía fundamental del mencionado EV-3.0 (Aula Virtual de la asignatura). También se permite la utilización de otras vías de obtención de información complementarias, pero sujetas a un control científico-tecnológico llevado a cabo por el profesor. A lo largo de esta 2ª Fase, cada sbGR podrá consultar dudas al profesor mediante tutorías presenciales y/o virtuales, y también con sus compañeros de sbGR, GR y/o curso. El objetivo fundamental de esta Fase 2 es buscar la eficiencia en el aquí indicado trabajo de preparación de cada sbGR, así como un buen desarrollo posterior de cada experiencia teórico-práctica en la correspondiente sesión en GR. Cada sbGR añadirá en un documento Word, correspondiente a su práctica, toda la 2017, Universitat Politècnica de València Congreso In-Red (2017) Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 Autor: José Daniel Sierra Murillo información (textual, imágenes/audio/video y referencias de todo tipo) obtenida/generada en esta Fase 2. Fase 3: Aplicación metodológica. Una vez trabajada con suficiencia por parte de los alumnos (...con posibilidad de apoyo del profesor...) la Fase 2, previa, y ya dentro del aula en la correspondiente sesión en GR: a) Cada sbGR comenzará el trabajo resolutivo de una experiencia teórico-práctica vinculada con la tipología que se les haya propuesto, para su realización y finalización al cabo de una hora de cada sesión en GR. Hará uso del material obtenido/generado en el proceso de preparación previo, ya que las observaciones anotadas por los miembros del sbGR a lo largo del proceso de preparación anteriormente indicado (Fase 2) serán de gran ayuda. Las posibles dudas que podrían permanecer insatisfechas, además de otras que sobre el proceso resolutivo definitivo surgieran en el mismo, podrán ser consultadas al profesor, teniéndolas en cuenta en la evaluación de esta Fase 3: - Es muy importante recordar al alumno la importancia de una completa/correcta preparación sobre la tipología teórico-práctica que se les asignó con la finalidad de evitar posibles errores conceptuales y/o metodológicos. - Por otra parte, también es conveniente supervisar que el alumno utilice adecuadamente la mencionada información/metodología con el fin de que consolide unas muy útiles habilidades necesarias en su posterior dedicación discente/docente, investigadora y/o profesional en general. b) Una vez terminado el proceso resolutivo, los alumnos de cada sbGR completarán el documento (en el que se introduce toda la información generada en las tres Fases) con una interpretación de los resultados obtenidos, así como de la justificación de la vía/metodología resolutiva elegida para llegar a ellos. - Conviene recordar al alumno la importancia del correcto uso del Método Científico en el proceso de experimentación teórico-práctica en ciencia/tecnología y objeto de nuestro estudio en Física. La forma de trabajo de un científico/tecnólogo en un proceso resolutivo teórico-práctico debe tener siempre presente la filosofía del “importantísimo” Método Científico. c) Con toda la información obtenida en el proceso global de Experimentación TeóricoPráctica (textual, imágenes/audio/video y referencias de todo tipo que complementen todo el proceso de aprendizaje), el responsable de cada sbGR enviará al profesor y compartirá con sus compañeros de asignatura esa información a través de la plataforma virtual de la misma. La posibilidad de transmitir/compartir la información obtenida/generada en todo el proceso de aprendizaje a través de los mencionados entornos virtuales crea hábitos de transparencia y superación entre los alumnos. En cuanto a la planificación temporal o cronograma del proyecto, cada una de las Experiencias Teórico-Prácticas en Grupos Reducidos (GR) podrá desarrollarse en periodos de dos semanas, a la finalización de cada tema de la asignatura relacionada con la Física. 2017, Universitat Politècnica de València Congreso IN-RED (2017) Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 Autor: José Daniel Sierra Murillo Las horas estimadas de dedicación al proyecto por cada uno de los componentes del grupo de innovación serán en torno a 20 horas, dependiendo de la titulación a la que pertenezca cada Grupo Reducido (GR) de alumnos. Resultados Dentro de diversas muestras de resultados, se ha analizado la mejoría que supone el método aquí presentado respecto al tradicional sobre un mismo tipo de alumnado (estudiantes de Ingeniería Industrial) y a través de dos tipos de medidas. Una subjetiva, relacionada con la satisfacción expresada por el alumnado al profesor a la finalización del trabajo, así como su actitud en el desarrollo del mismo a través de esta metodología. La otra cuantitativa, (ver Fig. 1), con base en la nota obtenida en la 1ª prueba presencial o convocatoria de febrero.1 En ella se aprecia la influencia del Método 3.0 (Con esta denominación se hará referencia a la Metodología “Flipped Learning” dentro de un EV-3.0) sobre los alumnos a lo largo del semestre que dura el desarrollo del trabajo teórico-práctico poniéndose de manifiesto el compromiso que adquieren y el reto de asumir presentarse casi la totalidad de los alumnos matriculados a dicha 1ª convocatoria (98%), cuando antes lo hacía el 65%. Y sobra decir que con mucho mejores resultados: Superan la 1ª convocatoria 41% (Método 3.0) por 18% (Método tradicional). Figura 1. Comparativa de dos modelos utilizados antes (tradicional) y ahora (Método 3.0). 1 Es importante tener en cuenta que el % de alumnos se refiere a la Tasa de Rendimiento. Se calcula sobre el número de alumnos matriculados. Sobra decir que el rendimiento llega a niveles razonables una vez agotadas el resto de convocatorias, 2017, Universitat Politècnica de València Congreso In-Red (2017) Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 Autor: José Daniel Sierra Murillo Dentro de los resultados obtenidos a lo largo de la puesta en práctica del proyecto de innovación aquí presentado, se exponen a continuación los puntos más significativos observados a lo largo del periodo utilizado (semestre): Se produce una evidente mejoría del trabajo autónomo y colaborativo entre los alumnos de cada sbGR, y también entre alumnos-profesor, principalmente a través del EV-3.0. Además, es significativo el progreso del alumnado en la utilización de:  La conexión entre plataformas informáticas (hardware y software) con sistemas experimentales donde la adquisición de datos se realiza de forma automática.  Las plataformas informáticas (hardware y software) para el análisis de las resoluciones teórico-prácticas por parte del alumno.  Ciertos entornos virtuales utilizados para la transmitir y compartir la información utilizada y generada en todo el proceso por los mismos alumnos y entre alumnosprofesor. Pero, sobre todo, existe una muy apreciable mejora cualitativa y cuantitativa en el proceso de aprendizaje Teórico-Práctico en Física por parte de los alumnos, así como de sus resultados académicos. (Fig. 1) Me gustaría remarcar que los resultados académicos obtenidos mediante esta variante de la MFL son más realistas pues la nota máxima (10) no existe en las calificaciones obtenidas por los alumnos. Con ello, se intenta recordar a los alumnos relacionados con el mundo científico-tecnológico que “a la perfección se intenta tender...”, a través de una adecuada utilización de Método Científico. Conclusiones Las conclusiones que pueden extraerse de los resultados obtenidos a lo largo del desarrollo de este proyecto de innovación docente confirman un potencial real de la utilización racional de las TIC y la MFL. En un proceso sólido y fiable de aprendizaje TeóricoPráctico de la Física de los Sistemas Naturales y Artificiales (I+D+i), y con la inestimable ayuda de un EV-3.0. Una óptima preparación previa del trabajo teórico-práctico que se va a desarrollar en el GR mediante esta variante de la MFL, así como la puesta en común de este proceso a través del mencionado EV-3.0 hacen de dicha metodología una herramienta muy interesante para obtener una mejora, tanto en el aprendizaje consolidado de la Física como los resultados académicos. Igualmente, el intercambio a través del EV-3.0 de las resoluciones teórico-prácticas, el análisis de las mismas, los resultados obtenidos a partir de ellos y el debate constructivo entre alumnos y entre alumnos-profesor proporcionan un rico caldo de cultivo que alimenta un crecimiento científico-tecnológico sólido y respetuoso con el medio ambiente. 2017, Universitat Politècnica de València Congreso IN-RED (2017) Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 Autor: José Daniel Sierra Murillo Sobra decir que todo el proceso está embebido en una praxis en torno a las TIC, que mejora las habilidades del alumnado respecto a todo aquello relacionado con esta nueva realidad virtual que ya está instalada entre nosotros. Referencias BERNERS-LEE, T., HENDLER, J. y LASSILA, O. (2001). The Semantic Web: A new form of Web content that is meaningful to computers will unleash a revolution of new possibilities. Scientific American, Vol. 284: pp. 35-43. BOLONIA. (2009). The Bologna Process 2020 - The European Higher Education Area in the new decade. Communiqué of the Conference of European Ministers Responsible for Higher Education. DESLAURIERS, L., SCHELEW, E. y WIEMAN C.. (2011). Improved Learning in a LargeEnrollment Physics Class, Science, Vol. 332, pp. 862-864. DOI: 10.1126/science.1201783. FREEMAN, S., EDDY, S. L., MCDONOUGH, M., SMITH M. K., OKOROAFOR N., JORDT, H. y WENDEROTH, M. P. (2014). Active learning increases student performance in science, engineering, and mathematics, Proc. Natl. Acad. Sci. USA, Vol. 111, pp. 8410-8415. GONZÁLEZ MARIÑO, J. C. (2008). TIC y la transformación de la práctica educativa en el contexto de las sociedades del conocimiento. Revista de Universidad y Sociedad del Conocimiento (RUSC). Vol. 5, n.º 2. GRANADOS, J. (2011). The Challenges of Higher Education in the 21st Century, GUNi Newsletter, 5/11. (http://www.guninetwork.org/articles/challenges-higher-education-21st-century). KARPICKE, J. D. y BLUNT, J. R. (2011). Retrieval Practice Produces More Learning than Elaborative Studying with Concept Mapping, Science, Vol. 331, pp. 772-775. DOI: 10.1126/science.1199327. MAZUR, E. (1997). Peer Instruction: A User’s Manual. New York: Prentice Hall Series in Educational Innovation. MORA MORA H., AZORÍN LÓPEZ, J., JIMENO MORENILLA, A., SÁNCHEZ ROMERO, J. L., PUJOL LÓPEZ, F., GARCÍA RODRÍGUEZ, J., SERRA PÉREZ, J. A., MORELL GIMÉNEZ, V., RIVES PÉREZ, M. F., SAVAL CALVO, M., GARCÍA GARCÍA, A. y ORTS ESCOLANO, S. (2016). Nuevas tendencias web 3.0 para la mejora de los procesos docencia-aprendizaje. Innovaciones metodológicas en docencia universitaria: resultados de investigación (pp.1543-1558). Alicante: Universidad de Alicante, Vicerrectorado de Estudios, Formación y Calidad, Instituto de Ciencias de la Educación. MORA MORA H., SIGNES PONT, M. T., DE MIGUEL CASADO, G. y GILART IGLESIAS, V. (2015). Management of social networks in the educational process, Computers in Human Behavior, Vol. 51, Part B, pp. 890–895. doi:10.1016/j.chb.2014.11.010. NACER, H. y AISSANI, D. (2014). Semantic web services: Standards, applications, challenges and solutions, Journal of Network and Computer Applications, Vol. 44, pp. 134-151. DOI: 10.1016/j.jnca.2014.04.015. 2017, Universitat Politècnica de València Congreso In-Red (2017) Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 Autor: José Daniel Sierra Murillo ORTEGA CARRILLO, J. A.. (2004). Redes de aprendizaje y curriculum intercultural. Actas del XIII Congreso Nacional y II Iberoamericano de Pedagogía. Ed. Sociedad Española de Pedagogía. Valencia. PRIETO MARTÍN, A. (2015-12-21). Decálogo de innovación metodológica para que los alumnos aprendan más y mejor en las asignaturas universitarias. Blog Profesor 3.0. http://profesor3punto0.blogspot.com.es/2015/12/decalogo-de-innovacion-metodologica.html. SALINAS, J. (2004). Innovación docente y uso de las TIC en la enseñanza universitaria. Revista Universidad y Sociedad del Conocimiento. Vol. 1, n.º 1. SILVA, J. M., RAHMAN, A. S. y EL SADDIK, A. (2008). Web 3.0: a vision for bridging the gap between real and virtual. Paper presented at the 1st ACM international workshop on Communicability design and evaluation in cultural and ecological multimedia system, Vancouver British Columbia, Canada. W3C. (2001). W3C Semantic Web Activity. URL: http://www.w3.org/2001/sw/, Acceso: mayo 2016. 2017, Universitat Politècnica de València Congreso IN-RED (2017).
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BlenderProc2: A Procedural Pipeline for Photorealistic Rendering
Maximilian Denninger
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Summary BlenderProc2 is a procedural pipeline that can render realistic images for the training of neural networks. Our pipeline can be employed in various use cases, including segmentation, depth, normal and pose estimation, and many others. A key feature of our Blender extension is the simple-to-use python API, designed to be easily extendable. Furthermore, many public datasets, such as 3D FRONT (Fu et al., 2021) or Shapenet (Chang et al., 2015), are already supported, making it easier to clutter synthetic scenes with additional objects. BlenderProc2: A Procedural Pipeline for Photorealistic Rendering Maximilian Denninger 1,2, Dominik Winkelbauer 1,2, Martin Sundermeyer 1,2, Wout Boerdijk 1,2, Markus Knauer 1, Klaus H. Strobl 1, Matthias Humt 1,2, and Rudolph Triebel 1,2 Maximilian Denninger 1,2, Dominik Winkelbauer 1,2, Martin Sundermeyer 1,2, Wout Boerdijk 1,2, Markus Knauer 1, Klaus H. Strobl 1, Matthias Humt 1,2, and Rudolph Triebel 1,2 1 German Aerospace Center (DLR) 2 Technical University of Munich (TUM) Maximilian Denninger 1,2, Dominik Winkelbauer 1,2, Martin Sundermeyer 1,2, Wout Boerdijk 1,2, Markus Knauer 1, Klaus H. Strobl 1, Matthias Humt 1,2, and Rudolph Triebel 1,2 Maximilian Denninger 1,2, Dominik Winkelbauer 1,2, Martin Sundermeyer 1,2, Wout Boerdijk 1,2, Markus Knauer 1, Klaus H. Strobl 1, Matthias Humt 1,2, and Rudolph Triebel 1,2 1 German Aerospace Center (DLR) 2 Technical University of Munich (TUM) 1 German Aerospace Center (DLR) 2 Technical University of Munich (TUM) DOI: 10.21105/joss.04901 Software • Review • Repository • Archive Editor: Kevin M. Moerman Reviewers: • @nicoguaro • @natevm • @SelvamArul Submitted: 21 September 2022 Published: 20 February 2023 License Authors of papers retain copyright and release the work under a Creative Commons Attribution 4.0 International License (CC BY 4.0). Statement of need Deep learning thrives on the existence of vast and diverse datasets. Collecting those in the real world is often either too complicated or expensive. With BlenderProc2, we present a tool enabling the generation of vast and diverse datasets with a few lines of Python code. A particular focus is placed on the acknowledgment of the simulation-to-real gap and how to tackle this particular challenge in the dataset generation process. Even though the first version of BlenderProc was one of the first tools to generate photo-realistic, synthetic datasets, many more tools exist nowadays, compared in Table 1 (Greff et al., 2022; Manolis Savva* et al., 2019; Morrical et al., 2021; Schwarz & Behnke, 2020; To et al., 2018). In contrast to the first version of BlenderProc, BlenderProc2 relies on an easy-to-use python API, whereas the first version used a YAML-based configuration approach (Denninger et al., 2019, 2020). Denninger et al. (2023). BlenderProc2: A Procedural Pipeline for Photorealistic Rendering. Journal of Open Source Software, 8(82), 4901. https://doi.org/10.21105/joss.04901. 1 BlenderProc2: A Procedural Pipeline for Photorealistic Rendering. Journal of Open Source Software, 8(82), 4901. oss 04901 1 License Figure 1: A rendered color, distance, semantic segmentation, and surface normal image from a synthetic scene. Figure 1: A rendered color, distance, semantic segmentation, and surface normal image from a synthetic scene. NDDS NViSII Habitat Stillleben Kubric Ours semantic segm. depth rendering optical flow ⊗ ⊗ surface normals ⊗ ⊗ object pose ⊗ bounding box ⊗ ⊗ physics module camera sampling GUI-based debugging viewer ⊗ ⊗ ⊗ ⊗ uses an open-source renderer ⊗ real-time ⊗ ⊗ ⊗ Table 1: Main features present or not present in different simulators NDDS NViSII Habitat Stillleben Kubric Ours semantic segm. depth rendering optical flow ⊗ ⊗ surface normals ⊗ ⊗ object pose ⊗ bounding box ⊗ ⊗ physics module camera sampling GUI-based debugging viewer ⊗ ⊗ ⊗ ⊗ uses an open-source renderer ⊗ real-time ⊗ ⊗ ⊗ Table 1: Main features present or not present in different simulators Table 1: Main features present or not present in different simulators There are two groups of visual data generators. The first group is focused on speed and can generate dozens of images per second by typically relying on game engines to produce their images. These game engines, however, focus on producing an image that can trick the human mind into believing that a scene is real, which is not the same as generating a real image. In contrast to that, in the second group, we focus on the realism of the final images instead of on their generation speed. This realism is achieved by using a path tracer that follows the path of light beams from a light source to the camera. Physical material properties then determine how the light interacts with the 3D scene and appears in the image. The most significant advantage of BlenderProc2 is its large toolbox, as it provides tools to set, for example, the intrinsic parameters of a camera (including its lens distortion) or to import a complete URDF model to specify a robot. Further, it is possible to construct random rooms and automatically drop or place objects from the BOP datasets in them, e.g. allowing the training of networks to succeed in the task of 6D pose estimation. It is also possible to emulate an active stereo sensor with a random or designed pattern of structured light or to sample random items or surfaces within an existing dataset, where BlenderProc2 provides tools to extract the correct surface per object category. Denninger et al. (2023). BlenderProc2: A Procedural Pipeline for Photorealistic Rendering. Journal of Open Source Software, 8(82), 4901. https://doi.org/10.21105/joss.04901. 2 License Finally, we do not only support the rendering of color, depth, distance, surface normals, and semantic segmentation. BlenderProc2 is also capable of rendering optical flow and normalized object coordinates (NOCS) and then save the data either in the hdf5 container or in the BOP or COCO formats. Acknowledgements We thank the many people who helped make this a successful open-source project. Denninger et al. (2023). BlenderProc2: A Procedural Pipeline for Photorealistic Rendering. Journal of Open Source Software, 8(82), 4901. https://doi.org/10.21105/joss.04901. 3 BlenderProc2: A Procedural Pipeline for Photorealistic Rendering. Journal of Open Source Software, 8(82), 4901. oss 04901 3 References Chang, A. X., Funkhouser, T., Guibas, L., Hanrahan, P., Huang, Q., Li, Z., Savarese, S., Savva, M., Song, S., Su, H., Xiao, J., Yi, L., & Yu, F. (2015). ShapeNet: An information-rich 3D model repository (arXiv:1512.03012 [cs.GR]). Stanford University — Princeton University — Toyota Technological Institute at Chicago. https://doi.org/10.48550/ARXIV.1512.03012 Denninger, M., Sundermeyer, M., Winkelbauer, D., Olefir, D., Hodan, T., Zidan, Y., Elbadrawy, M., Knauer, M., Katam, H., & Lodhi, A. (2020). Blenderproc: Reducing the reality gap with photorealistic rendering. International Conference on Robotics: Sciene and Systems, RSS 2020. Denninger, M., Sundermeyer, M., Winkelbauer, D., Zidan, Y., Olefir, D., Elbadrawy, M., Lodhi, A., & Katam, H. (2019). BlenderProc. arXiv Preprint arXiv:1911.01911. https: //doi.org/10.48550/ARXIV.1911.01911 Fu, H., Cai, B., Gao, L., Zhang, L.-X., Wang, J., Li, C., Zeng, Q., Sun, C., Jia, R., Zhao, B., & others. (2021). 3D-FRONT: 3D furnished rooms with layouts and semantics. Proceedings of the IEEE/CVF International Conference on Computer Vision, 10933–10942. https://doi.org/10.48550/ARXIV.2011.09127 Greff, K., Belletti, F., Beyer, L., Doersch, C., Du, Y., Duckworth, D., Fleet, D. J., Gnanapra- gasam, D., Golemo, F., Herrmann, C., Kipf, T., Kundu, A., Lagun, D., Laradji, I., Liu, H.-T. (Derek), Meyer, H., Miao, Y., Nowrouzezahrai, D., Oztireli, C., … Tagliasacchi, A. (2022). Kubric: A scalable dataset generator. https://doi.org/10.48550/ARXIV.2203.03570 Manolis Savva*, Abhishek Kadian*, Oleksandr Maksymets*, Zhao, Y., Wijmans, E., Jain, B., Straub, J., Liu, J., Koltun, V., Malik, J., Parikh, D., & Batra, D. (2019). Habitat: A Platform for Embodied AI Research. 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Inherited and Environmental Factors Influence Human Monocyte Heterogeneity
Amit A. Patel
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Inherited and Environmental Factors Influence Human Monocyte Heterogeneity 1 Division of Medicine, University College London, University of London, London, United Kingdom, 2 The Institute of Dental Sciences, Hebrew University, Jerusalem, Israel Blood monocytes develop in the bone marrow before being released into the peripheral circulation. The circulating monocyte pool is composed of multiple subsets, each with specialized functions. These cells are recruited to repopulate resident monocyte- derived cells in the periphery and also to sites of injury. Several extrinsic factors influence the function and quantity of monocytes in the blood. Here, we outline the impact of sex, ethnicity, age, sleep, diet, and exercise on monocyte subsets and their function, highlighting that steady state is not a single physiological condition. A clearer understanding of the relationship between these factors and the immune system may allow for improved therapeutic strategies. Edited by: Florent Ginhoux, Singapore Immunology Network (A∗STAR), Singapore Reviewed by: Martin Stacey, University of Leeds, United Kingdom Susan Kovats, Oklahoma Medical Research Foundation, United States *Correspondence: Amit A. Patel amit.patel.12@ucl.ac.uk Edited by: Florent Ginhoux, Singapore Immunology Network (A∗STAR), Singapore Keywords: monocyte, macrophage, inflammation, sex, age, diet, exercise, sleep INTRODUCTION Reviewed by: Martin Stacey, University of Leeds, United Kingdom Susan Kovats, Oklahoma Medical Research Foundation, United States Adult blood leukocytes can be separated into two broad categories: lymphoid or myeloid. The lymphoid lineage consists of T, B, innate lymphoid and natural killer (NK) cells, while the myeloid compartment comprises of functionally and morphologically discrete cell types, including mononuclear phagocytes (monocytes and dendritic cells), granulocytes (neutrophils, basophils, and eosinophils), and platelets. Injured or infected tissue releases chemoattractants that rapidly recruit these myeloid cells to the site of injury. Once at the inflamed site, these cells coordinate and carry out key effector functions. Nearly 100 years ago, Alexander Maximow suggested that hematopoiesis was an extremely organized stepwise process arising from a common precursor cell (1). Indeed, hemopoietic stem cells that reside in the bone marrow undergo multiple differentiation stages, becoming progressively more restricted and eventually give rise to a heterogeneous population of leukocytes. Commitment to the myeloid lineage downstream of the common myeloid progenitor (CMP) (2) results in the generation of erythrocytes, platelets, granulocytes, monocytes, and dendritic cells. Nevertheless, several extrinsic factors influence leukocyte generation. Here, we will outline several studies that highlight how age, ethnicity, diet, exercise, sleep, and sex modulate human monocyte numbers under healthy homeostasis. *Correspondence: Amit A. Patel amit.patel.12@ucl.ac.uk Specialty section: This article was submitted to Antigen Presenting Cell Biology, a section of the journal Frontiers in Immunology Received: 09 July 2019 Accepted: 17 October 2019 Published: 07 November 2019 Circulating blood monocytes were initially believed to be a single population of cells with the potential to repopulate terminally differentiated resident mononuclear phagocytes in the periphery (3). In addition, blood monocytes act as an emergency squad recruited to sites of injury where they perform pro-inflammatory and pro-resolving functions (4–8). Blood monocytes were initially defined by their morphology. Later, with the introduction of flow cytometry, monocytes were shown to express high levels of the lipopolysaccharide (LPS) binding protein receptor, CD14 (9). REVIEW published: 07 November 2019 doi: 10.3389/fimmu.2019.02581 REVIEW published: 07 November 2019 doi: 10.3389/fimmu.2019.02581 Keywords: monocyte, macrophage, inflammation, sex, age, diet, exercise, sleep Citation: Patel AA and Yona S (2019) Inherited and Environmental Factors Influence Human Monocyte Heterogeneity. Front. Immunol. 10:2581. doi: 10.3389/fimmu.2019.02581 November 2019 | Volume 10 | Article 2581 Frontiers in Immunology | www.frontiersin.org Variations in Human Monocyte Subsets Patel and Yona These CD14+ monocytes were subsequently discovered to be a heterogeneous population that could be further divided into discrete subsets based on CD14 and CD16 (FcγRIII) expression in humans (10). Monocyte heterogeneity was later observed to be conserved among other species (11). Human CD14+ CD16− monocytes, also known as classical monocytes, are analogous to the murine Ly6CHi CX3CR1int classical monocytes. Intermediate and non-classical monocytes are identified as CD14+, CD16+, and CD14loCD16+ cells, respectively, where the latter subset mirror Ly6CLow CX3CR1Hi non-classical monocytes in mice (12, 13). The expression of several membrane adhesion molecules and chemokine receptors can also be used to discriminate between these monocyte subsets (13–15). These CD14+ monocytes were subsequently discovered to be a heterogeneous population that could be further divided into discrete subsets based on CD14 and CD16 (FcγRIII) expression in humans (10). Monocyte heterogeneity was later observed to be conserved among other species (11). Human CD14+ CD16− monocytes, also known as classical monocytes, are analogous to the murine Ly6CHi CX3CR1int classical monocytes. Intermediate and non-classical monocytes are identified as CD14+, CD16+, and CD14loCD16+ cells, respectively, where the latter subset mirror Ly6CLow CX3CR1Hi non-classical monocytes in mice (12, 13). The expression of several membrane adhesion molecules and chemokine receptors can also be used to discriminate between these monocyte subsets (13–15). the circulation (20). The egression of murine classical monocytes from the bone marrow follows a circadian rhythm, regulated in part by CXCR4 (20) and the circadian gene Bmal1 (21). It is widely accepted that classical and non-classical monocyte subsets are related developmentally, with classical monocytes having the potential to give rise to non-classical monocytes over time (14, 22–27) (Figure 1). While recent advances demonstrate monocyte development to be a highly regulated process under steady state, here we summarize the influence of inherited traits and lifestyle choices have on human monocyte homeostasis. ETHNICITY Ethnic diversity is reflected in disease susceptibility across different human populations (53). This has been identified in patients with tuberculosis (TB) infection (54), autoimmune hepatitis (55), and systemic lupus erythematosus (SLE) (56). A groundbreaking study by Nédélec et al. proposes that different environmental pressures on our immune system may explain why African ancestry is associated with a stronger inflammatory response compared to Europeans (57). Ethnic diversity is reflected in disease susceptibility across different human populations (53). This has been identified in patients with tuberculosis (TB) infection (54), autoimmune hepatitis (55), and systemic lupus erythematosus (SLE) (56). A groundbreaking study by Nédélec et al. proposes that different environmental pressures on our immune system may explain why African ancestry is associated with a stronger inflammatory response compared to Europeans (57). Under physiological conditions, monocyte counts have consistently been reported to be elevated in males at all stages of life (41–43). This difference is most profound during adolescence (44). Curiously, one study examining over 400 individuals reported that monocytes are higher in Caucasian men than those in women; this difference was absent in the Afro Caribbean population (41). The proportion of non-classical monocytes has also been reported to be different amongst men and women (45). These differences in monocyte subsets may be attributed to the effect of estrogen and other sex hormones. To test this, researchers have turned to the menstrual cycle and menopause. During the menstrual cycle, 17 β-estradiol, and progesterone concentrations are consistently increased during the luteal phase in comparison to the follicular phase. Around 40 years ago, an elevated monocyte count was reported during the luteal phase (46). With our growing knowledge on monocytes, it would be worthwhile to revisit the impact of the menstrual cycle on monocyte subpopulations, especially as the identification of monocytes subsets remains inconsistent throughout the literature. Interestingly, postmenopausal women exhibit lower concentrations of estrogen and tend to have an increased blood monocyte count; nonetheless, following estrogen replacement therapy, monocyte numbers were restored to levels seen in younger females (47). These data suggest an increase in estrogen decreases monocyte numbers, supporting the observation that males tend to have a higher monocyte count. An exception to this would be the increase in monocytes observed during the luteal phase of the menstrual Ancestry has been shown to influence leukocyte counts, including neutrophils, lymphocytes, eosinophils, and monocytes (41, 58, 59). SEX Several physiological differences exist between the sexes, the most apparent being their role in reproduction. Another obvious difference is hormone concentration. Over three quarters of patients with autoimmune disease are female (37). Systemic lupus erythematosus (SLE), Sjögren syndrome, fibromyalgia, and rheumatoid arthritis afflict females more than males (38, 39), whereas ankylosing spondylitis, vasculitis, and Goodpasture syndrome predominantly occur in males (40). This sexual dimorphism of autoimmune- driven disease begs the question, do male and female immune systems differ? LIFESTYLE AND GENETIC FACTORS AFFECTING MONOCYTES Blood monocytes begin their life in the bone marrow, following a similar developmental fate to dendritic cells where they both arise from the macrophage/dendritic cell precursor (MDP) (16). In mice, the MDP was initially proposed to give rise to monocytes and dendritic cells but not granulocytes (17). Downstream of the MDP, the common monocyte progenitor (cMoP) was identified, which gives rise exclusively to classical monocytes (18). The human equivalent of the murine cMoP was recently identified within the bone marrow granulocyte- monocyte progenitors (GMP) fraction (19). This human cMoP gives rise directly to pre-monocytes, and subsequently, monocytes. Investigations into the developmental stages between the cMoP and mature monocytes uncovered in mice a Ly6C+ CXCR4+ monocyte subset that resides in the bone marrow termed pre-monocytes (20). These pre-monocytes show proliferative potential and downregulate CXCR4 upon entry into Our knowledge concerning the development and function of monocytes and monocyte-derived cells during pathology continues to expand. It is also necessary to appreciate the behavior of these cells under healthy physiological conditions. However, healthy homeostasis is not a solitary state, rather several factors—often overlooked—including sex, diet, exercise, and age influence the immune system. Whether genetic traits prevail over environmental cues regarding the immune response remains a matter of debate (28, 29). The earliest accounts of the cell originate with Robert Hooke’s seminal observations in 1665 (30). Cellular analysis began with microscopy, then progressed to flow cytometry and is currently enjoying a renaissance in the form of single-cell RNA analysis. Every advancing stride has led to a greater appreciation regarding the complexity and diversity of monocytes, their subsets, and FIGURE 1 | Human monocyte subsets. Circulating monocytes arise in the bone marrow from a common monocyte progenitor (cMoP) before being released into the peripheral circulation. The circulating monocyte pool is composed of multiple subsets. Human CD14+ CD16−classical monocytes (gray), CD14+ CD16+ intermediate monocytes (blue), and CD14loCD16+ non-classical monocytes (red). Several external lifestyle factors can impact on these monocyte subsets. FIGURE 1 | Human monocyte subsets. Circulating monocytes arise in the bone marrow from a common monocyte progenitor (cMoP) before being released into the peripheral circulation. The circulating monocyte pool is composed of multiple subsets. Human CD14+ CD16−classical monocytes (gray), CD14+ CD16+ intermediate monocytes (blue), and CD14loCD16+ non-classical monocytes (red). Several external lifestyle factors can impact on these monocyte subsets. LIFESTYLE AND GENETIC FACTORS AFFECTING MONOCYTES November 2019 | Volume 10 | Article 2581 2 Frontiers in Immunology | www.frontiersin.org Variations in Human Monocyte Subsets Patel and Yona cycle. Together, this may suggest other endogenous factors affect monocyte composition. function (31–34). Here, we consider if and how, lifestyle choices imprint on this diversity. This review will focus on our current understanding of human monocyte adaptations observed due to genetic and environmental factors; for a comprehensive review on monocyte biology, see Guilliams et al. (5) and Jakubzick et al. (6). Sex differences may become conspicuous in the disease setting. Both healthy males and females have equivalent number of intermediate monocytes; however, only male sarcoidosis patients exhibit an elevated number of intermediate monocytes compared to female sarcoidosis patients who had equivalent numbers to healthy female controls (48). As a word of caution, the monocyte nomenclature was recently codified by Ziegler-Heitbrock et al. and approved by the International Union of Immunological Societies (35, 36). Nevertheless, complexity remains an issue within the historical literature and is further confounded by subsets conveyed sometimes as a proportion of total monocytes or in absolute numbers. Here, we have retold studies as originally described to avoid confusion. Sexual dimorphism has been reported in monocyte cytotoxic activity (49) and cytokine production. Male monocytes produce more inflammatory cytokines than females when stimulated with LPS (42); however, female sex hormones were not responsible for this effect as demonstrated in vivo by oral contraceptive use (50). It is important to note that these studies used LPS. PBMCs co-cultured with estrogen had altered expression of TLR3, TLR7, TLR8, TLR9, but not TLR2 and the LPS receptor, TLR4 (51). Therefore, the impact of estrogen on monocyte function may only become apparent in response to particular stimuli. These diverse responses on monocyte function between the sexes are discussed in detail (52). Further studies will help define the cytokines and/or hormones responsible for the divergence observed in monocyte count and function between males and females. Frontiers in Immunology | www.frontiersin.org SLEEP/WAKE CYCLE Collectively, these data suggest that diet leads to innate immune training within the monocyte pool in mice. In a human study, 3 h after the consumption of a high-fat (McDonald’s) meal resulted in an increased monocyte count, specifically an elevation in non-classical monocytes (66). Similarly, this observation is consistent with a study where CD16+ monocytes (intermediate and non-classical) positively correlated with increased body weight (67). Interestingly, in these subjects, dietary intervention or gastric bypass surgery resulted in a decrease in the absolute number and percentage of these cells (67). Immediately following a high-fat meal, Khan et al. demonstrated a higher percentage of lipid-laden monocytes (66). These foamy monocytes increase their expression of CD11c, which is thought to lead to monocyte arrest via vascular cell adhesion protein (VCAM-1). While these are short-term effects, recurrent chronic exposure of a high-fat diet may lead to diet- related diseases. Meuret et al. performed to the best of our knowledge one of the earliest studies on monocyte kinetics. Meuret and colleagues observed a monocyte cycle occurring around every 5 days in humans. They proposed this due to a homeostatic loop within the bone marrow with transit time being the prevailing factor (74). Recently, we observed a population of CD14+ CD16−cells resembling classical monocytes that reside in the human bone marrow (14); these cells exhibit a postmitotic dwell period of ∼1.5–2 days before being released into the circulation (14, 75). It is possible that this maturation period, in addition to the time taken to differentiate into these cells, and the regulatory signals account for this monocyte cycle. While long-term monocyte oscillations have been described, diurnal patterns are also present in both mice (20, 21) and humans, where monocyte numbers decrease during sleep and begin to gradually rise upon waking (76, 77). Cuesta et al. were able to stratify individuals into two categories, one where monocyte numbers peak during the morning, and another group where the monocyte count peaked in the evening (77). The reason behind the existence of these two groups remains unclear—all subjects except one were male, of a similar age who maintained comparable levels of activity, equivalent calorie intake, and exposure to light. In mice, CXCR4 and Bmal1 regulate the circadian rhythm of circulating monocytes (20, 21). Although a high-fat dietary intake increases peripheral monocyte numbers, the opposite is true in fasted individuals (68). SLEEP/WAKE CYCLE Cortisol is the archetypical neuroendocrine anti-inflammatory hormone that regulates immune cell gene expression (71, 72). Cortisol follows a diurnal pattern where it peaks 30 min after waking in the morning and falls throughout the day. Cortisol is the endogenous member of the glucocorticoid family of immunosuppressive and anti-inflammatory drugs that acts on many leukocytes, including monocytes, where they induce a rapid decrease in circulating monocytes (73). Therefore, it would be interesting to know if monocytes also follow a diurnal pattern. Meuret et al. performed to the best of our knowledge one of the earliest studies on monocyte kinetics. Meuret and colleagues observed a monocyte cycle occurring around every 5 days in humans. They proposed this due to a homeostatic loop within the bone marrow with transit time being the prevailing factor (74). Recently, we observed a population of CD14+ CD16−cells resembling classical monocytes that reside in the human bone marrow (14); these cells exhibit a postmitotic dwell period of ∼1.5–2 days before being released into the circulation (14, 75). It is possible that this maturation period, in addition to the time taken to differentiate into these cells, and the regulatory signals account for this monocyte cycle. Cortisol is the archetypical neuroendocrine anti-inflammatory hormone that regulates immune cell gene expression (71, 72). Cortisol follows a diurnal pattern where it peaks 30 min after waking in the morning and falls throughout the day. Cortisol is the endogenous member of the glucocorticoid family of immunosuppressive and anti-inflammatory drugs that acts on many leukocytes, including monocytes, where they induce a rapid decrease in circulating monocytes (73). Therefore, it would be interesting to know if monocytes also follow a diurnal pattern. y Monocytes play a central role in several diet-related pathologies. In recent years, it has become evident that a high- fat western diet triggers a number of functional modifications in monocytes. Mice fed a western diet for 4 weeks led to an elevation in circulating and splenic monocytes compared to those fed on a standard chow diet (65). Further examination into how a western diet prompts myelopoiesis was described to be due to an increase in GMP in the bone marrow that also functionally reprograms myeloid cells through NLRP3. Upon reverting to a chow diet, monocyte numbers returned to baseline, although an increased activation status became imprinted in classical monocytes. ETHNICITY A trans-ethnic meta-analysis study revealed that those of a European ancestry tend to have a higher monocyte count compared to African-American and Japanese individuals (59). As expected, the interplay of ethnicity and other variables is likely to influence monocyte count. Caucasian males were observed to have a significantly higher count compared to African males, while no difference was noted for females (41), demonstrating the interaction of sex and ethnicity. Regarding individual monocyte subsets, recently, a single study has shown that Caucasian populations tend to have a higher percentage of classical monocytes and conversely a lower percentage of non-classical monocytes than those sampled from an African population (58). In this study, Caucasians had a trend for increased CX3CR1 expression; this could explain the difference in monocyte proportions. CX3CR1 is involved in non-classical monocyte retention to the endothelium (60, 61), as well as a survival factor for this monocyte population (62); therefore, this increased expression might result in lower representation of free circulating non-classical monocytes due to their increased adherence. Of note, ethnic differences November 2019 | Volume 10 | Article 2581 3 Variations in Human Monocyte Subsets Patel and Yona are possibly reflected in monocyte function, as monocyte- derived cells from Filipino, Chinese, and non-Hispanic whites challenged with Mycobacterium tuberculosis produced varying quantities of cytokines from 137 volunteers (>44 from each background) (63). As ethnicity can influence the immune response, this may implicate the need for a more personalized take regarding therapeutics. protein, CCL2 (68). Furthermore, dietary restriction during experimental autoimmune encephalomyelitis (EAE), a mouse model of multiple sclerosis, improved disease outcome and reduced myeloid cell infiltrate compared to animals with access to food ad libitum (68, 69). Similar findings have been observed in humans, where fasting diets have shown to improve the quality of life for patients with multiple sclerosis (69, 70). In an experimental setting, a single macronutrient or micronutrient alters the monocyte composition and function. It is more realistic that it is a combination of several dietary nutrients in varying amounts that will alter the phenotype of monocytes. In an experimental setting, a single macronutrient or micronutrient alters the monocyte composition and function. DIET Diet varies from individual to individual—from what they eat to the quantity and frequency. A balanced diet is a basic requirement for a healthy lifestyle. This fine balance goes awry during surplus calorie intake, which contributes to many diseases, including atherosclerosis, type 2 diabetes, and non- alcoholic fatty liver disease (NAFLD). These western diet-related diseases are associated with systemic chronic inflammation (64). Diet varies from individual to individual—from what they eat to the quantity and frequency. A balanced diet is a basic requirement for a healthy lifestyle. This fine balance goes awry during surplus calorie intake, which contributes to many diseases, including atherosclerosis, type 2 diabetes, and non- alcoholic fatty liver disease (NAFLD). These western diet-related diseases are associated with systemic chronic inflammation (64). Frontiers in Immunology | www.frontiersin.org AGE At birth, monocytes are three times higher compared with those of adults (92). Christensen and colleagues analyzed over 63,000 hospital records and found that monocyte counts increase linearly with gestational age (93). This monocyte expansion continued into the first 2 weeks after birth. As an organism ages, so does its immune system. The term inflamm-aging was coined by Franceschi 20 years ago (94) to describe the progressive increase in the organism’s proinflammatory status as it matures. Inflamm-aging includes adaptive immunity, immunosenescence, and dysregulation of the innate immune response. While some studies have reported no changes in the mononuclear phagocyte count in different age cohorts (43, 95), others have noticed a decrease in dendritic cells (96) and an increase in monocyte subsets in the older aged cohort (45, 96– 99), particularly in intermediate and non-classical monocytes. Plasma CCL2 is elevated in older individuals (99), which may result in monocyte mobilization from the bone marrow, resetting the dynamic equilibrium of blood monocyte subsets. However, in advanced old age (81–100 years), fewer classical and intermediate monocytes have been detected (100). Circannual or seasonal rhythms have also been detected in monocyte function. Monocyte counts remain stable throughout the year, yet phagocytosis, cytokine production, and prostaglandin metabolism vary (83, 84). Specifically, a higher proportion of monocytes phagocytose in winter compared to spring and autumn. In response to LPS, monocytes isolated during the autumnal period produce lower concentrations of both inflammatory [tumor necrosis factor (TNF)-α and interleukin (IL)-6] and anti-inflammatory (IL-10) cytokines. There are several possible explanations for the fluctuation in human monocyte function throughout the year; seasonal changes may be influenced by a myriad of factors including increased periods in crowded places (i.e., indoor contagion theory), reduced exposure to sunlight (vitamin D deficiency), or even temperature changes. Despite the reason for these changes, these seasonal changes may be relevant when performing long-term clinical trials and should be taken into consideration. Coincidently, CD16+ monocytes have been reported to expand in inflammatory conditions, also increased in older individuals. These monocytes, in particular, non-classical monocytes, produce higher basal levels of TNF-α and is thought to account for the increase in plasma TNF-α levels in aged individuals (45, 97, 101). A consequence of this inflammatory environment results in dysregulated innate immunity, such as impaired phagocytosis (45). The pharmacological blockade of TNF-α in aged mice improved bacterial clearance and returned classical monocytes to levels in young mice (102). AGE Therefore, the accumulation of monocytes in the elderly may account for age-related inflammatory conditions. While plasma TNF-α changes with age, hormonal changes also occur. Therefore, it is important to consider age and environmental and genetic factors, as all interact with the immune system. There are as many “young” 85-year-olds running marathons as “old” sedentary 75-year-olds. EXERCISE Over 120 years ago, Schulte described that exercise impacts the human immune system and induces leukocytosis (85). Therefore, the question arises, do monocytes fluctuate during exercise? Studies have reported a rise in intermediate and non-classical monocytes immediately following exercise (86), while others have described a change in classical monocytes (80), classical and non-classical monocytes (87), and even all three populations (88, 89). At first glance, this can appear confusing however; not all exercise is equal as the intensity, duration, and the type of exercise (aerobic or anaerobic) influence monocytes (90) and may account for these different findings. Maximal oxygen consumption, a readout of an individual’s fitness, negatively correlated with the percentage change in intermediate monocytes (89). Therefore, the larger the maximal oxygen consumption, the smaller the percentage change in intermediate monocytes. The majority of non-classical monocytes are constantly crawling on the endothelium in an LFA1-dependent manner (60, 61). This may be overcome during intense exercise by the increase in shear blood flow. Patrolling monocytes that previously were crawling SLEEP/WAKE CYCLE Dietary restriction for 19 h in humans or 4 h in mice led to a significant reduction in both circulating classical and non-classical monocytes. This reduction in blood monocytes was due to the inhibition of monocyte egress from the bone marrow. This elegant study from the Merad group demonstrated that carbohydrate and protein consumption rescues monocyte numbers via the liver activated protein kinase-peroxisome proliferator-activated receptor alpha (AMPK- PPARα) pathway that regulates the monocyte chemoattractant Functional changes such as cytokine production, surface membrane protein expression, and phagocytic ability have been reported to follow a diurnal pattern (77–80). Cuesta et al. conclude that cytokine production follows a bimodal rhythm, where monocytes are more responsive at night, whereas during the day, a higher production results from the increased numbers of monocytes (77). In addition, while TLR1, 2, 4, and 9 expression does not differ throughout the day, activation of these receptors November 2019 | Volume 10 | Article 2581 4 Variations in Human Monocyte Subsets Patel and Yona results in the dampened expression of costimulatory molecules in the morning (78). on endothelial cells are now able to be isolated, providing a more genuine picture of blood monocyte subsets. While these effects are transient, long-term alterations in monocyte composition have also been observed following exercise. A 12-weeks exercise regime reduced the percentage of CD16+ monocytes (91). This decline in intermediate monocytes could be associated with fat loss (67), as described above. In addition, TNF-α production was significantly reduced following this 12-weeks exercise program, while monocyte phagocytosis increased, suggesting that long- term exercise may promote a more anti-inflammatory monocyte while improving its phagocytic capacity. Sleep-deprived individuals who remain awake during the night gain a higher monocyte count compared to those who slept at this period (76). Congruent with these findings, mice with disrupted sleep also have an increase in peripheral blood classical monocytes (81). Uninterrupted sleep enables the release of hypocretin from the hypothalamus, which in turn regulates CSF1 production from bone marrow pre-neutrophils regulating monopoiesis (81). Although an increase in monocyte count occurs during sleep deprivation, a diurnal oscillation pattern remains (82). Furthermore, in night shift workers who are active at night, no phase shift was detected in monocyte numbers (77). 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Nguyen KD, Fentress SJ, Qiu Y, Yun K, Cox JS, Chawla A. ACKNOWLEDGMENTS We apologize to our colleagues whose work we were unable to cite due to space restrictions. CONCLUSION Recently, new monocyte subsets have been described in mice (35, 103–105) and humans (32, 34). The identification of November 2019 | Volume 10 | Article 2581 Frontiers in Immunology | www.frontiersin.org Frontiers in Immunology | www.frontiersin.org 5 Patel and Yona Variations in Human Monocyte Subsets these new populations demonstrates how recent technological advances have changed the mononuclear phagocyte landscape. Future insight to these subsets will provide therapeutic strategies to enhance these cells when they are beneficial and block the detrimental effects. In the quest for novel therapeutics, it is critical to remember how sex and environmental and lifestyle choices lead to physiological variations within a leukocyte population as discussed here for monocytes. 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Strategic communication for women entrepreneurs: a case study of India
Maharaja Thandabhani
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To cite this version: Maharaja Thandabhani. Strategic communication for women entrepreneurs: a case study of India. In- sights into Regional Development, 2020, 2 (1), pp.480-497. ￿10.9770/IRD.2020.2.1(7)￿. ￿hal-02569369￿ Received 16 November 2019; accepted 10 January 2019; published 30 March 2020 Received 16 November 2019; accepted 10 January 2019; published 30 March 2020 Abstract. Small and Medium Enterprises (SMEs) play a significant role in all economies and are key agents of employment, innovation and growth. Strategic communication is something different from normal communication as it involves with certain intelligent way of communicating the clients and counter parts. The implications of future of small industries, globalization, performance, perspectives and challenges would insist on prompt and prudent way of communicating and are to be confronted by women entrepreneurs. To crack the challenges and overcome the negative impacts of communication successfully, strategic communication becomes a vital part of business and entrepreneurs should familiarize such type of business communication for better decision-making in all functional areas of business. If information asymmetry exists, clients may respond by negatively leading to miscommunication or misinterpretation which will have bad effects on organization and business negotiations. The concept and source of communication should be adapted to have more clarity and transparency to make the receiver understand the information and message so as to make him/her respond appropriately. The consequence of inappropriate communication, or weak communication would exhaust the time and energy of the receiver leading to refusal of the clients or business partners. The fact is that most of the entrepreneurs from small and medium industries in India have not developed adequate expertise in strategic communication which may create setbacks in their business performances. This article analyses the profiles of the SME women entrepreneurs and their perception and expectation on strategic communication and their strategic communication components which are analyzed to derive the results. Keywords: strategic communication; women entrepreneurs; communication components; small medium enterprises Reference to this paper should be made as follows: Thandabhani, M. 2020. Strategic communication for women entrrepreneurs: a case study of India. Insights into Regional Development, 2(1), 480-497. http://doi.org/10.9770/IRD.2020.2.1(7) Reference to this paper should be made as follows: Thandabhani, M. 2020. Strategic communication for women entrrepreneurs: a case study of India. Insights into Regional Development, 2(1), 480-497. http://doi.org/10.9770/IRD.2020.2.1(7) JEL Classifications: L26, L63, L96 * This research was partly supported by Entrepreneurship and Sustainability Center, Lithuania Management Faculty, TIPS School of Management, 361/1A3B, Karuvalur Road, SS Kulam PO Coimbatore 641107, Tamil Nadu, India Management Faculty, TIPS School of Management, 361/1A3B, Karuvalur Road, SS Kulam PO Coimbatore 641107, Tamil Nadu, India Maharaja Thandabhani Management Faculty, TIPS School of Management, 361/1A3B, Karuvalur Road, SS Kulam PO Coimbatore 641107, Tamil Nadu, India HAL Id: hal-02569369 https://hal.science/hal-02569369v1 Submitted on 11 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. INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/IRD/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Publisher http://jssidoi.org/esc/home STRATEGIC COMMUNICATION FOR WOMEN ENTRREPRENEURS: A CASE STUDY OF INDIA* INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/IRD/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/IRD/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Publisher http://jssidoi.org/esc/home STRATEGIC COMMUNICATION FOR WOMEN ENTRREPRENEURS: A CASE STUDY OF INDIA* Maharaja Thandabhani 1. Introduction Small and Medium enterprises play a significant role in all economies and are key agents of employment, innovation and growth. Small and medium firms play a key role in transition of the developing countries. These firms typically account for more than 90% of all firms outside the agricultural sector, constitute a major source of employment and generate significant domestic and export earnings. As such, women SME development emerges as a key instrument in the small and medium enterprises and economic development of our nation. 480 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Communication is necessary at every stage of a business life cycle. It is required to help women SMEs set up and expand their operations, and to develop new products. India has a well developed communication system, comprising Social media, mobile networks, supply chain operators, logistics companies, banks and financial institutions, courier services, ICT companies and other corporate companies. The growing significance of Small and Medium Enterprises (SMEs) for employment and income generation, and the development of women entrepreneurs have led various businesses and international organizations to support their development and expansion (e.g. Morris et al., 2002; Argenti, 2003; Bala Subrahmanya, 2004; UNCTAD 2014; Iacob, Hristache, 2017; Akhter, 2017; Jimenez–Marin et al. 2018; Njaramba et al., 2018; Prodani et al. 2019; Benešová, Hušek, 2019). 2. Communication for women entrepreners One of the major challenges faced by the women SMEs is access to timely and strategic communication. Access on a global basis to modern communication technology is possible for the women entrepreneurs like their male counterparts. When it comes for communicating strategically, there lies the question how far the women entrepreneurs could communicate strategically in every business situation to become successful. Their capability in communicating strategically has become the most critical determinant of international competitiveness. The international business situation demands the need for strategic communication of women SMEs to be internationally competitive in terms of quality, delivery, after-sales service, price, etc. Strategic communication would be a prerequisite in all areas of business to bring about transformation in the business. The problem is that the availability of adequate communication skills to act upon the entrepreneurial positions and to strike a balance between the business requirement and the strategies to be applied through effective communication becomes critical for Indian women entrepreneurs. 3. Objective The article has the following objectives. g j 1. To identify and analyze the association between the profile of the Women SME entrepreneurs and their perception of communication on various factors of their business footings. 1. To identify and analyze the association between the profile of the Women SME entrepreneurs and their perception of communication on various factors of their business footings. 2. To examine the level of expectation on various factors in strategic communication am SME entrepreneurs and its association with their profile. 3. To ascertain the effectiveness of communication over the perception and expectation of women SME entrepreneurs. 3. To ascertain the effectiveness of communication over the perception and expectation of women SME entrepreneurs. 4. Method In this paper, the descriptive, empirical research and related research designs have been administered. This study analyzes the expectation and perception on strategic communication among the Women SME entrepreneurs of Coimbatore district, Tamil Nadu state in India. With that their profiles have been analyzed by applying Correlation. Systematic sampling technique has been used in this study. A sample size of 435 women SME entrepreneurs was finally filtered to 172 SME women entrepreneurs and contacted directly to get their responses through interview method. Seven such communication components namely Completeness, Courtesy, Correctness, Clarity, Consideration, Conciseness and Creativity have been identified and applied in this study. These strategic communication components and their relationship with the selected profile of the women SME entrepreneurship were analyzed and results, discussion and conclusion were made. 481 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) A questionnaire was administered among the women SME entrepreneurs in order to get their responses. The responses were analyzed and tabulated to derive the results and discussion. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components The relationship between the selected profiles of the women entrepreneurs and their level of perception on strategic communication is found by using correlation analysis. Table 1. Degree of relationship between selected profiles of the women entrepreneurs and their perception on completeness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.436 0.000* 2. Educational Qualification -0.690 0.000* 3. Working Experience -0.238 0.000* 4. Number of employees working in the company 0.247 0.000* 5. Annual Turnover -0.036 0.457 NS Note: * - Significant at 1% level; NS – Not Significant It is noted from the table 1 and figure 1 that among the five selected profiles of the women entrepreneurs, only one factor viz. number of employees working in the company have positive correlation with the perception on completeness. Table 1. Degree of relationship between selected profiles of the women entrepreneurs and their perception on completeness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.436 0.000* 2. Educational Qualification -0.690 0.000* 3. Working Experience -0.238 0.000* 4. Number of employees working in the company 0.247 0.000* 5. Annual Turnover -0.036 0.457 NS Note: * - Significant at 1% level; NS – Not Significant It is noted from the table 1 and figure 1 that among the five selected profiles of the women entrepreneurs, o one factor viz. number of employees working in the company have positive correlation with the perception completeness. tionship between selected profiles of the women entrepreneurs and their perception on completeness It is noted from the table 1 and figure 1 that among the five selected profiles of the women entrepreneurs, only one factor viz. number of employees working in the company have positive correlation with the perception on completeness. -0,8 -0,6 -0,4 -0,2 0 0,2 0,4 Independent variables ‘p’ value 1 2 3 4 5 Fig. 1. Completeness Source: Table 1 482 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Table 2. Degree of relationship between selected profiles of the women entrepreneurs and their perception on courtesy No. Independent variables ‘r’ value ‘p’ value 1. Age 0.545 0.000* 2. Educational Qualification 0.000 0.996 NS 3. Working Experience 0.403 0.000* 4. Number of employees working in the company -0.360 0.000* 5. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components Annual Turnover -0.094 0.049** Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant It is divulged from the table 2 and figure 2that among the five selected profiles of women entrepreneurs, two factors viz. age and working experience have positive correlation with the perception on courtesy. It is divulged from the table 2 and figure 2that among the five selected profiles of women entrepreneurs, two factors viz. age and working experience have positive correlation with the perception on courtesy. It is divulged from the table 2 and figure 2that among the five selected profiles of women entrepreneurs, two factors viz. age and working experience have positive correlation with the perception on courtesy. -0,4 -0,2 0 0,2 0,4 0,6 Independent variables ‘p’ value 1 2 3 4 5 Fig. 2. Courtesy Source: Table 2 Table 3. Degree of relationship between selected profiles of the women entrepreneurs and their perception on correctness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.427 0.000* 2. Educational Qualification -0.059 0.219 NS 3. Working Experience 0.338 0.000* -0,4 -0,2 0 0,2 0,4 0,6 Independent variables ‘p’ value 1 2 3 4 5 Fig. 2. Courtesy Source: Table 2 Table 3. Degree of relationship between selected profiles of the women entrepreneurs and their perception on correctness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.427 0.000* 2. Educational Qualification -0.059 0.219 NS 3. Working Experience 0.338 0.000* 483 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) No. Independent variables ‘r’ value ‘p’ value 4. Number of employees working in the company -0.574 0.000* 5. Annual Turnover -0.024 0.612 NS Note: * - Significant at 1% level; NS – Not Significant INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) No. Independent variables ‘r’ value ‘p’ value 4. Number of employees working in the company -0.574 0.000* 5. Annual Turnover -0.024 0.612 NS Note: * - Significant at 1% level; NS – Not Significant It is observed from table 3 and figure 3 that among the five selected profiles of the women entrepreneurs, only one factor viz. working experience has positive correlation with perception on correctness. -0,6 -0,4 -0,2 0 0,2 0,4 Independent variables ‘p’ value 1 2 3 4 5 Fig. 3. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components Correctness Source: Table 3 Table 4. Degree of relationship between selected profiles of the women entrepreneurs and their perception on clarity No. Independent variables ‘r’ value ‘p’ value 1. Age 0.464 0.000* 2. Educational Qualification 0.354 0.000* 3. Working Experience -0.206 0.000* 4. Number of employees working in the company -0.116 0.015** 5. Annual Turnover -0.025 0.607 NS Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant observed from the table 4 and figure 4 that among the five selected profile of the women entrepreneurs, t ors viz. age and educational qualification have positive correlation with the perception on clarity. Table 4. Degree of relationship between selected profiles of the women entrepreneurs and their perception on clarity No. Independent variables ‘r’ value ‘p’ value 1. Age 0.464 0.000* 2. Educational Qualification 0.354 0.000* 3. Working Experience -0.206 0.000* 4. Number of employees working in the company -0.116 0.015** 5. Annual Turnover -0.025 0.607 NS Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant It is observed from the table 4 and figure 4 that among the five selected profile of the women entrepreneurs, two factors viz. age and educational qualification have positive correlation with the perception on clarity. It is observed from the table 4 and figure 4 that among the five selected profile of the women entrepreneurs, two factors viz. age and educational qualification have positive correlation with the perception on clarity. 484 INSIGHTS INTO REGIONAL DEVELOPMEN ISSN 2669-0195 (online) http://jssidoi.org/jes 2020 Volume 2 Number 1 (Marc http://doi.org/10.9770/IRD.2020.2.1( -0,3 -0,2 -0,1 0 0,1 0,2 0,3 0,4 0,5 Independent variables ‘p’ value 1 2 3 4 5 Fig. 4. Clarity Source: Table 4 Table 5. Degree of relationship between selected profiles of the Women entrepreneurs and their perception on consideration No. Independent variables ‘r’ value ‘p’ value 1. Age -0.037 0.437NS 2. Educational Qualification -0.564 0.000* 3. Working Experience 0.321 0.000* 4. Number of employees working in the company 0.018 0.714NS 5. Annual Turnover -0.290 0.000* Note: * - Significant at 1% level; NS – Not Significant INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Table 5. Degree of relationship between selected profiles of the Women entrepreneurs and their perception on consideration No. Independent variables ‘r’ value ‘p’ value 1. Age -0.037 0.437NS 2. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components Educational Qualification -0.564 0.000* 3. Working Experience 0.321 0.000* 4. Number of employees working in the company 0.018 0.714NS 5. Annual Turnover -0.290 0.000* Note: * - Significant at 1% level; NS – Not Significant Table 5. Degree of relationship between selected profiles of the Women entrepreneurs and their perception on consideration No. Independent variables ‘r’ value ‘p’ value 1. Age -0.037 0.437NS 2. Educational Qualification -0.564 0.000* 3. Working Experience 0.321 0.000* 4. Number of employees working in the company 0.018 0.714NS 5. Annual Turnover -0.290 0.000* Note: * - Significant at 1% level; NS – Not Significant It is inferred from the table 5 and figure 5 that among the five selected profiles of the Women entrepreneurs, only one factor viz. working experience have positive correlation with the perception on consideration. It is inferred from the table 5 and figure 5 that among the five selected profiles of the Women entrepreneurs, only one factor viz. working experience have positive correlation with the perception on consideration. 485 INSIGHTS INTO REGIONAL DEVELOPMEN ISSN 2669-0195 (online) http://jssidoi.org/jes 2020 Volume 2 Number 1 (March http://doi.org/10.9770/IRD.2020.2.1(7 -0,6 -0,5 -0,4 -0,3 -0,2 -0,1 0 0,1 0,2 0,3 0,4 Independent variables ‘p’ value 1 2 3 4 5 Fig. 5. Consideration Source: Table 5 Table 6. Degree of relationship between selected profiles of the women entrepreneurs and their perception on conciseness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.010 0.840NS 2. Educational Qualification -0.017 0.718NS 3. Working Experience 0.408 0.000* 4. Number of employees working in the company -0.301 0.000* 5. Annual Turnover 0.523 0.000* Note: * - Significant at 1% level; NS – Not Significant INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) ISSN 2669-0195 (online) http://jssidoi.org/jes 2020 Volume 2 Number 1 (March http://doi.org/10.9770/IRD.2020.2.1(7 -0,6 -0,5 -0,4 -0,3 -0,2 -0,1 0 0,1 0,2 0,3 0,4 Independent variables ‘p’ value 1 2 3 4 5 Fig. 5. Consideration Source: Table 5 Table 6. Degree of relationship between selected profiles of the women entrepreneurs and their perception on conciseness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.010 0.840NS 2. Educational Qualification -0.017 0.718NS 3. Working Experience 0.408 0.000* 4. Number of employees working in the company -0.301 0.000* 5. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components Annual Turnover 0.523 0.000* Note: * - Significant at 1% level; NS – Not Significant Table 6. Degree of relationship between selected profiles of the women entrepreneurs and their perception on conciseness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.010 0.840NS 2. Educational Qualification -0.017 0.718NS 3. Working Experience 0.408 0.000* 4. Number of employees working in the company -0.301 0.000* 5. Annual Turnover 0.523 0.000* Note: * - Significant at 1% level; NS – Not Significant It is inferred from the table 6 and figure 6 that all the five selected profiles of the Women entrepreneurs, two factors viz. working experience and annual turnover have positive correlation with the perception on conciseness. It is inferred from the table 6 and figure 6 that all the five selected profiles of the Women entrepreneurs, two factors viz. working experience and annual turnover have positive correlation with the perception on conciseness. It is inferred from the table 6 and figure 6 that all the five selected profiles of the Women entrepreneurs, two factors viz. working experience and annual turnover have positive correlation with the perception on conciseness. 486 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) -0,4 -0,3 -0,2 -0,1 0 0,1 0,2 0,3 0,4 0,5 0,6 Independent variables ‘p’ value 1 2 3 4 5 Fig. 6. Conciseness Source: Table 6 Table 7. Degree of relationship between selected profiles of the Women entrepreneurs and their perception on creativity No. Independent variables ‘r’ value ‘p’ value 1. Age -0.133 0.005* 2. Educational Qualification -0.083 0.085NS 3. Working Experience 0.166 0.001* 4. Number of employees working in the company 0.047 0.331NS 5. Annual Turnover 0.344 0.000* Note: * - Significant at 1% level; NS – Not Significant INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) INSIGHTS INTO REGIONAL DEVELOPM ISSN 2669-0195 (online) http://jssidoi.org 2020 Volume 2 Number 1 (M http://doi.org/10.9770/IRD.2020.2 -0,4 -0,3 -0,2 -0,1 0 0,1 0,2 0,3 0,4 0,5 0,6 Independent variables ‘p’ value 1 2 3 4 5 Fig. 6. Conciseness Source: Table 6 Table 7. Degree of relationship between selected profiles of the Women entrepreneurs and their perception on creativity No. Independent variables ‘r’ value ‘p’ value 1. Age -0.133 0.005* 2. Educational Qualification -0.083 0.085NS 3. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components Working Experience 0.166 0.001* 4. Number of employees working in the company 0.047 0.331NS 5. Annual Turnover 0.344 0.000* Note: * - Significant at 1% level; NS – Not Significant Table 7. Degree of relationship between selected profiles of the Women entrepreneurs and their perception on creativity No. Independent variables ‘r’ value ‘p’ value 1. Age -0.133 0.005* 2. Educational Qualification -0.083 0.085NS 3. Working Experience 0.166 0.001* 4. Number of employees working in the company 0.047 0.331NS 5. Annual Turnover 0.344 0.000* Note: * - Significant at 1% level; NS – Not Significant It is noted from the table 7 and figure 7 that among the five selected profiles of the women entrepreneurs, two factor viz. working experience and annual turnover have positive correlation with the perception on creativity. It is noted from the table 7 and figure 7 that among the five selected profiles of the women entrepreneurs, two factor viz. working experience and annual turnover have positive correlation with the perception on creativity. It is noted from the table 7 and figure 7 that among the five selected profiles of the women entrepreneurs, two factor viz. working experience and annual turnover have positive correlation with the perception on creativity. 487 INSIGHTS INTO REGIONAL DEVELOPMEN ISSN 2669-0195 (online) http://jssidoi.org/je 2020 Volume 2 Number 1 (Mar http://doi.org/10.9770/IRD.2020.2.1 -0,2 -0,1 0 0,1 0,2 0,3 0,4 Independent variables ‘p’ value 1 2 3 4 5 Fig.7. Creativity Source: Table 7 Degree of relationship between selected profiles of the women entrepreneurs and their expectation on strategic communication INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Independent variables Degree of relationship between selected profiles of the women entrepreneurs and their expectation on strategic communication The relationship between the profiles of the women entrepreneurs and the expectation on strategic communication components is found by using correlation analysis. The independent variables are namely age, educational qualification, working experience, number of employees working in the company and annual turnover. Table 8. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on completeness No. Independent variables ‘r’ value ‘p’ value 1. Age 0.356 0.000* 2. Educational Qualification 0.084 0.080 NS 3. Working Experience 0.121 0.012** 4. Number of employees working in the company 0.339 0.000* 5. It can be revealed from the table 9 and figure 9 that among the five selected profiles of the women entrepreneurs, four factors viz. educational qualification, working experience, number of employees working in the company and annual turnover have positive correlation with the expectation on courtesy. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components Annual Turnover 0.229 0.000* Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant Table 8. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on completeness No. Independent variables ‘r’ value ‘p’ value 1. Age 0.356 0.000* 2. Educational Qualification 0.084 0.080 NS 3. Working Experience 0.121 0.012** 4. Number of employees working in the company 0.339 0.000* 5. Annual Turnover 0.229 0.000* Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant It is inferred from the table 8 and figure 8 that among the five selected profiles of the women entrepreneurs, four factors viz. age, working experience, number of employees working in the company and annual turnover have positive correlation with the expectation on completeness. It is inferred from the table 8 and figure 8 that among the five selected profiles of the women entrepreneurs, four factors viz. age, working experience, number of employees working in the company and annual turnover have positive correlation with the expectation on completeness. 488 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) 0 0,05 0,1 0,15 0,2 0,25 0,3 0,35 0,4 Independent variables ‘r’ value ‘p’ value 1 2 3 4 5 Fig. 8. Completeness Source: Table 8 Table 9. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on courtesy No. Independent variables ‘r’ value ‘p’ value 1. Age -0.039 0.412 NS 2. Educational Qualification 0.220 0.000* 3. Working Experience 0.229 0.000* 4. Number of employees working in the company 0.176 0.000* 5. Annual Turnover 0.281 0.000* Note: * - Significant at 1% level; NS – Not Significant INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) ISSN 2669-0195 (online) http://jssidoi.org/jesi 2020 Volume 2 Number 1 (March http://doi.org/10.9770/IRD.2020.2.1(7 0 0,05 0,1 0,15 0,2 0,25 0,3 0,35 0,4 Independent variables ‘r’ value ‘p’ value 1 2 3 4 5 Fig. 8. Completeness Source: Table 8 Table 9. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on courtesy No. Independent variables ‘r’ value ‘p’ value 1. Age -0.039 0.412 NS 2. Educational Qualification 0.220 0.000* 3. Working Experience 0.229 0.000* 4. Number of employees working in the company 0.176 0.000* 5. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components Annual Turnover 0.281 0.000* Note: * - Significant at 1% level; NS – Not Significant Table 9. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on courtesy No. Independent variables ‘r’ value ‘p’ value 1. Age -0.039 0.412 NS 2. Educational Qualification 0.220 0.000* 3. Working Experience 0.229 0.000* 4. Number of employees working in the company 0.176 0.000* 5. Annual Turnover 0.281 0.000* Note: * - Significant at 1% level; NS – Not Significant It can be revealed from the table 9 and figure 9 that among the five selected profiles of the women entrepreneurs, four factors viz. educational qualification, working experience, number of employees working in the company and annual turnover have positive correlation with the expectation on courtesy. 489 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) -0,05 0 0,05 0,1 0,15 0,2 0,25 0,3 Independent variables ‘p’ value 1 2 3 4 5 Fig. 9. Courtesy Source: Table 9 Table 10. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on correctness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.124 0.010* 2. Educational Qualification 0.031 0.513 NS 3. Working Experience 0.278 0.000* 4. Number of employees working in the company 0.277 0.000* 5. Annual Turnover -0.122 0.011** Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Table 10. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on correctness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.124 0.010* 2. Educational Qualification 0.031 0.513 NS 3. Working Experience 0.278 0.000* 4. Number of employees working in the company 0.277 0.000* 5. Annual Turnover -0.122 0.011** Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant It is noted from the table 10 and figure 10 that among the five selected profiles of the women entrepreneurs, two factors viz. working experience and number of employees working in the company have positive correlation with the expectation on correctness. It is observed from the table 11 and figure 11 that among the five selected profiles of the women entrepreneurs, four factors viz. age, educational qualification, number of employees working in the company and annual turnover have positive correlation with the expectation on clarity. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components It is noted from the table 10 and figure 10 that among the five selected profiles of the women entrepreneurs, two factors viz. working experience and number of employees working in the company have positive correlation with the expectation on correctness. 490 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi 2020 Volume 2 Number 1 (March http://doi.org/10.9770/IRD.2020.2.1(7 -0,15 -0,1 -0,05 0 0,05 0,1 0,15 0,2 0,25 0,3 Independent variables ‘p’ value 1 2 3 4 5 Fig.10. Correctness Source: Table 10 Table 11. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on clarity No. Independent variables ‘r’ value ‘p’ value 1. Age 0.510 0.000* 2. Educational Qualification 0.120 0.012** 3. Working Experience -0.041 0.397 NS 4. Number of employees working in the company 0.445 0.000* 5. Annual Turnover 0.345 0.000* Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Table 11. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on clarity No. Independent variables ‘r’ value ‘p’ value 1. Age 0.510 0.000* 2. Educational Qualification 0.120 0.012** 3. Working Experience -0.041 0.397 NS 4. Number of employees working in the company 0.445 0.000* 5. Annual Turnover 0.345 0.000* Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant It is observed from the table 11 and figure 11 that among the five selected profiles of the women entrepreneurs, four factors viz. age, educational qualification, number of employees working in the company and annual turnover have positive correlation with the expectation on clarity. It is observed from the table 11 and figure 11 that among the five selected profiles of the women entrepreneurs, four factors viz. age, educational qualification, number of employees working in the company and annual turnover have positive correlation with the expectation on clarity. It is observed from the table 11 and figure 11 that among the five selected profiles of the women entrepreneurs, four factors viz. age, educational qualification, number of employees working in the company and annual turnover have positive correlation with the expectation on clarity. It is divulged from the table 12 and figure 12 that among the five selected profiles of the women entrepreneurs, three factors viz. educational qualification, number of employees working in the company and annual turnover have positive correlation with the expectation on consideration. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components 491 491 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) -0,1 0 0,1 0,2 0,3 0,4 0,5 0,6 Independent variables ‘r’ value ‘p’ value 1 2 3 4 5 Fig. 11. Clarity Source: Table 11 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Fig. 11. Clarity Source: Table 11 e of relationship between selected profiles of the women entrepreneurs and their expectation on consideration Table 12. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on consideration No. Independent variables ‘r’ value ‘p’ value 1. Age -0.008 0.863NS 2. Educational Qualification 0.330 0.000* 3. Working Experience -0.084 0.082 NS 4. Number of employees working in the company 0.418 0.000* 5. Annual Turnover 0.352 0.000* Note: * - Significant at 1% level; NS – Not Significant It is divulged from the table 12 and figure 12 that among the five selected profiles of the women entrepreneurs, three factors viz. educational qualification, number of employees working in the company and annual turnover have positive correlation with the expectation on consideration. It is divulged from the table 12 and figure 12 that among the five selected profiles of the women entrepreneurs, three factors viz. educational qualification, number of employees working in the company and annual turnover have positive correlation with the expectation on consideration. 492 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) -0,1 0 0,1 0,2 0,3 0,4 0,5 Independent variables ‘p’ value 1 2 3 4 5 Fig.12. Consideration Source: Table 12 Table 13. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on conciseness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.033 0.491 NS 2. Educational Qualification 0.489 0.000* 3. Working Experience 0.219 0.000* 4. Number of employees working in the company 0.036 0.448 NS 5. Annual Turnover -0.102 0.033** Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant i f d f h bl 13 d fi 13 h h fi l d fil f h INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Table 13. It is noted from the table 14 and figure 14 that among the five selected profiles of the women entrepreneurs, four factors viz. educational qualification, working experience, number of employees working in the company and annual turnover have positive correlation with the expectation on creativity. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components Degree of relationship between selected profiles of the women entrepreneurs and their expectation on conciseness No. Independent variables ‘r’ value ‘p’ value 1. Age -0.033 0.491 NS 2. Educational Qualification 0.489 0.000* 3. Working Experience 0.219 0.000* 4. Number of employees working in the company 0.036 0.448 NS 5. Annual Turnover -0.102 0.033** Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant It is inferred from the table 13 and figure 13 that among the five selected profiles of the women entrepreneurs, two factors viz. educational qualification and working experience have positive correlation with the expectation on conciseness. It is inferred from the table 13 and figure 13 that among the five selected profiles of the women entrepreneurs, two factors viz. educational qualification and working experience have positive correlation with the expectation on conciseness. 493 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi 2020 Volume 2 Number 1 (March http://doi.org/10.9770/IRD.2020.2.1(7 -0,2 -0,1 0 0,1 0,2 0,3 0,4 0,5 Independent variables ‘r’ value ‘p’ value 1 2 3 4 5 Fig.13. Conciseness Source: Table 13 Table 14. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on creativity No. Independent variables ‘r’ value ‘p’ value 1. Age 0.010 0.835 NS 2. Educational Qualification 0.228 0.000* 3. Working Experience 0.327 0.000* 4. Number of employees working in the company 0.345 0.000* 5. Annual Turnover 0.103 0.011** Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Table 14. Degree of relationship between selected profiles of the women entrepreneurs and their expectation on creativity No. Independent variables ‘r’ value ‘p’ value 1. Age 0.010 0.835 NS 2. Educational Qualification 0.228 0.000* 3. Working Experience 0.327 0.000* 4. Number of employees working in the company 0.345 0.000* 5. Annual Turnover 0.103 0.011** Note: * - Significant at 1% level; ** - Significant at 5% level; NS – Not Significant It is noted from the table 14 and figure 14 that among the five selected profiles of the women entrepreneurs, four factors viz. educational qualification, working experience, number of employees working in the company and annual turnover have positive correlation with the expectation on creativity. Degree of relationship between selected profiles of the women entrepreneurs and their level of perception on strategic communication and it components It is noted from the table 14 and figure 14 that among the five selected profiles of the women entrepreneurs, four factors viz. educational qualification, working experience, number of employees working in the company and annual turnover have positive correlation with the expectation on creativity. 494 494 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) 0 0,05 0,1 0,15 0,2 0,25 0,3 0,35 Independent variables ‘r’ value ‘p’ value 1 2 3 4 5 Fig. 14. Creativity Source: Table 14 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Independent variables Fig. 14. Creativity Source: Table 14 Conclusion Strategic communication should be understood in Small and Medium Enterprises (SMEs) and due importance to been given to practice especially the women entrprenuers. In his article, "Perceptions of SME Growth Constraints in Nigeria", Charles 2002, identifies that one of the constraints for entrepreneurs is effective communication. By considering its sheer size, it is felt that the concept of women entrepreneurs have become crucial and it is the very time to generalize the importance and need to improve the communication skills and update their knowledge over communication ICT resources and channels available in the business field. This may also minimize the cost and time of communication. But, the counterparts do not consider the women SME entrepreneurs and their credentials unless they are good at communicating their counter parts to make the communication more effective. Obviously, this study identifies seven communication components by which the strategic communication of the women entrepreneurs could be enhanced if properly applied and taken up as an exercise could open even the gateway for efficient global . Results From the research paper, it is noted that even though the small size enterprise women entrepreneurs are having above 10 years experience in their business they are expecting more completeness on both the entrepreneurs and services to the clients. The clients and counterparts may provide administrative as well as technical help to women SMEs through resorting to proper strategic communication based on the 7c’s of communication. Women entrepreneurs and their role towards the components of communication can help in protecting the relationship with their clients to great extent that increases the effectiveness of communication and make it to be strategic in nature for the women entrepreneurs once they have a very right perception and their expectation.  Regarding the installed capacity, production, and extent of demand and so on and they are unable to assess the present condition and future prospects of women SMEs. So, it is recommended to the women SMEs, they should apply all the communication components required to communicate that give more effect and to facilitate the women entrepreneurs to achieve the desired responses. Hence, as the strategic communication of the women entrepreneurs has been powered through applying the communication components rightly would automatically formulate strategies over their communication and increase the clients’ interest over the organizations and respective entrepreneurs. Strategic communication practices should be one of the important practices especially for women SMEs even though they may hire administrative assistants. Small firms may not be able to appoint assistants for this purpose who can assist the women entrepreneurs in strategic communication. So, it is recommended that women entrepreneurs should undergo necessary communication practice and training to enhance their communication potential. It is not only important for the entrepreneurs to update their knowledge in every source and channel of mainstream communication throughout the business period, but also to enhance their power of communication through training opportunities and mentoring in the communication field. These only can synergize the effectiveness of the women entrepreneurs’ communication. 495 INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) Copyright © 2020 by author(s) and VsI Entrepreneurship and Sustainability Center This work is licensed under the Creative Commons Attribution International License (CC BY). http://creativecommons.org/licenses/by/4.0/ INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) INSIGHTS INTO REGIONAL DEVELOPMENT ISSN 2669-0195 (online) http://jssidoi.org/jesi/ 2020 Volume 2 Number 1 (March) http://doi.org/10.9770/IRD.2020.2.1(7) References Akhter, F. 2017. Unlocking digital entrepreneurship through technical business process. Entrepreneurship and Sustainability Issues, 5(1), 36-42. http://doi.org/10.9770/jesi.2017.5.1(3) Akhter, F. 2017. Unlocking digital entrepreneurship through technical business process. Entrepreneurship and Sustainability Issues, 5(1), 36-42. http://doi.org/10.9770/jesi.2017.5.1(3) Argenti, P.A. 2003. Corporate communication. Boston: McGraw-Hill Irwin. ISBN-13: 978-0073403175 Bala Subrahmanya, M. H. 2004. Small Industry and Globalization: Implications, Performance and Prospects. Economic and Political Weekly, XXXIX(18), 1826-1834. Benešová, D., Hušek, M. 2019. Factors for efficient use of information and communication technologies influencing sustainable position of service enterprises in Slovakia. Entrepreneurship and Sustainability Issue,s 6(3), 1082-1094. http://doi.org/10.9770/jesi.2019.6.3(9) Charles, M. 2002. Perceptions of SME Growth Constraints in Nigeria. Journal of Small Business Management, 40(1), 58-65. http://dx.doi.org/10.1111/1540-627X.00039 Iacob, S.E., Hristache, D.A. 2017. Entrepreneurship communication and its role in business management, Economics and Applied Informatics, 3, 226-229. www.eia.feaa.ugal.ro Jimenez–Marin, G., Zambrano, R.E., Bellido–Perrez, E. 2018. The Entrepreneurship in communication as an Educational – learning Method: University Teaching and educommunication, pp. 364–374. http://dx.doi.org/10.5772/intechopen.71369 Morris, M.H., Schindehutte, M., La Forge, R.W. 2002. Entrepreneurial marketing: A construct for integrating emerging entrepreneurship and marketing perspectives. Journal of Marketing Theory and Practice, 10(4), 1-19 https://doi.org/10.1080/10696679.2002.11501922 Njaramba, J, Chigeza, P, Whitehouse, H. 2018. Barriers and challenges experienced by migrant African women entrepreneurs in North Queensland, Australia. Entrepreneurship and Sustainability Issues, 5(4), 1054-1068. http://doi.org/10.9770/jesi.2018.5.4(25) Prodani, R., Bushati, J., Andersons, A. 2019. An assessment of impact of information and communication technology in enterprızes of Korça region. Insights into Regional Development, 1(4), 333-342. https://doi.org/10.9770/ird.2019.1.4(4) UNCTAD 2014. Empowering Women Entrepreneurs through Information and Communications Technologies https://unctad.org/en/PublicationsLibrary/dtlstict2013d2_en.pdf 496 Aknowledgements Aknowledgements This research was partly supported by Entrepreneurship and Sustainability Center, Lithuania T. MAHARAJA, Dr. is a Faculty of Management at TIPS School of Management, Coimbatore, India. He is an innovative curriculum designer and an active and indigenous reseacher. He is currently writing research papers to enroll with and seek research grants from European Research Council in economic sustainability. Research interests: entrepreneurship and regional development; corporate innovation, global business innovation and future of small industries; business, economic and social sustainability. ORCID ID: orcid.org/ 0000-0002-0866-4034 Register for an ORCID ID: https://orcid.org/register Register for an ORCID ID: https://orcid.org/register Copyright © 2020 by author(s) and VsI Entrepreneurship and Sustainability Center This work is licensed under the Creative Commons Attribution International License (CC BY). http://creativecommons.org/licenses/by/4.0/ 497 497
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Pharmaforum © Archiv Was ist neu in der medikamentösen Therapie? Wir halten Sie auf dem Laufenden mit Berichten von Kongressen und Symposien der pharmazeutischen Industrie. Innovation in der Schmerztherapie Eine Substanz – zwei Wirkprinzipien – Bei 30–40% der Patienten mit chronischen Schmerzen wird durch eine Behandlung das Ziel einer mindestens 50%igen Schmerzreduktion nicht erreicht, sagte Prof. Claudia Sommer, Würzburg, anlässlich eines Symposiums beim Neurologenkongress. Deshalb begrüßte sie die Zulassung von Tapentadol (Palexia® retard) zur Behandlung starker, chronischer Schmerzen bei Erwachsenen, die nur mit Opiodanalgetika angemessen behandelt werden können. Weniger opioidtypische Nebenwirkungen Die Effektivität von retardiertem Tapentadol (100–250 mg zweimal täglich) wurde in einer doppelblinden Phase-III-Studie im Vergleich zu retardiertem Oxycodon (20–50 mg/d) und zu Placebo untersucht. Die insgesamt 981 Studienteilnehmer litten an mäßig starken bis starken chronischen Rückenschmerzen nicht maligner Ursache. Nach einer dreiwöchigen Titrationsphase wurden Wirksamkeit und Sicherheit während der zwölf Wochen Erhaltungstherapie erfasst. Gegenüber der Ausgangssituation besserte Tapentadol signifikant und über die gesamte Studienperiode die mittlere Schmerzintensität. Der Grad der Schmerzlinderung entsprach dem in der Oxycodongruppe, es traten aber weniger opioidtypische Nebenwirkungen auf. Unter Verstopfung, Übelkeit und Erbrechen litten 26,3% der Patienten im Placeboarm, 43,7% im Tapentadolarm und 61,9% im Oxycodonarm. Zudem erreichten mit Tapentadol mehr Patienten eine mindestens 50%ige Schmerzlinderung als mit Oxycodon (30,4 vs. 23,3%). Für Sommer haben sich damit die Erwartungen an die Substanz mit dem zweifachen Wirkmechanismus erfüllt: Die volle Wirksamkeit wird durch den zusätzlichen noradrenergen Effekt bereits bei geringer MOR-Aktivität erreicht – bei gleichzeitiger Reduktion opioidtypischer Nebenwirkungen. – Was ist ein MOR-NRI? Tapentadol ist ein zentral wirkendes Analgetikum, das zwei Mechanismen vereinigt: Es ist ein starker μ-Opioidrezeptor-Agonist (MOR) und hemmt gleichzeitig die Noradrenalin-Wiederaufnahme (NRI). Die beiden Wirkmechanismen ergänzen sich synergistisch. Dabei hat Tapentadol ein geringes Interaktionspotenzial, wie Prof. Rolf-Detlef Treede, Mannheim, erläuterte. Der Wirkstoff wird überwiegend über die Leber verstoffwechselt und ist kein CYP-Inhibitor oder -Induktor. Tapentadol ist laut Treede bei leicht bis mäßig eingeschränkter Nierenfunktion, leicht eingeschränkter Leberfunktion und bei älteren Patienten im Allgemeinen ohne Dosisanpassung einsetzbar. ó Friederike Klein Quelle: Satellitensymposium, Neurologiekongress, Mannheim, 23. September 2010 (Veranstalter: Grünenthal) Studiendaten untermauern den Nutzen von Weißdorn Mehr Kraft für das Herz 50+ – Die Generation 50+ ist zwar heute so fit wie nie zuvor, dennoch zeigt das Herz oft erste Anzeichen von „Alters“-Schwäche, ablesbar am Nachlassen der allgemeinen körperlichen Fitness. Aktuelle Studiendaten zeigen, dass Patienten mit beginnenden Leistungseinbußen einen hohen Nutzen aus der herzstärkenden Wirkung von Weißdorn ziehen. 52 Die Diagnose „chronische Herzinsuffizienz“ wird in der Hausarztpraxis immer häufiger gestellt. Im Allgemeinen handelt es sich um eine Herzinsuffizienz im NYHAStadium II und damit um das typische „Altersherz“ – eine Diagnose, die allerdings nicht bagatellisiert werden sollte. Denn die Erkrankung verläuft chronisch progredient. „Wer mit der Herzschwäche lebt, bei dem lassen Erschöpfung, Dyspnoe, periphere Ödeme und Appetitlosigkeit die Lebensqualität erheblich sinken“, so Prof. Vera Regitz-Zagrosek, Berlin. Besserung von Lebensqualität und klinischen Symptomen Die Lebensqualität und auch die klinische Symptomatik von Patienten mit leichter MMW-Fortschr. Med. Nr. 48 / 2010 (152. Jg.).
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J. Mª. Rodríguez Paniagua. Moralidad, derechos, valores. Civitas, Madrid, 2003, 106 pp.
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RECENSIONES 525 ción. Sobre su papel casi todo está dicho y este tipo de trabajos son necesarios cada cierto tiempo para no perdernos en las teorías que quieren convertirlos a los principios en 10 que no 10 son, verdades teóricas que sirven para complicar el Derecho y resultar formalmente teorías científicas desde una interpretación legalista. La categoría de normas como tal, a nosotros no nos convence, pues la discusión de su papel jurídico en el razonamiento jurídico no se plantearía. Lo que sí entendemos real es partir del concepto amplio de laguna jurídica, amplio desde la perspectiva de que no sólo estamos hablando del caso material no cubierto por disposición normativa alguna, sino el caso material que, aplicando alguna norma o método de integración sea ese cual fuere, conlleva resultados inmorales y en nada justos. Los jueces como creadores ante el caso concreto, acuden a los principio,s del Derecho, cuya confección es múltiple: la moral social, la razón, moral individual, y las fuentes de información del Derecho útiles para que esa solución sea justa, le deje moral y profesionalmente satisfecho, y ese momento, desde luego, deber ser individual y discrecional en tanto persista la necesidad legal de tener que sentenciar. Por lo demás, la obra es rica en doctrina y apreciaciones interesantes que nos acercan a un tema que jamás morirá en Derecho. Santiago Carretero J. M8 • RODRÍGUEZ PANIAGUA, Moralidad, derechos, valores, Civitas, Madrid, 2003, 106 pp. Hace casi 15 años que hice mi primera recensión, precisamente a un libro del prof. Rodríguez Paniagua Lecciones de derecho natural como introducción al Derecho donde señalaba que estábamos ante un libro extraordinariamente formativo para los jóvenes estudiantes de Derecho, por la claridad con la que abordaba los temas propios de la asignatura -algo que, seguramente, han agradecido durante años los estudiantes correspondientes a nuestro área, en el primer año de la licenciatura en Derecho-. Pues bien, en este caso debo señalar la misma virtud, la claridad, además referida a temas especialmente candentes y complicados. Se trata de cuestiones y problemas referentes al constitucionalismo y a la filosofía del Derecho y que han sido abordadas, en gran medida, 526 RECENSIONES por autores considerados de referencia, los cuales pasan por las páginas del sugerente libro del prof. Rodríguez Paniagua. Quiero destacar que el autor trata de mostrarnos la importancia de artículos como el 1.1 de la Constitución y otros que, comprendidos en el Título Preliminar, evidencian no sólo una concepción del Derecho español, sino, y lo que es más importante, el sentido moral del espíritu constitucional. La obra se encuentra dividida en tres capítulos que se corresponden con trabajos que, aunque inicialmente fueron redactados por separado, obedecen a una misma temática (los valores e ideales en el Derecho) siendo, exactamente: La moral y la Constitución española de 1978, Los derechos humanos del individualismo a la ética de la responsabilidad (un poco de clarificación) y Valores y normas jurídicas. De estos trabajos se extraen planteamientos y matices más ricos y profundos de los que puedan recogerse en esta recensión, dada la profundidad y profusidad de los temas tratados. El primero de ellos, al versar sobre La moral y la Constitución española de 1978, no puede por menos que referirse a los derechos humanos, de los que trata de, mostrar su evolución, pero incidiendo en la fundamentación individualista. Premisa cierta en su nacimiento, pero hay que reconocer que según han ido evolucionando, con el devenir histórico, ha ido cambiando su propia conceptualización. Lo que inicialmente nació impulsado por el espíritu individualista, hoy se ve animado por un espíritu colectivista, lo que, consecuentemente, ha repercutido en que también ha mutado su fundamentación. Entiendo, con el prof. Rodríguez Paniagua, que cualquier estudio de los derechos humanos debe partir de los conceptos "moral" y "ética", de los que hace un brillante y necesario análisis, s~liendo al paso de una endémica confusión conceptual bastante difundida hoy en día, clarificando que el término "ética" debe usarse en los casos en que se trata de expresar la teoría o doctrina (moral), mientras que el de "moral" resulta más adecuado para expresar la práctica. La ética, pues, trata de expresar la teoría o doctrina moral, es decir, explicar lo que es la moral propiamente dicha, término que aplicamos en sentido estricto a aquello que consideramos adecuado o justo, "al acatamiento y respeto de los deberes y de la ley que los impone, o la voluntad, la actitud, la disposición de ánimo favorable a realizar el bien en el mundo. Esto no puede identificarse con lo que se consiga de hecho, aunque lo que se consiga depende también de esta actitud" (p. 16). Lo que nos llevará a lo "moralmente bueno" que será un resorte del actuar. Me resultan muy interesantes estas precisiones propias de un gran filósofo en el sentido más noble de la palabra, cuando señala que, aunque en el fondo pueda alegarse que todos obran interesadamente (argumento que no es más que un reduccionismo al absurdo, pues el interés propio RECENSIONES 527 forma parte de toda actitud humana) "hay una gran diferencia entre obrar creyendo que se obra desinteresadamente y obrar siempre consciente y voluntariamente buscando el propio interés" (p. 18). Pero también tiene un doble sentido la ética, pues servirá para la determinación de los deberes que hay que cumplir, o de las obras que hay que hacer o no hacer (tarea que ocupa la mayor parte de la teoría moral o ética). Pero esta labor conceptual incluye presentarnos el importante papel que, respecto del Derecho, ejercen los tres tipos de moral que nos presenta, la de la conciencia individual, la moral doctrinal o de los principios y la moral social 20. Pero no sólo los relaciona con el Derecho; sino también con el obrar en sociedad y en política para pasar, finalmente, a relacionarlos con la Constitución de 1978. De cara a los estudiantes de Derecho, abordar la simple distinción entre Derecho y Moral, sin atender a esta triple distinción, puede abocarles a ciertas confusiones conceptuales, de ahí la necesidad de esta labor que de antaño ha abordado el prof. Rodríguez Paniagua y que ahora se presenta de manera consolidada. Referido a la Constitución de 1978, Rodríguez Paniagua no trata sólo de estudiar, en este artículo, la llamada moral interna21 , al modo de Leon FuHer, sino más bien, las alusiones que a la moral, o a otros términos con tal sentido -la conciencia, por ejemplo- se incluyen en la misma. Pese a que como él afirma las Constituciones, en general, son muy parcas en alusiones a la moral, las escasas que se incluyen en la nuestra de 1978, son ampliamente tratadas por el autor, si bien con un sistema especialmente atractivo y útil, pues lo lleva a cabo mediante un interesante paralelismo con la Ley Fundamental de Bonn, de 1949. Aunque toda buena obra perteneciente al ámbito de las ciencias jurídicas y sociales, suele sugerir distintos pensamientos a qistintas mentalidades, la lectura de este primer capítulo a algunos lectores les dejará un cierto amargor, pues da la impresión que el sentido moral es más profundo en la Constitución alemana 22 . En la nuestra se encuentra algo "descafeinado" el sentido moral de algunos términos. Ello unido a que de aquellos parágrafos de la Constitución española presumiblemente inspirados en la alemana, se descubren ausencias terminológicas que incrementan dicha impresión -así por ejemplo, la desapari20. Distinció.n recurrente en el planteamiento doctrinal sobre estas cuestiones del prof. Rodríguez Paniagua y que yo asumí desde las primeras lecturas que realicé a sus obras al terminar la licenciatura. 21. Aunque trata de evitar el estudio de la moral interna para centrarse en "las alusiones", resulta evidente la mutua imbricació.n de ambas facetas. 22. Para el prof. Rodríguez Paniagua el entendimiento "claramente" moral que términos como "dignidad humana" o "derechos fundamentales" poseen en el texto alemán -influencia kantiana-, carecen de él en el español (pp. 22 a 24). 528 RECENSIONES ción del calificativo de "inalienables" respecto de los derechos humanos o fundamentales-. Este detenido análisis comparativo es un apartado especialmente interesante pues mueve a la reflexión al lector sobre aspectos constitucionales tales como la sustitución del término "toda comunidad humana" por "orden político" o la desaparición de la referencia a la justicia(art. 10.1 CE en referencia al art. 1.2 LFA), así como al discurso moral -y al tipo de moral inferido- propio del derecho a la educación -art. 27 CE-, libertad ideológica -arto 16 CE-, objeción de conciencia -arto 30.2 CE- y cláusula de conciencia -arto 20.1 d) CE-o Los distintos comentarios se ven ampliados tanto a la legislación de desarrollo como a Sentencias del Tribunal Constitucional. Si ya son importantes las referencias constitucionales referidas, aún más profundas y amplias son al sentido moral de los valores recogidos en el art. 1.1 CE, evidenciando el análisis prácticamente exhaustivo que el prof. Rodríguez Paniagua realiza, para lo que continuamente trae a colación esa línea kantiana de análisis que nos muestra la importancia de la voluntad humana, de la razón -que encuentra y revela la ley moral-, de la actitud del hombre, pero no sólo en el plano individual, sino también en el colectivo, para crear una sociedad de hombres libres. Por ello, cuando comienza el análisis de los valores del arto 1.1 CE, no sólo trata de la libertad entendida como autonomía moral, no sólo nos muestra la libertad en el orden ideal, sino que desciende al mundo de la política y del Derecho, ya no de la mano de Kant, sino de la de Rousseau, cuya teoría jurídico-política ha ejercido un mayor influjo en este ámbito. Rodríguez Paniagua no olvida la relación con la moral, por lo que igualmente trata la teoría de la libertad de B. Constant y de 1. Berlin para mostrar brillantemente dicha relación, concluyendo con el significado de libertad que a su entender corresponde al enunciado del arto 1.1 CE. El segundo valor que analiza es el de la Justicia, para lo que comienza, como no puede ser de otra manera, con las distinciones clásicas, entre justicia igualitaria o conmutativa y justicia distributiva, a las que deben añadirse, y añade, la justicia legal y la justicia social (estas tres últimas son en realidad subtipos de la proporcional). El prof. Rodríguez Paniagua nos muestra, quizá, la más grande cuestión que del término Justicia se deriva, tanto desde el punto de vista moral, como del jurídico: qué le corresponde a cada persona en sociedad, cerrando este apartado con la reflexión que debe presidir cualquier actuación de un buen jurista: la Justicia debe ser "su meta, su aspiración, su ideal" (p. 43). El tercer valor que analiza es el de la Igualdad, de nuevo teniendo en cuenta y planteando con rigor, los dos entendimientos clásicos de la igualdad: la igualdad de derechos o ante la ley y la igualdad material o real. El prof. Rodríguez RECENSIONES 529 Paniagua aborda el problema esencial referido al primer tipo de igualdad: la certeza y la seguridad exige que todos los ciudadanos nos veamos sometidos por igual a las decisiones de la autoridad, reconoce que la realidad exigirá que las normas se confeccionen acogiendo también distinciones y diferenciaciones de supuestos, pero debe excluirse que las distinciones de hecho se empleen para extraer consecuencias jurídicas que no estén justificadas. Rodríguez Paniagua realiza una equiparación entre sociedad y cuerpo u organismo, criticando a aquellos que quieren resolver los "problemas de distribución ...con el atajo de estáblecer la igualdad para todos, como meta o ideal en el reparto", señalando que realmente quienes formulan estas doctrinas ignoran la verdadera naturaleza humana "que no se esfuerza lo suficiente si no hay diferenciación en las ventajas o beneficios" (p. 48). En cualquier caso, concluye que quienes sostienen posturas igualitarias a ultranza no las han fundamentado racionalmente. En cuanto al segundo tipo, en orden a la igualdad material, realiza una cierta combinación entre una necesaria y primigenia "igualdad de oportunidades" y luego, de mutua ayuda, especialmente en los casos de necesidad grave o importante, atribuyendo esta última función a la justicia social (que especialmente atiende a las necesidades humanas). Esta parte culmina comentando el juego constitucional entre los arts. 1.1; 9.2 y 14 de la Constitución española, si bien, yo no estaría de acuerdo en entender, como señala elprof. Rodríguez Paniagua, que el art. 9.2 aluda a la igualdad material o real, pues entiendo que alude más bien a la solidaridad. También comenta, como cuarto valor, el del Pluralismo, que identifica como una derivación o consecuencia de la libertad negativa, realizando un interesante esbozo al considerar que su sentido es el de "resultado del libre ejercicio de la libre razón humana en condiciones de libertad" (J. Rawls), en el sentido de conseguir lo que denomina "un pluralismo razonable". * * * En cuanto al segundo trabajo Los derechos humanos del individualismo a la ética de la responsabilidad (un poco de clarificación), pretende salir al paso de la instrumentalización del término "derechos humanos", convertido, en ocasiones, en medio de propaganda para otros fines o ideales distintos de los propios de un recto entendimiento de ellos. Esa instrumentalización es, precisamente, la causa de que el término "derechos humanos" "sea tan equívoco, confuso y oscuro". Afán de clarificación que concibe los mismos partiendo de un bello axioma que nos presenta: "que el individuo es antes que el Estado, que el 530 RECENSIONES Estado es por el individuo, para el individuo, y no el individuo por el Estado". Quizá lo más encomiable de este trabajo consista en querer mostrarnos un planteamiento intemporal de los derechos humanos, planteamiento que está en la base de su denominación y fundamentación, planteamiento que algunos tacharán de retrógrado, pero sobre el que debemos llamar la atención "si .al individuo se le concibe como capaz de una unión con Dios que comienza en esta vida y se prolonga en la eternidad, esa fundamentación es desde luego clara. y si al individuo se le concibe como sujeto de la moralidad, como un ser capaz de moralidad, y ésta a su vez se entiende como la fuente de la dignidad humana, en el sentido de que ésta no tiene precio o posible cotización en el mercado ... ,,23. Siguiendo este entendimiento entonces sí que tenemos una sólida formación que vislumbrará un recto entendimiento de los derechos humanos, pues no debemos olvidar que detrás de toda fundamentación de los derechos humanos está la propia consideración que del individuo se tiene. Resulta encomiable el afán de clarificación, tan necesario hoy en día, y para ello presenta una serie de "rasgos" que, en la historia de los derechos humanos, han dado y siguen dando lugar a confusión y que se deben a razones tácticas o de eficacia. El primero es "la ocultación o disimulo de esa fundamentación religiosa o metafísica, o de concepción del mundo, que justifica su denominación" y en este sentido, resulta especialmente esclarecedor el repaso a los más importantes documentos declarativos de derechos humanos, tanto nacionales como internacionales, que han querido "eludir" la fundamentación religiosa de los derechos humanos. Y digo que es especialmente esclarecedor, pues nos muestra como un eslabón más de dicho debate, el vivido recientemente sobre la Constitución europea. El segundo de los rasgos que dan lugar a confusión supone contravenir -al menos propagandísticamente- un axioma básico: no puede haber derechos sin sus deberes correspondientes. Efectivamente, los derechos humanos se presentan solos, sin sus obligaciones o deberes correspondientes, ni siquiera "el deber general, aunque sea sólo negativo, de respetar el derecho". Este rasgo lo trata el autor con profusión, señalando, con evidente acierto, que "cuando oímos hablar de los derechos humanos, parece que estamos en una maravillosa tierra, de derechos, sin obligaciones". La Declaración Francesa de 1789 y la Universal de 1948 son estudiadas desde esta óptica, para, a continuación, aplicar dicho análisis a la Constitución española. Especialmente debo destacar mi acuerdo con que quizás las especiales circunstancias del nacimiento de estos documentos motivó que adoptaran dicha perspectiva, pero quizás hoy, con 23. Pág. 61. Interesa destacar que Rodríguez Paniagua tan sólo pretende llamar la atención sobre esta concepción, no instaurarla, ni restaurarla. RECENSIONES 531 motivo del nacimiento de los derechos llamados de la tercera y cuarta generación, p~eda ser "ésta una buena ocasión para ·hablar de deberes, no sólo de los poderes públicos, sino también de los particulares. Porque difícilmente se entiende el desarrollo, la paz, la protección del medio ambiente, sin un esfuerzo de cooperación de unos y otros". Señala que, ante todo, hay obsesión por presentarlos como derechos humanos. Señala adecuadamente la distinción entre los derechos del capítulo II, respecto de los del capítulo I1I, y cómo la utilización del término "derecho" dentro de este último capítulo sirve para "dar particular fuerza" a las pretensiones que ampara (vivienda, medio ambiente, etc.), pero insiste en que ello es causa de confusión y se enmarca en lo que denomina "propaganda": "Esto es aplicable, no sólo a la utilización de la palabra "derechos", cuando se reconoce que no es apropiada, sino también a la calificación añadida de "humanos", cuando se ha dejado de reconocer el fundamento que explica y justifica esta denominación" (p. 80). En el fondo, reclama dejar a un lado la propaganda, pide "claridad y sinceridad" en una materia que lo necesita urgentemente "porque, si no las logramos, será inútil todo lo que hablemos y escribamos, si ni siquiera nos entendemos" (p. 82). * * >1< En cuanto al tercer trabajo Valores y normas jurídicas, comienza señalando aquellos aspectos de los valores en los que todo intérprete debe detenerse: 1) que su concepto es en sí mismo independiente de que estén o no realizados y, 2) que nunca se realizan plenamente. Con ello, la actitud del hombre hacia los valores debe ser la de orientarse a la realización mayor posible de los valores positivos, más elevados y de más apremiante necesidad. En el trabajo pretende sobre todo mostrarnos criterios que autores o doctrinas han expuesto con el objeto de conocer los valores y su "ordenación". El lector es conducido por una navegación de altura a través de la ética de los valores la cual compara con la ética de Kant, mostrándonos que ambas permiten fácilmente distinguir entre moral y derecho "con las consecuencias que esto tiene, entre otras, para la solución del problema de la tolerancia" aunque también nos señala el gran inconveniente que les lastra (especialmente a la primera) " ... es la dificultad en que se encuentra para señalar los contenidos del obrar, las acciones que en concreto han de considerarse buenas o malas. Un problema del que desde luego ninguna ética (o teoría de la moral) se puede desentender" (p. 89). Sin embargo, el autor ha querido que esa duda fundamental quede despejada pues alumbra cuestión tan importante no sólo con sus comprometidas tomas de posición, sino con la exposición de las de autores como, entre 532 RECENSIONES otros, Scheler (recoge sus criterios indicativos sobre el contenido del obrar moral) y la doctrina del utilitarismo y de utilitaristas (Bentham, Sidgwick, etc.), .siendo todas ellas bien conocidas por el autor y que le sirven para mostrarnos, sucinta pero brillantemente, la mejor perspectiva sobre la ética, la moral y los valores. Debo concluir destacando que el libro es en sí mismo una refer.encia obligada en la asignatura de Filosofía del Derecho. Hoy que abundan aquellos que instrumentalizan y se apropian de manera sectaria de autores y valores, se hacen necesarias obras como la presente en que, de manera objetiva y rigurosa, un auténtico maestro de la Filosofía del Derecho española, nos muestra a autores y nos comenta el sentido de los· valores (especialmente los del arto 1.1 CE) pero no para manipularlos en beneficio propio o de "la causa", sino para reflexionar con el lector sobre el sentido moral de los mismos y mostrarnos, en rigor, las exigencias que de los valores comentados se derivan para el ser hu~ mano, destinatario último del Derecho' y de los valores que lo presiden. Jesús P. Rodríguez G. SAVAGNONE, Metamorfosi della Persona, Elledici, Torino, 2004. En esta obra el filósofo italiano Giuseppe Savagnone ilustra las diversas concepciones acerca de la persona que -actualmente inspiran el debate sobre la bioética. El autor justifica el recurso a la noción de persona como lugar privilegiado para fundamentar la bioética, porque ya no se acepta, como fundamento, una determinada concepción sobre Dios o una determinada interpretación de la naturaleza. El respeto a la persona sigue siendo un principio universal; otra cosa es el sentido que se dé al término persona. En la galería de las nociones fundamentales de la ética, la noción de persona recuerda un poco a ese ~'dios desconocido" del areópago de la antigua Atenas, cuya existencia se veneraba, pero sin saber exactamente de quién se trataba. Igual que en sus publicaciones anteriores, estamos ante una obra fácil de leer, ingeniosa y penetrante. De nuevo sorprende por su capacidad didáctica y por la claridad en sus exposiciones. Este libro pone en contacto la reflexión filosófica de los autores con la experiencia común; y nos hace ver cómo las di-.
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Soil Phosphorus Speciation and Availability in Meadows and Forests in Alpine Lake Watersheds With Different Parent Materials
Thomas Heron
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Keywords: forest phosphorus, soil phosphorus, phosphorus NMR, phosphorus availability, phosphorus leaching, phosphorus speciation Soil Phosphorus Speciation and Availability in Meadows and Forests in Alpine Lake Watersheds With Different Parent Materials Thomas Heron 1, Daniel G. Strawn 1*, Mariana Dobre 1, Barbara J. Cade-Menun 2, Chinmay Deval 1, Erin S. Brooks 1, Julia Piaskowski 1, Caley Gasch 3 and Alex Crump 1 1 College of Agricultural and Life Sciences, University of Idaho, Moscow, ID, United States, 2 Agriculture and Agri-Food Canada, Swift Current Research and Development Centre, Swift Current, SK, Canada, 3 Department of Soil Science, North Dakota State University, Fargo, ND, United States Edited by: Friederike Lang, University of Freiburg, Germany Reviewed by: Joerg Schaller, Leibniz Center for Agricultural Landscape Research (ZALF), Germany Hui Wang, Chinese Academy of Forestry, China Sara L. Bauke, University of Bonn, Germany Reviewed by: Joerg Schaller, Leibniz Center for Agricultural Landscape Research (ZALF), Germany Hui Wang, Chinese Academy of Forestry, China Sara L. Bauke, University of Bonn, Germany In the Lake Tahoe Basin in California and Nevada (USA), managing nutrient export from watersheds into streams and the lake is a significant challenge that needs to be addressed to improve water quality. Leaching and runoff of phosphorus (P) from soils is a major nutrient source to the lake, and P loading potential from different watersheds varies as a function of landscape and ecosystem properties, and how the watershed is managed. In this research, P availability and speciation in forest and meadow soils in the Lake Tahoe Basin were measured at two watersheds with different parent material types. Soils developed on andesitic parent materials had approximately twice as much total P compared to those developed on granitic parent materials. Regardless of parent material, organic P was 79–92% of the total P in the meadow soils, and only 13–47% in the forest soils. Most of the soil organic P consisted of monoester P compounds, but a significant amount, especially in meadow soils, was diester P compounds (up to 30% of total extracted P). Water extractable P (WEP) concentrations were ∼10 times greater in the granitic forest soils compared to the andesitic forest soils, which had more poorly crystalline aluminosilicates and iron oxides that retain P and thus restrict WEP export. In the meadow soils, microbial biomass P was approximately seven times greater than the forest soils, which may be an important sink for P leached from upland forests. Results show that ecosystem and parent material are important attributes that control P speciation and availability in the Lake Tahoe Basin, and that organic P compounds are a major component of the soil P and are available for leaching from the soils. These factors can be used to develop accurate predictions of P availability and more precise forest management practices to reduce P export into Lake Tahoe. In the Lake Tahoe Basin in California and Nevada (USA), managing nutrient export from watersheds into streams and the lake is a significant challenge that needs to be addressed to improve water quality. Leaching and runoff of phosphorus (P) from soils is a major nutrient source to the lake, and P loading potential from different watersheds varies as a function of landscape and ecosystem properties, and how the watershed is managed. In this research, P availability and speciation in forest and meadow soils in the Lake Tahoe Basin were measured at two watersheds with different parent material types. Soils developed on andesitic parent materials had approximately twice as much total P compared to those developed on granitic parent materials. Regardless of parent material, organic P was 79–92% of the total P in the meadow soils, and only 13–47% in the forest soils. Most of the soil organic P consisted of monoester P compounds, but a significant amount, especially in meadow soils, was diester P compounds (up to 30% of total extracted P). Water extractable P (WEP) concentrations were ∼10 times greater in the granitic forest soils compared to the andesitic forest soils, which had more poorly crystalline aluminosilicates and iron oxides that retain P and thus restrict WEP export. In the meadow soils, microbial biomass P was approximately seven times greater than the forest soils, which may be an important sink for P leached from upland forests. Results show that ecosystem and parent material are important attributes that control P speciation and availability in the Lake Tahoe Basin, and that organic P compounds are a major component of the soil P and are available for leaching from the soils. These factors can be used to develop accurate predictions of P availability and more precise forest management practices to reduce P export into Lake Tahoe. *Correspondence: Daniel G. Strawn dgstrawn@uidaho.edu *Correspondence: Daniel G. Strawn dgstrawn@uidaho.edu Specialty section: This article was submitted to Forest Soils, a section of the journal Frontiers in Forests and Global Change Specialty section: This article was submitted to Forest Soils, a section of the journal Frontiers in Forests and Global Change Received: 08 September 2020 Accepted: 23 December 2020 Published: 23 February 2021 ORIGINAL RESEARCH published: 23 February 2021 doi: 10.3389/ffgc.2020.604200 ORIGINAL RESEARCH published: 23 February 2021 doi: 10.3389/ffgc.2020.604200 INTRODUCTION However, as has been observed for lakes worldwide (Elser et al., 2009), increased atmospheric N loading and N deposition have altered plankton species and N:P stoichiometry, shifting nutrient limitation in Lake Tahoe to P (Hatch et al., 1999; Goldberg et al., 2015). A recent lake-clarity model demonstrated that a return to the historical Secchi depth reading in Lake Tahoe would be possible within 20 years if P loading were reduced by at least 2.75% per year (Sahoo et al., 2010). However, to control P sources and subsequent loading into surface waters, a full understanding of P cycling and species in soils in the Lake Tahoe Basin is required. g g g A significant fraction of forest P exists in the plant litter and O horizons that can be illuviated into lower depths in the soil profile or be lost in runoff(Miller et al., 2010; Bol et al., 2016). Miller et al. (2005, 2006) observed that organic horizons on forest floors in Lake Tahoe Basin have high levels of water-soluble P that may be a source of P loading to streams via overland or subsurface flow, the latter of which moves through and reacts with soils. Phosphorus leached from O horizons can be transported into the soils through several mechanisms, depending on the soil physical properties that facilitate preferential vs. matrix flow (Julich et al., 2017; Luo et al., 2019). In alpine environments, spring snowmelt runoffis an important mechanism of P loading because it transports dissolved, colloidal, and particulate P from decomposed forest litter and soils, which can then emerge as subsurface P loading to streams and lakes (Backnäs et al., 2012). q The physical forms of P that can enter and cycle in lakes are defined as particulate P that is >0.45 µm, and solution P that can pass through a 0.45-µm filter that consists of dissolved and colloidal P (Bol et al., 2016). Colloidal P particles are 1 to 1,000 nm in diameter and the colloids less than 450 nm can pass through a 0.45 µm filter (Jiang et al., 2017), and can thus be mobilized through soils and remain suspended in surface waters. Dissolved, colloidal, or particulate P species can be organic [bound to a carbon (C) group] or inorganic (singular or multiple phosphate groups). INTRODUCTION fir (Abies magnifica A. Murray bis), Jeffrey pine and Lodgepole pine (Pinus contorta Douglas ex Loudon). Wet and dry meadows comprise 2 and 1% of non-urban land, respectively, and contain grasses, sedges, and rushes (TRPA, 2015). Soils in the Lake Tahoe Basin are developed on andesitic, granitic, or mixed parent materials (Coats et al., 2016). Studies in the Eastern Sierra Nevada have shown that forest soils on granitic parent materials can have substantially higher extractable-P concentrations than those developed on andesitic parent materials (Johnson et al., 1997; Coats et al., 2016). However, it is unclear the mechanistic processes that are responsible for these differences. Lake Tahoe, located in the Sierra Nevada Mountain range in California and Nevada, is the sixth largest lake by volume in the United States. It is classified as an ultra-oligotrophic lake, meaning that it has naturally low nutrient concentrations and low primary production, and it is renowned for the clarity of its water (Hatch et al., 2001; Goldberg et al., 2015). In recent years, however, water clarity in Lake Tahoe has declined, with Secchi depth readings decreasing from ∼31 m in 1968 to 21.6 m in 2018 (Schladow, 2019). As a result of non-point-source nutrient loading, primary production in Lake Tahoe has increased by ∼6% per year (Jassby et al., 1999; Roberts and Reuter, 2010). In soils, inorganic and organic P molecular species have distinct potential for uptake by vegetation or mobilization out of the soil profile. Uselman et al. (2012) suggested that the amount of dissolved organic P in soil solution is largely dependent on the type and amount of above- and below-ground organic matter. Some forest-soil P is exported as particulate P (Prairie and Kalff, 1988). The amount of eroded particulate P that is exported from a site depends on three factors: (1) site geography (slope, climate, and geology); (2) site management (harvest, thinning, and development); and (3) wildfire history (Miller et al., 2006). Particulate P that enters streams and lakes is not directly available for uptake by aquatic organisms, although it can be released as dissolved P from the particles and then is bioavailable to support aquatic algae growth (Young et al., 1985; Reid et al., 2018). p y y Historically, algae growth in Lake Tahoe has been co-limited by nitrogen (N) and phosphorus (P) (Hatch et al., 1999). Citation: Citation: Heron T, Strawn DG, Dobre M, Cade-Menun BJ, Deval C, Brooks ES, Piaskowski J, Gasch C and Crump A (2021) Soil Phosphorus Speciation and Availability in Meadows and Forests in Alpine Lake Watersheds With Different Parent Materials. Front. For. Glob. Change 3:604200. doi: 10.3389/ffgc.2020.604200 February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 1 Forest Soil P Speciation and Availability Heron et al. Frontiers in Forests and Global Change | www.frontiersin.org INTRODUCTION Short-term changes in Lake Tahoe primary productivity are well-explained by dissolved inorganic and organic P loads from Lake Tahoe Basin streams, which contribute up to 1,000 kg of dissolved P annually (Hatch et al., 1999). Different forms of P, both physically and chemically, differ in their mobility, environmental reactivity, and bioavailability. Dissolved molybdate-reactive phosphate (MRP), also known as soluble reactive phosphate (SRP), is the most readily bioavailable form (Hatch et al., 1999; Sahoo et al., 2010). Thus, to manage Lake Tahoe Basin landscapes for P-load reduction requires knowledge of soil P species and pools, and their potential for release and transport into surface waters. Estimates suggest that groundwater sources make up 15% by mass of total P loading to Lake Tahoe (Roberts and Reuter, 2010). Furthermore, 61% (3,700 kg) of the annual total dissolved P that is found in Lake Tahoe Basin groundwater is believed to be derived from natural sources from unimpacted non-urban areas, predominantly from overlying forest litter P pools and P released from the adsorbed and mineral-bound soil P pool (U.S. Army Corp of Engineers, 2003). Sohrt et al. (2019) used an end- member mixing model that included soil water input to predict that up to 92% of the stream P in a mixed deciduous/evergreen forest in Europe was leached from the mineral soil horizons. Considering the hydrologic interfaces in the soil, it follows that in the Lake Tahoe Basin forests, soil P biogeochemistry is an important factor that controls P discharge into surface waters, and to reduce P loads released from forests it is imperative to understand how site and management factors impact P solubility and mobility. About 6% of the Lake Tahoe Basin is considered urban and has been developed for residential and commercial use. Phosphorus inputs within the urban portion of the Basin account for 18% of total P inputs into the lake (Sahoo et al., 2013). In the non- urban regions of the Basin, 50% are covered by forests with yellow pine associations (TRPA, 2015) containing Jeffrey pine (Pinus jeffreyi Balf.), white fir [Abies concolor (Gord. and Glend.) Lindl. Ex Hildebr.], incense cedar [Calocedrus decurrens (Torr.) Florin], and sugar pine (Pinus labertiana Douglas); and another 17% of the Tahoe Basin landscape are red fir associations containing red February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 2 Forest Soil P Speciation and Availability Heron et al. INTRODUCTION Although meadows comprise a small area of the Lake Tahoe Basin watershed, they are important controllers of P entering streams because they are transitional zones connecting terrestrial and aquatic ecosystems and are commonly located adjacent to forests (Roby et al., 2015). Some meadows in the Lake Tahoe Basin are categorized as stream environment zones (SEZ), which is a designation used by the Lake Tahoe Basin Management Unit for an area of high value and management priority based on ecosystem services, including the filtering and storage of nutrients in runoff(Roby et al., 2015). Forest-derived P is commonly hydrologically transported through meadow ecosystems, which can act as either sinks that intercept P or sources that release P to streams and lakes. Several groups have studied the capacity of riparian systems to perform these functions. For example, Casey and Klaine (2001) studied P adsorption behavior in meadow soils, including Cumulic Humaquepts (similar taxa are found in some Lake Tahoe Basin meadows), and demonstrated the importance of sorption capacity as a mechanism of nutrient attenuation. They determined that soil P concentration was 100 times below concentrations that would cause soil solution P levels to exceed U.S. Environmental Protection Agency recommendations for lentic waters. In contrast, Hoffmann et al. (2006) found a net loss of P via leaching from soils in riparian meadows during two of three sampling years. In a later study, Hoffmann et al. (2009) concluded that, although sedimentation in riparian buffers is an important mechanism of P retention, these buffers may eventually become significant sources of dissolved reactive P release to surface or groundwater. Gergans et al. (2011) studied nutrient flow through a Lake Tahoe watershed that included a riparian meadow ecosystem and observed that the meadow soils were sources of phosphate into a nearby stream and that the release varied with season. The contrasting reports of nutrient retention and release from meadows highlight the complex nature of meadow biogeochemical processes that can make them either sources or sinks of P into surface waters. especially true in watersheds like in the Lake Tahoe Basin, where nutrients leached through forest soils are major inputs into the lake. In this paper, we investigated the influence of parent material and ecosystem type on soil P species and solubility in the Lake Tahoe Basin. METHODS Study Sites and Sample Collection Soils were sampled from two subalpine meadow systems (Paige Meadow and Meeks Meadow) and their adjacent forests. The research sites are located on the west shore of the Lake Tahoe Basin (Figure 1). Paige Meadow is an alluvial floodplain surrounded by forested hillslopes of terminal moraines at elevation ∼2,115 m. Meeks Meadow is situated in an elongated glacial valley trough floodplain (elevation ∼1,905 m), confined on both sides by steep forested hillslopes of lateral moraines. Separate lobes of the Sierran Ice Cap extended over the present- day locations of both meadows, carving out their current floodplain topographic environments (Ehlers and Gibbard, 2003). At Paige Meadow and its surrounding forest, soils developed on glacial deposits of eroded basaltic and andesitic rocks from Miocene- through Pleistocene-age volcanic activity (Kortemeier et al., 2018). The geologic substrate of the Meeks Meadow watershed is primarily granodiorite eroded from a glacial drift of till and outwash (Saucedo, 2005). Both meadows contain perennial grasses mixed with sedges, rushes, and forbs (Soil Survey Staff, 2007). The forest surrounding Paige Meadow is a red fir forest association, while the forest next to Meeks Meadow consists of a yellow pine association (Soil Survey Staff, 2007; TRPA, 2015). Climatic data from Tahoe City and Rubicon SNOTEL stations show approximate cumulative precipitation of 900 mm and a mean annual temperature of 7.5◦C (USDA-NRCS, 2019). Soils at nearby SNOTEL stations fall under a xeric soil moisture and frigid soil temperature regimes. At each location, 3–5 soil profiles were viewed to 20–40 cm depth and characterized using either a shovel or corer. The descriptions of the soils were done following USDA NRCS soil description methods (Schoeneberger et al., 2012). Organic P species in forest soils have been shown to be a dominant loading factor to surface waters (Condron et al., 2005; Sohrt et al., 2017). Backnäs et al. (2012) observed higher soluble organic P (labile monoester and diester P species) in surface horizons of Podzol soils in a mixed-coniferous forest in Finland compared to deeper soils. Anderson and Magdoff (2005) observed higher levels of labile organic P than inorganic P in leachate from packed soil columns leached with DNA (diester P) and orthophosphate solutions. Missong et al. (2016) separated bulk soil extractions from forest soils into colloidal and electrolytic fractions and found most of the extractable P was organic bound P (diesters) on colloids. Brödlin et al. INTRODUCTION We hypothesized that there would be distinct P biogeochemistry in forest and meadow ecosystems, and that granitic and andesitic parent materials would influence total and available soil P, as well as the amount and type of organic P. Speciation of P in the soils was determined by extraction and 31P nuclear magnetic resonance spectroscopy (P-NMR) to elucidate organic and inorganic P species. Water- extractable, exchangeable, and microbial-biomass bound soil P were measured to determine soil P fractions that are potentially soluble and labile. These extractions are good predictors of P immobilization and potential runofffrom soils (Pote et al., 1996; Campo et al., 1998; Vadas et al., 2005; Wang et al., 2010; Pistocchi et al., 2018). Frontiers in Forests and Global Change | www.frontiersin.org METHODS (2019b) studied P forms in soils from three different parent materials in deciduous forests and observed a tendency for organic P to dominate mobilized dissolved P. Bol et al. (2016) reviewed organic P in forested soils and concluded that, although it is a significant component of P cycling, the lack of knowledge of organic P species creates a “blind spot in ecosystem research.” Therefore, the dynamics and vulnerability of P leached from both forest and adjacent meadow soils needs to be investigated to understand the potential impact on water quality. This is Eight locations from each ecosystem-parent material type were sampled in June, August, and October of 2018 (Figure 1). Samples were taken from the top 15 cm of the soil below the O horizon using a 10-cm diameter soil auger. At each of the February 2021 | Volume 3 | Article 604200 3 Forest Soil P Speciation and Availability Heron et al. Laboratory Analyses Soil Characterization FIGURE 1 | Andesitic watershed at Paige Meadow (a) and granitic watershed at Meeks Meadow (b). Solid lines are watershed boundaries. Dashed lines separate forest soils from meadow soils, based on map units from the SSURGO database. Circles are meadow sampling sites and triangles are forest sampling sites. Replicate samples from the June 2018 sampling were analyzed for pH, percent sand, and concentrations of total organic C (TOC), total N (TN), and oxalate-extractable iron (Fe), aluminum (Al), silicon (Si), and P. Soils pH was measured on soils at 1:1 soil to 18-megaohm deionized water mass ratio. Percent sand by mass was measured by sieving the < 2 mm soil fraction through a 63 µm sieve. Bulk density was measured in cores dried at ∼50◦C and corrected for rocks using granite and andesite density of 2.65 and 2.60 g cm−3, respectively (Soil Survey Staff, 2014). Concentrations of TOC and TN were measured using a CNS dry combustion analyzer (Shimadzu Corporation, Oregon). Soils were extracted for poorly crystalline iron and aluminum oxides in a 1:50 solid-solution ratio of 0.2 M ammonium oxalate solution in darkness (Soil Survey Staff, 2014), shaken for 4 h, allowed to settle overnight, centrifuged (1,500 × g for 30 min), filtered (0.22 µm diameter PES membrane filter), and analyzed by inductively coupled plasma-atomic emission spectrometry (ICP-AES, Thermo Scientific, Waltham, Massachusetts) that was calibrated using ISO traceable standards. Soil Total P A subset of samples from granitic meadow (n = 6), granitic forest (n = 6), andesitic meadow (n = 5), and andesitic forest (n = 5) soils were analyzed for total P (TP) concentration by an analytical laboratory (Bureau Veritas, Inc.; Vancouver, BC; ISO/IEC 17025 and ISO 9001) using a two-step multi-acid (HNO3-HClO4-HF, and HCl) heated-digestion and analysis by ICP-mass spectrometry. Total Organic Soil P by Ignition g y g Total soil organic P concentrations of the same subset of samples used for P-NMR analysis were measured using the ignition method (Saunders and Williams, 1955; Cade-Menun and Lavkulich, 1997). Duplicate 0.5 g subsamples of oven-dried soil were weighed. One replicate was incinerated at 550◦C over a 2 h ramp-up period and maintained at this temperature for an additional 1 h followed by a 2-hr cool down. Both samples were then extracted in 1:60 solid-solution ratio of 1 N H2SO4, shaken for ∼16 h, centrifuged at 1,500 × g for 15 min, and the supernatant was decanted and analyzed colorimetrically (Murphy and Riley, 1962). Total organic P was calculated as the difference between incinerated and non-incinerated samples. The P concentration in the incinerated sample is an estimate of soil total P (TPinc). FIGURE 1 | Andesitic watershed at Paige Meadow (a) and granitic watershed at Meeks Meadow (b). Solid lines are watershed boundaries. Dashed lines separate forest soils from meadow soils, based on map units from the SSURGO database. Circles are meadow sampling sites and triangles are forest sampling sites. eight replicate locations, a composite sample was collected by mixing three sub-samples from 1 m radius. After sampling, the soils were stored on ice while in transport to the lab. A portion of each sample was sieved (<2 mm) and oven- dried at 50◦C, and the remainder was stored undried in re- sealable plastic bags at 4◦C and sieved (<2 mm) immediately prior to analysis. At each site seven to fourteen 7-cm diameter by 15-cm depth intact cores were sampled for bulk density measurement. O-horizon samples were taken by compositing material from several locations at each forest site into a bag that was thoroughly mixed. For P-NMR analysis and P availability extractions, field-moist samples were used, and P concentrations were adjusted using the percent moisture content determined by the difference in mass of water between the field-moist and oven-dried samples. Other analyses used 50◦C oven-dried soils. Soil P Speciation by P-NMR Analysis A subset of samples that included at least two replicates from each soil/ecosystem type were selected for P NMR analysis to identify concentrations and speciation of organic P in the soils. Following standard extraction procedures for P NMR (Cade- Menun and Preston, 1996; Cade-Menun and Liu, 2014), 2 g dry-mass equivalent undried soil subsamples were suspended in 25 ml of 0.5 M NaOH and 0.1 M Na2-EDTA solution, shaken for 4 h, centrifuged at 1,500 × g for 20 min, and the supernatant was decanted and freeze-dried. A 1 ml aliquot of extract was February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 4 Forest Soil P Speciation and Availability Heron et al. taken from each sample, diluted 1:10 with deionized water, and analyzed by ICP-AES for total P, Fe, and manganese (Mn) concentrations. The P-NMR spectroscopy was conducted at the University of Idaho’s Department of Chemistry. Approximately 0.24 g of freeze-dried extract powder from each sample was dissolved in 0.9 ml of NaOH-EDTA solution and 0.1 ml and D2O and 0.5 ml of this solution was placed in a 5-mm NMR tube. The NMR spectra were obtained at 202.48 MHz on a 500 MHz Bruker Avance III spectrometer equipped with a 5-mm broadband probe. The 1D 31P spectra were acquired with 67.5◦pulses, at 30◦C, with proton decoupling, and a total recycle delay (pre- scan delay plus acquisition time) of 4 s, for 3,000–8,000 scans, determined by signal-to-noise ratios. This delay time will be sufficient for relaxation based on the ratio of P/Fe+Mn in these samples (McDowell et al., 2006; Cade-Menun and Liu, 2014). Spectra were plotted with 7 Hz line-broadening for the main spectra and 2 Hz line-broadening to assess finer details. Peak areas were computed by integration and visual inspection using NUTS software (Acorn NMR, Livermore CA, 2000 edition), with correction for the degradation of orthophosphate diesters (Cade- Menun and Liu, 2014; Schneider et al., 2016). Peak assignments were made from the literature and confirmed using phytate and β-glycerophosphate spikes (Cade-Menun, 2015). chloroform, placing it under a vacuum with a beaker of ∼30 ml of chloroform, allowing it to evaporate for 24 h, and then extracting with the Bray-1 P extractant (Voroney et al., 2008; Reddy et al., 2013). Extractable Soil P Extractable Soil P Concentrations of labile soil P were measured using water- extractable P (WEP), Bray-1 P (B1P), and microbial biomass P (MBP) methods. Field-moist soil samples were extracted for WEP in a 1:10 solid-solution ratio of 18 megaohm deionized water, shaken for 1 h, centrifuged (1,500 x g) for 10 min, and filtered through 0.45-µm diameter PES membrane filters (Kuo, 1996; Self-Davis et al., 2009). An aliquot was subsampled from the filtered extract for molybdate colorimetry (Murphy and Riley, 1962). Colorimetry measures phosphate that reacts with molybdate (MRP), which is used as an estimation of inorganic P in solution. However, some organic P compounds may hydrolyze during the colorimetric reaction and are included in the MRP measurement, while complex inorganic P compounds such as polyphosphates will not react with molybdate (Haygarth and Sharpley, 2000; Worsfold et al., 2016). Therefore, we hereafter refer to WEP MRP as WEPMR. The total P in the WEP was analyzed by ICP-AES. The difference between the total WEP and WEPMR concentrations is operationally defined as molybdate- unreactive (WEPMU), which primarily consists of P associated with organic, non-hydrolysable, and colloidal forms (Haygarth et al., 1997; Haygarth and Sharpley, 2000). In addition to soil extraction, five subsamples from composite O-horizon samples from each forest were ground, passed through a 2-mm sieve, and extracted at 1:50 solid solution ratio for WEP and WEPMR. All other soil data were tested for significance by fitting the data to the analysis of variance (ANOVA) linear models, and Tukey HSD test was used for assessing statistical differences (p < 0.05) between treatment means. Pearson’s correlation coefficients were used to evaluate the strength of relationships between soil properties (Origin Lab, Northampton, MA). Statistical Analyses y The three seasonal samples of WEP, B1P, and MBP were pooled in the statistical analysis using a mixed model to estimate the random and fixed effects. Extract concentrations that were below the method detection limit (MDL) of the ICP (0.05 mg kg−1 for WEP and B1P and 0.1 mg kg−1 for MBP) were assigned values ½ MDL. The extract data were analyzed with a generalized linear mixed model using a log-normal distribution. Landscape type, parent material, and their interaction were evaluated as fixed effects, and sample point was evaluated as a random effect. Repeated measurements on the concentrations from the sample points were modeled using a compound symmetry covariance structure. For all variables except total WEP and WEPMU, sample identification effects were estimated at each time point. Model fit was assessed by examining the log-likelihoods and inspecting residual plots. All analyses were performed in R version 3.6 (R Core Team, 2019) using the packages “nlme” (Pinheiro, 2019) for model building and ANOVA and “emmeans” (Lenth, 2019) for finding the estimated marginal means and conducting comparisons. Tukey honest significance difference (HSD) test (p < 0.05) was used to test significance for the following paired comparisons: andesitic-meadow vs. andesitic forest, granitic- meadow vs. granitic forest, andesitic forest vs. granitic forest, and andesitic meadow vs. granitic meadow. Soil P Speciation by P-NMR Analysis In acidic soils, Bray-1 is a better extract for microbial biomass P than Na-bicarbonate extract (Oberson et al., 1997; Wu et al., 2000). Microbial biomass P was calculated as the difference between chloroform-fumigated and unfumigated samples, without an efficiency correction factor. Frontiers in Forests and Global Change | www.frontiersin.org Soil Total P The mean total soil P concentrations (TP) in the soils developed on andesitic parent materials were significantly higher than those for the soils developed on the granitic parent materials (Figure 2). Differences between forest and meadow soils within either watershed were not significant. The estimated total P concentrations via incineration and H2SO4 extraction for the soil samples analyzed by P-NMR were similar to the total P measured from three acid digestion (slope = 0.95, r2 = 0.95; Supplementary Table 2). The total P stocks for the 0–15 cm mineral soils calculated using the mean bulk densities were 0.69, 1.10, 1.22, and 1.81 Mg Ha−1 for the granitic meadow, granitic forest, andesitic meadow, and andesitic forest, respectively. Soil Characterization Upper soil profile descriptions for each watershed are listed in Supplementary Table 1. Both meadow soils are mapped as Inceptisols, and typically have aquic conditions in spring and early summer (Soil Survey Staff, 2007). Meadow soils had a darker chroma of 1 compared to chroma between 2 and 3 in the forest soils. The taxonomic descriptions of the meadow soils include subgroups Cumulic Humaquept at Paige Meadow and Cumulic Humaquept and Aquic/Oxyaquic Dystroxerept at Meeks Meadow. The difference between these subgroups is a higher seasonal water table and an epipedon thick enough to qualify as either mollic or umbric in Cumulic Humaquepts. The Aquic and Oxyaquic Dystroxerepts at Meeks Meadow have slightly deeper water tables and dark ochric epipedons (∼15 cm) that verge on meeting the thickness requirement of a mollic or Field-moist soils were extracted for Bray-1 P (B1P) as described in Sims (2009). An aliquot of the Bray-1 extract was filtered through a 0.45-µm PES membrane filter and measured colorimetrically (B1PMR) and by ICP-AES (B1P). The difference between B1P and B1PMR is the B1P molybdate unreactive (B1PMU). Microbial biomass P (MBP) was measured by treating a 1 g dry-mass equivalent sample of undried soil using 1 ml of February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 5 Forest Soil P Speciation and Availability Heron et al. umbric epipedon. The forest soils surrounding Paige Meadow are mapped as Humic Vitrixerands. The forest soils at Meeks are mapped as Humic Dystroxerepts. soils compared to granitic forest soils. Soil TOC concentrations were significantly different between the two forests (Table 1), but not the two meadows, and were not significantly different between meadows and forests within each watershed. Granitic forest soils contained the lowest average TOC concentration of all four ecosystem-parent material types, while andesitic forest soil had the highest average TOC concentration. The average TN concentration was approximately three times higher in the andesitic meadow soils compared to the andesitic forest soils (Table 1) and was higher in the andesitic forest soils than the granitic forest. Total N concentrations in the granitic forest and granitic meadow soils were not significantly different. Organic horizons were ∼6 cm thick at the granitic forest sites (Supplementary Table 1), and 1.5–2 cm thick at the andesitic sites. At the granitic forest sites, the decomposed litter could be separated into Oi and Oe horizons. Soil Characterization In contrast, at sampling time (October 2018), only an Oe horizon was present in the litter at the andesitic forest site, suggesting a greater litter decomposition rate. Forest canopy coverage at the sites are similar: 49% at the andesitic site and 41% at the granitic site (Landfire, 2020). In the meadows, O horizons were 0.5–3 cm thick. The pH of the meadow and forest soils ranged from pH 5.3 to 6.0, with meadows slightly lower than forests (Table 1). Average sand content was similar in the granitic meadow, granitic forest, and andesitic meadow (84, 87, and 88%, respectively), but it was significantly lower (75%) in the andesitic forest soils (Table 1). Bulk density of the forest and meadow soils ranged from 0.78 to 1.46 g cm−3. The andesitic soils had significantly lower bulk densities than the granitic soils (Table 1). The andesitic forest soils contain the most poorly crystalline iron and aluminum oxides (measured by oxalate extraction), which is consistent with Andisol classification by the USDA NRCS (Soil Survey Staff, 1999). Oxalate-extractable Fe and Al were not significantly different among the other three ecosystem-parent material types (Table 1). Oxalate-extractable Si concentrations followed the same patterns as Fe and Al concentrations. Oxalate-extractable P concentrations were significantly higher in andesitic forest soil than the other soils, and significantly lower in granitic meadow Speciation of Soil P In the meadow soils, total organic P concentrations determined from incineration and H2SO4 extraction were 79–92% of the TPinc (Figure 3, Supplementary Table 2). Organic P concentrations in the forest soils were much lower (13–47% of the TPinc) than in the meadow soils. TABLE 1 | Soil physicochemical properties of replicates sampled in June 2018. Granitic meadow Granitic forest Andesitic meadow Andesitic forest pH 5.38 (0.07) B 5.84 (0.12) A 5.35 (0.08) B 5.49 (0.11) AB Sand (%) 84 (1.1) A 88 (0.6) A 87 (1.0) A 75 (1.3) B Oxalate-Al (%) 0.139 (0.030) B 0.242 (0.028) B 0.239 (0.012) B 1.65 (0.142) A Oxalate-Fe (%) 0.195 (0.028) B 0.244 (0.022) B 0.236 (0.049) B 0.725 (0.027) A Oxalate-Si (%) 0.027 (0.006) B 0.034 (0.005) B 0.043 (0.002) B 0.431 (0.053) A Oxalate-P (%) 0.010 (0.008) C 0.036 (0.007) B 0.023 (0.004) BC 0.069 (0.007) A TOC (%) 4.57 (0.91) AB 2.77 (0.35) B 5.19 (0.56) AB 5.36 (0.47) A TN (%) 0.200 (0.043) B 0.061 (0.015) B 0.485 (0.051) A 0.153 (0.012) B PSIa 0.029 (0.003) B 0.072 (0.010) A 0.047 (0.003) B 0.029 (0.002) B Bulk densityb (g cm−3) 1.26 (0.05) B 1.68 (0.08) A 0.91 (0.10) C 1.20 (0.06) BC aPSI = P-saturation index = oxalate-P/(oxalate-Al + oxalate-Fe). b< 2 mm. Values are means (n = 8) and values in parentheses are standard errors of mean. Values with the same letters are not significantly different between sites (α =0.05). TABLE 1 | Soil physicochemical properties of replicates sampled in June 2018. The NaOH-EDTA extraction efficiency ranged from 33 to 75% of total soil P (Supplementary Table 2). The P not extracted by NaOH-EDTA is considered to be predominantly mineral-bound FIGURE 2 | Mean total soil phosphorus. Error bars are standard errors. Values with the same letter are not significantly different (α =0.05), n = 6 for granitic parent material sites and n = 5 for andesitic parent material sites. FIGURE 2 | Mean total soil phosphorus. Error bars are standard errors. Values with the same letter are not significantly different (α =0.05), n = 6 for granitic parent material sites and n = 5 for andesitic parent material sites. February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 6 Heron et al. Speciation of Soil P Forest Soil P Speciation and Availability FIGURE 3 | Organic and inorganic P in forest and meadow soils from andesitic and granitic parent materials determined by difference of H2SO4 extraction of non-incinerated and incinerated soils. Numbers within bars are percent organic P. FIGURE 3 | Organic and inorganic P in forest and meadow soils from andesitic and granitic parent materials determined by difference of H2SO4 extraction of non-incinerated and incinerated soils. Numbers within bars are percent organic P. inorganic P and not readily available to the soil solution or for biological cycling (Cade-Menun et al., 2015). in all samples, ranging from at 2.1–4.9% of NaOH-EDTA extracted P. Example P-NMR spectra are shown in Figure 4, the concentrations (and percentage of extracted P) are shown in Supplementary Table 3, the grouping of these P species into pools (total organic and inorganic P) and compound classes (total polyphosphates, etc.) are shown in Supplementary Table 4, and the chemical shifts of the identified P compounds are shown in Supplementary Table 5. The concentrations of the main P compound classes within each ecosystem and parent material type are shown in Figure 5. The percentage organic P determined by P-NMR on the soil extracts was directly correlated with the percentage determined using incineration and H2SO4 extraction (r2 = 0.95, Supplementary Figure 1). For all soil types, all the major organic P compound classes were identified: phosphonates, orthophosphate monoesters (hereafter called monoesters), and orthophosphate diesters (hereafter called diesters). The phosphonates included several different peaks (Supplementary Table 5), indicating that a number of different compounds were present, but these were not specifically identified. Concentrations of phosphonates ranged from 1.4 to 10.3 mg kg−1 (0.7–4.9% of extracted P) and were generally higher in meadows than forests. Inorganic P compounds identified in the NaOH- EDTA extracts by NMR include orthophosphate, pyrophosphate, and polyphosphates. Pyrophosphate and polyphosphates were grouped together as total polyphosphates (Supplementary Table 4), and all three were summed together as inorganic P (Supplementary Table 4, Figure 5). For all soils, orthophosphate was the dominant inorganic P form, and for forest soils developed on both parent materials it comprised the majority of P in the NaOH-EDTA extracts (71.2–84.7% for granitic forests; 51.7–69.3% for andesitic forests). In contrast, the percentages and concentrations of all inorganic P compounds were much lower in meadow soils developed on both parent materials, averaging 21% of extracted P (Figure 5). Frontiers in Forests and Global Change | www.frontiersin.org Speciation of Soil P There were no clear trends among the ecosystem and parent material soil types for pyrophosphate or polyphosphates, which were present Monoesters identified in the P-NMR spectra included four stereoisomers of inositol hexakisphosphate (IHP): myo- IHP (phytate), scyllo-IHP, neo-IHP, and D-chiro-IHP. Of these, myo-IHP was the predominant P form and was generally more abundant in meadows than forests. For most of the soil samples, myo-IHP exceeded the sum of the other three stereoisomers. Other specifically identified monoesters were glucose 6-phosphate (0.6–2.1% of extracted P), choline phosphate (0.3–1.3%), α-glycerophosphate (0.3–2.8%), β-glycerophosphate (0.7–5.7%), nucleotides (1.3–12.8%), and an unidentified peak at ∼5 ppm, which was present in all Frontiers in Forests and Global Change | www.frontiersin.org February 2021 | Volume 3 | Article 604200 7 Forest Soil P Speciation and Availability Heron et al. FIGURE 4 | NMR spectra from NaOH-EDTA extracts of forest and meadow soils from the granitic site. FIGURE 4 | NMR spectra from NaOH-EDTA extracts of forest and meadow soils from the granitic site. soils, cMonester was 50.3% (107 mg kg−1), cDiester was 25.8% (52.1 mg kg−1), and phosphonates were 3.0% (5.6 mg kg−1). In forest soils, cMonester was 15.7% (42.5 mg kg−1), cDiester was 8.5% (22.2 mg kg−1), and phosphonates were 1.3% (3.4 mg kg−1). The ratio of cMonesters to cDiesters was over 1 for all soils, indicating that monoesters were the dominant P compound class in both ecosystems. In meadow soils, total IHP concentrations comprised about one third of the cMonoesters 17.3% (33.5 mg kg−1) but were half of the cMonoesters in forest soils 7.7% (20.9 mg kg−1). samples at 0.7–9.2% of the extracted P. Although peaks for α-glycerophosphate, β-glycerophosphate, and nucleotides are present in the monoester region of spectra, they originate during NaOH-EDTA extraction and P-NMR analysis as a result of degradation of diesters in the original soil samples (Cade-Menun, 2015; Schneider et al., 2016). Thus, the peak areas from these compounds were subtracted from the monoester peak areas and included with the diesters. Peaks representing diester compounds were separated into DNA (0.5–5.9%), Diester 1 (2.33 to −0.27 ppm, 0.6–8.7%), and Diester 2 (−0.9 to −3.72 ppm, 0.2–3.4%). The Diester 1 region included phospholipids and lipoteichoic acids, while the compounds in the Diester 2 region have not been specifically identified. The proportions and concentrations of P in these three diester regions were generally greater in meadows than forests for both parent materials. Speciation of Soil P Total diesters (cDiesters), calculated by including the degradation compounds from the monoesters, confirmed that the percentages of cDiesters were greater in meadows than forests, and concentrations were greater in andesitic forests and meadows than the granitic forests and meadows, respectively (Supplementary Table 4, Figure 5). Frontiers in Forests and Global Change | www.frontiersin.org Effects of Parent Material and Ecosystem on Extractable P In evaluating the extractable P concentrations, main effects were calculated as well as interactions (Supplementary Table 6). For all the WEP and B1P extractions, there were crossover interactions between parent material and ecosystem type (Supplementary Figure 3). Thus, the effect of ecosystem should be interpreted in context of parent material, and vice versa. The mean total WEP (WEPTotal) concentrations from all the paired interactions (parent material within ecosystem type and ecosystem type within parent material type) were significantly different from each other (Supplementary Table 6). The granitic forest soils had the greatest mean WEPTotal The average of the replicate NMR results (Figure 5) shows that in the meadow soils the three major organic P compound classes were greater in concentration than in the forest soils. In meadow February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 8 Forest Soil P Speciation and Availability Heron et al. FIGURE 6 | Estimated marginal means for water extractable P (WEP) (bottom), Bray 1 extractable P (B1P) (middle), and microbial biomass P (MBP) (top) from soil samples from the different ecosystem and parent material sites. WEP and B1P extract subscripts indicate total solution P, molybdate reactive P (MR), and molybdate unreactive P (MU). Error bars are the standard errors. FIGURE 5 | Mean P species in soils measured using 31-NMR analysis of NaOH-EDTA extracts of soils. The monoester and diester values were corrected for degradation (denoted with “c” prefix). Inorganic P is the sum of the inorganic orthophosphate and polyphosphate compounds. FIGURE 5 | Mean P species in soils measured using 31-NMR analysis of NaOH-EDTA extracts of soils. The monoester and diester values were corrected for degradation (denoted with “c” prefix). Inorganic P is the sum of the inorganic orthophosphate and polyphosphate compounds. concentration of the four ecosystem-parent material types (Figure 6). The andesitic forest soils had the lowest mean WEPTotal concentration. WEPMU comprised the largest fraction of WEP (Supplementary Table 6) in all ecosystem-parent material types. This suggests that most of the WEP exists as soluble organic P compounds or as inorganic P complexed to colloids instead of as dissolved phosphate. FIGURE 6 | Estimated marginal means for water extractable P (WEP) | g ( ) (bottom), Bray 1 extractable P (B1P) (middle), and microbial biomass P (MBP) (top) from soil samples from the different ecosystem and parent material sites. Effects of Parent Material and Ecosystem on Extractable P WEP and B1P extract subscripts indicate total solution P, molybdate reactive P (MR), and molybdate unreactive P (MU). Error bars are the standard errors. The mean total B1P concentration from the granitic forest soils was more than 10 times greater than the mean B1P concentration from the other soils (Figure 6). The B1P concentrations at the two forest soils were significantly different, as were the meadow to forest comparisons (Supplementary Table 6). However, the B1P from the andesitic meadow and granitic meadow soils were not significantly different. Most of the B1P was molybdate reactive P (Supplementary Table 6), suggesting B1P was predominantly inorganic P extracted from the soil. TABLE 2 | Meana WEP and WEPMR extract concentrations from composite samples of the O horizons from the forested sites. Granitic forest Andesitic forest WEPMR WEP WEPMR WEP mg kg−1 mg kg−1 mg kg−1 mg kg−1 Oi 184 254 - - Oe 73.8 111 107 159 aMean of five subsamples from field composite samples. Relative standard deviations of the replicate analyses were between 1 and 6%. The mean MBP concentrations for the meadow soils were approximately seven times more than the mean MBP concentrations from the forest soils (17.4 mg kg−1 compared to 2.55 mg kg−1, Supplementary Table 6). All paired comparisons for the interactions were significantly different. The andesitic meadow soils had the greatest MBP concentrations, followed by the granitic meadow soils (Figure 6). Parent Material Effects on Soil P Thus, for the granitic forest soils in Lake Tahoe, the decreased TP concentration is both due to the decreased parent material rock-P inputs and export of available P out of the soil. Since the meadow soils are depositional environments, the TP concentrations in these soils reflect the parent material trends as well: andesitic meadows have more TP than granitic meadows. But differences in labile P are not as great as the differences between the forest soils. Thus in the meadows, other ecosystem processes are more important in controlling the availability of the soil P. Soil P sorption capacity is related to clay minerals and iron and aluminum oxides (Gerard, 2016). The andesitic forest soils had the lowest sand content and the highest concentrations of amorphous iron hydroxides and aluminosilicates (Table 1), suggesting that P adsorption on mineral surfaces will be strong in these soils (Khare et al., 2005; Redel et al., 2008). Phosphorus complexed as Al or Fe-organic matter ternary complexes are also common in andesitic soils (Gerke and Hermann, 1992; Gerke, 2010). Oxalate-extractable P was positively correlated to oxalate extractable Fe, Al, and Si (r = 0.82, 0.85, 0.82, respectively; Supplementary Figure 2) and the highest concentrations of oxalate-extractable P were in the andesitic forest soils (Table 1), confirming the relation of the soil P to the andesitic soil minerals. g Sorption capacity will influence both inorganic and organic P forms. Total organic P in the Lake Tahoe soils does not appear to be related to the parent material, beyond the differences in TP already discussed, and is clearly more influenced by ecosystem (Figure 3; Supplementary Table 2). For specific organic P forms, correlations of concentrations of myo-IHP and other IHP stereoisomers with concentrations of oxalate-extractable Fe and Al have been widely reported for soils and are thought to demonstrate the sorption of these compounds to amorphous iron hydroxides and aluminosilicates (Jorgensen et al., 2015; Nelson et al., 2020). The average of the percentage of total extracted IHP (Supplementary Table 4) for the eight granitic soils was similar to that for the four andesitic soils (13.1 and 11.3% respectively), while the average concentrations of total IHP in andesitic soils were double those of the granitic soils (41.2 vs. 20.2 mg kg−1). The same trend was also observed for DNA and the general Diester 1 category (Supplementary Table 3). Parent Material Effects on Soil P Parent Material Effects on Soil P The WEP and WEPMR concentrations from composite O- horizon samples are shown in Table 2. The less decomposed Oi composite sample from the granitic site had greater WEP concentrations than the Oe sample. Total P concentrations in unfertilized soils are typically linked to P content of the parent material, which is the source of P and is also an important control of soil mineralogy that February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 9 Forest Soil P Speciation and Availability Heron et al. affects P retention (Gardner, 1990; Porder and Ramachandran, 2013; Hahm et al., 2014). The granitic Meeks Meadow soils developed on granodiorite eroded from glacial till and outwash, while the andesitic soils at Paige Meadow developed on glacial deposits of eroded basaltic and andesitic volcanic rock. In a database of P concentrations of common rock types, mean total P concentrations of granodiorite and granite are 810 and 568 mg kg−1, respectively, while mean total P concentrations of basalt, andesite, and basaltic-andesite are 1,304, 1,150, and 1,551 mg kg−1 (Porder and Ramachandran, 2013). Total P concentrations in Tahoe soils developed in andesitic parent materials were over two times greater than in soils developed in the granitic parent materials (Figure 2), which is consistent with expected differences based on parent material. andesitic meadow is in a depositional environment collecting eroded soils transported from surrounding landscapes. In addition, the hydraulic conditions and vegetative community dynamics of the meadow create pedogenic processes that can overshadow the andic soil properties. Thus, the meadow soil has less andesitic parent material influences, even though it is within a predominantly andesitic parent material landscape. The A horizon in the andesitic forest soils is only 6 cm thick, and thus some of the soil properties in the 15 cm cores sampled from this site were impacted by Bw horizon material (Supplementary Table 1). At nearly all of the other sites, except one andesitic meadow profile, A horizons are more than 15 cm thick, and thus the cores represent the pedogenic horizons. Parent Material Effects on Soil P The inclusion of Bw material in the andesitic forest soil sample may have contributed to its distinct properties as compared to the other soil cores; however, the mineral properties of this sample as measured by the oxalate extractable Fe, Al, and Si (Table 1) are indicative of andic soils, which have high concentrations of poorly crystalline aluminum and iron oxides in both the surface and subsurface horizons. Thus, the andesitic soil samples, while composed of A and B horizon soils, have mineral properties that are indicative of the andesitic parent materials from which the soils developed and the soil P properties from this sample are indicative of the top 15 cm of the soil. In addition to P inputs from parent materials, other P inputs and losses from the soil also affect soil TP concentrations. Phosphorus released from parent material by weathering is taken up by plants and microbes and converted to other P forms and can also be leached out of the soil profile. It has been noted that total P concentrations in forest soils decrease over time (Yang and Post, 2011; Deiss et al., 2018; Nelson et al., 2020). There are no clear trends for WEP, B1P, or MBP concentrations between the granitic or andesitic watersheds (Figure 6, Supplementary Table 6). However, there were significant differences for WEP, B1P, and MBP when the interaction of parent material type and ecosystem were considered (Supplementary Figure 3). The granitic forest soils had much greater WEP and B1P concentrations than the andesitic forest soils, despite having lower TP concentrations. This suggests greater P availability, or more labile P, in the granitic forest soils than in the andesitic forest soils. The labile P is available to either efflux out of the soil or be taken up by plants, thus causing a decrease in TP concentration in the soil. Johnson et al. (1997) reported significantly higher concentrations for a B1P-type extraction from andesitic forest soils than granitic forest soils at other locations in the Lake Tahoe Basin, but did not report concentrations for other P pools such as TP. Brödlin et al. (2019a) observed that in sandy soils derived from glacial- till parent materials in a European deciduous forest, greater P leaching occurred than in soils derived from volcanic rock. Frontiers in Forests and Global Change | www.frontiersin.org Ecosystem Type and Soil P Different species of plants and even the same species of plants growing under different soil fertility conditions will contribute different P species (Noack et al., 2014) that can change with depth in the soil profile (Nelson et al., 2020). Mycorrhizal association may also greatly influence P cycling. The ectomycorrhizal fungi found in forests will produce more phosphatases than endomycorrhizae associated with meadow plants (Plassard et al., 2011; Margalef et al., 2017). They will also produce organic acids such as oxalate (Plassard et al., 2011). These will desorb both inorganic and organic P, and both organic acids and phosphatases may need to be present simultaneously to mineralize organic P (Giles et al., 2018). This could also account for the reduced organic P concentrations in these forests compared to meadows. In meadows, high seasonal water tables can have a significant impact on soil properties that influences P cycling. This, combined with high organic C concentrations, can mask the influence of mineralogy on labile P (Sah et al., 1989; Johnston et al., 1995). Sah et al. (1989) observed that C availability controlled P availability in wetland soils: when total organic C concentration exceeded 0.8%, it promoted the reduction of ferric (Fe3+) oxides, which decreased sorption capacity of the soil for P. Alternatively, during periods of flooding, the precipitation of ferrous iron-phosphate minerals such as vivianite may occur (Zhang et al., 2003; Heiberg et al., 2010; Rothe et al., 2016), which is less soluble upon drainage because the P remains occluded by oxidized iron-hydroxide minerals that form when the vivianite oxidizes (Sah and Mikkelsen, 1986b). The seasonal redox cycles that occur in wetland soils may decrease P leaching compared to unflooded soils, even after soils remained drained The vegetation from these ecosystems was not analyzed by P-NMR, so we cannot say with certainty the P forms input from plants. However, myo-IHP is widely recognized as a plant P compound (Condron et al., 2005). Other compounds may originate from plants or microbes or can be produced by alteration of plant-P compounds (Condron et al., 2005). In the soils of this study, microbial P (MBP) concentrations were greater in meadow soils than they were in forest soils. However, in coniferous forests, the majority of microbial activity and P cycling occurs in the O horizon, associated with the hyphal mat of ectomycorrhizal fungi at the soil-organic matter interface (Plassard et al., 2011; Nelson et al., 2020). Ecosystem Type and Soil P y yp Although TP concentration did not differ between ecosystem types at the two different parent material watersheds, total organic P measured by the incineration method was substantially greater in meadow soils than forest soils (85.5 vs. 36.2%, averaging data from Figure 3). The same trend was observed for total organic P determined by P-NMR, even though the recovery of total P was lower in NaOH-EDTA extracts from meadow soils (40.8%) than forest (61.9%, averaging data in Supplementary Table 2), which could underestimate inorganic P. Chiu et al. (2005) measured P-NMR spectra in NaOH- EDTA extracts from subalpine grassland and forest soils and observed a similar fractionation of inorganic and organic P forms between the two ecosystems. In addition to differences in total organic P, P-NMR revealed differences in P forms and compound classes between the two ecosystem types (Figure 3, Supplementary Table 4). Another possible cause of the MBP increase in the meadow soils compared to the forest soils is the increase in N availability in the meadow soils (Table 2). Microbes mineralize organic P for microbial uptake using phosphatase enzymes, which require N for production (Vitousek et al., 2010; Marklein and Houlton, 2012). Total N and MBP were significantly correlated (r = 0.81) (Supplementary Figure 3). Thus, the occurrence of sufficient N availability for phosphatase generation in the meadows facilitates degradation of organic P compounds, and subsequently, the biologically available P can be immobilized by microbes. Soil moisture may also play a factor, with greater moisture in the meadows increasing microbial activity. The forest and meadow ecosystems differ in vegetation, elevation, and slope position, all of which influence P cycling. The plant species in the meadows have above and below-ground vegetation that can readily decompose compared to forests (Margalef et al., 2017). In forests, litter is deposited onto the forest floor and gets incorporated into an Oi horizon that decomposes to an Oe horizon. An Oi horizon with identifiable pine needles was observed in the granitic soil, but not the andesitic forest. This may be due to andesitic soil properties that increase soil moisture retention, which facilitates greater microbial decomposition rates and thus quicker breakdown of forest litter (Sun et al., 2017). Parent Material Effects on Soil P In acidic soils, adsorption of DNA occurs, and its NaOH-EDTA- extracted concentrations have been correlated with those of oxalate-extracted Fe and Al (Condron et al., 2005; Nelson et al., In the soils of the current study, soil properties were not clearly delineated by parent material alone. Soil pH was more closely related to ecosystem type than parent materials (Table 1), and concentrations of oxalate-extractable Al, Fe, Si and P, and sand content of the andesitic forest were significantly different from the andesitic meadow and the granitic forest and meadow (Table 1). The andesitic forest soil properties are due to the andesitic-parent material contributions, while the February 2021 | Volume 3 | Article 604200 10 Forest Soil P Speciation and Availability Heron et al. 2020). However, the Diester 1 category includes phospholipids and lipoteichoic acids, which do not sorb to soil minerals (Condron et al., 2005). The differences in concentrations of these compounds and compound classes are consistent with differences in total concentrations of P in the NaOH-EDTA extracts (Supplementary Table 2), which are consistent with total concentrations of soil P (Figure 2), so may simply reflect trends in total P rather than selective binding of P compounds. Availability of soil P controls P immobilization into microbial biomass (Olander and Vitousek, 2004; Yang and Post, 2011; Spohn and Widdig, 2017; Pistocchi et al., 2018). For example, Pistocchi et al. (2018) observed that during incubation of a deciduous forest soil with low available P, P cycling between soil and microbial biomass was conservative, while in soil with higher available P there was more exchange between microbial- bound P and inorganic soil P pools (i.e., mineral-bound P). Thus, in forest soils, when P availability exceeds biological demands, geochemical processes (adsorption and precipitation) predominate over immobilization by microbes (Olander and Vitousek, 2004); this implies that geochemical processes control P availability for leaching or root uptake in the mineral soil horizons. In the andesitic soils, the decreased labile P concentrations (Figure 6) inhibit microbial P fixation, causing low MBP. Aluminum toxicity is another cause of decreased MBP in the andic forest soils because high soluble Al concentrations inhibit microbial enzyme production, including phosphatase, thereby limiting P immobilization (Kunito et al., 2016). Labile Soil P and Potential Loss to Lake Tahoe Soil P buffering capacity is the degree to which soil can adsorb or release P from exchange sites to maintain dissolved P concentrations in the soil solution (Holford, 1997). Soils with larger total P reserves are considered to have greater buffering capacity to replenish P taken up by plants or leached out of the soil (Daly et al., 2015). An estimate of soil P buffering capacity is the P saturation index (PSI), which is calculated as concentrations of oxalated-extracted P divided by the sum of the oxalate-extracted Fe and Al (Schoumans, 2009). For the Lake Tahoe watershed soils, PSI was 0.029 and 0.072 for the granitic meadow and forest soils, and 0.047 and 0.029 for the andesitic meadow and forest soil (Table 1). Water-soluble P from leaf litter is an important source of labile P return to the soil (Uselman et al., 2012; Sohrt et al., 2019). In a separate study of soluble P from O horizons from Lake Tahoe Basin (unpublished data), nine samples were collected from forest and meadow sites near the Paige Meadow and Meeks Bay watersheds. WEP concentrations in these samples ranged from 54 to 209 mg kg−1 (mean = 122 mg kg−1, standard deviation = 45 mg kg−1), indicating that WEP concentrations in the O-horizon samples are highly variable throughout the two watersheds. Based on the two Oe composite samples (Table 2), molybdate-reactive P (inorganic P) was the predominant phase of WEP (67% in both the granitic and andesitic forests). The concentration of P from the composite Oi horizon sample from the granitic site was more than twice that of the Oe horizon sample, suggesting P is lost from the litter as it decomposes (Table 2). Of the extractants used in this study, WEP measures the most labile P, B1P extracts less labile P that is sorbed to the soil, and oxalate or NaOH-EDTA extract both labile P and P that is more tightly held by soil through either adsorption complexes, mineral-bound P, or larger organic P compounds. In all of the Lake Tahoe Basin soils, B1P concentrations were approximately an order of magnitude greater than WEP concentrations (Figure 6), suggesting a large amount of adsorbed P is released by the B1P extractant that is not released by water extraction. Ecosystem Type and Soil P This may account for difference in P forms and MBP concentrations between these ecosystems and would be consistent with the substantially higher WEP concentrations in O horizons (Table 2) than mineral soils in the forest. February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 11 Forest Soil P Speciation and Availability Heron et al. over 4 months (Sah and Mikkelsen, 1986a). In contrast, Gergans et al. (2011) proposed that excess sulfate in Tahoe Basin wetland soils facilitates production of iron sulfides during reducing conditions that make Fe unavailable when the soils re-oxidize to adsorb phosphate and organic P compounds, thus making soil P more available for continued leaching in these wetland soils. Based on the varying results of the studies discussed above, there are several factors that influence P speciation in Lake Tahoe Basin meadows, including seasonal flooding, high organic matter, and Fe biogeochemical transformations. These factors may be more important than parent materials for controlling P mobility. The presence of higher concentrations of phosphonates in meadow soils compared to forest soils is also consistent with higher moisture levels (Condron et al., 2005), and higher diester concentrations have also been reported for poorly drained soils compared to well-drained soils (Young et al., 2013). Analysis of the NaOH-EDTA soil extracts from the andesitic forests by P-NMR showed that 26–46% of the extracted P was organic P species (Supplementary Table 4). This organic P fraction in the andesitic soils may be slowly available to plants and microbes that release organic acids, which enhance P release through competitive exchange (Harrold and Tabatabai, 2006), and which may be synergistic with hydrolysis of organic P compounds by phosphatases (Giles et al., 2018). Most of the WEP in forests and meadow soils from Lake Tahoe was not reactive with molybdate blue chemistry (WEPMU) (Figure 6, Supplementary Table 6). The source of water-extractable organic P compounds are inputs from plants and soil microbes. The predominance of WEPMU from both forest and meadow soils in the Lake Tahoe Basin is a potential source of mobile P that most likely consists of organic P compounds (Worsfold et al., 2016). The labile organic P compounds can be transported to Lake Tahoe by vertical and lateral transport processes, especially during high intensity events that cause preferential flow through macropores, which are common in coniferous forest soils (Luo et al., 2019). Ecosystem Type and Soil P Organic P species have been reported in soil leachate, snowmelt runoff, and samples of river inlet and floodplain waters during flooding events (Toor et al., 2003; Cade-Menun et al., 2006; Wiens et al., 2019), and in water-extractable colloids from grasslands and forests (Missong et al., 2016; Jiang et al., 2017). Frontiers in Forests and Global Change | www.frontiersin.org Labile Soil P and Potential Loss to Lake Tahoe 49%) (Landfire, 2020), thus, vegetative P inputs to the soils should be similar in the two watersheds. However, based on the greater WEP and B1P concentrations in the granitic forest soils, P outputs to streams and groundwater are expected to be much greater from these systems; this is due to the lower sorption capacity of the soils that allows for a significant amount of P release in the extractions. Uhlig and von Blanckenburg (2019) estimated that P inventory of the forest litter in montane, temperate forest ecosystems can only sustain vegetative demand for a few decades, and that continuous release of P from parent rocks must occur to sustain forest growth. The different adsorption capacities of the andesitic and granitic soils in the Lake Tahoe forests can have a major influence on the timescales of P availability and its cycling between the forests, litter, and parent material. fraction in this study. Considering that organic P increases in the stream in the Lake Tahoe Basin during high-intensity events (Supplementary Figure 4), preferential-flow path loading is a likely scenario occurring in forest and meadow watersheds in the Lake Tahoe Basin. However, to explain the molybdate unreactive ratio of the stream water, there must be attenuation of the inorganic P as it moves through the preferential flow paths; otherwise the ratio of inorganic to organic P forms in the stream water would be more similar to the ratios in the O-horizon extracts. Alternatively, forest soils may be transporting P-laden water through preferential flow paths where P attenuation is minimal, but as the flow continues toward the streams, it is intercepted by riparian meadows that have fewer preferential flow paths, enhanced groundwater storage, and greater microbial activity that immobilizes orthophosphate, causing the soil water that exfiltrates into the streams to have a greater proportion of WEPMU than what is leached from the forest O horizons. A third mechanism of inorganic P attenuation that may enrich Lake Tahoe Basin stream waters with molybdate unreactive P is preferential adsorption of inorganic P within the stream on suspended particles eroded from soils. Since the highest total suspended solids occurs during high runoffevents, adsorption may be significant enough to alter the dissolved inorganic and organic solution composition during these periods. Labile Soil P and Potential Loss to Lake Tahoe Although a stronger P buffering capacity is expected in the andesitic forest soils, where the highest TP was observed, the lower PSI in these soils suggests there is excess P sorption capacity on high-adsorption affinity iron and aluminum oxides, thus causing the lower concentrations of labile P (WEP and B1P) as compared to the granitic forest soils. The B1P extractant apparently did not access the P in the andesitic soils that was either strongly adsorbed, had formed Al or Fe-P mineral phases with low solubility (Negrín et al., 1996), or was complexed as Al or Fe-organic matter ternary complexes, which are common in andesitic soils (Gerke and Hermann, 1992; Gerke, 2010). The NaOH-EDTA extracts removed a much greater amount of the total P than the B1P extracts (Supplementary Table 6) but were similar in concentration to those of oxalate-extractable P (Table 1). Thus, there appears to be a large reserve of P associated with iron oxide and allophane minerals in the andesitic forest soils that is not readily available for release to the soil solution. The Oe WEP concentration was ∼58 times greater than soil A horizon WEP concentration in the granitic forest soils, and 690 times greater than in andesitic forest soils. Miller et al. (2005) measured soluble P from O horizons of Lake Tahoe Basin forest soils using laboratory simulated precipitation and snowmelt leaching experiments and observed 46 mg kg−1 of soluble P leached from the less decomposed Oi horizon and 28 mg kg−1 from the more decomposed Oe horizon. The O horizons in the Miller et al. (2005) study came from Jeffrey and Sugar Pine forests in a granitic watershed. Although the Miller et al. (2005) water extraction methods were different than those used in this study, both the Miller et al. (2005) leaching experiment and this study’s granitic forest O-horizon samples (Table 2) have more water- soluble P in the minimally decomposed Oi horizons compared to the more decomposed Oe horizons. Approximately one-third of the WEP from the O horizon samples was WEPMU, which could be a considerable source of February 2021 | Volume 3 | Article 604200 12 Forest Soil P Speciation and Availability Heron et al. organic P mobilized into the soil and possibly to the surface water, depending on the organic P species and reactivity. Both the granitic and andesitic sites have a similar vegetative density (41 vs. Labile Soil P and Potential Loss to Lake Tahoe There are several sinks for WEP from forest litter: it can be taken up by plants and microorganisms for internal cycling; leached into the soil where it may adsorb, be immobilized, or further leached into ground water; or be transported offsite via surface runoffof dissolved P or eroded P-containing particles. Although concentrations of WEP in the O horizons are much greater than the soils, it is a much smaller total P pool in the ecosystem than soil P, which is large and stores much of the WEP leached into it from O horizons (Yang and Post, 2011). The high concentrations of soluble P in the Lake Tahoe Basin O horizon samples indicate that a large flux of available P can enter the soil. Much of this flux occurs during spring snowmelt. The fate of this O horizon-sourced P is a function of the characteristics of soil biological and physical properties and site hydrology. Because molybdate unreactive P (organic P) accounted for the majority of WEP from the Lake Tahoe Basin soils (Figure 6), it is likely the most vulnerable for transport as lateral flow during spring snowmelt or exfiltration from meadows, thereby increasing the P load in surface waters. The high concentrations of P released from litter suggests that forest management practices that remove timber and deposit deep layers of chopped fresh organic matter (mastication) to prevent erosion may be creating a potential source of P that can be leached into surface waters—at least in the short-term time it takes for the material to degrade. In watersheds with soils developed on granitic parent materials, this would be especially problematic. A beneficial focus of future research would be an examination of the speciation of P in the forest O horizons and comparison to P forms in both forest and meadow soils, as well as measurement of soil and stream water samples for P-species composition. Additionally, evaluation of the subsoil deeper than 15 cm should be done to account for how P reactions influence leaching through the deeper soil profile. Ohara et al. (2011) recorded that more than 90% of field- observed hillslope drainage in a Lake Tahoe watershed occurred as subsurface lateral flow through the soil. Thus, soil reactions are important processes controlling P transport to surface waters, which would be especially high during periods of continuous snowmelt. Labile Soil P and Potential Loss to Lake Tahoe These processes are impacted by the species of soluble P in the soils, which both the soil extractions and soil P-NMR analyses suggest are both inorganic and organic P species. When streams near our research sites experience peak discharge, molybdate-unreactive fractions make up 61– 67% of filterable (<0.45 µm) P [Supplementary Figure 4 (USGS, 2016)]. Therefore, molybdate-reactive and unreactive fractions in these nearby streams during snowmelt more closely reflect the WEP fractionation of soils (50–74% WEPMU; Supplementary Table 6) than WEPMU from O horizons (28–36%; Table 2). A possible explanation of this is that during high-flow periods, the inorganic (molybdate-reactive) P species are attenuated by forest and meadow soils leading to net exports of organic forms. Thus, the flowing solution reflects the WEPMU fraction leaching from the soil. Bol et al. (2016) conducted an extensive review of P fluxes in forested ecosystems and concluded that P loss as colloidal-organic P that is exported from soil profiles through macropores during high-intensity rainfall events is likely a critical factor in P export. Colloidal organic P would be included in the WEPMU Frontiers in Forests and Global Change | www.frontiersin.org REFERENCES Cade-Menun, B. J., He, Z. Q., Zhang, H. L., Endale, D. M., Schomberg, H. H., and Liu, C. W. (2015). Stratification of phosphorus forms from long-term conservation tillage and poultry litter application. Soil Sci. Soc. Am. J. 79, 504–516. doi: 10.2136/sssaj2014.08.0310 Anderson, B. H., and Magdoff, F. R. (2005). Relative movement and soil fixation of soluble organic and inorganic phosphorus. J. Env. Qual. 34, 2228–2233. doi: 10.2134/jeq2005.0025 Cade-Menun, B. J., and Lavkulich, L. M. (1997). A comparison of methods to determine total, organic, and available phosphorus in forest soils. Comm. Soil Sci. Plant Anal. 28, 651–663. doi: 10.1080/00103629709369818 Backnäs, S., Laine-Kaulio, H., and Klove, B. (2012). Phosphorus forms and related soil chemistry in preferential flowpaths and the soil matrix of a forested podzolic till soil profile. Geoderma 189, 50–64. doi: 10.1016/j.geoderma.2012.04.016 Cade-Menun, B. J., Navaratnam, J. A., and Walbridge, M. R. (2006). Characterizing dissolved and particulate phosphorus in water with P-31 nuclear magnetic resonance spectroscopy. Env. Sci. Tech. 40, 7874–7880. doi: 10.1021/es061843e Bol, R., Julich, D., Brödlin, D., Siemens, J., Kaiser, K., Dippold, M. A., et al. (2016). Dissolved and colloidal phosphorus fluxes in forest ecosystems: an almost blind spot in ecosystem research. J. Plant Nutr. Soil Sci. 179, 425–438. doi: 10.1002/jpln.201600079 Cade-Menun, B. J., and Preston, C. M. (1996). A comparison of soil extraction procedures for P-31 NMR spectroscopy. Soil Sci. 161, 770–785. doi: 10.1097/00010694-199611000-00006 Brödlin, D., Kaiser, K., and Hagedorn, F. (2019a). Divergent patterns of carbon, nitrogen, and phosphorus mobilization in forest soils. Front. Glob. Chang. 2:66. doi: 10.3389/ffgc.2019.00066 Campo, J., Jaramillo, V. J., and Maass, J. M. (1998). Pulses of soil phosphorus availability in a Mexican tropical dry forest: effects of seasonality and level of wetting. Oecologia 115, 167–172. doi: 10.1007/s004420050504 Brödlin, D., Kaiser, K., Kessler, A., and Hagedom, F. (2019b). Drying and rewetting foster phosphorus depletion of forest soils. Soil Biol. Biochem. 128, 22–34. doi: 10.1016/j.soilbio.2018.10.001 Casey, R. E., and Klaine, S. J. (2001). Nutrient attenuation by a riparian wetland during natural and artificial runoffevents. J. Env. Qual. 30, 1720–1731. doi: 10.2134/jeq2001.3051720x Cade-Menun, B., and Liu, C. W. (2014). Solution phosphorus-31 nuclear magnetic resonance spectroscopy of soils from 2005 to 2013: a review of sample preparation and experimental parameters. Soil Sci. Soc. Am. J. 78, 19–37. doi: 10.2136/sssaj2013.05.0187dgs Chiu, C. Y., Pai, C. W., and Yang, K. L. (2005). ACKNOWLEDGMENTS We appreciate assistance with NMR experiments by Alex Blumenfeld in the University of Idaho Chemistry Department, and assistance with O horizon water extractable P measurements by Tiffany Perez. CONCLUSION In soils in the Lake Tahoe Basin, P storage shifts from sorption on minerals in forests, to immobilization in microbial biomass in meadows. In forested hillslopes, adsorbed P may be gradually depleted if it is leached from the soil into ground and surface water. The degree of P depletion depends on the parent materials from which the soils developed (granitic vs. andesitic). In soils developed on andesitic parent materials, forest cycling of P is mediated by the high adsorption capacity of P on andic minerals, while in soils derived from granitic parent materials the increased resistance to weathering creates coarser-textured soils and fewer February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 13 Forest Soil P Speciation and Availability Heron et al. SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/ffgc.2020. 604200/full#supplementary-material The original contributions presented in the study are included in the article/Supplementary Material, further inquiries can be directed to the corresponding author/s. FUNDING This work was supported by AFRI program (Grant No. 2016- 67020-25320/project accession no. 1009827) from the USDA National Institute of Food and Agriculture. This work was supported by AFRI program (Grant No. 2016- 67020-25320/project accession no. 1009827) from the USDA National Institute of Food and Agriculture. AUTHOR CONTRIBUTIONS soil clays, causing a decreased P adsorption capacity. As a result, granitic soils have greater potential P mobilization into groundwater and lateral runoffinto surface waters. TH conducted the research and reported it as part of a MS thesis at the University of Idaho. DS is the corresponding author and led all aspects of the research and writing of this manuscript. MD, CD, EB, and CG designed the research and assisted with experiments and data interpretation. BC-M conducted NMR data analyses and interpretation as well as helped interpret all of the experimental data. JP did the mixed-model statistical analyses of the data and consulted in data interpretation. AC assisted with conducting experiments and collecting and analyzing data. All authors contributed to writing and editing of the article and approved the submitted version. Organic P was a predominant water-extractable fraction from all soils. Total organic P concentration was greater in meadow soils than forest soils, and in all soils of this study, orthophosphate monoesters were the main organic P compound class, even after correcting for diester degradation during analysis. The organic P compounds in the soils can be leached into the surface waters. Once in the surface water, mineralization of the organic P compounds can make phosphate available to aquatic organisms, causing surface water quality degradation. Results from this study provide insights into speciation of P in forest and meadow soils and show the importance of parent materials on P availability. 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Worsfold, P., McKelvie, I., and Monbet, P. (2016). Determination of phosphorus in natural waters: a historical review. Anal. Chim. Acta 918, 8–20. doi: 10.1016/j.aca.2016.02.047 TRPA (2015). “2015 Threshold Evaluation Report”, (ed.) Tahoe Regional Planning Agency. Frontiers in Forests and Global Change | www.frontiersin.org Copyright © 2021 Heron, Strawn, Dobre, Deval, Brooks, Piaskowski, Gasch, Crump and Her Majesty in Right of Canada as represented by the Minister of Agriculture and Agri-Food Canada. 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. REFERENCES Terrestrial phosphorus limitation: mechanisms, implications, and nitrogen-phosphorus interactions. Ecol. Appl. 20, 5–15. doi: 10.1890/08-0127.1 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. 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. Voroney, R. P., Brookes, P. C., and Beyaert, R. (2008). “Soil Microbial Biomass C, N, P and S,” in Soil Sampling and Methods of Analysis, eds. M.R. Carter and E.G. Gregorich. (Boca Raton, FL: CRC Press), 637–651. Copyright © 2021 Heron, Strawn, Dobre, Deval, Brooks, Piaskowski, Gasch, Crump and Her Majesty in Right of Canada as represented by the Minister of Agriculture and Agri-Food Canada. 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 Heron, Strawn, Dobre, Deval, Brooks, Piaskowski, Gasch, Crump and Her Majesty in Right of Canada as represented by the Minister of Agriculture and Agri-Food Canada. 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. Wang, Y. T., Zhang, T. Q., Hu, Q. C., Tan, C. S., O’Halloran, I. P., Drury, C. F., et al. (2010). Estimating dissolved reactive phosphorus concentration in surface runoffwater from major Ontario soils. J. Env. Qual. 39, 1771–1781. doi: 10.2134/jeq2009.0504 Wiens, J. T., Cade-Menun, B. J., Weiseth, B., and Schoenau, J. J. (2019). Potential phosphorus export in snowmelt as influenced by fertilizer placement method in the Canadian prairies. J. Env. Qual. 48, 586–593. doi: 10.2134/jeq2018.07.0276 February 2021 | Volume 3 | Article 604200 Frontiers in Forests and Global Change | www.frontiersin.org 17
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Circles within circles: crosstalk between protein Ser/Thr/Tyr-phosphorylation and Met oxidation
R. Shyama Prasad Rao
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© 2013 Prasad Rao et al.; licensee BioMed Central Ltd. This is an open access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Abstract Background: Reversible posttranslational protein modifications such as phosphorylation of Ser/Thr/Tyr and Met oxidation are critical for both metabolic regulation and cellular signalling. Although these modifications are typically studied individually, herein we describe the potential for cross-talk and hierarchical regulation. Results: The proximity of Met to Ser/Thr/Tyr within the proteome has not previously been addressed. In order to consider the possibility of a generalized interaction, we performed a trans-kingdom sequence analysis of known phosphorylation sites in proteins from bacteria, fungi, plants, and animals. The proportion of phosphorylation sites that include a Met within a 13-residue window centered upon Ser/Thr/Tyr is significantly less than the occurrence of Met in proximity to all Ser/Thr/Tyr residues. Met residues are present at all positions (-6 to +6, inclusive) within the 13-residue window that we have considered. Detailed analysis of sequences from eight disparate plant taxa revealed that many conserved phosphorylation sites have a Met residue in the proximity. Results from GO enrichment analysis indicated that the potential for phosphorylation and Met oxidation crosstalk is most prevalent in kinases and proteins involved in signalling. Conclusion: The large proportion of known phosphorylation sites with Met in the proximity fulfils the necessary condition for cross-talk. Kinases/signalling proteins are enriched for Met around phosphorylation sites. These proteins/sites are likely candidates for cross-talk between oxidative signalling and reversible phosphorylation. Circles within circles: crosstalk between protein Ser/Thr/Tyr-phosphorylation and Met oxidation From Tenth Annual MCBIOS Conference. Discovery in a sea of data Columbia, MO, USA. 5-6 April 2013 Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 * Correspondence: Jan.Miernyk@ars.usda.gov 1Department of Biochemistry, University of Missouri, Columbia, MO 65211, USA Full list of author information is available at the end of the article PROCEEDINGS Open Access Open Access Background at least potentially in the absence of de novo protein synthesis [3,8]. The proteome includes the combination of at least three components; genome-encoded proteins, the products of alternative initiation and splicing, and of posttranslational modifications (PTM). This combination is orders of mag- nitude larger than could be solely genome-encoded [1]. The diversity of PTM is extraordinarily large; to date as many as 435 different PTMs are known [2-5]. They can be reversible (e.g., acetylation) or irreversible (e.g., pro- teolytic cleavage), enzyme catalysed (e.g., kinase-mediated phosphorylation) or the result direct chemical reaction (e.g., oxidation), and individual or combinatorial [6,7]. In toto, these factors comprise a well-adapted basis for signalling, regulation, targeting, and interaction, all Among PTM, reversible phosphorylation has been the most extensively studied [9-11]. This is in part because reversible phosphorylation is a component of both cellu- lar signalling [8,12] and direct regulatory control of pro- tein function [13-15]. Protein phosphorylation can be stoichiometric at an individual site, or combinatorial and sequential/hierarchical at multiple sites [16,17]. During the ‘genomic era,’ an enormous number of dif- ferent protein kinases and phospho-protein (P-protein) phosphatases were identified, and reversible protein phosphorylation has been shown to be involved in regu- lating many fundamental cellular processes. It has been reported that the combination of genes encoding protein kinases and P-protein phosphatases constitute between 2 and 4% of the total number of genes in a typical eukaryotic genome [18]. Saccharomyces cerevisiae has * Correspondence: Jan.Miernyk@ars.usda.gov 1Department of Biochemistry, University of Missouri, Columbia, MO 65211, USA Full list of author information is available at the end of the article SA ll list of author information is available at the end of the article Page 2 of 11 Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 genes for 113 protein kinases while the Homo sapiens has 518 such genes [19]. The genome of the reference dicot plant Arabidopsis thaliana includes genes encod- ing 1055 protein kinases [19] and 112 P-protein phos- phatase catalytic subunits [20]. Clearly, this PTM is ubiquitous across all branches of the tree of life [21]. confirmed phosphorylation (Ser/Thr/Tyr) site informa- tion was obtained from multiple databases [21,57]. Plant-specific phosphorylation site data was obtained from P3DB [58]. Our aim was to explore the proportion of phosphorylated (and potentially phosphorylatable) sites that contain a Met residue within 13 residue win- dow in different taxa. Sequence analyses The proportion of Ser/Thr/Tyr sites that include at least one Met-residue in a window ranging up to 21-residues was scanned. As most known phosphorylation motifs are less than 13-residues in length [62], a 13-residue window (six residues either side of the phosphorylation site) was selected for our analyses. Amino acid frequencies for individual proteomes were computed. Amino-terminal Met-residues were discounted in both calculations of Met frequency and sequence-distribution analyses. The hydro- pathy score for each site (Ser/Thr/Tyr centered in a 13-residue window; the phosphorylation site itself was not included) was calculated using the Kyte-Doolittle scale [57,63]. It was recently suggested that reversible Met oxidation might serve as a rheostat to control proximal Ser/Thr/ Tyr phosphorylation [50,51], and that this could be a mechanism for integrating information from both meta- bolic and ROS-based signalling pathways [52,53]. How- ever, it is not known how often phosphorylation sites contain Met residues in their proximity. It is important to identify candidate proteins with coupled Met oxidation and phosphorylation sites. The results described herein are from a study undertaken to test the possibility that phosphorylation and Met oxidation crosstalk has a broad occurrence. In order to evaluate the extent of conservation of phos- phorylation sites that contain a Met, and to identify candidate proteins for Phos-Met oxidation crosstalk in plants, a PSI-BLAST search was conducted for Arabidop- sis thaliana, Glycine max, and Oryza sativa proteins that include a Met-residue within the 13-residue phosphoryla- tion-site window. Proteins from these three taxa account for ~90% of known phosphorylation sites in plants. The results were used to identify related sequences in five additional proteomes (Pinus taeda, Selaginella moellendorffii, Physcomitrella patens, Chlamydomonas reinhardtii, and Cyanidioschyzon merolae), using a signifi- cance E-value cutoff of 0.00001. The total number of phosphorylation sites with Met-conservation was then calculated among the eight disparate taxa. Additionally, the proportion of hydrophobic residues (Met/Leu/Ile/Val/ Phe/) was enumerated for each phosphorylation site. Phosphorylation site predictions Phosphorylation sites were predicted for complete pro- teomes using Musite [59], NetPhosBac [60], or Disphos [61]. Predictions were based on taxa-specific Ser/Thr/Tyr models at 95% specificity for the respective proteomes. Predictions were made to compare the differences, if any, between the proportion of Met residues in the vicinity of experimentally known phosphorylation sites and pre- dicted phosphorylation sites. In addition to Ser/Thr/Tyr phosphorylation and Met oxidation, other common reversible PTMs include Ser/ Thr O-glycosylation [37], Lys/Arg methylation [38], and Lys acetylation [39]. There are examples of each directly regulating protein activities as well as playing roles in cellular signalling [40-43]. While a single PTM can modulate protein function, combinatorial and sequen- tial/hierarchical interplay among two or more types of PTM can integrate signals from multiple pathways [6,44,45]. Dynamic interactions among PTM can take place at the same target residue [5,46], or there can be cross-talk between or among multiple residues [47,48]. In some instances the PTM of a specific residue can require a prior (primed) PTM at another site [6,17,49]. Background We used sequences and sites from several species of plants, yeast, animals, bacteria, and archaea (Additional file 1). Because Met oxidation is an aerobic process, we also included species that have an anaerobic metabolism/lifestyle such as Bacteroides fragilis, Clostridium botulinum, and Ascaris suum. Reactive oxygen species (ROS) are an inevitable conse- quence of aerobic metabolism [22-24]. High levels of ROS cause oxidative damage to proteins, which is lethal unless repaired or reversed [25,26]. In contrast, low levels of ROS have evolved functional roles in many aspects of cellular signalling [27-29]. The reversible che- mical oxidation of Met to methionine sulfoxide (MetSO) spans the two extremes in response to ROS. Oxidation of Met to MetSO can damage/inactivate proteins, but because this PTM is enzymatically reversible [30,31] it can participate in the types of regulation [32] and sig- nalling [33,34] typified by reversible phosphorylation. Met oxidation is a particularly important component of cellular responses to oxidative stress [35,36]. Proteome sequences and phosphorylation sites Proteome sequences and phosphorylation sites Proteome sequences and phosphorylation sites In order to consider our analysis of potential crosstalk in as broad a context as possible we have employed a data- mining strategy. Selected reference proteome or com- plete proteome sequences were downloaded from Uni- prot [54], NCBI [55], or TAIR [56]. Experimentally Page 3 of 11 Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Gene ontology enrichment analysis predicted) including a Met was significantly less (p ~ 0, Z-test for two proportions) compared to proteome-wide Ser/Thr/Tyr sites. Proportionally, Tyr sites contain more Met than Ser and Thr sites in eukaryotes. The apparent deviation from this pattern seen with archaeal and bac- terial proteins can likely be attributed to the small total number of phosphorylated sites in these organisms. Pro- teome specific proportions within individual taxa are shown in Additional file 1. A gene ontology (GO) term-enrichment analysis was performed for proteins that contain at least one known phosphorylation site including a Met within our specified ± 6-residue window, using the agriGO webserver [64] for A. thaliana or the g:Profiler webserver [65] for S. cerevi- siae and H. sapiens. A hypergeometric test (with Bonfer- roni correction for multiple comparisons) was used to select significantly enriched (p < 0.05) terms [64,65]. A log2 ratio of numbers of each significantly enriched GO term in the test set (phosphoproteins that have Met residues in the vicinity of phosphorylation site) to back- ground set (all phosphoproteins) was calculated. All data analyses were performed using Python ver. 2.7. A Z-test was used to calculate the difference between two group proportions; p < 0.05 was considered significant. The overall positional distribution of Met in the proteome of eukaryotic organisms is nearly uniform. In Figure 3 we have plotted the distribution of Met within the ± 6 residue window centered on; any amino acid ("non-STY”), Ser, Thr, or Tyr (STY), or P-Ser, P-Thr, or P-Tyr (Phospho-STY). The distribution of Met flanking P-Tyr residues is enriched at positions -4, -3, and +5 in plant proteins, and to a lesser degree at position +3 in all but yeast proteins. Considering the large sample size, the position-specific proportional differences are significant (p ~ 0, c2 test for independence). In contrast, the appar- ent enrichment of Met at several positions in bacterial or archaeal proteins is based upon much smaller sample numbers and is not significant. Results In eukaryotes, Tyr sites contain proportionally more Met compared to Ser and Thr sites. The large deviation from the otherwise ‘normal’ pattern seen with bacteria and archaea is likely due to the small number of phosphorylated sites. Figure 2 The percentage of Ser/Thr/Tyr sites (individually from left to right in each group) including a Met residue within ± 6 window in different taxa. On average, phosphorylated sites contain less Met compared to all Ser/Thr/Tyr sites in proteomes. In eukaryotes, Tyr sites contain proportionally more Met compared to Ser and Thr sites. The large deviation from the otherwise ‘normal’ pattern seen with bacteria and archaea is likely due to the small number of phosphorylated sites. positions -1 and +3 from a P-Tyr residue (Additional file 2). Overall distribution of hydrophobic residues in the ± 6 window of prokaryotic and archaeal proteins is quite uneven, but it must be considered that the total number of phosphorylation sites in these proteins is much lower than in eukaryotic proteins (e.g., E. coli has been reported to have only 32 P-Tyr-containing proteins and two tyrosine-kinases [66]. potentially conserved P-Ser/Thr/Tyr sites which include a Met residue is presented in Additional file 3. The extent of Met positional-conservation is presented as a heat map in Figure 5A. Several sites with a “high degree” of positional conservation for Met (≥6/8 homologs) were detected. At higher Met conservation, most of the non- Met containing remaining sequences have a hydrophobic (Val/Ile/Leu/Phe) residue at that position (Figure 5B). ( ) p ( g ) The proteins that contain an experimentally verified phosphorylation site with a vicinal Met show significant enrichment (p < 0.05, hypergeometric test) for many GO terms when the Met is conserved (panel A ≥7, B ≥6, C ≥5 and D ≥4) in eight disparate plant taxa (Figure 6). Many significant GO terms are enriched several-fold; kinase activity (GO:0004712), for example. However, as the Met conservation level decreases the GO term enrichment also decreases until it is no longer signifi- cant when compared to the background of total phos- phoproteins. The results from GO term analysis indicate that Met and phosphorylation site cross-talk is likely to be more prevalent in kinases and various stress-related proteins (Figure 6). y We conducted GO analysis of the sequences of all the plant, yeast, and animal proteins that have a Met- containing phosphorylated-site, in order to test for enrich- ment in functional domains/motifs. Results Evaluating the translated proteome from diverse taxa, it is clear that Met belongs to the group of relatively low- abundance amino acids along with Cys, His, Trp, and Tyr (Figure 1). In plants, yeast, and animals Ser has a relatively high abundance, and Thr is of intermediate abundance in all taxa. The low Met abundance is in contrast to the other members of the hydrophobic group (Leu, Ile, Val, and Phe) all of which are moder- ately to highly abundant. The patterns are somewhat more complex when com- paring the distribution of other members of the hydro- phobic amino acid homology group (Leu, Ile, Val, and Phe) within the ± 6 residue window used to evaluate Met distribution (Additional file 2). With few excep- tions, plant, yeast, and animal proteins have a lower occurrence of a hydrophobic residue within the ± 6 resi- due window centered on a P-Ser/Thr/Tyr residue. The exceptions include yeast position +1, and mammalian The proportion of Ser/Thr/Tyr sites which include a Met within the window of ± 6 residues is shown in Figure 2. On average 14% of phosphorylated sites contained a Met. Overall, the proportions of phosphory- lated Ser/Thr/Tyr sites (experimentally determined and Figure 1 Proportions (%) of amino acids present in the translated proteomes from different taxa. Met is the least abundant hydrophobic residue. Proportions of Ser and Thr are nearly equal in bacteria and archaea. Figure 1 Proportions (%) of amino acids present in the translated proteomes from different taxa. Met is the least abundant hydrophobic residue. Proportions of Ser and Thr are nearly equal in bacteria and archaea. Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Page 4 of 11 Figure 2 The percentage of Ser/Thr/Tyr sites (individually from left to right in each group) including a Met residue within ± 6 window in different taxa. On average, phosphorylated sites contain less Met compared to all Ser/Thr/Tyr sites in proteomes. In eukaryotes, Tyr sites contain proportionally more Met compared to Ser and Thr sites. The large deviation from the otherwise ‘normal’ pattern seen with bacteria and archaea is likely due to the small number of phosphorylated sites. Figure 2 The percentage of Ser/Thr/Tyr sites (individually from left to right in each group) including a Met residue within ± 6 window in different taxa. On average, phosphorylated sites contain less Met compared to all Ser/Thr/Tyr sites in proteomes. Results The analyses were conducted versus a total P-proteins background (Figure 4). Bacteria and archaeal proteins were not included in this analysis because of the small sample sizes. Only the GO terms that are significantly enriched (p < 0.05, hypergeo- metric test) in our dataset are displayed; most are related to protein kinases, phosphorylation, signalling, and regula- tion. There is also enrichment in proteins annotated as having an involvement in cell division in yeast or animals, but not in plants (Figure 4). For example, a log2 value of 0.5 indicates 41% increase in a specific GO term in the test set (proteins that contain a Met near phosphorylation site) as against the background set (all phosphoproteins). Figure 7 shows some of the possible scenarios in the phosphorylation and Met-oxidation crosstalk. Depending on the extent of evolutionary conservation of Met (Figure 5, 7), it could play a regulatory role if it is well con- served across species (for example, senescence-associate protein: AT1G66580) or as a structural role if it serves merely as a hydrophobic residue along with VILF residues (for example, as in ATPase F1º: AT4G04640). The We assume that a phosphorylation-site that includes a Met at the same position within the ± 6 residue-window among diverse taxa would have the greatest probability for regulatory crosstalk. We specifically searched proteins from 8 plant taxa in order to evaluate potential candi- dates. A list of the consensus 13-residue sequences for Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Page 5 of 11 Figure 3 Distribution of Met residues (%) around non-STY and STY (individually from left to right, all and phosphorylated) sites in plants (A), yeast (B), animals (C), bacteria (D) and archaea (E) (n = 10353, 3645, 21562, 126 and 63 phosphoproteins respectively). Figure 3 Distribution of Met residues (%) around non-STY and STY (individually from left to right, all and phosphorylated) sites in plants (A), yeast (B), animals (C), bacteria (D) and archaea (E) (n = 10353, 3645, 21562, 126 and 63 phosphoproteins respectively). Figure 3 Distribution of Met residues (%) around non-STY and STY (individually from left to right, all and phosphorylated) sites in plants (A), yeast (B), animals (C), bacteria (D) and archaea (E) (n = 10353, 3645, 21562, 126 and 63 phosphoproteins respectively). relevance of the crosstalk may also depend on the distance between the phosphorylation site and Met residue. Results The farther away the Met residue is, the less likely it is involved in crosstalk. between these two PTMs can serve to fine-tune activity/ metabolism [52,53]. The study described herein was undertaken to evaluate how widespread the potential is for this sort of regulation by crosstalk between PTMs. A 13-amino acid motif centered on the phosphorylata- ble Ser/Thr/Tyr-residue is apparently adequate for recog- nition by protein kinases [62,67]. Multiple distinct factors likely contributed to evolution of this motif, including the occurrence of each of the amino acids [68,69] and the constraints inherent to protein structure [70]. Discussion Two unrelated plant enzymes, cytoplasmic nitrate reduc- tase [50], and mitochondrial pyruvate dehydrogenase [51], have a Met residue proximal to a regulatory phos- phorylation site, and in both cases oxidation of this Met to MetSO inhibits phosphorylation. It has been suggested that the redox status of these Met residues allows the enzymes to monitor oxidative stress, and crosstalk Given that thousands of phosphorylation sites are known in proteomes spanning taxa [57], the presence of Met in ~14% of these sites (Figure 2, Additional file 1) Page 6 of 11 Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 translates into a number of potential sites and proteins for phosphorylation and Met-oxidation crosstalk. Many phosphorylation motifs contain hydrophobic residues requirement [72]. Furthermore, biosynthesis of Met is more energetically expensive than other members of the hydrophobic group [69,71,73]. Considering all these Figure 4 Results from GO analyses. The proteins (test set) that contain a Met residue within ± 6 window around known phosphorylation sites are enriched (p < 0.05, hypergeometric test and z-score > 1.96; X-axis shows the log2 ratio of number of each significantly enriched GO term in test set against background set) for several GO terms against the total phosphoproteins (background set) in plant (A. thaliana, A), yeast (S. cerevisiae, B) and animal (H. sapiens, C). In general Met oxidation and phosphorylation cross-talk are more likely in protein kinases, as several GO terms related to kinase activity as enriched in all three taxa. (BP: Biological Process, MF: Molecular Function, and CC: Cellular Component). Figure 4 Results from GO analyses. The proteins (test set) that contain a Met residue within ± 6 window around known phosphorylation sites are enriched (p < 0.05, hypergeometric test and z-score > 1.96; X-axis shows the log2 ratio of number of each significantly enriched GO term in test set against background set) for several GO terms against the total phosphoproteins (background set) in plant (A. thaliana, A), yeast (S. cerevisiae, B) and animal (H. sapiens, C). In general Met oxidation and phosphorylation cross-talk are more likely in protein kinases, as several GO terms related to kinase activity as enriched in all three taxa. (BP: Biological Process, MF: Molecular Function, and CC: Cellular Component). Figure 4 Results from GO analyses. Discussion (B) Proportion (%) of sequences (in disparate taxa) including a hydrophobic (Val/Ile/Leu/Phe) residue. At higher Met conservation, a higher proportion (%) of remaining sequences includes a hydrophobic residue in place of Met. Figure 5 The occurrence of Met versus other hydrophobic amino acids vicinal to phosphorylation sites. (A) The heat map indicates the proportion of phosphorylation sites at each level of Met conservation. Many phosphorylation sites with conserved (e.g., ≥6/8) Met are present across different (eight) taxa. (B) Proportion (%) of sequences (in disparate taxa) including a hydrophobic (Val/Ile/Leu/Phe) residue. At higher Met conservation, a higher proportion (%) of remaining sequences includes a hydrophobic residue in place of Met. Figure 5 The occurrence of Met versus other hydrophobic amino acids vicinal to phosphorylation sites. (A) The heat map indicates the proportion of phosphorylation sites at each level of Met conservation. Many phosphorylation sites with conserved (e.g., ≥6/8) Met are present across different (eight) taxa. (B) Proportion (%) of sequences (in disparate taxa) including a hydrophobic (Val/Ile/Leu/Phe) residue. At higher Met conservation, a higher proportion (%) of remaining sequences includes a hydrophobic residue in place of Met. phosphorylation sites including a Met residue. At least superficially this is not the case. In the very limited data available to us, aerobes (e.g., Escherichia coli and Sta- phylococcus aurius) and anaerobes (e.g., Bacillus fragilis and Clostridium botulinum) have a similar proportion of sites with Met (Additional file 1). It would be particu- larly interesting to evaluate the P-proteome of an organ- ism such as the nematode Ascaris suum which has both aerobic and anaerobic components of its’ life-cycle. Unfortunately, no P-proteomic data are currently available. the benefit might have been acquisition of the ability to monitor ROS status by reversible Met oxidation, a capabil- ity not available with other hydrophobic residues [75]. Even non-surface exposed Met residues are susceptible to oxidation because of local polypeptide flexibility [76]. Met residue in the neighbourhood of phosphorylation sites can have two distinct roles (Figure 7). It could have a solely structural role in which Met acts as a hydropho- bic residue in a kinase recognition motif. If Met is replaced by other hydrophobic (VILF) residues in related species, then it is likely to have a structural role. On the other hand, Met could play a regulatory role if it is con- served near phosphorylation site in a protein from diverse species [75]. Discussion The proteins (test set) that contain a Met residue within ± 6 window around known phosphorylation sites are enriched (p < 0.05, hypergeometric test and z-score > 1.96; X-axis shows the log2 ratio of number of each significantly enriched GO term in test set against background set) for several GO terms against the total phosphoproteins (background set) in plant (A. thaliana, A), yeast (S. cerevisiae, B) and animal (H. sapiens, C). In general Met oxidation and phosphorylation cross-talk are more likely in protein kinases, as several GO terms related to kinase activity as enriched in all three taxa. (BP: Biological Process, MF: Molecular Function, and CC: Cellular Component). Figure 4 Results from GO analyses. The proteins (test set) that contain a Met residue within ± 6 window around known phosphorylation sites are enriched (p < 0.05, hypergeometric test and z-score > 1.96; X-axis shows the log2 ratio of number of each significantly enriched GO term in test set against background set) for several GO terms against the total phosphoproteins (background set) in plant (A. thaliana, A), yeast (S. cerevisiae, B) and animal (H. sapiens, C). In general Met oxidation and phosphorylation cross-talk are more likely in protein kinases, as several GO terms related to kinase activity as enriched in all three taxa. (BP: Biological Process, MF: Molecular Function, and CC: Cellular Component). requirement [72]. Furthermore, biosynthesis of Met is more energetically expensive than other members of the hydrophobic group [69,71,73]. Considering all these constraints, the presence of Met in the phosphorylation motif would need to be of some evolutionary benefit otherwise it would have been lost during subsequent opti- mizing of the regulatory network [74]. We propose that translates into a number of potential sites and proteins for phosphorylation and Met-oxidation crosstalk. Many phosphorylation motifs contain hydrophobic residues (Met/Val/Ile/Leu/Phe). This presumably reflects some essential aspect of protein structure or folding. However, Met is less abundant than the other hydrophobic resi- dues [71], and is less likely to accommodate a structural Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Page 7 of 11 Figure 5 The occurrence of Met versus other hydrophobic amino acids vicinal to phosphorylation sites. (A) The heat map indicates the proportion of phosphorylation sites at each level of Met conservation. Many phosphorylation sites with conserved (e.g., ≥6/8) Met are present across different (eight) taxa. Discussion The GO term enrichment results agree with the proposal that Met oxidation:phosphorylation-site cross-talk is most likely in kinases (green bars) and various stress-related proteins (red bars). Figure 6 Results from GO term enrichment analyses. The A. thaliana proteins (test set) that contain a known phosphorylation site (based upon published data from A. thaliana, G. max, or O. sativa) including a Met residue within the ± 6 residue window shows significant enrichment (p < 0.005, hypergeometric test, X-axis shows the log2 ratio of number of each significantly enriched GO term in test set against background set) Figure 6 Results from GO term enrichment analyses. The A. thaliana proteins (test set) that contain a known phosphorylation site (based upon published data from A. thaliana, G. max, or O. sativa) including a Met residue within the ± 6 residue window shows significant enrichment (p < 0.005, hypergeometric test, X-axis shows the log2 ratio of number of each significantly enriched GO term in test set against background set) for several GO terms when the Met is conserved (panel A ≥7, B ≥6, C ≥5 and D ≥4) in eight disparate taxa. As the Met conservation level decreases the significance of the GO term enrichment decreases compared to the background of A. thaliana P-proteins. The GO term enrichment results agree with the proposal that Met oxidation:phosphorylation-site cross-talk is most likely in kinases (green bars) and various stress-related proteins (red bars). Figure 6 Results from GO term enrichment analyses. The A. thaliana proteins (test set) that contain a known phosphorylation site (based upon published data from A. thaliana, G. max, or O. sativa) including a Met residue within the ± 6 residue window shows significant enrichment (p < 0.005, hypergeometric test, X-axis shows the log2 ratio of number of each significantly enriched GO term in test set against background set) for several GO terms when the Met is conserved (panel A ≥7, B ≥6, C ≥5 and D ≥4) in eight disparate taxa. As the Met conservation level decreases the significance of the GO term enrichment decreases compared to the background of A. thaliana P-proteins. The GO term enrichment results agree with the proposal that Met oxidation:phosphorylation-site cross-talk is most likely in kinases (green bars) and various stress-related proteins (red bars). control over metabolic activity, signalling, and cellular function [46]. Discussion We identified a large number of plant proteins and phosphorylation sites including Met that are highly conserved (Figure 5, Figure 7 and Addi- tional file 3). These proteins are potential candidates wherein Met oxidation may be involved in coupling oxi- dative signals with phosphorylation and regulation of protein function. While the regulatory importance of protein PTM has been long known, it has only been more recently that roles for multiple and interacting PTM’s have been appreciated [77]. Examples range from interaction between multiple instances of the same PTM at differ- ent sites (e.g., prior or priming phosphorylation of site A is necessary for subsequent phosphorylation of site B [14-17]), through hierarchical responses to multiple PTM of the same site [5,37,46], or differential responses to multiple different PTM at different sites [78], and ultimately to crosstalk among different PTM at different sites [79]. A protein with 10 instances of a single PTM could give rise to 1024 (2n) different mole- cular species, but if there are two types of PTM there is the potential to generate 59049 (3n) species [46]. The enormity of this molecular diversity would generate a gradient in response that will allow an exquisitely fine This proposed evolutionary acquisition of Met/MetSO as a mechanism for fine-control of phosphorylation sta- tus might be addressed by comparison of phosphoryla- tion sites in proteins from aerobic microorganisms with those from closely-related but obligate anaerobes. If Met oxidation exerts an influence (selection) on phosphoryla- tion then it would be predicted that one group would have a significantly different proportion of (potential) Page 8 of 11 Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Figure 6 Results from GO term enrichment analyses. The A. thaliana proteins (test set) that contain a known phosphorylation site (based upon published data from A. thaliana, G. max, or O. sativa) including a Met residue within the ± 6 residue window shows significant enrichment (p < 0.005, hypergeometric test, X-axis shows the log2 ratio of number of each significantly enriched GO term in test set against background set) for several GO terms when the Met is conserved (panel A ≥7, B ≥6, C ≥5 and D ≥4) in eight disparate taxa. As the Met conservation level decreases the significance of the GO term enrichment decreases compared to the background of A. thaliana P-proteins. Discussion (II) It might play only a structural role in a protein (for example, ATPase F1º AT4G04640), present as a hydrophobic residue. (III-V) If either the h h l ti it th M t id it lf i t d it i lik l th t t lk ill l i h t i (f l P l (A) Figure 7 Crosstalk between Met and Ser/Thr/Tyr might be related to the nature/extent of conservation of Met in proteins. (I) Met could play a regulatory role (crosstalk) (for example, senescence associate protein: AT1G66580) when it is conserved across species. (II) It might play only a structural role in a protein (for example, ATPase F1º AT4G04640), present as a hydrophobic residue. (III-V) If either the phosphorylation site or the Met residue itself is not conserved, it is unlikely that crosstalk will evolve in such proteins (for example, Poly(A) binding protein: AT3G16380.1; peptidylprolyl cis/trans isomerase: AT2G18040.1; P450 reductase: AT4G24520.1). Crosstalk can also depend on the distance between phosphorylation site and Met residue in the 1° sequence, and the 3° structural context. (ara: Arabidopsis thaliana, gly: Glycine max, ory: Oryza sativa, pin: Pinus Taeda, Sel: Selaginella moellendorffii, phy: Physcomitrella patens, chl: Chlamydomonas reinhardtii, and cya: Cyanidioschyzon merolae). Additional material phosphorylation motifs - kinase recognition signatures - contain hydrophobic Met residue [57,62]. Oxidation of Met to MetSO causes a shift from hydrophobic to hydro- philic in nature, and would thus likely disrupt kinase recognition [50]. So it is potentially useful for kinases and stress signalling proteins to have evolutionary selection for Met near phosphorylation sites for potential crosstalk. This would allow direct communication of oxidative sig- nals to other mainstream processes. Additional file 1: S1.pdf. Percentage of Ser/Thr/Tyr sites (Ser, Thr, and Tyr from top to bottom) with Met within a ± 6 window in different species. Additional file 2: S2.pdf. Distribution of other hydrophobic residues (Val/Ile/Leu/Phe, %) around non-Ser/Thr/Tyr and Ser/Thr/Tyr (individually from left to right, all and phosphorylated) sites in plant (A), yeast (B), animal (C), bacterial (D) and archaeal (E) P-proteins. Additional file 3: S3.pdf. Consensus sequences (13-mers) for phosphorylation sites with highly conserved Met (≥7 Met among eight taxa). Competing interests Competing interests The authors declare that they have no competing interests. Conclusion Our study identified a large number of phosphorylation sites which include a vicinal Met residue. The proteins containing these sites can potentially function as redox- sensors capable of transducing input from ROS signalling to regulation of phosphorylation. These observations should stimulate further research on PTM crosstalk and control of protein function in response to oxidative signalling. Discussion calmodulin was shown to affect its structure, and thus its interaction with Ca2+/calmodulin-dependent protein kinase II and subsequent downstream signalling [82]. There is also an analogous example [83] where activity of a protein P-Tyr-phosphatase is regulated by reversible Cys-oxidation. Finally, there is the intriguing recent report that Met oxidation in A. thaliana is responsive to cGMP [84]. Our initial interest in crosstalk between Ser/Thr/Tyr- phosphorylation and Met oxidation was stimulated by observations that two important metabolic enzymes could be responsive to cellular redox signalling through this mechanism [50-52]. While this study was underway, it came to our attention that there have been additional reports of what now appears to be crosstalk between phos- phorylation and Met oxidation. Decreased phosphoryla- tion is correlated with increased Met oxidation of a-synuclein in MetSO knockdown mutants of both yeast and mice [80,81]. Site-specific oxidation of Met in Results from GO analysis indicated that the occurrence of Met near phosphorylation sites could be more preva- lent in proteins related to signalling such as kinases and stress related proteins, and could be common to all three taxa - plants, yeast, and animals (Figure 4 and 6). Many Rao et al. BMC Bioinformatics 2013, 14(Suppl 14):S14 http://www.biomedcentral.com/1471-2105/14/S14/S14 Page 9 of 11 phosphorylation motifs kinase recognition signatures Additional material Figure 7 Crosstalk between Met and Ser/Thr/Tyr might be related to the nature/extent of conservation of Met in proteins. (I) Met could play a regulatory role (crosstalk) (for example, senescence associate protein: AT1G66580) when it is conserved across species. (II) It might play only a structural role in a protein (for example, ATPase F1º AT4G04640), present as a hydrophobic residue. (III-V) If either the phosphorylation site or the Met residue itself is not conserved, it is unlikely that crosstalk will evolve in such proteins (for example, Poly(A) binding protein: AT3G16380.1; peptidylprolyl cis/trans isomerase: AT2G18040.1; P450 reductase: AT4G24520.1). Crosstalk can also depend on the distance between phosphorylation site and Met residue in the 1° sequence, and the 3° structural context. (ara: Arabidopsis thaliana, gly: Glycine max, ory: Oryza sativa, pin: Pinus Taeda, Sel: Selaginella moellendorffii, phy: Physcomitrella patens, chl: Chlamydomonas reinhardtii, and cya: Cyanidioschyzon merolae). Figure 7 Crosstalk between Met and Ser/Thr/Tyr might be related to the nature/extent of conservation of Met in proteins. (I) Met could play a regulatory role (crosstalk) (for example, senescence associate protein: AT1G66580) when it is conserved across species. References 1. 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7,137
11,307
Dans le as du guide plan, on prend z omme axe de propagation et on fait varier l'indi e = 0 ar le guide est inni selon l'axe y. En expli itant, les omposantes selon l'axe x, on aura y du hamp selon (x; y; z ) on peut montrer l'existen e de deux types de solutions indépendantes. Une solution dite T E dénie par (Ey ; Hx ; Hz ) et une autre dite T M dénie par (Hy ; Ex ; Ez ) (les autres omposantes étant alors nulles). Toutes les solutions sont en fait des ombinaisons linéaires d'ondes T E et T M. La résolution des équations de propagation est similaire dans le as TE et le as TM. Cher hons une solution aux équations de propagation (1.17) (resp. 1.18) qui soit de la forme, pour le mode T E : 8 > E =0! < x E = > Ey = Ey (x)e : Ez = 0 | z (1.19) et pour le mode T M : 8 > H =0! < x = H >: HHy == 0Hy (x)e z | z (1.20) est appelée la onstante de propagation. En se plaçant dans le as kn3 < < kn2 et!! réel, les solutions propagées s'obtiennent en remplaçant l'expression de E (resp. Ces deux types de solution sont les solutions des équations de propagation (1.17 et 1.18).!! La ondition de ontinuité sur H (resp. E ) aux interfa es jxj = a permet de déterminer les valeurs possibles de la onstante et de vérier l'existen e de es solutions. Cette ondition s'é rit (ave p 2 Z) : ar tan ar T ar tan U T tan + ar U tan W U W U = 2Ua + p = 2 + p (1.26) (1.27) En remplaçant T, U et W dans l'équation (1.26), on trouve la ondition d'existen e du mode p : 2a q " p 2 2 2# " p 2 2 2# k n k n3 1 + ar tan g2 p 2 ar tan g1 p 2 2 2 2 2 2 = p k n2 k n2 k2 n22 (1.28) ave : g1 = g1 = g2 = g2 9 = ; =1 n22 n21 n22 n23 pour le mode TE (1.29) pour le mode TM (1.30) (1.31) Un mode guidé par la stru ture planaire a la forme donnée par la relation (1.24) (resp. 1.25), les variables T, U et W dépendant de. Pour une valeur de p donnée (i.e. pour un mode donné), la variable est déterminée en resolvant l'équation (1.28). Physiquement, trouver une solution à ette équation signie que le mode d'ordre p existe dans le guide. Les diérents modes dans un guide Nous avons vu que la stru ture guidante dé rite sur la gure 1.12 admet des solutions propagatives dis rètes aux équations de Maxwell. Ce sont les modes guidés pour lesquels la onstante de propagation respe te la relation kn3 < < kn2. Deux exemples de es modes guidés sont donnés sur la gure 1.13. En réalité, les équations de propagation (1.17 et 1.18) admettent d'autres solutions, qui dépendent de la valeur de la onstante de propagation. Dans la suite de l'expli ation, je me limite au mode T E, sa hant que le raisonnement est identique pour le mode T M. les solutions rayonnées ou ondes rayonnées sont solutions pour < kn3. On distingue deux as : < kn1 < kn3 et kn1 < < kn3 pour lequel le hamp s'é rit : 8 > < Ey ( x) = > : Ae jT x + BejT x x>a C os ( Ux + ) jxj < a jW x + jW x De + Ee x< a (1.32) A, B, C, D et E sont des onstantes déterminées par les onditions de ontinuité tandis que la onstante de propagation et sont hoisis de façon arbitraire. CHAPITRE - 1. INTRODUCTION ET CONTEXTE réel couche guidante modes rayonnés (continuum de solutions) Fig. 1.13 modes guidés (solutions discrètes) modes à fuite n'ayant pas de sens physique (continuum de solutions) Représentation graphique des diérents modes d'un guide plan. Extrait de Pour kn1 < Yariv (1991). < kn 3 , pour lequel le hamp s'é rit : 8 Tx >< Ae x>a Ey (x) = C os(Ux + ) >: jW x +jW x jxj > a De + E e x< a (1.33) A, C, D, E et sont des onstantes déterminées par les onditions de ontinuité tandis que la onstante de propagation est hoisie de façon arbitraire. Pour le premier type de solution, le hamp ne s'atténue pas en s'éloignant dans le milieu 3. Pour le deuxième type de solution, le hamp n'est plus du tout onné (voir la gure 1.13 pour des exemples de la forme de es hamps). On les appelle ondes rayonnées par e qu'elles ne se propagent pas uniquement selon z et qu'elles divergent vite en s'éloignant de l'axe z. Du point de vue énergétique, es modes se propagent ave des pertes de propagation ontrairement aux modes guidés qui se propagent sans pertes (sans tenir ompte des pertes des matériaux). pour > kn2, e sont des modes à fuite qui ne sont que des solutions mathématiques sans existen e physique. On peut montrer que l'ensemble des modes guidés et des modes rayonnés onstitue une base omplète orthogonale des ondes propagées (Mar use, 1991). Toute onde invariante selon y peut don se dé omposer sur une base formée des modes guidés (modes qui sont dis rets) et des modes rayonnés (modes qui forment une base ontinue) (Lee, 1986). LE GUIDAGE MONOMODE 1.4. Comportement des modes guidés ave Intéressons nous uniquement aux modes guidés et regardons le omportement de es modes pour une stru ture donnée lorsque la longueur d'onde augmente. Pour des longueurs d'onde susamment petites, le guide va admettre l'existen e de plusieurs modes. Au fur et à mesure de l'augmentation de la longueur d'onde, de moins en moins de modes vont pouvoir exister. C'est la pour la onséquen e de la ondition d'existen e des modes (relation 1.28) qui indique que haque mode du guide, i.e. pour onstante de propagation p, on pourra trouver une valeur de. Si on ne trouve au une valeur, 'est que le mode onsidéré n'existe pas dans le guide. Pour haque mode du guide, on pourra trouver une longueur d'onde de = kn3 : de laquelle le mode n'existe plus. Cela arrive lorsque = ave n21 n23 au-delà (1.34) : g1 g1 Un p 4:a n22 rn23 2 p + ar tan g1 nn32 2 oupure = 1 2 = nn212 pour le mode TE (1.35) pour le mode TM as parti ulier est le guide plan symétrique ave n même indi e ( 1 = 4:a Pour ment, = n3 ) : p n22 p un substrat et un superstrat ayant le n23 (1.36) haque mode, on peut dénir un indi e ee tif nef f = knef f. Physique- tel que et indi e ee tif est l'indi e que verrait une onde plane se propageant selon l'axe z. Cette notion d'indi e ee tif est très importante pour déterminer si un mode existe ou non dans la stru ture. En augmentant la longueur d'onde, l'indi e ee tif diminue jusqu'à être égal à l'indi e de gaine le plus grand (i i n3 ). A nef f de e mode, e moment, le mode ne voit plus l'interfa e entre le milieu 2 et le milieu 3 et n'existe tout simplement plus. En augmentant susamment la longueur d'onde, le guide ne va pouvoir propager qu'un seul mode ( elui orrespondant à monomode et 'est la p = 0) appelé le mode fondamental. Dans ondition que l'on e her he à obtenir dans nos diérentes réalisations n de guide. Pour un guide plan asymétrique ( 1 6= n3) le mode fondamental peut arriver à ne plus être propagé si la longueur d'onde devient très grande ou si le Mar use si la diéren e d'indi e est faible ( n symétrique ( 1 = n3) pour lequel le mode fondamental est, en théorie, toujours propagé. An longueur d'onde de 2 oeur est petit ou bien, 1991). Ce n'est plus vrai pour un guide plan de ne pas alourdir les expli ations dans la suite de ième as, on dit que l'on est oupure du guide, e do ument, lorsque je parlerais de la ela fera référen e à la longueur d'onde de mode, soit la longueur d'onde à partir de laquelle le guide est monomode. Lorsque la longueur d'onde est très inférieure à la longueur d'onde de donné, oupure du elui- i est très onné dans le guide oupure d'un mode ar la diéren e entre l'indi e ee tif du mode 30 CHAPITRE - 1. Distribution du hamp éle trique pour les deux premiers modes pairs TE pour un guide plan symétrique lorsque l'on est pro he de la longueur d'onde de oupure. Extrait de Lee (1986) Fig. 1.14 Distribution du hamp éle trique pour les deux premiers modes pairs TE pour un guide plan symétrique lorsque l'on est loin de la longueur d'onde de oupure. Extrait de Lee (1986) Fig . 1.15 et l'indi e de la gaine est important. Le hamp éle trique dé roit rapidement lorsque l'on s'éloigne de l'axe de propagation (Figure 1.15) et une proportion importante de l'énergie du mode est lo alisée dans le oeur. En augmentant la longueur d'onde, l'indi e ee tif du mode diminue et se rappro he de l'indi e de la gaine. La diéren e d'indi e diminuant, le hamp éle trique varie plus lentement en s'éloignant de l'axe optique (Figure 1.14) et le mode est moins onné (son énergie est en grande partie ontenue dans la gaine). Nous verrons dans le hapitre 3 que ette dépendan e du onnement de l'énergie ave la longueur d'onde joue un rle important dans la on eption des guides. Appro he par l'optique géométrique La ondition d'existen e des modes dé rite pré édemment peut être obtenue à partir d'une des ription issue de l'optique géométrique. Celle- i ne rend pas ompte de tous les phénomènes ayant lieu dans les guides d'ondes mais a l'avantage de donner une appro he intuitive de la ondition d'existen e des modes. Les guides d'onde sont basés sur la propriété de réexion totale de la lumière à l'interfa e 1.4. LE GUIDAGE MONOMODE 31 entre deux milieux d'indi es de réfra tion diérent (indi es n1 et n2 ave n2 >n1 ) (Figure 1.16). Lorsque l'angle du rayon in ident dans le milieu 2 a un angle inférieur à l'angle ritique, la réexion est totale : os = nn1 2 Le rayon est alors réé hi à la surfa e ave le même angle par rapport à la normale et l'onde x n1 n2>n1 θ n2 rayon réfléchi θc angle critique Fig. 1.16 Illustration de la réexion totale à l'interfa e entre deux milieux. plane qui lui est asso iée est déphasée de (Lee, 1986) : " s # R = 2 ar tan g n22 n22 os2 n22 os n21 2 (1.37) (1.38) ave g dépendant de la polarisation du hamp :!! pour E parallèle à l'interfa e g =1 (1.39) pour H parallèle à l'interfa e g = n22 =n21 (1.40) On utilise ette propriété pour guider la lumière dans un guide à saut d'indi e. Cependant ette ondition n'est pas susante dans la mesure où il faut tenir ompte de l'aspe t ondulatoire de la lumière. Pour que la propagation se fasse sans perte, il faut que les ondes planes asso iées aux rayons guidés interfèrent onstru tivement. Sur la gure 1.17, on onsidère un front d'onde! plan (AC) qui se propage selon k. Sur e front d'onde, tous les points ont la même phase. Si on onsidère indépendamment les rayons partant des points A et C, eux- i vont par ourir des trajets diérents avant de reformer un plan d'onde parallèle (DB). Pour que l'onde plane existe, il faut que tous les points du front d'onde (DB) soient à la même phase. Ainsi la diéren e de déphasage entre le trajet CD et le trajet AB doit être un multiple de 2. A partir de la relation (1.37), on peut al uler le déphasage entre C et D : CD 2 2 = q2k:a:n 2 2 n2 neff ave k = 2 0 et ave neff = n2 os (1.41) Pour le hemin APQB, on a deux réexions en plus : APQB = AP + PQ + QB + R21 + R23 (1.42) CHAPITRE - 1. couche guidante x P n1 +a D θ n2 vecteur d'onde k z A B −a C n3 Q n2>n3>n1 Fig. 1.17 Interprétation géométrique de la propagation dans un guide plan. Notations utilisées. ave : = QB = 2k:a AP ave : R rayons front d'onde n22 r 2 ar tan g21 = 21 q n2 ef f 2 2 n ef f n1 2 2 n 2 nef f PQ R 23 = C D = n n 1 2 2 2 n 2 nef f k:a:n r 2 ar tan g23 =! pour E parallèle à l'interfa e g21 = g23 = 1 2! pour H parallèle à l'interfa e g21 = 22 g23 = q2 2 2 2 ef f n3 2 2 n 2 nef f n (1.43) (1.44) 2 2 n 3 n2 La ondition d'existen e de l'onde plane s'é rit alors : AP QB CD = 2p ave p2Z (1.45) On en déduit alors l'expression de la ondition d'interféren e onstru tive, qui est la même que elle donnée par la résolution des équations de Maxwell relation 1.26) : 2k:a q v u 2 u nef f 4 ar tan g21 t 2 2 n22 n2 ef f n2 n21 n2 ef f 3 5 v u 2 u nef f 4 ar tan g23 t 2 2 n2 n23 n2 3 5 = p (1.46) ef f ave p 2 Z. On peut remarquer que l'indi e ee tif n que l'on a dénit i i a la même signi ation que elui dénit dans le adre de la résolution des équations de Maxwell. =! kn est la proje tion du ve teur d'onde k sur l'axe de propagation z. A la oupure du mode, on a n = n2 : os = n3 et il n'y a plus de réexion totale. Comme dans le adre des équations de Max well, l'indi e ee tif vaut alors l'indi e de gaine le plus élevé et le mode n'existe plus. Cette interprétation géométrique montre aussi qu'un mode est une superposition de deux ondes planes (sur la gure 1.17, une seule de es deux ondes planes est représentée, la deuxième étant symétrique par rapport au plan Oyz). ef f ef f ef f 1.4.2 Le guide anal à saut d'indi e Les guides anaux peuvent être des guides à prol d'indi e re tangulaire dans un milieu inni ou non. Je dé ris i i les méthodes pour déterminer le omportement modal des guides. Les méthodes numériques sont adaptées aux guides à prol d'indi e quel onque et les méthodes analytiques aux guides re tangulaires ou ir ulaires. Méthode s numériques Il existe de nombreuses méthodes numériques pour déterminer le omportement des stru - tures guidantes : solveurs de mode, méthode des fais eaux propagées (BPM), méthode des lignes (Method of Lines - MoL), méthode des diéren es nies (FDTD), et al., 2000). Chaque méthode est adaptée à : : : (S armozzino ertaines stru tures de guide (dépendantes es- sentiellement de la répartition d'indi e) et du type de problème à traiter (détermination de la arte du hamp, : : :). La BPM (Beam Propagation Method) est la méthode de simulation la plus répandue en optique intégrée pour l'étude de la propagation d'une onde lumineuse dans un Son su ir uit optique. ès est en grande partie dû à sa simpli ité d'utilisation et de mise en oeuvre. De plus ne s'agissant pas d'une méthode modale, elle propage tout hamp optique qu'il soit guidé ou non. De nombreux types de BPM existent et les plus utilisées a tuellement sont la BPM à Transformée de Fourier rapide (FFT-BPM) et la BPM utilisant la résolution numérique selon les diéren es nies (FD-BPM). La méthode BPM suppose qu'il n'y a pas de variation brutale du prol d'indi e selon l'axe de propagation négligeables. Elle du hamp en z et que les eets de polarisation sont onsiste à mailler la stru ture 3D du guide et à déterminer l'enveloppe haque noeud du maillage. Cette méthode permet de al uler la onstante de p et l'indi e ee tif des modes. Méthode analytique de l'indi e ee tif Cette méthode est adaptée pour les guides re tangulaires ave l'axe x ee tif omme pour le guide plan mais aussi selon l'axe un indi e qui varie selon y (Figure 1.18). La méthode de l'indi onsiste à séparer le problème général à deux dimensions en deux problèmes su à une seule dimension. On 2 x2 + 2 y2 + (k On suppose que le (x; y ) = 2 2 n2 + (k 2 2) =0 (1.47) hamp du mode fondamental s'é rit : x (x): y (y ) 2 2 On obtient une 1 = knef f ni essifs her he à résoudre l'équation : (1.48) On résout d'abord l'équation d'onde à une dimension pour d2 y dy2 e 2 1) y = 0 y (y ) (étape 1 sur la gure 1.18) : i = 1; 2; 3 onstante de propagation (1.49) 1 et un indi e ee tif dénit par : (1.50) 34 CHAPITRE - 1. Fig. 1.18 Méthode de l'indi e ee tif pour un guide re tangulaire. On résout ensuite l'équation d'onde à une dimension pour d2 x dy2 + (k 2 2 nef f x (x) (étape 2 sur la gure 1.18) : 2 2) x = 0 (1.51) La onstante de propagation 2 obtenue est onsidérée omme la onstante de propagation d'un mode du guide re tangulaire et le hamp du mode est dé rit par la relation (1.48). Cette méthode permet de déterminer pré isément la onstante de propagation mais dé rit mal la forme exa te du hamp. Le guide ylindrique à saut d'indi e : méthode modale coeur (indice n2) x z ρ a φ y gaine (indice n1) Fig. 1.19 Notations utilisées pour dé rire un guide ylindrique à saut d'indi e. 1.4. LE GUIDAGE MONOMODE 35 Le guide ylindrique est un as parti ulier du guide anal pour lequel on peut al uler la forme exa te des modes. Le omportement modal en fon tion de la longueur d'onde est très pro he de elui d'un guide plan. On ne va s'intéresser qu'aux premiers modes du guide. On utilise l'approximation s alaire de l'équation d'onde du hamp ( omposante du hamp éle trique ou du hamp magnétique selon l'axe z ) (Jeunhomme, 1983). Dans le repère ylindrique (; ), ette équation s'é rit : 2 2 + 1 + 1 + (k n 2 2 2 2 2 2 j ) =0 (1.52) ave n, indi e du milieu. La résolution de ette équation donne les deux modes fondamentaux, nommés HE11 (l'un est polarisé selon l'axe X et l'autre selon l'axe Y, pour le hamp éle trique transverse). Le hamp éle trique transverse est donné par la relation (E ou E peut être pris nul), ave r = =a rayon normalisé : j X E X;Y = ( E0 E0 J0 (U r ) J0 (U ) K0 (W r ) K0 (W ) (r < 1) (r > 1) dans le oeur dans la gaine Y (1.53) La omposante du hamp éle trique E n'est pas nulle mais peut être négligée lorsque = n=n2 < 1%. Dans la suite de e manus rit, par simpli ité, je onsidérerais ette approximation valable même lorsque vaut quelques pour ents. Les modes sont alors nommés LP01 (LP pour "Linearly Polarised"). De la même manière, le hamp magnétique transverse est donné par les relations : Z H X;Y = ( H0 H 0 J0 (U r ) J0 (U ) K0 (W r ) K0 (W ) dans le o eur dans la gaine (r < 1) (r > 1) (1.54) La omposante H étant négligéable. On a dénit : Z U =a q k n 2 2 2 W 2 =a q 2 k2 n21 (1.55) U, V et W sont solutions des équations : V2 J (U ) U 1 J0 (U ) = = U2 + W2 K (W ) W 1 K0 (W ) (1.56) (1.57) J0 et J1 sont les fon tions de bessel de première espè e d'ordre 0 et 1. une longueur d'onde de oupure omme pour le guide plan, longueur d'onde au-delà de laquelle seul le mode fondamental peut se propager : = 2a:n2 q 2; 405 n22 n21 (1.59) De façon similaire ave le guide plan symétrique, le mode fondamental n'a pas de longueur d'onde de oupure et est toujours propagé. Jeunhomme (1983) donne des valeurs de U et V=2.4 V=1.8 V=1.2 1.0 1.0 1.0 0.8 0.8 0.8 0.6 0.6 0.6 0.4 0.4 0.4 0.2 0.2 0.2 0.0 0.0 0 1 2 3 4 5 0.0 0 1 r 2 3 4 5 0 1 r 2 3 4 5 r Comparaison entre l'expression exa te du hamp EX du mode fondamental (trait plein) et de son approximation gaussienne (trait pointillé) pour une fréquen e normalisée V = 2; 4, 1; 8 et 1; 2. L'amplitude du hamp exa t et de son approximation gausienne sont normalisée toutes les deux à 1. Le trait verti al donne la position de l'interfa e oeur/ gaine. Fig. 1.20 W, en fon tion de V, qui sont solutions des onditions (Relation 1.56). Lorsque l'on se trouve pro he de la fréquen e normalisée V = 2; 405, on peut approximer la omposante E du hamp éle trique (ou la omposante H pour le hamp magnétique) par une gaussienne e X X qui permet d'avoir une expression beau oup plus simple à manipuler : E (r) = E (0):exp " 2# r!0 (1.60)!0 est le paramètre du mode gaussien. Le lien entre le paramètre!0 et la fréquen e normalisée V est obtenu en égalisant l'énergie du mode sous sa forme exa te et elle du mode approximé. Cette relation est de la forme, pour 0; 8 < V < 2:4 (Mar use, 1978) :!0 a 2; 879'0; 65 + 1V; 619 + 15 V6 ; (1.61) Sur la gure 1.20, j'ai omparé le prol exa t du hamp et son approximation gaussienne e qui montre les limites de ette approximation. L'équation (1.52) admet d'autres solutions que elles dé rites par les équations (1.53), le guide propageant alors plusieurs modes. Le guide propage deux types de mode lorsque 2,405<V<3,832, les modes HE11 dé rits pré édemment et le groupe de modes dits [T E01, T M01, HE21 (Jeunhomme, 1983). 37 Mode LP11 - pair - V=2.8 Mode LP11 - impair - V=2.8 3 2 2 2 1 1 1 0 0 0 y 3 y y Mode LP01 - V=2.8 3 -1 -1 -1 -2 -2 -2 -3 -3 -3 -2 -1 0 1 2 3 x -3 -3 -2 -1 0 1 2 3 -3 -2 -1 x 0 1 2 3 x Carte d'amplitude du hamp éle trique (ou magnétique) des premiers modes d'un guide ir ulaire pour une fréquen e normalisée V = 2; 8. Gau he : modes fondamentaux LP01. La omposante du hamp éle trique (ou magnétique) peut être polarisée selon l'axe X ou Y. Milieu et droite : modes d'ordre 2, appelés modes LP11. La omposante du hamp éle trique (ou magnétique) peut être polarisée selon l'axe X ou Y et ha un de es modes peut être pair (milieu) ou impair (droite). Fig. 1.21 faisceau incident ondes évanescentes mode guidé lentille substrat Couplage par prisme Fig. 1.22 Couplage par réseau Couplage par la tranche Types de ouplage d'une onde dans un guide. omposante longitudinale négligeable devant la omposante transverse. Ces modes sont alors appelés modes LP11. Le hamp éle trique (ou magnétique) de es modes peut être polarisé selon l'axe X ou l'axe Y et avoir un ordre pair ou impair. On obtient don 4 formes possibles du hamp éle trique (ou magnétique). La arte d'amplitude de es modes a deux extremums (Figure 1.21). Pour une fréquen e normalisée V supérieure à 3,832, le guide propage des modes supplémentaires. Ces modes sont identiés par le nombre d'extremums de leurs artes d'amplitude, l'ordre du mode orrespondant au nombre de es extremums. 1.4.3 Couplage Il existe plusieurs manières de oupler de la lumière dans un guide plan : par la tran he (selon l'axe du guide), par prisme (par ondes évanes entes) et par réseau en surfa e du guide (Figure 1.22). Pour un guide droit, seul le ouplage selon l'axe du guide est appli able. Nous ne nous intéresserons i i qu'au ouplage par la tran he ar 'est le seul qui permet un ouplage CHAPITRE - 1. INTRODUCTION ET CONTEXTE 38 e a e entre un hamp à symétrie ir ulaire issu d'un téles ope et le mode fondamental d'un guide à prol d'indi e re tangulaire ou ir ulaire. Forme générale du ouplage Le ouplage est la proportion d'énergie du hamp in ident qui est transférée dans un mode donné du guide. Comme les modes guidés et rayonnés du guide forment une base orthogonale, il sut de projeter le hamp éle tromagnétique in ident!!!! E,H sur ha un des modes du guide. Le k-ième mode est déni par le hamp Ek,Hk. Le oe ient de ouplage en énergie du hamp in ident sur le k-ième mode du guide est donné par (, 1991) : Mar use R k = R A1!! z dA fE ^ H g:!!!! A1 fE ^ Hk g: z dA 2!!! A1 fEk ^ Hk g: z dA R (1.62)! ave z axe de propagation du guide. L'intégration est faite sur la surfa e A d'entrée du guide. Cette relation très générale, appelée intégrale de re ouvrement, peut être simpliée dans le as du ouplage ave un guide plan et dans le as du ouplage ave un guide ir ulaire dans le adre de l'approximation gaussienne. Couplage ave un guide plan Mar use (1991) a détaillé le al ul dans le as du guide plan de la gure 1.12. Dans le as TE, le hamp in ident est une onde à une dimension ave une onstante de propagation 0 :!! E = Ey y (1.63) Le k-ième mode du guide plan est dé rit par la omposante Eky du hamp éle trique et par sa onstante de propagation k. Le ouplage en énergie s'é rit alors : +1 E E dx 2 1 y ky kR R +1 2 0 1 jEky j2 dx +1 1 jEy j dx R k = (1.64) Le numérateur de ette expression montre que l'intensité du hamp du k-ième mode dépend du re ouvrement du hamp éle trique in ident et du hamp éle trique du mode (Figure 1.23). Couplage bre à guide (ou bre à bre). Dans le adre de l'approximation gaussienne, le ouplage entre deux modes alignés et entrés sur le même axe est : = 2:!1!2 2!12 +!22 ave!1 et!2, paramètres des modes gaussiens des deux guides. (1.65) LE GUIDAGE MONOMODE 1.4. 39 Champ incident Champ du mode guidé Energie couplée Illustration du ouplage entre deux modes représentés par leurs hamps éle triques. La partie grisée représente l'énergie ouplée d'un mode sur l'autre. Fig. 1.23 focale f guide D front d'onde mode fondamental pupille Fig. 1.24 tache d'Airy Illustration et notations pour le ouplage d'une onde libre sur le mode d'un guide. La gure 1.24 illustre le ouplage d'une onde plane sur le mode fondamental du guide d'onde ave une optique de fo ale f et de diamètre D. Ruilier (1998) a évalué e ouplage qui s'é rit pour une pupille ir ulaire non obstruée : Couplage d'une ta he d'Airy sur un mode gaussien =2 e 2 1!2 ave = D!o 2 f (1.66)!o est le paramètre du mode du guide dépendant de la longueur d'onde. Ce ouplage est maximal lorsque vaut 1; 12 et vaut alors '81%. 1.4.4 Champ en sortie d'un guide ir ulaire Après s'être intéressé à l'inje tion du ux dans le guide, il faut s'intéresser à la olle tion du ux en sortie de guide. On se pla e dans le adre de l'approximation gaussienne du hamp e qui permet d'utiliser la théorie de l'optique gaussienne, et en parti ulier la théorie de la dira tion d'un fais eau gaussien. En eet, en sortie d'un guide ir ulaire, le hamp du mode n'est plus onné par la stru ture guidante et e hamp va dira ter. 40 CHAPITRE - 1. enveloppe du mode fondament al x ω0 guide circulaire ω(z) θ0 z z0 zone de Rayleigh Fig. 1.25 Enveloppe du mode fondamental gaussien en sortie de guide. Forme du hamp en sortie de guide L'enveloppe du mode fondamental en sortie de guide est s hématisée sur la gure 1.25. Cette enveloppe est dénie lorsque l'amplitude du hamp éle trique normalisée à 1 vaut 1=e. Lorsque le mode est onné dans le guide, l'onde est plane et le paramètre du mode gaussien vaut!0. En sortie de guide, l'onde reste approximativement plane sur une distan e z0 (dans la zone de Rayleigh). En s'éloignant de la sortie du guide, l'onde dira te et devient sphérique. L'enveloppe du hamp est donnée par la relation (Ghatak & Thyagarajan, 1998) : s 2 z!02 (1.67) z0 ave!0, rayon du mode dans le guide à la longueur d'onde et!(z ), rayon du mode à la distan e z.!(z ) =!0 : 1+ ave z0 = Ouverture du fais eau n1 n2>n1 n2 θ θc z θ β Fig. 1.26 Dénition de l'ouverture numérique ON d'un guide. Pour z < z0, le diamètre du fais eau reste voisin de elui du mode guidé. Pour des distan es 1.5. plus importantes, le diamètre augmente très rapidement ave z et une approximation de l'enveloppe est un ne de demi-angle au sommet 0 tel que : tan(0 ) =!z 0 = :! (1.68) 0 0 Par analogie ave l'optique géométrique, on peut dénir le nombre d'ouverture f=D = 1=2 tan(0 ) de e fais eau :! f=D = 0 (1.69) 2 On peut aussi utiliser la notion d'étendue géométrique du fais eau dénie par le produit de la surfa e S d'émission du ux par l'angle solide du ne sous lequel e ux est vu. Pour un guide ir ulaire, la surfa e S peut être ir ulaire, ave omme rayon elui du mode gaussien. L'angle solide est alors le ne de dira tion du ux de demi-angle au sommet 0. L'étendue géométrique vaut alors : S: = (a2 ): sin2 (0 )'2 (1.70) En supposant que l'angle de dira tion est petit et que le rayon du mode!0 vaut elui du ÷ur du guide, l'étendue géométrique vaut environ 2. En optique géométrique, on dénit l'ouverture numérique ON d'une optique (lentille, miroir) par ON = n sin. Un rayon qui arrive ave un angle par rapport à l'axe optique inférieur à sera inje té dans l'optique (d'indi e de réfra tion n). De manière similaire, on peut dénir l'ouverture numérique ON d'un guide par (Figure 1.26) : ON = q n22 n21 En se plaçant à la oupure du mode du guide, on a n2 l'ouverture par : ON = sin = n2 sin (1.71) os = n1 et on peut exprimer (1.72) Pour des guides d'onde, surtout s'ils sont faiblement multimodes, ette dénition n'est pas toujours valable. En eet, ette ouverture est indépendante de la longueur d'onde (en supposant que les indi es de réfra tion sont indépendants de la longueur d'onde) alors que la des ription modale des guides nous a montré qu'en augmentant la longueur d'onde, l'angle devient très inférieur à l'angle ritique. La relation (1.72) n'est alors plus valable. Dans la suite de e travail, nous ne serons pas toujours au voisinage de l'angle ritique et j'utiliserai plutt la relation (1.69) pour ara tériser l'ouverture d'un fais eau en sortie de guide. Dans la suite, j'utiliserais don le terme de ltrage modal en parlant de ltrage par bres ou par guides d'onde et elui de ltrage spatial pour les trous. Le deuxième intérêt est la réalisation de fon tions optiques dans un faible volume pour assurer la re ombinaison des fais eaux. Pour plusieurs projets d'interféromètre, es avantages motivent le développement et l'utilisation de l'optique guidée pour faire du ltrage modal, transporter les fais eaux et pour les re ombiner. Les possibilités de l'optique intégrée ont été montrées ave l'instrument IONIC en terme de ltrage spatial, de alibration photométrique et de fon tion de re ombinaison. Les missions spatiales Darwin/IRSI et TPF, ave leurs ontraintes optiques fortes sur la qualité du front d'onde ont besoin d'utiliser un ltrage, qu'il soit réalisé par trou ltrant ou par optique guidée pour relâ her es ontraintes. L'utilisation de l'optique intégrée permet de plus de réaliser d'autres fon tions né essaires à la re ombinaison en frange noire. Enn, les omposants d'optique intégrée, de part leur stru ture homogène et leur ompa ité sont intrinsèquement peu sensibles aux perturbations telles que vibrations et variations de température. Un état de l'art des te hnologies d'optique intégrée monomode pour des longueurs d'onde supérieures à 1,6 m montre qu'il y a eu très peu de développements et d'études par manque d'appli ation. L'obje tif est don d'identier des te hnologies existantes que l'on peut utiliser pour réaliser des guides monomodes en infrarouge thermique et d'estimer leur performan es. Pour les mêmes raisons de manque d'appli ation, les moyens de térisation sont inexistants à es longueurs d'onde et il va falloir identier et mettre en pla e les moyens né essaires. Le hangement de longueurs d'onde de fon tionnement et de te hnologie de guides d'onde imposent de reprendre le dimensionnement des guides. L'optique guidée a un omportement intrinsèquement dépendant de la longueur d'onde ar basée sur des phénomènes interférentiels. Comme la mission Darwin et plus généralement l'interférométrie stellaire ont besoin de travailler sur de larges domaines de longueur d'onde, les possibilités et limites imposées par e omportement en fon tion de la longueur d'onde devront être plus parti ulièrement étudiés. Chapitre 2 Un premier pas vers l'infrarouge thermique : la bande K Somm aire 2.1 Introdu tion. 44 2.2 Les deux te hnologies utilisées. 54 56 de mesure.............................. 57 K 60 omposant.................... 62 2.5 Mesure de ontraste........................... 66 de mesure omposant par é hange d'ions 66 67 68 2.6 Mesures sur le iel sur l'interféromètre IOTA........... 70 2.7 Con lusion................................ 72 2.8 Publi ation Astronomy & Astrophysi s............... 73 44 CHAPITRE - 2. 2.1 Introdu tion Jusqu'à présent, les développements en optique intégrée pour l'interférométrie stellaire ont majoritairement été fait en bande H [1,43-1,77 m par e que les omposants d'optique intégrée utilisés par les télé ommuni ations optiques travaillent autour de 1,5 loppements te hnologiques pour adapter les Cependant, dans le ave omposants existants étaient alors minimums. H mais dans toute la gamme du pro he infrarouge (bandes K ). Comme es te hnologies sont basées sur l'utilisation de la sili e, matériau transjusqu'à 2,5 m, il était logique de vérier que elles- i sont utilisables en bande K et et parent Les déve- hapitre pré édent, nous avons vu que beau oup d'interféromètres ne tra- vaillent pas seulement en bande J, H m. 0 quelles performan es. C'est l'objet de e hapitre. Les deux te hnologies utilisables sont l'é hange d'ions sur verre de sili e (développé par l'IMEP, Institut de Mi roéle tronique, Ele tromagnétisme et Photonique) et la gravure de ou hes min es de sili e (développé par le LETI, Laboratoire d'Ele tronique, de Te hnologie et de l'Information). Pour les valider, il faut réaliser des K puis mesurer les pertes de propagation et enn omposants monomodes en bande ara tériser un re ombinateur interféromé- trique. C'est la mesure des pertes de propagation qui permet de valider une te hnologie et éventuellement d'en améliorer les performan es. Je ommen e e hapitre par la des ription des par l'adaptation des paramètres à la bande K ara téristiques des deux te hnologies puis (partie 2.2). Puis, je donne les des guides droits et des re ombinateurs réalisés (partie 2.3). Toutes es ara térisations op- tiques n'ont un sens que si les guides d'onde sont monomodes aux longueurs d'onde de mesure, puisque 'est la propriété qui nous intéresse i i. Ce point sera traité dans le onstitue une part importante de hapitre 4 ar il e travail de thèse. Après avoir dé rit les mesures de trans- mission de diérents guides droits et de re ombinateurs (partie 2.4), je dé rit la mesure du ontraste des re ombinateurs (partie 2.5). L'utilisation du stellaire (sur le iel) permet de valider les fon tions du re ombinateur mais n'apporte pas d'information pour améliorer la te hnologie des en laboratoire). Dans iel en bande K omposant sur un interféromètre ave omposants ( 'est le rle des ara térisations ette dernière partie, je dé ris les premières franges obtenues sur le un re ombinateur en optique intégrée (partie 2.6). 2.2. LES DEUX TECHNOLOGIES UTILISÉES Les deux te hnologies utilisées Deux te hnologies très diérentes ont été utilisées jusqu'à présent pour réaliser des omposants d'optique intégrée pour l'interférométrie stellaire. Je dé ris i i les ara téristiques de es te hnologies et omment il faut les adapter pour faire des omposants monomodes en bande 2.2.1 K. L'é hange d'ions sur verre de sili e L'é hange d'ions dans des verres de sili e est la te hnologie majeure de l'IMEP et du GeeO 1. Elle permet de produire des guides d'onde et des omposants omplexes ave les avantages suivants : pertes par propagation faibles aux longueurs d'onde du pro he infrarouge, bonne ompatibilité ave les bres optiques (pertes par ouplage faibles), fa ilité de mise en ÷uvre de la te hnologie et souplesse de mise en ÷uvre.. Composition des verres de sili e Le verre est un matériau minéral amorphe qui n'est ordonné qu'à très faible é helle (quelques rangées atomiques). Il est onstitué de divers oxydes de formule générale Am On que l'on lasse suivant trois atégories (Za les formateurs de réseau harasien, 1932) : : e sont des omposés à ara tère ovalent qui peuvent former des verres sans adjon tion d'autres oxydes. Les oxydes formateurs de réseau les plus ourants sont la sili e (SiO2 ), les oxydes de Bore (B2 O3 ) et eux de phosphore (P2 O5 ). les modi ateurs de réseau : es omposés ont un ara tère ionique marqué, omme par exemple les oxydes d'al alin (A2 O ) ou d'al alino-terreux (AO ). Leur énergie de liaison est faible, e qui leur permet de se dépla er fa ilement dans le verre et d'être é hangés ave d'autres ions. les oxydes intermédiaires : es ions ont une énergie de liaison intermédiaire entre les modi ateurs et les formateurs. Ils ne peuvent être introduits que dans un réseau vitreux qui ontient déjà un formateur et un modi ateur. Ils ontribuent à la formation du réseau. Prin ipes de l'é hange d'ions Considérons une matri e vitreuse de sili e ontenant des ions modi ateurs B + en onta t ave un bain de sel fondu ontenant des ions modi ateurs A+. Sous l'eet de la haleur, les ions B + dont l'énergie de liaison est plus faible que elle des ions formateurs deviennent mobiles dans la matri e (gure 2.1). Soumis à un gradient de on entration entre le verre et le 1 16, GeeO : Groupement d'Ele tromagnétisme Expérimental et d'Optoéle tronique, hemin du vieux hêne, 38240 Meylan - Fran e. 46 CHAPITRE - 2. Sel fondu (300 − 500 °C) − NO3 Fig. 2.1 + B Verre 1 0 0 11 0 00 0 00 1111 00 001 11 011 1 00 11 11 00 00 11 00 11 0 1 00 11 0 1 00 11 01 1 00 11 0 00 11 00 01 1 0011 11 0 00 11 00 11 0 1 00 11 00 11 00 11 0 1 00 11 00 11 00 11 0 1 00 11 11 00 00 11 00 11 0 1 00 11 00 11 00 11 0 1 11 00 1 0 11 00 00 11 00 11 1 0 00 11 00 11 0 1 00 11 00 11 1 0 00 11 00 011 1 0 1 0 1 0 1 00 11 0 1 0 1 00 11 11 00 0 001 11 00 11 0 1 00 11 0 1 4+ 2− 0 1 A+ 0Si O 1 E hange d'ions entre un verre de sili e et un bain de sel fondu. sel, les ions B + du verre diusent dans le bain et sont rempla és par les ions A+ du sel. Cette variation lo ale de la on entration en ions dans le verre se traduit alors par un hangement des propriétés mé aniques et optiques et en parti ulier par un hangement lo al de l'indi e de réfra tion. Si les tailles des deux ions é hangés sont trop diérentes, de fortes ontraintes mé aniques peuvent s'exer er entre la partie é hangée et la partie non é hangée du verre. On peut alors observer des variations d'indi e supérieures à elles attendues. Ces ontraintes rendent souvent le guide anisotrope et don biréfringent. Certains é hanges sont même impossibles sans une rupture du verre. Etapes te hnologiques de l'é hange d' ions 1. Nettoyage Glass substrate du cleaningen verre substrat 6. Gravure Aluminium de etching l'aluminium d'aluminium 2. Dépôt Aluminium par évaporation evaporation de la 7. Retrait Photoresist stripping résine 3. Dépôt Photoresist d'une deposition résine photosensible 8. Diffusion Ion diffusion ionique in molten saltde dans un bain UV 4. Insolation Photomask UV à exposure travers le masque 5. Développement Photoresist ladevelopment résine Fig. 2.2 de sels fondus de 9. Retrait Aluminium removal l'aluminium des 10. Enterrage Waveguide embedding guides Etapes pour la réalisation de omposants par é hange d'ions dans des verres de sili e. La réalisation de guides anaux ou de stru tures plus omplexes repose sur le masquage de ertaines parties du verre ave un matériau imperméable aux ions é hangés. On peut réaliser 2.2.
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Citation (APA): van Wingerden, J. W., Fleming, P. A., Göçmen, T., Eguinoa, I., Doekemeijer, B. M., Dykes, K., Lawson, M., Simley, E., King, J., Astrain, D., Iribas, M., Bottasso, C. L., Meyers, J., Raach, S., Kölle, K., & Giebel, G. (2020). Expert Elicitation on Wind Farm Control. Journal of Physics: Conference Series, 1618(2), Article 022025. https://doi.org/10.1088/1742-6596/1618/2/022025 Downloaded from orbit.dtu.dk on: Oct 25, 2024 Downloaded from orbit.dtu.dk on: Oct 25, 2024 Downloaded from orbit.dtu.dk on: Oct 25, 2024 General rights Copyright and moral rights for the publications made accessible in the public portal are retained by the authors and/or other copyright owners and it is a condition of accessing publications that users recognise and abide by the legal requirements associated with these rights.  Users may download and print one copy of any publication from the public portal for the purpose of private study or research.  You may not further distribute the material or use it for any profit-making activity or commercial gain  You may freely distribute the URL identifying the publication in the public portal If you believe that this document breaches copyright please contact us providing details, and we will remove access to the work immediately and investigate your claim. General rights Copyright and moral rights for the publications made accessible in the public portal are retained by the authors and/or other copyright owners and it is a condition of accessing publications that users recognise and abide by the legal requirements associated with these rights. Expert Elicitation on Wind Farm Control van Wingerden, J. W.; Fleming, P. A.; Göçmen, T.; Eguinoa, I.; Doekemeijer, B. M.; Dykes, K.; Lawson, M.; Simley, E.; King, J.; Astrain, D. Total number of authors: 16 Published in: Journal of Physics: Conference Series Published in: Journal of Physics: Conference Series Link to article, DOI: 10.1088/1742-6596/1618/2/022025 Link to article, DOI: 10.1088/1742-6596/1618/2/022025 Publication date: 2020 Document Version Publisher's PDF, also known as Version of record General rights Copyright and moral rights for the publications made accessible in the public portal are retained by the authors and/or other copyright owners and it is a condition of accessing publications that users recognise and abide by the legal requirements associated with these rights. PAPER • OPEN ACCESS To cite this article: J. W. van Wingerden et al 2020 J. Phys.: Conf. Ser. 1618 022025 View the article online for updates and enhancements. This content was downloaded from IP address 192.38.90.123 on 15/10/2020 at 09:29 Link back to DTU Orbit Citation (APA): van Wingerden, J. W., Fleming, P. A., Göçmen, T., Eguinoa, I., Doekemeijer, B. M., Dykes, K., Lawson, M., Simley, E., King, J., Astrain, D., Iribas, M., Bottasso, C. L., Meyers, J., Raach, S., Kölle, K., & Giebel, G. (2020). Expert Elicitation on Wind Farm Control. Journal of Physics: Conference Series, 1618(2), Article 022025. https://doi.org/10.1088/1742-6596/1618/2/022025 this document breaches copyright please contact us providing details, and we will remove access to the work immediate ur claim. Journal of Physics: Conference Series Expert Elicitation on Wind Farm Control J. W. van Wingerden1, P. A. Fleming2, T. G¨o¸cmen3, I. Eguinoa4, B. M. Doekemeijer1, K. Dykes3, M. Lawson2, E. Simley2, J. King2, D. Astrain4, M. Iribas4, C. L. Bottasso5, J. Meyers6, S. Raach7, K. K¨olle8, G. Giebel3 1Delft University of Technology, Delft, The Netherlands 2National Renewable Energy Laboratory, Golden, Colorado, USA 3Technical University of Denmark, Roskilde, Denmark 4CENER, Sarriguren, Spain 5Technical University Munich, Munich, Germany 6KU Leuven, Leuven, Belgium 7sowento, Stuttgart, Germany 8SINTEF Energy Research, Trondheim, Norway J. W. van Wingerden1, P. A. Fleming2, T. G¨o¸cmen3, I. Eguinoa4, B. M. Doekemeijer1, K. Dykes3, M. Lawson2, E. Simley2, J. King2, D. Astrain4, M. Iribas4, C. L. Bottasso5, J. Meyers6, S. Raach7, K. K¨olle8, G. Giebel3 B. M. Doekemeijer1, K. Dykes3, M. Lawson2, E. Simley2, J. King2, D. Astrain4, M. Iribas4, C. L. Bottasso5, J. Meyers6, S. Raach7, K. K¨olle8, G. Giebel3 1Delft University of Technology, Delft, The Netherlands 2National Renewable Energy Laboratory, Golden, Colorado, USA 3Technical University of Denmark, Roskilde, Denmark 4CENER, Sarriguren, Spain 5Technical University Munich, Munich, Germany 6KU Leuven, Leuven, Belgium 7sowento, Stuttgart, Germany 8SINTEF Energy Research, Trondheim, Norway E-mail: j.w.vanwingerden@tudelft.nl E-mail: j.w.vanwingerden@tudelft.nl Abstract. Wind farm control is an active and growing field of research in which the control actions of individual turbines in a farm are coordinated, accounting for inter-turbine aerodynamic interaction, to improve the overall performance of the wind farm and to reduce costs. The primary objectives of wind farm control include increasing power production, reducing turbine loads, and providing electricity grid support services. Additional objectives include improving reliability or reducing external impacts to the environment and communities. In 2019, a European research project (FarmConners) was started with the main goal of providing an overview of the state-of-the-art in wind farm control, identifying consensus of research findings, data sets, and best practices, providing a summary of the main research challenges, and establishing a roadmap on how to address these challenges. Complementary to the FarmConners project, an IEA Wind Topical Expert Meeting (TEM) and two rounds of surveys among experts were performed. From these events we can clearly identify an interest in more public validation campaigns. Additionally, a deeper understanding of the mechanical loads and the uncertainties concerning the effectiveness of wind farm control are considered two major research gaps. This content was downloaded from IP address 192.38.90.123 on 15/10/2020 at 09:29 This content was downloaded from IP address 192.38.90.123 on 15/10/2020 at 09:29 QUE 2020) 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 Content from this work may be used under the terms of the Creative Commons Attribution 3.0 licence. Any further distribution of this work must maintain attribution to the author(s) and the title of the work, journal citation and DOI. Published under licence by IOP Publishing Ltd 1 1 See https://cordis.europa.eu/project/rcn/224282/factsheet/en and https://www.windfarmcontrol.info. Content from this work may be used under the terms of the Creative Commons Attribution 3.0 licence. Any further distribution of this work must maintain attribution to the author(s) and the title of the work, journal citation and DOI. Published under licence by IOP Publishing Ltd 1 The Science of Making Torque from Wind (TORQUE 2020) WFC can be categorized accordingly to three distinct technologies used to achieve the primary objectives identified above: (i) The first technology is wake steering, where wake interactions are modified by redirecting the wakes in the wind farm. This technique could be used to either increase power production by steering wakes away from downstream turbines or to reduce asymetric loading introduced by partial wakes. (i) The first technology is wake steering, where wake interactions are modified by redirecting the wakes in the wind farm. This technique could be used to either increase power production by steering wakes away from downstream turbines or to reduce asymetric loading introduced by partial wakes. (ii) The second technology is axial induction control, where wake interactions and impacts are modified by derating upstream or uprating downstream turbines. Derating leads to a reduction in the structural loads of the derated and downstream turbines while uprating can increase power production. Both derating and uprating can provide the basis for supporting grid services such as active power control. (iii) The third technology is wake mixing, where upstream turbines are dynamically uprated and downrated on short timescales to induce additional wake recovery, minimizing wake losses further downstream. (iii) The third technology is wake mixing, where upstream turbines are dynamically uprated and downrated on short timescales to induce additional wake recovery, minimizing wake losses further downstream. The literature contains an abundance of WFC solutions that leverage one or more of these technologies for one or more of the aforementioned objectives [4, 15, 16]. A popular method of algorithm validation, much more cost-effective than field experiments, has been the use of dedicated wind tunnel experiments. The potential of wake steering has been demonstrated on multiple occasions. For example, Adaramola and Krogstad [1], Schottler et al. [19], and Bartl et al. [2] report gains of up to 12% for wake steering in two-turbine arrays in wind tunnel experiments. Moreover, Campagnolo et al. [5, 6] and Park et al. [18] report gains of up to 33% for three-turbine arrays through wake steering in their wind tunnels. Bastankhah and Port´e- Agel [3] report gains of up to 17% for a five-turbine array using wake steering in a wind tunnel. Moreover, Campagnolo et al. [5, 6], among others, tested the potential of axial induction control for power maximization in their wind tunnel reporting no net gains. 1. Introduction Wind farm control (WFC) is an active and growing field of research in which the control actions of individual turbines in a farm are coordinated, accounting for inter-turbine aerodynamic interaction, to improve the overall performance of the wind farm and to reduce costs. The primary objectives of WFC include increasing power production, reducing turbine loads, and providing electricity grid support services. Additional objectives include improving reliability or reducing external impacts to the environment and communities. In 2019, a European project (FarmConners1) was started with the main goal of providing an overview of the state of the art in WFC, identifying consensus of research findings, data sets, and best practices, providing a summary of the main research challenges, and establishing a roadmap on how to address these challenges. Complementary to the FarmConners project, an International Energy Agency (IEA) Wind Topical Expert Meeting (TEM) has similar objectives. In this paper these two initiatives are merged. See https://cordis.europa.eu/project/rcn/224282/factsheet/en and https://www.windfarmcontrol.info QUE 2020) 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 1618 (2020) 022025 doi:10.1088/1742-6596/1618/2/022025 i) state of the industry: What are the current capabilities of commercial WFC solutions (ii) state of the academia: What are the current research findings, including theoretical results, overview of mathematical models and their capabilities, and the findings of high-fidelity computer simulations, wind tunnel studies, and field trials? (ii) state of the academia: What are the current research findings, including theoretical results, overview of mathematical models and their capabilities, and the findings of high-fidelity computer simulations, wind tunnel studies, and field trials? (iii) consensus of research findings and best practices: What topics have consensus and which questions remain unanswered in the research? Moreover, a secondary objective is to establish preferred nomenclature and define best practices for future research. (iii) consensus of research findings and best practices: What topics have consensus and which questions remain unanswered in the research? Moreover, a secondary objective is to establish preferred nomenclature and define best practices for future research. (iv) research needs: Based on existing research and desired end goals, where is research most needed? In brief, for objective (i), the current commercial WFC solutions are dominated by steady- state wake steering where yaw misalignment is used to maximize the annual energy production (AEP). For objective (ii), recent articles [7, 4, 15] have reviewed the state of the research. Instead, this paper focuses on objectives (iii) and (iv) involving the consensus of research findings, best practices, and open research questions. The paper is structured as follows. Section 2 describes how information was gathered from leading academia and industry in the field of WFC. Section 3 presents the findings. The paper is concluded in Section 4. The Science of Making Torque from Wind (TORQUE 2020) The third concept, wake mixing, is a novel technology and thereby has only been validated to a limited degree in the literature. The concept demonstrated in simulation by Munters et al. [17] was validated by Frederik et al. [12] in a set of wind tunnel experiments. More recently, the helix wake mixing concept was introduced by van Wingerden et al. [21], where individual pitch control is used to trigger wake mixing [13]. This concept is still to be validated through scaled experiments. A handful of publications have focused on validation of wind farm control algorithms through field experiments. Contrary to the findings of Campagnolo et al. [5], Van Der Hoek et al. [20] demonstrate axial induction control in field trials on a commercial wind farm, showing a small but positive increase in the power production of the farm compared to baseline operation. Fleming et al. [9] demonstrate wake steering on an offshore two-turbine array with positive results. Thereafter, Fleming et al. [10, 11] demonstrate wake steering at an onshore two-turbine array surrounded by a complex topology. In these experiments, the benefits of wake steering are common in the data, but some losses are measured, too. Howland et al. [14] demonstrate wake steering at an onshore six-turbine array, showing significant gains in power production for particular situations (i.e., low wind speed, wake-loss-heavy wind directions, low turbulence levels), although they report that their net gain over annual operation appears insignificant compared to baseline operation. Doekemeijer et al. [8] then demonstrate wake steering in a complex onshore wind farm, containing different turbine types and more complicated wake interaction. Their results largely agree with the other field experiments: both gains and losses in power production are measured. The authors conclude that, while the gains outnumber the losses, more research is necessary on the topic of wake steering. At large, it is clear that more research is necessary before WFC can be fully commercialized. To accelerate the industrialization of WFC, the primal objectives of the European FarmConners project are to develop an overview of the: 2 1618 (2020) 022025 doi:10.1088/1742-6596/1618/2/022025 the group, to a large degree, shared research interests, focusing mainly on flow modeling and aerodynamical turbine interaction. Experts working on control algorithms, the electrical components, and grid integration were underrepresented in the meeting. It can be assumed that the same group that attended the TEM also answered the survey, causing a certain bias toward, for example, power maximization by flow control. The potential effect of the participant background is discussed further in Section 3, where applicable. During the TEM, the aforementioned questionnaires, as well as the open outcomes of current research projects in the field, were used as a starting point for discussions during the meeting. Research on WFC has been separated into the aerodynamical topics and the aspects of grid integration. These discussions revealed that there was no uniform consensus among participants on the definition of “grid services” as mentioned in the questionnaire. While some attendees interpreted grid services as “complying to grid codes,” others interpreted them as a “provision of ancillary services” and its related requirements. This should be considered when looking at the results in Section 3. Accordingly, establishing a clear definition is recommended in this paper, especially considering the expected evolution of grid codes and electrical market services as the penetration of wind energy in the energy mix increases over the coming years. 3. Results The outcomes of the two-round survey are presented in this section. Before assessing the technical challenges of WFC, consensus must be reached on its definition. Therefore, the survey preceded with the question “What is wind farm control?” The results clearly point toward wake steering and axial induction control for power maximization and load mitigation (i.e., dealing with flow phenomena in the wind farm using mathematical models and handling uncertainty). Not surprisingly, because of the surveyed group, grid integration is rated as less important using this definition. Moreover, one of the most pronounced outcomes of the survey is the common request for increased collaboration in WFC, mainly in terms of i) access to data, ii) availability of models, and iii) availability of field tests. The main objectives of both the TEM in Amsterdam and the European FarmConners project address exactly that: more engaged collaboration through common dialogue platforms and open science principles. The survey is structured around three main queries, each elaborated next. The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020 QUE 2020) 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 2. Methodology To meet the aforementioned objectives, IEA Wind TEM #97 was held on the 25th of September, 2019, in Amsterdam with 47 experts from academia and industry to discuss the current status of WFC. The TEM was preceded by two surveys about the current state of the art and research needs. The questionnaires were completed by over 50 WFC stakeholders. Figure 1 illustrates the affiliation of the participants for both iterations of the questionnaire. Although the input from academia and research institutes seems to have a higher share in the survey results, there is still considerable participation from the industrial and commercial stakeholders. 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% Other Wind farm operator Consultant Project developer Wind turbine manufacturer/OEM Research institute Academia Round 1 Round 2 Figure 1: Affiliation of the participants for the two rounds of WFC surveys Round 1 Round 2 Round 1 Round 2 Figure 1: Affiliation of the participants for the two rounds of WFC surveys There is a potential bias because of the high participation (more than 50%) of academia and research institutes. Also, during the discussions in Amsterdam, it became apparent that 3 3.1. What are the most important reasons for WFC? Ranking on the x-axis refers to 1.0 – most important, 8.0 – least important It is seen that 50% of the survey participants find the reported results to be more than 60% believable, where the median of the answers is approximately 70% plausibility. 3.1. What are the most important reasons for WFC? 4 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 Rank Increased Energy Production Load Reduction/Rebalancing Grid Services Extended Turbine Life Wind Farm Densification O&M Optimization Noise Reduction Bird/Bat Collision 36 4 2 1 2 1 0 0 2 25 9 2 4 3 0 1 5 3 6 8 13 9 1 0 1 2 15 12 6 5 2 2 1 9 8 7 4 10 6 0 1 2 6 12 9 7 5 3 0 0 0 3 7 5 22 7 0 1 0 0 0 4 8 31 Figure 2: The most important benefits of WFC as perceived by the survey participants. Ranking on the x-axis refers to 1.0 – most important, 8.0 – least important The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 Rank Increased Energy Production Load Reduction/Rebalancing Grid Services Extended Turbine Life Wind Farm Densification O&M Optimization Noise Reduction Bird/Bat Collision 36 4 2 1 2 1 0 0 2 25 9 2 4 3 0 1 5 3 6 8 13 9 1 0 1 2 15 12 6 5 2 2 1 9 8 7 4 10 6 0 1 2 6 12 9 7 5 3 0 0 0 3 7 5 22 7 0 1 0 0 0 4 8 31 Figure 2: The most important benefits of WFC as perceived by the survey participants. Ranking on the x-axis refers to 1.0 – most important, 8.0 – least important Figure 2: The most important benefits of WFC as perceived by the survey participants. Ranking on the x-axis refers to 1.0 – most important, 8.0 – least important Figure 2: The most important benefits of WFC as perceived by the survey participants. Ranking on the x-axis refers to 1.0 – most important, 8.0 – least important Figure 2: The most important benefits of WFC as perceived by the survey participants. 3.1. What are the most important reasons for WFC? 3.1. What are the most important reasons for WFC? The most important benefits of WFC. The clear majority of the WFC community sees the increased energy production as the most important benefit of WFC implementation. Potential alleviation of turbine structural loads and lifetime extension follows as the second, where operations and maintenance (O&M) optimization comes as third in importance. Figure 2 shows that mitigation of the environmental impacts such as noise reduction and bird/bat collision is ranked lowest in terms of the benefits that WFC can potentially provide. The most important benefits of WFC. The clear majority of the WFC community sees the increased energy production as the most important benefit of WFC implementation. Potential alleviation of turbine structural loads and lifetime extension follows as the second, where operations and maintenance (O&M) optimization comes as third in importance. Figure 2 shows that mitigation of the environmental impacts such as noise reduction and bird/bat collision is ranked lowest in terms of the benefits that WFC can potentially provide. Expected AEP gain. Figure 3 shows the responses for the question “How much of an increase in energy production is needed to justify implementation?” In this figure, we see that around 60% of the respondents believe that a gain of 1.0% AEP gain is necessary to justify implementation. Looking at different stakeholder groups, however, we found that wind farm operators and turbine manufacturers had a lower threshold than 1.0% while academia tended to have a higher threshold. As part of the maturity process in the field, this finding highlights the need to put the expected WFC benefits into better context by establishing more realistic but still commercially appealing predictions of potential improvements. Plausibility of the current results in the literature. Figure 4 indicates the plausibility of the current benefits reported in the WFC literature by the stakeholders of the technology. Plausibility of the current results in the literature. Figure 4 indicates the plausibility of the current benefits reported in the WFC literature by the stakeholders of the technology. 3.2. Where is consensus and where is disagreement? Thereafter, the survey participants were asked to indicate their agreement to several statements in five categories from “Strongly agree” to “Strongly disagree.” These agreement classes are then compiled into percentage distributions, as listed in Table 1. For example, 84% of the par- ticipants agree that the WFC technology will be broadly adopted in the future, and 78% of respondents highlight the need for standardization in the validation tools and methods. 0.25 0.50 0.75 1.00 1.25 1.50 1.75 2.00 Percent Gain 0.00% 50.00% 100.00% Figure 3: Distribution of responses to the question: How much of an increase in energy production is needed to justify implementation? The x-axis shows the percentage gain and the y-axis shows the cumulative percentage of questionnaire participants. Figure 3: Distribution of responses to the question: How much of an increase in energy production is needed to justify implementation? The x-axis shows the percentage gain and the y-axis shows the cumulative percentage of questionnaire participants. 5 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 Question Agree Disagree WFC will be broadly adopted at some point in the future 84% 0% There is a lack of standard reference validation tools and methods to be openly used for certification and bankability purposes 78% 8% It is worth developing WFC if the only benefit is to AEP 74% 5% Wind farm flow control will be broadly adopted within 10 years 66% 9% There is a lack of reliable tools to evaluate the load impact of certain modes of operation in WFC (e.g., yaw misalignment) 78% 15% It is worth developing WFC if the only benefit is to reduce the turbine loads 64% 11% Atmospheric condition measurements (e.g., lidars or other equip- ment) should be used as real-time inputs in future WFC applications 65% 13% WFC, as opposed to individual turbine control, is needed to provide grid services 60% 8% The theory of WFC is mature 21% 50% WFC is only applicable to newly designed wind farms 3% 80% Table 1: Response to various statements in five categories from “Strongly agree” to “Strongly disagree.” This table shows the percentage distribution. Question 0.0 0.2 0.4 0.6 0.8 1.0 Providing reactive power control should not be considered as wind farm control Flow issues should be treated separately from electrical issues Existing wind farm models are reliably applicable to only offshore and onshore flat terrain We should prioritize collecting experimental validation data over other research priorities It is worth developing wind farm control if the only benefit is to enhance grid services Strongly agree Agree Neutral Disagree Strongly Disagree Figure 5: Statements to which more survey participants agree than disagree 0.0 0.2 0.4 0.6 0.8 1.0 Existing experimental methods are sufficient for testing and developing wind farm control strategies Currently implemented wind sensors (turbine-mounted wind vanes/anemometers) are good enough for WFC Reduced storage prices in the future make providing grid services from wind a moot point Strongly agree Agree Neutral Disagree Strongly Disagree Figure 6: Statements to which more survey participants disagree than agree 0.0 0.2 0.4 0.6 0.8 1.0 Providing reactive power control should not be considered as wind farm control Flow issues should be treated separately from electrical issues Existing wind farm models are reliably applicable to only offshore and onshore flat terrain We should prioritize collecting experimental validation data over other research priorities It is worth developing wind farm control if the only benefit is to enhance grid services Strongly agree Agree Neutral Disagree Strongly Disagree Figure 5: Statements to which more survey participants agree than disagree 0.0 0.2 0.4 0.6 0.8 1.0 Providing reactive power control should not be considered as wind farm control Flow issues should be treated separately from electrical issues Existing wind farm models are reliably applicable to only offshore and onshore flat terrain We should prioritize collecting experimental validation data over other research priorities It is worth developing wind farm control if the only benefit is to enhance grid services Strongly agree Agree Neutral Disagree Strongly Disagree Figure 5: Statements to which more survey participants agree than disagree Figure 5: Statements to which more survey participants agree than disagree 0.0 0.2 0.4 0.6 0.8 1.0 Existing experimental methods are sufficient for testing and developing wind farm control strategies Currently implemented wind sensors (turbine-mounted wind vanes/anemometers) are good enough for WFC Reduced storage prices in the future make providing grid services from wind a moot point Strongly agree Agree Neutral Disagree Strongly Disagree Figure 6: Statements to which more survey participants disagree than agree 0.0 0.2 0.4 0.6 0.8 1.0 Existing experimental methods are sufficient for testing and developing wind farm control strategies Currently implemented wind sensors (turbine-mounted wind vanes/anemometers) are good enough for WFC Reduced storage prices in the future make providing grid services from wind a moot point Strongly agree Agree Neutral Disagree Strongly Disagree Figure 6: Statements to which more survey participants disagree than agree Figure 6: Statements to which more survey participants disagree than agree 3.3. Question The theory of WFC is mature Table 1: Response to various statements in five categories from “Strongly agree” to “Strongly disagree.” This table shows the percentage distribution. Table 1: Response to various statements in five categories from “Strongly agree” to “Strongly disagree.” This table shows the percentage distribution. Figure 5 shows statements to which most respondents agreed. Figure 6 shows statements to which most respondents disagreed. Figure 7 shows statements in which no consensus was found. It appears that WFC is deemed interesting as long as at least one of the objectives (power maximization, load mitigation, electricity grid services) can be achieved. Moreover, the respondents consider experimental validation a priority over other research topics, and current experimental methods are considered insufficient. It is interesting to note that there is no consensus on who will be primarily developing WFC algorithms—be it turbine manufacturers, 20 40 60 80 100 % Believable 0 2 4 6 8 10 12 Number of respondants 20 40 60 80 100 % Believable 0.00% 50.00% 100.00% Perc. of respondants at or above Figure 4: Distribution of responses to the question: On a scale of 0–100, how believable do you consider the reported energy yield gains of WFC methods? 100 – highly believable. Left: histogram of the responses; right: cumulative distribution Figure 4: Distribution of responses to the question: On a scale of 0–100, how believable do you consider the reported energy yield gains of WFC methods? 100 – highly believable. Left: histogram of the responses; right: cumulative distribution 6 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 QUE 2020) 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 Q ) 1618 (2020) 022025 g doi:10.1088/1742-6596/1618/2/022025 academia, or an external entity. academia, or an external entity. Uncertainties concerning the effectiveness of WFC. Finally, the understanding and quantification of statistical uncertainties is another major research gap according to the survey participants. This has only been explored to a very limited degree in WFC. Uncertainties concerning the effectiveness of WFC. Finally, the understanding and quantification of statistical uncertainties is another major research gap according to the survey participants. This has only been explored to a very limited degree in WFC. The survey shows that the responding community considers topics such as the effect of WFC on farm layout optimization, control for farm-farm interaction, and integration with other renewables and aeroacoustics not to be current research priorities that will accelerate the implementation of industrial WFC. Question 1 – most important, 10 – least important Figure 8: Barriers preventing implementation of WFC, ranked by the survey participants between 1 and 10 according to importance. 1 – most important, 10 – least important Figure 8: Barriers preventing implementation of WFC, ranked by the survey participants between 1 and 10 according to importance. 1 – most important, 10 – least important Question Prioritization of WFC research An important objective of the FarmConners project is defining implementation barriers and assigning research priorities. The corresponding research results are shown in Figures 8 and 9. Validation. The survey participants consider the lack of validation as one of the main barriers to WFC on an industrial scale, as shown in Figure 8. The ranking of research priorities in Figure 9 shows a clear interest in public validation campaigns, which is in agreement with the findings from Figure 5, among others. Moreover, the survey shows that there is a strong need for consensus on widely acceptable validation methods. Mechanical loads. Among the research barriers listed in Figure 8, structural loads are consistently ranked to be of medium importance. Accordingly, a deeper understanding of mechanical loads is considered one of the important research gaps in Figure 9. Mechanical loads. Among the research barriers listed in Figure 8, structural loads are consistently ranked to be of medium importance. Accordingly, a deeper understanding of mechanical loads is considered one of the important research gaps in Figure 9. Mechanical loads. Among the research barriers listed in Figure 8, structural loads are consistently ranked to be of medium importance. Accordingly, a deeper understanding of mechanical loads is considered one of the important research gaps in Figure 9. 7 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 0.0 0.2 0.4 0.6 0.8 1.0 Wind turbine manufacturers are willing to help others implement wind farm control with their turbines. Study of hybrid (ie wind and solar) plants should be included in this overall topic area AEP is the appropriate measure to determine the success of a wind farm control scheme Wind farm control will be primarily developed /provided/implemented by turbine manufacturers Strongly agree Agree Neutral Disagree Strongly Disagree Figure 7: Statements without a clear trend among survey participants 0.0 0.2 0.4 0.6 0.8 1.0 Wind turbine manufacturers are willing to help others implement wind farm control with their turbines. Question Study of hybrid (ie wind and solar) plants should be included in this overall topic area AEP is the appropriate measure to determine the success of a wind farm control scheme Wind farm control will be primarily developed /provided/implemented by turbine manufacturers Strongly agree Agree Neutral Disagree Strongly Disagree Figure 7: Statements without a clear trend among survey participants Figure 7: Statements without a clear trend among survey participants 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 Rank Lack of Validation Demo of Economic Value Validated Models Certification Loads Acceptance WFC Strategies Infrastructure for Implementation Optimization Tools Uncertainty (other) 12 11 8 3 9 2 1 1 1 2 9 8 7 9 4 2 1 3 4 2 7 9 2 9 3 6 5 6 2 0 4 6 11 4 5 5 7 3 1 1 1 6 5 9 12 5 5 4 1 0 8 5 4 6 5 3 7 5 2 3 3 1 4 4 5 8 8 5 6 3 3 2 2 4 3 5 6 7 8 6 1 1 1 1 2 6 4 8 16 5 1 1 5 0 1 6 2 3 4 22 Figure 8: Barriers preventing implementation of WFC, ranked by the survey participants between 1 and 10 according to importance. 1 – most important, 10 – least important 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 Rank Lack of Validation Demo of Economic Value Validated Models Certification Loads Acceptance WFC Strategies Infrastructure for Implementation Optimization Tools Uncertainty (other) 12 11 8 3 9 2 1 1 1 2 9 8 7 9 4 2 1 3 4 2 7 9 2 9 3 6 5 6 2 0 4 6 11 4 5 5 7 3 1 1 1 6 5 9 12 5 5 4 1 0 8 5 4 6 5 3 7 5 2 3 3 1 4 4 5 8 8 5 6 3 3 2 2 4 3 5 6 7 8 6 1 1 1 1 2 6 4 8 16 5 1 1 5 0 1 6 2 3 4 22 Figure 8: Barriers preventing implementation of WFC, ranked by the survey participants between 1 and 10 according to importance. 4. Conclusions This paper has shown current 8 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020) 022025 IOP Publishing doi:10.1088/1742-6596/1618/2/022025 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 11.0 12.0 13.0 Rank Validation Campaigns Understanding Load Impact Understanding/Quantifying Uncertainties Develop Numerical Models Real-time Control Strategies Understanding Dependence of Atmospheric Conditions Developing Widely Accepted Validation Robust Implementation (Curailment etc) Understanding how WFC impacts optimal layout Grid Support Farm-Farm Cluster Control Integration With Storage And Solar Understanding Sound Impact 13 5 5 4 4 4 1 2 3 4 1 0 0 3 8 7 6 7 6 3 2 2 1 0 1 0 4 6 5 9 7 3 1 4 2 1 1 1 1 7 4 6 6 5 4 4 3 4 1 0 1 1 3 8 1 9 7 3 2 6 3 0 3 0 0 5 8 4 2 4 7 5 5 2 0 0 1 2 7 2 4 2 5 3 6 4 2 0 6 3 1 1 2 3 5 0 4 13 2 3 5 3 3 0 2 0 5 3 2 6 3 4 8 9 1 2 1 0 2 2 0 3 1 4 2 6 12 8 4 1 1 0 3 0 1 2 3 3 8 11 8 2 3 0 1 1 0 1 0 0 2 1 0 9 11 19 0 0 0 0 0 0 0 5 1 1 5 16 16 Figure 9: Research priorities for WFC according to the questionnaire; the different topics are ranked between 1 and 10 according to importance, 1 – most important, 13 – least important Figure 9: Research priorities for WFC according to the questionnaire; the different topics are ranked between 1 and 10 according to importance, 1 – most important, 13 – least important Figure 9: Research priorities for WFC according to the questionnaire; the different topics are ranked between 1 and 10 according to importance, 1 – most important, 13 – least important areas of consensus, areas with further disagreement, and research gaps that need to be addressed in the go-to-market path of WFC. Acknowledgements A j A majority of the authors have received funding from the European Union’s Horizon 2020 Research and Innovation Programme under Grant Agreement No. 857844 as part of the FarmConners project. 1 has received funding by the Netherlands Organization for Scientific Research (NWO) as part of his VIDI grant with project number 17512 4. Conclusions Reaching the common standard definition of concepts, metrics, and tools is recommended according to the survey results and TEM discussions. Moreover, a stronger collaboration not only across institutions but also different disciplines working on the control of wind power plants is desirable and one of the declared goals of FarmConners. After all, this survey has provided interesting insight into the beliefs and assumptions driving WFC research. Taking the outcomes of the TEM into account, a follow-up survey focusing on industry will be conducted. [1] M S Adaramola and P A Krogstad. 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[10] P A Fleming, J King, K Dykes, E Simley, J Roadman, A K Scholbrock, P Murphy, J K Lundquist, P Moriarty, K Fleming, J van Dam, C J Bay, R Mudafort, H Lopez, J Skopek, M Scott, B Ryan, C Guernsey, and D Brake. References Initial results from a field campaign of wake steering applied at a commercial wind farm – part 1. Wind Energy Science, 4(2):273–285, 2019. [11] P A Fleming, J King, E Simley, J Roadman, A Scholbrock, P Murphy, J K Lundquist, P Moriarty, K Fleming, J van Dam, C Bay, R Mudafort, D Jager, J Skopek, M Scott, B Ryan, C Guernsey, and D Brake. Continued results from a field campaign of wake steering applied at a commercial wind farm: Part 2. Wind Energy Science Discussions, 2020:1–24, 2020. [12] J A Frederik, F Campagnolo, S Cacciola, R Weber, A Croce, C Bottasso, and J W van Wingerden. Periodic dynamic induction control of wind farms: proving the potential in simulations and wind tunnel experiments. Wind Energy Science, 5(1):245–257, 2020. [13] J A Frederik, B M Doekemeijer, S Mulders, and J W van Wingerden. On wind farm wake mixing strategies using dynamic individual pitch control. The science of making torque from wind, 2020. [14] M F Howland, S K Lele, and J O Dabiri. Wind farm power optimization through wake steering. Proceedings of the National Academy of Sciences, 116(29):14495–14500, 2019. [15] A C Kheirabadi and R Nagamune. A quantitative review of wind farm control with the objective of wind farm power maximization. Journal of Wind Engineering and Industrial Aerodynamics, 192:45 – 73, 2019. [16] T Knudsen, T Bak, and M Svenstrup. Survey of wind farm control – power and fatigue optimization. Wind Energy, 18(8):1333–1351, 2015. [17] W Munters and J Meyers. Towards practical dynamic induction control of wind farms: analysis of optimally controlled wind-farm boundary layers and sinusoidal induction control of first-row turbines. Wind Energy Science, 3(1):409–425, 2018. 10 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020 The Science of Making Torque from Wind (TORQUE 2020) Journal of Physics: Conference Series 1618 (2020 IOP Publishing [18] J Park, S D Kwon, and K H Law. A data-driven approach for cooperative wind farm control. In 2016 American Control Conference, pages 525–530, 2016. [19] J Schottler, A H¨olling, J Peinke, and M H¨olling. Wind tunnel tests on controllable model wind turbines in yaw. 2016. [20] D van der Hoek, S Kanev, J Allin, D Bieniek, and N Mittelmeier. Effects of axial induction control on wind farm energy production - a field test. Renewable Energy, 140:994 – 1003, 2019. [21] J W van Wingerden, J A Frederik, and B M Doekemeijer. Enhanced wind turbine wake mixing, 2019. Patent (pending). 11 11
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Cet éloignement du canon scolaire, qu’il prenne la forme d’une mise à distance d’auteurs ou de genres suspectés d’être rébarbatifs ou inabordables ou d’une ouverture à des ouvrages plus récents, moins connus ou moins légitimes, va de pair avec la construction et la promotion d’un modèle de lecture qui devient un des traits définitoires de la lecture publique et qui s’oppose au modèle de lecture scolaire construit en contrepoint. Une conservatrice responsable d’établissement parle ainsi de « contrainte » et de « poncif » pour qualifier les lectures scolaires et évoque a contrario l’essai de Daniel Pennac qui propose une approche renouvelée de la littérature dans l’enseignement secondaire : « Il y a aussi le fait que la littérature se substitue avec l’école à quelque chose d’obligatoire : il faut étudier tel roman, il faut étudier telle pièce de théâtre, en français, et je pense que si ce n’est pas bien fait – et là, je crois que les profs de français ont une grosse responsabilité –, si ce n’est pas bien fait, ça devient quelque chose de contraignant et l’adolescent se désintéresse de la littérature comme quelque chose qui est absolument... c’est un poncif, il faut absolument le faire, c’est un devoir de classe comme le devoir de maths. – Vous pensez que ça dépend des ouvrages choisis ou de la méthode? – Non, je pense que ça dépend de la façon dont le français est enseigné. Enfin, à mon avis, ils ont une part de responsabilité sur le fait que ça prend un caractère rébarbatif parce que ça a été mal, euh... D’ailleurs, il y a un bouquin de Daniel Tiré de La construction de la visibilité littéraire en bibliothèque – Presses de l’enssib, 2015. < http://www.enssib.fr/presses/ > Un modèle de « lecture plaisir » La construction de la visibilité littéraire en bibliothèque 320 | Pennac, il s’appelle Daniel? – Oui. – Comme un roman. Vous n’avez pas lu ça? Il parle du Parfum, justement! – Là, c’est vraiment tout le contraire de ce que vous décrivez : c’est vraiment le professeur qui fait aimer la littérature! – Oui, justement, justement, mais parce que c’est gratuit : au départ , il n’y a pas de contrainte par rapport à la lecture, il n’y a pas de trucs à rendre, de production à faire, la fiche de lecture à rendre, le contrôle sur la lecture de je ne sais pas quoi... » (extrait d’entretien, 6 avril 2005) Fondé sur la liberté et le désintéressement, le modèle de lecture promu par la lecture publique est ainsi un modèle de « lecture plaisir ». | la surprise, le second ressort de l’intérêt mis en lumière par Alain Viala commentant Rousseau7. Un bon roman pour une sélection est non seulement un ouvrage qui ne rebute pas d’emblée, mais aussi un livre que l’usager ne lâche pas. Il doit donc tenir en haleine, en jouant des effets de suspense et des rebondissements. Les bibliothécaires misent ainsi sur ce qui constitue l’autre ressort de l’intérêt identifié par Alain Viala, celui « qui met la curiosité en éveil et la tient en alerte par le “coup de théâtre, l’inopiné, les événements ni simples ni naturels”, par la façon de conduire l’action »9. 7. Alain Viala, ibid., p. 25. L’abbé Dubos, dans ses Réflexions critiques sur la poésie et la peinture, insistait lui aussi sur la dimension affective de la lecture et sur l’attrait représenté pour le lecteur par ce qui lui semble proche de lui : « Tous les hommes que nous trouvons dignes de notre estime nous intéressent à leurs agitations comme à leurs malheurs, mais nous sommes sensibles principalement aux inquiétudes comme aux afflictions de ceux qui nous ressemblent par leurs passions. Tous les discours qui nous ramènent à nous-mêmes, et qui nous entretiennent de nos propres sentiments, ont pour nous un attrait particulier. » [Abbé Jean-Baptiste Dubos, Réflexions critiques sur la poésie et la peinture [reprint de la 7e édition publiée en 1770 chez Pissot, Genève], Paris, Slatkine, 1993, p. 130]. 8. Les premiers romans 2006 sont à l’affiche, Paris, Paris Bibliothèques, 2007. Note de l’éditeur : les mots en italiques sont de Cécile Rabot. 9. Alain Viala, Lettre à Rousseau sur l’intér littéraire, op. cit., p. 25. Les critiques écrites par les bibliothécaires parisiens à propos des premiers romans 20068 insistent sur ce plaisir de lire associé à un ensemble d’émotions. Le roman de Blandine Le Callet, Une pièce montée, est « très plaisant à lire » avec ses « dialogues drôles et percutants », fait « passe[r] en permanence du rire aux larmes » et « nous plonge au cœur de situations fortes en émotion ». La dimension ludique est parfois mise en avant : Le pilon de Paul Desalmand est « un livre en forme de jeu de piste littéraire tout à fait divertissant, et à l’écriture malicieuse ». « Le lecteur est transporté et bouleversé » par le premier roman de Christophe Rioux tandis que « l’histoire [de Bientôt la bête sera morte] s’avère profondément anxiogène ». Isabelle Pandazopoulos écrit de même avec Kostas et Djamila « un texte bouleversant ». La critique du premier roman de Philippe Pollet-Villard en souligne la « drôlerie » en évoquant « les aventures truculentes d[’un] personnage », dont « rien n’entrave [la] vitalité de saltimbanque ni, surtout, [l’]humour ». La construction de la visibilité littéraire en bibliothèque La simplicité et la brièveté des livres proposés sont également mises en avant. Par opposition à une écriture plus travaillée qui se prête davantage à une lecture « esthète » attentive à la forme autant qu’au contenu, un style simple et dépouillé semble en effet faciliter l’identification du lecteur aux personnages et une lecture d’évasion que les difficultés formelles viendraient gêner : « L’évasion, notent Gérard Mauger et Claude Poliak, suppose que ni la syntaxe ni la sémantique ne soient un obstacle à la compréhension : de ce point de vue, un livre “bien écrit” est un livre “facile à lire”. »11 Un des intérêts du premier roman, qui fait l’objet d’un dispositif spécifique dans le réseau parisien, est justement cette facilité d’abord qui semble le caractériser comme œuvre narrative de jeunesse, plus courte et moins absconse que les formes plus abouties de la « perfection littéraire »12. 10. Les premiers romans 2006 sont à l’affiche, op. cit. 11. Gérard Mauger, Claude Poliak, « Les usages sociaux de la lecture », art. cité. 12. Romancière et traductrice, Diane Meur souligne, pour la dénoncer, cette association du premier roman avec une image de simplicité : « La qualification de “premier roman” ne laisse en rien préjuger du contenu. C’est une étiquette à l’usage de la mise sur le marché [...] Il se peut que cela aille parfois, voire souvent de pair avec certaines caractéristiques : fraîcheur, ingénuité, imperfection, maladresse, égocentrisme, tous qualités et défauts répandus chez les débutants, en quelque domaine que ce soit. Mais il est notoire que ce n’est pas toujours le cas ; pas plus que les romans qui ne sont plus “premiers” ne se révèlent systématiquement rances, tortueux, achevés, magistraux et altruistes. » [Le premier roman, Europe, hors série, 2003, p. 126] Tiré de La construction de la visibilité littéraire en bibliothèque – Presses de l’enssib, 2015. < http://www.enssib.fr/presses/ > Des critiques de premiers romans10 mettent en avant ces effets de construction. Ainsi « une réelle progression et une tension croissante de l’intrigue font [du roman de Blandine Le Callet] un roman prenant ». L’homme qui marchait avec une balle dans la tête de Philippe Pollet-Villard est lui aussi défini comme « un roman prenant qui ne manque pas de magie ». Le suspense est bien sûr une qualité première pour les romans qui s’apparentent au genre policier. Il en est ainsi de Scream test de Grégoire Hervier, qualifié de « captivant » et dont la critique souligne la forte tension dramatique : « Mais le compte à rebours a commencé... Et le lieutenant Clara Reid qui se démène pour éviter un massacre a affaire à forte partie. » Les effets de surprise sont d’autres arguments mobilisés pour susciter l’envie de lire. La présentation Théâtre des rêves de Bernard Foglino, roman « rempli de rebondissements », évoque ainsi une rencontre « aussi bizarre qu’impromptue [qui] ne se passe pas comme prévu », par laquelle « on aboutit à un retournement final étonnant ». La construction de la visibilité littéraire en bibliothèque La même bibliothécaire impliquée dans l’opération « Premiers romans » oppose ainsi les livres « de personnes souvent mûres, puis avec une belle écriture » et les premiers romans qu’elle désigne par l’expression « des choses de base, de gens, des jeunes, des plus âgés, enfin des gens qui ne savent pas écrire, enfin qui n’ont pas comme rôle de savoir écrire parfaitement et qui d’ailleurs écrivent très bien. » (ibid.) Un grand nombre des critiques de premiers romans établies par les bibliothécaires dans le cadre de l’opération « Premiers romans »14 valorise de fait la concision et la simplicité des textes sélectionnés. Les deux îles de Robinson est un « court roman », Le sablier un « court récit », La robe un texte « ramassé et percutant ». La brièveté est associée à la concision et au dépouillement stylistique : l’écriture du premier roman de Lucas Bernard est « sobre et sèche », celle d’Isabelle Pandazopoulos dans Kostas et Djamila « sans fioriture ». Le roman d’Anne Lenner, Cahin-caha, est explicitement qualifié d’« accessible à tous » grâce à son langage « résolument jeune et imagé ». Cette simplicité n’enlève rien à la force du propos et même l’accroît. Le premier roman d’Armel Veilhan est ainsi caractérisé par « un 13. Carole Martinez, Le cœur cousu, Paris, Gallimard, 2007. 14. Les premiers romans 2006 sont à l’affiche, op. cit. Le cœur cousu, premier roman de 428 pages de Carole Martinez, couronné par de nombreux prix, fait ainsi figure d’exception par son caractère extraordinairement long et abouti souligné par la bibliothécaire qui le cite : « Chez Gallimard, on a eu cette année de Carole Martinez, Cœur cousu13. C’est un livre très très intéressant, mais alors, quand j’ai lu ça, il est très très épais par contre celui-là, mais vraiment j’ai trouvé que c’était extraordinaire. Il a été sélectionné, retenu chez Gallimard avant même qu’il y ait eu plus que les deux tiers de fait. Ils savaient que ça allait être bon, le dernier tiers, et que tout allait être vraiment bien construit, comme ils le souhaitaient. Mais je trouve que c’est même trop beau pour un premier roman parce qu’on dirait une construction d’un auteur qui est déjà expérimenté. » (extrait d’entretien, 8 avril 2008) 323 | La construction de la visibilité littéraire en bibliothèque 324 | style simple et sobre pour un récit très fort ». La critique de Bientôt la bête sera morte de Claire Vassé associe de même la simplicité de l’écriture et la force des images qu’elle fait naître : « L’écriture de ce roman [...] est toute simple, mais efficace avec ses scènes très visuelles. » La critique du premier roman de Michèle Hien évoque une « écriture simple, concise, dense et prenante, [qui] restitue l’âpreté et l’adversité du parcours sans éclat de cette femme de condition modeste ». La critique du roman de Gilles Fleury Sans légende conclut de même : « La simplicité d écriture touche à l’universel de nos émotions et les personnages de cet orchestre de fantômes éveillent en nous bien des souvenirs. » Or simplicité et accessibilité ne sont pas des critères faciles à mettre en œuvre, a fortiori quand le destinataire est un public collectif et souvent mal connu, dont les bibliothécaires se font une image plus ou moins faussée à partir de quelques indices15. Dans les faits, l’objectivation du niveau d’accessibilité des textes est une gageure et la question semble plus ou moins taboue : on n’entend jamais dire dans les réunions de bibliothécaires qu’un texte est « trop difficile », mais plutôt qu’il n’est pas assez « grand public », sans que soient précisés les éléments qui fondent ce jugement. L’évaluation relève donc d’un sens pratique professionnel et non pas de la mise en œuvre 15. Une bibliothécaire souligne cette méconnaissance pour expliquer qu’il est difficile de prévoir la réception d’une proposition : « Moi, je ne pense jamais : ça, ça va plaire à Untel ou Untel, parce qu’on les connaît pas assez en fait. Moi, je ne les connais pas assez. » (extrait d’entretien, 8 avril 2008) Tiré de La construction de la visibilité littéraire en bibliothèque – Presses de l’enssib, 2015. < http://www.enssib.fr/presses/ > L’accessibilité au risque d’une « censure par la moyenne »? | de critères formalisés qui reviendraient à reconnaître officiellement des différences entre des niveaux de lecture et, partant, à classer les lecteurs. Cette affirmation de principe renvoie à la croyance dans l’égalité des intelligences qui préside à l’organisation des bibliothèques et qui conduit à nier les différences de fait de capital culturel : l’accès est renvoyé à une question de curiosité et de bonne volonté, l’élévation générale du niveau d’instruction étant censée avoir donné les clés intellectuelles nécessaires. Une classification des livres par niveau d’accessibilité, qui a été un temps proposée par l’Association des bibliothécaires de France, est aujourd’hui à peu près impensable en bibliothèque . C’est la même illusio qui conduit à affirmer que rien n’est exclu a priori des « Coups de cœur ». Dans les faits, le principe d’adaptation au plus grand nombre conduit à exclure tout ce qui est trop particulier au profit d’objets consensuels peu caractérisés, limés de leurs aspérités et « à ce prix, acceptables pour tous les goûts ». On retrouve ainsi, dans les dispositifs de mise en valeur des bibliothèques de lecture publique, la logique mise en évidence par Pierre Bourdieu pour la presse omnibus : « En outre, obéissant à la recherche consciente de la maximisation du nombre des lecteurs, Tiré de La construction de la visibilité littéraire en bibliothèque – Presses de l’enssib, 2015. < http://www.enssib.fr/presses/ > Une conservatrice responsable d’établissement nie ainsi que des critères de niveau puissent intervenir dans les choix : « Jamais il ne vous arrive de vous dire : bon, cet ouvrage, je l’ai aimé, mais il est quand même peut-être un peu ardu, un peu difficile? – Non. Non. Ah non, pas du tout dans ce sens-là, non. Non, non, au contraire... enfin, pas au contraire, mais pour moi, ce n’est pas du tout un problème [...] Ardu dans le sens où il est très épais dans les romans ou alors [où] c’est difficile de rentrer dedans, ou alors [où] l’écriture est vraiment fouillée que ça devient un exercice de le lire, pour moi, ce n’est pas du tout un critère... Enfin, je n’oserais pas penser que le lecteur est incapable de lire l’ouvrage. Vous voyez? – Non, pas forcément incapable, mais disons que ça va peut-être viser du coup un public un peu plus restreint. – Et alors? Ce n’est pas grave, parce qu’il y en a d’autres qui vont lire autre chose. Et puis, si la personne l’emporte et ne peut pas le lire ou ne l’aime pas, eh bien, elle le rapporte, et puis voilà. Enfin, non, ça, ça ne me gêne pas du tout. » (extrait d’entretien, 6 avril 2008) La construction de la visibilité littéraire en bibliothèque Sur les présentoirs et dans les dispositifs de mise en visibilité, les bibliothécaires entendent en outre proposer des « valeurs sûres » en sélectionnant aussi les œuvres sur un principe de « qualité », mais également, de fait, de légitimité. Ce principe se combine avec l’objectif d’accessibilité pour produire un effet de « censure par la moyenne »17, c’est-à-dire un double écrêtement de ce qui est considéré comme trop élitiste et de ce qui est perçu comme trop médiocre ou illégitime. Louis Pinto analysait cet écrêtement à travers le cas du Nouvel Observateur : « La transformation du système des relations entre le système d’enseignement et les classes sociales favorise le développement du marché des biens culturels et, au sein de ce marché, le développement d’un secteur associant apparences d’authenticité intellectuelle et accessibilité. Les agents qui participent à ce secteur de culture moyenne d’un type nouveau ont pour qualité 16. Pierre Bourdieu, La distinction : critique sociale du jugement, Paris, Minuit, 1979 (coll. Le Sens commun), pp. 516-517. 17. Emmanuel Wallon, « La censure par la moyenne », in Pascal Ory (dir.), La censure en France à l’ère démocratique (1848-...), Bruxelles, Complexe, 1997, pp. 323-332. de La construction de la visibilité littéraire en bibliothèque – Presses de l’enssib, 2015. < http://www.enssib.fr/presses/ > précieux pour les profits qu’ils apportent par l’achat du journal mais aussi pour le surcroît de valeur qu’ils procurent aux yeux des annonceurs, les organes de presse que l’on peut appeler omnibus (et parmi lesquels on peut ranger la plupart des journaux locaux) se doivent d’éviter méthodiquement tout ce qui peut choquer et rejeter une fraction de leur public actuel ou potentiel [...]. Cet impératif qui s’impose de plus en plus à mesure que la clientèle s’accroît, rassemblant nécessairement des gens de plus en plus différents par leurs goûts et leurs opinions, suffit à expliquer les traits invariants de tous les biens culturels omnibus, feuilletons télévisés, films à grand spectacle, best-sellers, messages politiques savamment dépolitisés des partis politiques que l’on a appelés “attrape-tout” (catch-all), beautés insignifiantes des vedettes hollywoodiennes ou des professionnelles du charme bureaucratique, profil parfaitement poli et policé des gestionnaires modèles qui ont dû payer leur ascension d’un limage méthodique de toutes les aspérités sociales, autant de produits qui peuvent être, à la limite, parfaitement non classants, ou, comme on dit, insipides, mais, à ce prix, acceptables pour tous les goûts. »16 326 | La construction de la visibilité littéraire en bibliothèque 327 | première d’éviter tout ce qui est de nature à exclure des lecteurs possibles, par excès savant (hermétisme) ou par excès idéologique (sectarisme). »18 Les dispositifs de mise en valeur des bibliothèques de lecture publique donnent à voir les mêmes logiques. Une responsable de section adulte rejette ainsi explicitement ce qu’elle considère comme « trop intellectuel » pour être placé en « Coups de cœur » : « Je trouve que ce n’est pas la peine de mettre des trucs trop intellectuels. [...] Je ne vais pas mettre certaines choses que je trouve trop... il y a des éditeurs que je ne mets presque pas ou des auteurs que je ne mets pratiquement pas parce que je trouve que c’est trop difficile. Enfin, peut-être [que] je me fais des idées, hein. Peut-être. Mais je me rends bien compte que ça n’accroche pas trop trop, que ça plaît à certains types de public, donc dans ces cas-là, bon, je me dis : “Ce n’est pas assez pour tout le monde, quoi”. J’essaie que ce soit pour tout le monde. » (extrait d’entretien, 12 avril 2005) Ce témoignage s’inscrit en contrepoint du discours de la conservatrice responsable de la bibliothèque qui se défend de telles exclusions. Il relève d’une sorte de sens pratique professionnel qui s’oppose à des positions de principe, mais ne se comprend 18. Louis Pinto, « Les affinités électives : les amis du Nouvel Observateur comme “groupe ouvert” », Actes de la recherche en sciences sociales, 1981, n° 36-37, pp . 105 - 124 , ici p. 106. 19. Voir supra, chapitre VII. Si le rôle de vitrine des dispositifs de mise en visibilité, parce qu’il met en jeu l’image de l’institution et des professionnels, interdit qu’on y mette en lumière des biens culturels relevant d’un faible degré de légitimité19, la volonté de proposer des sélections qui rencontrent un succès massif et rapide conduit à éliminer aussi de facto les textes qui ne seraient accessibles qu’à un public plus restreint, soit parce qu’ils sont difficiles d’accès, soit parce qu’ils sont trop dérangeants pour être mis entre toutes les mains, soit encore parce que leur étrangeté pourrait dérouter un lecteur non averti. Ainsi, les écritures caractérisées par un important écart avec la prose romanesque traditionnelle (absence de paragraphe, écriture suivant le flux de conscience, absence de point, présentation en versets ou en segments de phrases, etc.) n’ont pas leur place en « Coups de cœur » malgré leur présence dans les collections de la bibliothèque. La construction de la visibilité littéraire en bibliothèque | complètement qu’eu égard à la trajectoire sociale de la bibliothécaire qui le met en œuvre. Une autre bibliothécaire, impliquée dans l’opération « Premiers romans », oppose de même l’accessibilité des premiers romans à une « littérature trop bien écrite » qui la met elle-même en difficulté. L’incompréhension produit une violence symbolique d’autant plus forte chez cette bibliothécaire que ses études (khâgne) et son environnement de travail (une bibliothèque d’un quartier universitaire avec des fonds de niveau assez élevé et un public en partie constitué d’intellectuels) la poussent à reconnaître la valeur de ce qui lui reste inaccessible et à mesurer son propre décalage, renforcé par le fait qu’elle a effectué la plus grande partie de sa carrière en section jeunesse. L’investissement dans l’opération « Premiers romans » est alors un moyen de reconstruire une autre forme de légitimité professionnelle. Le rapport personnel à la littérature détermine ainsi les choix et conduit à l’éviction d’une littérature moins spontanément accessible. Si le coût économique d’un mauvais choix, c’est-à-dire d’un emprunt désajusté, est certes nul pour l’usager, comme le souligne la conservatrice (« la personne... le rapporte, et puis voilà »), il n’en reste pas moins un coût temporel (perdre son temps à emprunter et tenter de lire un livre qui s’avère inaccessible) et surtout un coût symbolique (se trouver renvoyé à son incompétence). La responsable de la section adulte est particulièrement sensible à cette question puisqu’elle se dit elle-même mal à l’aise avec ce qu’elle appelle « la littérature », c’est-à-dire une certaine littérature classique ou relevant du pôle de production restreinte qu’elle dit détester (« la littérature en elle-même, la poésie par exemple, c’est quelque chose pour moi d’abominable. Enfin, je ne peux pas, quoi : ça ne me plaît pas du tout ») alors que sa socialisation (un grandpère dans l’édition, des études littéraires) l’amène à en reconnaître la valeur. Il ne s’agit donc pas d’exposer en « Coups de cœur » des ouvrages qui pourraient produire chez certains usagers un semblable malaise. C’est la même raison qui pousse cette bibliothécaire à écarter les classiques en invoquant le fait que « ce n’est pas trop le lieu. » (extraits du même entretien) L’expérience nourrit aussi la construction d’une figure de l’usager moyen des bibliothèques, celui que visent les présentoirs qui est supposé être recherche de lectures faciles, notamment de romans à lire dans le métro, et ne pas vouloir se confronter à des difficultés qui exigeraient de lui concentration et réflexion. Cette vision est d’autant plus paradoxale que les usagers des bibliothèques parisiennes ont un niveau d’instruction élevé (75 % ont au moins un niveau d’études secondaire ou supérieur, contre 63 % dans la population parisienne qui est elle-même plus instruite que la moyenne nationale20). Cette image de l’usager moyen, construite par les discours, a pourtant des effets bien réels puisqu’elle conduit à privilégier, dans les sélections, des « valeurs sûres », moyennes et grand public. Elle permet ainsi d’ajuster l’offre à la perception d’une demande, mais elle est aussi produite par l’offre elle-même, qui induit réciproquement son lectorat : les romans psychologiques grand public, qui dominent le présentoir, ont toutes les chances d’attirer surtout des femmes (qui sont les plus grandes lectrices de romans) et des lectrices des classes moyennes (par homologie de position entre lecteurs et objets de lecture). 20. Yves Alix, Stéphane Wahnich, « Une familiarité distante », Bulletin des bibliothèques de France, 2004, n° 2, pp. 62-73, ici p. 64. [En ligne] : < http://bbf.enssib.fr/consulter/bbf-2004-02-0062-010 >. Un bibliothécaire, lui-même porté à lire et à promouvoir les littératures relevant du pôle de production restreinte (il cite Thomas Mann, Robert Musil, la poésie russe et ici Alain Robbe-Grillet et Stéphane Mallarmé), se fait l’écho d’une représentation assez négative des usagers des bibliothèques de lecture publique qui ne semblent pas prêts à fournir les efforts requis par une littérature exigeante : « Il y a l’expression “se prendre la tête”. Je pense que les lecteurs de bibliothèque ne veulent pas se prendre la tête. [Il rit] Donc ils ne vont pas lire Robbe-Grillet. Ils vont éviter la poésie un peu hermétique, sauf si c’est au programme : Mallarmé ils sont obligés d’y passer! [Il rit] » (extrait d’entretien, 12 avril 2005) La diffusion des savoirs constitue en effet la mission fondamentale des bibliothèques : il s’agit de donner accès à la connaissance à tous les membres de la collectivité, quel que soit leur capital culturel de départ. Cette fonction rapproche la bibliothèque de l’école, mais les deux institutions ont des modalités de fonctionnement bien distinctes et des approches très différentes de l’accès au savoir, qui transparaissent dans les dispositifs de mise en valeur des bibliothèques et dans les objets valorisés. Tandis que l’enseignement scolaire repose le plus souvent sur un modèle de transmission de maître à élève dans un cadre collectif et contraint, la bibliothèque de lecture publique est en effet conçue comme un lieu d’appropriation autonome et individuelle. Le modèle de « lecture plaisir » accessible au plus grand nombre, qui transparaît dans les œuvres sélectionnées pour être mises en valeur et dans les critiques formulées sur ces œuvres, ne va cependant jamais sans la mise en avant des intérêts cognitifs des textes présentés. Comme institution de politique culturelle, la bibliothèque doit certes proposer une offre de divertissement qui serve une politique de promotion de la lecture, mais elle ne peut mettre en avant que des documents qui contribuent aussi, d’une manière ou d’une autre, à la formation de l’usager. La dualité entre plaisir du divertissement et intérêt des savoirs n’oppose donc pas les deux grands pans des collections que constituent la fiction et le documentaire, mais se retrouve dans chacun des documents mis en valeur : tandis que les documentaires exposés sur les tables thématiques doivent à la fois proposer des savoirs valides et les présenter de manière accessible et attractive, la littérature valorisée doit non seulement susciter le plaisir d’une lecture ordinaire qui emporte et fait s’évader du quotidien, mais aussi procurer des savoirs. La construction de la visibilité littéraire en bibliothèque Les bibliothécaires cherchent donc à suggérer et à faire découvrir tout en se démarquant du modèle scolaire dans ce qu’il peut avoir de contraignant du fait du cadre rigide des programmes et de sa perspective collective. À la différence de l’école, la bibliothèque est conçue comme le lieu des apprentissages libres, c’est-à-dire non seulement non obligatoires, mais même non guidés. Tous les points d’entrée et tous les cheminements y sont possibles et les usagers sont censés construire leur parcours en suivant leur curiosité et leurs désirs et en saisissant les occasions de rencontres et de découvertes. Michel Melot souligne cette optique, qu’il oppose au modèle anglosaxon de la lecture publique : « Il n’a jamais semblé souhaitable que la lecture publique, pratique libre fondée sur l’autodidaxie, prenne la place d’un établissement d’enseignement, de même qu’il est fortement déconseillé de confondre avec une bibliothèque publique 21. Bibliothécaire à la Bibliothèque nationale à partir de 1892, Eugène Morel participe en 1906 à la fondation de l’Association des bibliothécaires de France, dont il sera élu président en 1918. Il joue un rôle majeur dans le développement de la lecture publique en France. Il en pose notamment les principes dans Bibliothèques, essai sur le développement des bibliothèques publiques et de la librairie dans les deux mondes (2 volumes, 1908-1909), puis dans La librairie publique (Paris, Librairie Armand Colin, 1910). [En ligne] : < http://www.enssib.fr/bibliotheque-numerique/document-brut-48832 >. 22. Eugène Morel, La librairie publique, op. cit., p. 3. Ce principe, repris par l’Éducation nouvelle et les écoles Freinet, était ès gène l : Le dépôt public de livres objet et moyen ’enseignement, je dirais ’auto- self-instruction l’écol l’école même. Ne comptez plus bou les cervelles d’élèves de fatras la mémoire vomira sitôt l’examen passé, apprenez-leur à se servir des livres, à chercher par eux-mêmes à recourir aux livres dès qu’ils ignor ’ mé personnelle au manuel, au recueil de morceaux sis, à tout ce qui ’ par cœur. »22 Eugène Morel construit ainsi l’opposition entre deux institutions fondées sur deux modes d’appropriation du savoir : le bourrage de crâne ou gavage, associé ici à l’école, qui transmet des savoirs sans construire l’appétence, et le guidage, qui mise sur la curiosité et permet l’apprentissage de l’autonomie, et qui est la démarche préconisée pour les bibliothèques. la bibliothèque scola ire. Tout se passe comme si la bibliothèque affichait à l’égard de l’enseignement officiel une sorte de “laïcité”. Cette “laïcité” de la bibliothèque publique à l’égard de l’école publique est aussi une de ses qualités, mais on voit bien qu’elle n’est pas identique à la conception anglo-saxonne, plus prompte à s investir dans des de continue à caract professionnel, connus sous le nom d’open learning. »23 23. Michel Melot, « Grandeur et lacunes de l’activité des bibliothèques publiques françaises », in Bernadette Seibel (dir.), Lire, faire lire : des usages de l’écrit aux politiques de lecture, Paris, Le Monde Éditions, 1995, pp. 375-385, ici p. 380. Un principe de division du travail oppose ainsi en France bibliothèques de lecture publique et bibliothèques relevant du champ académique, à savoir bibliothèques centres documentaires BCD) des écoles maternelles et primaires, centres de documentation et d’information (CDI) des collèges et lycées, bibliothèques universitaires (BU), bibliothèques inter-universitaires (BIU) et services communs de documentation (SCD) des universités. L’éclatement en 1975 de l’ancienne Direction des bibliothèques et de la lecture publique a favorisé cette scission, la gestion des bibliothèques centrales de prêt et les décisions d’orientation de la lecture publique étant confiées au ministère de la Culture, tandis que les bibliothèques universitaires demeuraient dans le giron de l’Éducation nationale, de même que les bibliothèques scolaires. Cette logique conduit les bibliothèques de lecture publique à privilégier, dans leurs fonds documentaires, les savoirs gratuits, qui entrent dans la formation générale de l’honnête homme, de préférence aux savoirs techniques et surtout aux savoirs professionnels : située sur le terrain du loisir et non de la formation directement utile, la bibliothèque de lecture publique est ainsi construite comme un lieu de culture plutôt que comme une institution pédagogique ou un prestataire au service d’intérêts extérieurs. Les animations organisées (conférences, expositions, projections, concerts, lectures, etc.) participent à faire des bibliothèques des espaces culturels et incluent peu de formations proprement dites (mis à part quelques ateliers d’initiation à l’informatique ou d’aide à l’insertion professionnelle qui commencent à se développer) ou même de parcours déjà constitués pour la découverte de thèmes ou de genres. Le sa est moins l’objet d’une transmission que d’une mise à disposition qui, accompagnée d’une mise en visibilité, doit permettre une appropriation autonome sur le mode du glanage. La construction de la visibilité littéraire en bibliothèque « La constitution des savoirs en disciplines plus ou moins institutionnalisées, reconnues par l’État avec la création de chaires universitaires, met progressivement en cause la fonction de connaissance qui avait été jusque-là un des fondements de l’autorité sociale reconnue à la littérature. [...] La vérité romanesque entre dans l’ère du soupçon. »26 Refusant au contraire une littérature réduite à des préoccupations formelles et à l’esthétique pure, comme une certaine conception scolaire du savoir excluant toute notion de plaisir, les bibliothécaires mettent en avant la capacité de la fiction à donner accès, à sa manière, au savoir, en 24. Voir Savoirs de la littérature, Annales HSS, mars-avril 2010. 25. Voir à ce sujet : Gisèle Sapiro, « Défense et illustration de “l’honnête homme” : les hommes de lettres contre la sociologie », Actes de la recherche en sciences sociales, 2004, n° 153, pp. 11-27 ; « Le principe de sincérité et l’éthique de responsabilité de l’écrivain », in Éveline Pinto (dir.), L’écrivain, le savant et le philosophe : la littérature, entre philosophie et sciences sociales, Paris, Publications de la Sorbonne, 2004, pp. 183-202. 26. Anna Boschetti, « L’explication du changement », in Jean-Pierre Martin (dir.), Bourdieu et la littérature, Paris, Éditions Cécile Defaut, 2010, pp. 93-111, ici p. 106. Dans cette perspective, la transmission du savoir ne passe pas nécessairement par des supports spécifiques comme des manuels ou des encyclopédies, mais par l’ensemble des fonds proposés : non seulement les livres, mais aussi la presse, les DVD, voire les jeux vidéo, non seulement les documentaires, mais aussi les fictions sont envisagés comme des moyens possibles et différenciés d’accès à diverses formes de savoir et donc comme outil de formation. Tous ivent , à proprement parler, transmettre des savoirs, historiques, sociaux ou psychologiques, soit au moins donner à réfléchir, c’est-à-dire permettre à l’usager de se construire des représentations justes et un système de valeurs. Si le plaisir est un ingrédient indispensable dans l’appréhension des œuvres, il ne constitue pas un but en soi. Divertissement et formation, évasion et salut sont souvent étroitement liés : il s’agit de lire ou de voir pour le plaisir, mais aussi en même temps pour s’informer sur le monde, voire pour progresser dans la connaissance de soi par l’identification aux héros. La littérature elle-même n’est donc pas sa propre fin, mais un outil de connaissance au service de la formation et de la construction de l’individu. Une telle conception ne va pourtant plus de soi aujourd’hui24 du fait de la division du travail qui s’est opérée entre la sphère de la production littéraire et artistique et le monde savant25, comme le note Anna Boschetti : | La construction de la visibilit é littéraire en b ibliothèque Ainsi, dans leur sélection de premiers romans 200630, les bibliothécaires saluent les « fines observations sur la nature humaine » de Sofia Guellaty dans son premier roman qualifié de « plein de grâce, sensible et original, à la fois léger et profond ». Un si tendre abandon de Jean-Pierre Guyomard est de même défini comme « un éloge de la fuite tout en finesse », Courir dans les bois sans 27. Pierre Bourdieu, Les règles de l’art : genèse et structure du champ littéraire, Paris, Seuil, 1998 (coll. Points, 370), p. 433. 28. Voir Jean-Marie Schaeffer, Pourquoi la fiction?, Paris, Seuil, 1999. 29. Roger Chartier, « Georges Dandin, ou le social en représentation », Annales : histoire, sciences sociales, 1994, n° 2, pp. 407-418. 30. Les premiers roman s 2006 sont à l’affiche, op. cit. particulier à évoquer au à voir ») de la société laquelle elle place. La lecture pratiquée et supposée, aux antipodes d’une lecture scolastique qui n’a d’autre fin qu’esthétique ou discursive, est, selon les mots de Pierre Bourdieu, une lecture pratique « fondée sur des opérations cognitives mettant en œuvre un mode de connaissance qui n’est pas celui de la théorie et des concepts sans être pour autant, comme le veulent souvent ceux qui en sentent la spécificité, une sorte de participation ineffable à l’objet connu. »27 Si sa lecture doit procurer du plaisir, le récit n’a de véritable intérêt que dans la mesure où il fait voir, aiguisant les perceptions28 et jouant d’abord le rôle de mise en représentation du monde social qui, au xviie siècle, revenait à la comédie29. La fiction romanesque permet en particulier d’accéder à des espaces éloignés chronologiquement (dans le cas des romans à dimension historique) ou géographiquement (dans le cas notamment des littératures traduites) et donc plus ou moins inaccessibles à l’expérience directe. Les ouvrages sélectionnés pour être mis en valeur dans les bibliothèques sont ainsi pour la plupart caractérisés par leur double intérêt divertissant et cognitif. Les critiques qui accompagnent parfois les sélections, par exemple celles de premiers romans, mettent en avant cette double dimension : au-delà du plaisir éprouvé à la lecture d’un texte qui emporte et émeut, les bibliothécaires font très souvent mention des savoirs que ce texte est susceptible de procurer. Les documents valorisés doivent néanmoins rester attractifs et plaisants et donc éviter une dimension trop explicitement didactique. Les critiques de premiers romans insistent ainsi souvent sur leur capacité à trouver le ton juste, c’est-à-dire à évoquer sans appuyer, à sensibiliser sans moraliser, à trouver un équilibre entre légèreté et gravité, drôlerie et profondeur. 334 | La construction de la visibilité littéraire en bibliothèque 335 | désemparer de Sylvie Aymard comme « un texte profond dans une écriture simple, pétillante et drôle » et Kostas et Djamila d’Isabelle Pandazopoulos comme une « pudique méditation sur l’immigration et la solitude des déracinés dans nos villes » avec « une très belle écriture [...] légère et grave, sans fioriture ». La connaissance du monde réel que les fictions sélectionnées sont susceptibles de procurer passe par une mise à distance qui permet un indispensable recul critique. La mise en scène de personnages eux-mêmes distanciés par rapport à ce qu’ils vivent, par l’éloignement spatial ou temporel mais aussi la réflexivité, en est une forme, à côté d’autres outils plus proprement littéraires comme le recours à l’imaginaire ou l’usage de l’ironie. Dans Bazar magyar de Viviane Chocas, la distance est ainsi spatiale (celle de l’émigration de la Hongrie vers la France), temporelle (celle du souvenir) et interpersonnelle (la narratrice reconstitue le parcours de ses parents). D’autres fois, c’est au contraire Tiré de La construction de la visibilité littéraire en bibliothèque – Presses de l’enssib, 2015. < http://www.enssib.fr/presses/ > Le fascicule consacré aux premiers romans de l’année 2006 valorise l’art d’aborder certaines questions « sans trop appuyer », de dire sans insister, de défendre une thèse sans tomber dans la plaidoirie. Ainsi Laurence Cinq-Fraix, dans Family Pride, « raconte le parcours du combattant qu’est l’homoparentalité, sans toutefois faire de ce récit un plaidoyer ». Avec La Délouicha, Michèle Hien offre un « très beau texte [qui] aborde avec justesse et délicatesse la place de la femme immigrée dans la société d’aujourd’hui ». Dans Le poids d’une âme, Mabrouck Rachedi parvient à « brosser, sans jugement, sans manichéisme, sans pesanteur, par petites touches, un portrait humaniste de la banlieue ». Le récit d’Edem Port-Mélo est « un hommage subtil et sympathique à une Afrique intime ». Sans légende de Gilles Fleury est présenté comme « un texte, pudique et sublime, sur le deuil du père, [...] une subtile réflexion sur les fragiles et incontournables liens familiaux. Un style sobre, qui sait frôler l’essentiel sans appuyer, l’air de rien ». Cahin-caha, d’Anne Lenner est défini comme un « roman sympathique, axé sur une sensibilisation des personnes à mobilité réduite », mais « loin de toute condescendance ». L’Atlantique Sud de Jérôme Tonnerre, enfin, est caractérisé par une très belle écriture blanche, sans pathos ni lourdeur, comme en apesanteur stylistique ». La construction de la visibilité littéraire en bibliothèque 336 | l’incursion dans l’imaginaire qui permet la mise à distance de la réalité. La critique du premier roman de Sofia Guellaty en souligne ainsi les « légers décrochages de la réalité par de brefs passages recourant à l’onirisme et à la fantaisie », tandis que celle de La robe de Robert Alexis évoque un « univers flamboyant riche en scènes précises, mais toujours empreintes d’une aura de mystère », qui le fait « semble[r] hors du temps malgré un ancrage dans une société et une époque bien définies ». Le polar entre histoire et politique La capacité à procurer simultanément plaisir et savoir est particulièrement mise en évidence pour les genres intermédiaires de la hiérarchie des légitimités, notamment la bande dessinée, la science-fiction et le roman policier. Les bibliothécaires spécialistes de ces domaines insistent, dans leurs critiques, sur le pouvoir cognitif de la fiction et sur sa capacité à donner accès à un savoir sur le monde actuel et passé. Cet argument, conjugué à celui de l’intérêt esthétique (graphique pour la bande dessinée et stylistique au-delà), permet d’isoler la partie « haut de gamme » de chaque genre et de participer à sa légitimation tout en l’utilisant au service de la bibliothèque. Ces genres sont en effet à la fois capables de remplir la double fonction de divertissement et de formation que se donnent les bibliothèques de lecture publique et susceptibles de rencontrer un large lectorat et de susciter des emprunts nombreux : ils servent donc les intérêts de la lecture publique autant que les bibliothécaires les servent en participant à souligner leur valeur et à les faire (re)connaître.
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A comparison of SERS and MEF of rhodamine 6G on a gold substrate
Elizabeth Kohr
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A Comparison of SERS and MEF of Rhodamine 6G on a Gold A Comparison of SERS and MEF of Rhodamine 6G on a Gold Substrate Substrate Elizabeth Kohr University of Rhode Island, ekohr18@gmail.com Elizabeth Kohr University of Rhode Island, ekohr18@gmail.com Follow this and additional works at: https://digitalcommons.uri.edu/theses Terms of Use All rights reserved under copyright. Recommended Citation Recommended Citation Recommended Citation Recommended Citation Kohr, Elizabeth, "A Comparison of SERS and MEF of Rhodamine 6G on a Gold Substrate" (2017). Open Access Master's Theses. Paper 1027. https://digitalcommons.uri.edu/theses/1027 This Thesis is brought to you by the University of Rhode Island. It has been accepted for inclusion in Open Access Master's Theses by an authorized administrator of DigitalCommons@URI. For more information, please contact digitalcommons-group@uri.edu. For permission to reuse copyrighted content, contact the author directly. MASTER OF SCIENCE THESIS OF ELIZABETH KOHR MASTER OF SCIENCE THESIS OF ELIZABETH KOHR ABSTRACT Rhodamine 6G is spin-cast onto gold surfaces and the reflectance, emission, excitation, and SERS spectra are reported. Electron microscopy shows that the particle sizes of the gold are uniform for all preparations. Reflection spectra show that the Rh6G aggregates for thicker films and that the gold plasmon band shifts due to the refractive index change on the surface. The intensity of the SERS spectra increases with increasing surface coverage but the rate of change modulates between submonolayer and multilayer surface densities. The emission spectra behave unexpectedly as a function of Rh6G coverage. At submonolayer coverage the emission is relatively strong, decreases as the surface density increases to a monolayer, and then increases as the Rh6G thickness increases. Excitation spectra demonstrate that the emitting species at low surface density is monomeric but for thicker layers the excited state responsible for emission is Rh6G aggregates. For the thicker films, the Rh6G acts as its own dielectric layer for metal enhanced fluorescence of the aggregates. ACKNOWLEDGMENTS I would like to acknowledge Dr. William Euler for his guidance and patience in my time as a graduate student. His quest for the knowledge of chemistry is truly remarkable. I would also like to thank his research group for their help in the laboratory and their support. Thank you to all my coauthors of this manuscript who have provided invaluable knowledge to this effort. I would like to thank my parents George and Bethany LeCain. They have always supported me and believed in me. Thank you to my dad for editing this and many other papers over several years. Thank you to my mom for encouraging me and helping me to get everything else done. Finally, I’d like to thank my husband Jeffrey Kohr for everything he has done to put me through graduate school. It has meant the world to me to have you by my side. Thank you all for everything as I could not have done this without all of you. iii iii PREFACE This thesis has been prepared in manuscript format. This manuscript has been submitted to the American Chemical Society Journal of Physical Chemistry C and is currently under review for publication. iv TABLE OF CONTENTS ABSTRACT .................................................................................................................. ii ACKNOWLEDGMENTS .......................................................................................... iii PREFACE .................................................................................................................... iv TABLE OF CONTENTS ............................................................................................. v LIST OF TABLES ...................................................................................................... vi LIST OF FIGURES ................................................................................................... vii MANUSCRIPT ............................................................................................................. 1 INTRODUCTION ................................................................................................ 2 EXPERIMENTAL ................................................................................................ 4 RESULTS AND DISCUSSION ........................................................................... 6 CONCLUSION ................................................................................................... 16 ACKNOWLEDGMENTS AND REFERENCES ............................................... 17 LIST OF TABLES TABLE PAGE Table 1. Deconvoluted parameters for the emission spectra of Rh6G on gold and glass ..................................................................................................................................... 11 PAGE vi vi LIST OF FIGURES FIGURE PAGE Figure 1. SEM Micrographs. ......................................................................................... 7 Figure 2. EDS spectra of Au coated with Rh6G. .......................................................... 8 Figure 3. Reflectance spectra of Rh6G coated on gold for different surface coverages . ....................................................................................................................................... 8 Figure 4. Background corrected SERS spectra and peak intensity of selected peaks as a function of Rh6G concentration used in spin-casting .............................................. 10 Figure 5. Emission spectra of Rh6G on Au as a function of the solution concentration used in spin-casting ..................................................................................................... 11 Figure 6. Normalized excitation spectra for selected films of Rh6G spin-cast onto Au ..................................................................................................................................... 13 vii vii MANUSCRIPT 1 1 INTRODUCTION The use of plasmonic structures to modulate spectroscopic properties has drawn substantial interest in the last few years. Surface Enhanced Raman Scattering (SERS)1-17 and` Metal Enhanced Fluorescence (MEF)18-35 both exploit the electric field enhancement associated with a plasmon resonance to substantially increase the spectroscopic signal. Despite the mechanistic similarities between SERS and MEF, there are few reports of SERS and MEF on the same structures.36,37 This is because most fluorophores are substantially quenched when placed adjacent to a metal surface, so MEF requires that the emitting species be separated from the plasmon source by a few nm. In contrast, SERS does not suffer from this limitation, so enhancement occurs for molecules directly bound to the metal. Our work has targeted thin films of xanthene dyes for use in sensing applications.38,39 One of the best studied of this class of compounds is rhodamine 6G (Rh6G),40-65 which has both a high quantum yield for fluorescence and a large cross section for Raman scattering. Wavelength shifts in the absorbance and emission spectra of Rh6G imply that aggregates form in solution at higher concentrations, as suggested by either exciton66-68 or excimer theory.69 In thin films, the same electronic spectroscopic effects are also observed, and are a function of film thickness.65 The spectroscopic results indicate aggregation in the excited state (excitons and/or excimers) but we wondered if the aggregation also happened in the ground state of the thin films. Vibrational spectroscopy can be used to answer this question, and SERS on Rh6G was the logical choice to probe the ground state structure. 2 2 In this work we report the SERS and MEF spectra of Rh6G thin films on a gold substrate as a function of film thickness. The emission properties of fluorophores as a function of thickness when deposited on nonmetallic substrates has been reported.70-74 No emission was expected for Rh6G on the gold surface since metals typically quench fluorescence. In contrast, Rh6G can be observed in SERS down to single molecule levels when adsorbed to metal nanoparticles.75-77 To our surprise, not only was emission observed, but it demonstrated an unusual behavior with increasing film thickness. The spectroscopic signatures of excited state aggregation were still present, but the typical quenching associated with this was suppressed. INTRODUCTION The intensities of the emission and Raman spectra paralleled each other as a function of thickness up to a thickness of several monolayers, indicating that the emission enhancement was due to MEF and not a structural reorganization. This conclusion was supported by the observation that the Raman spectra showed no peak shifts as a function of film thickness, which also indicated that there is no ground state aggregation in Rh6G. In this work we report the SERS and MEF spectra of Rh6G thin films on a gold substrate as a function of film thickness. The emission properties of fluorophores as a function of thickness when deposited on nonmetallic substrates has been reported.70-74 No emission was expected for Rh6G on the gold surface since metals typically quench fluorescence. In contrast, Rh6G can be observed in SERS down to single molecule levels when adsorbed to metal nanoparticles.75-77 To our surprise, not only was emission observed, but it demonstrated an unusual behavior with increasing film thickness. The spectroscopic signatures of excited state aggregation were still present, but the typical quenching associated with this was suppressed. The intensities of the emission and Raman spectra paralleled each other as a function of thickness up to a thickness of several monolayers, indicating that the emission enhancement was due to MEF and not a structural reorganization. This conclusion was supported by the observation that the Raman spectra showed no peak shifts as a function of film thickness, which also indicated that there is no ground state aggregation in Rh6G. 3 EXPERIMENTAL A plating bath that was 0.025 M tin(II) chloride and 0.07 M triflouroacetic acid in 50/50 methanol/water, an ammoniacal silver nitrate solution, and an aqueous plating bath of 7.9x10-3 M sodium gold sulfite, 0.127 M sodium sulfite, and 0.625 M formaldehyde were prepared, all in accordance with Whelan, et al.78 The sodium gold sulfite solution was also prepared in accordance with Whelan, et al.78 Silicon chips were cut into squares of approximately 1.0 cm2. The silicon chips were sonicated in 95% ethanol, then distilled water, each for 15 minutes. For the drying step, the chips were left to air dry. Rhodamine 6G (Rh6G) solutions were prepared by dissolving 0.2394 g of Rh6G and diluting to approximately 40 mL. This was left to warm overnight and was later diluted to 50.00 mL to give a concentration of 1.0×10–2 M. Serial dilutions were made of this solution resulting in concentrations of 7.5×10–3, 5.0×10–3, 2.5×10–3, 1.0×10–3, 7.5×10–4, 5.0×10–4, 2.5×10–4, and 1.0×10–4 M. The solutions were all kept in aluminum foil to prevent exposure to light. Each silicon chip was spun-cast for 45.0 s at 1200 rpm (acceleration of 1080 s–2) immediately after a 50 μL volume of Rh6G solution was deposited on each chip. The morphology of the substrates was studied by a TESCAN Field Emission Mira III LMU (Czech Republic) at an accelerating voltage of 5 kV. The energy dispersive X-ray spectroscopy (EDS) measurements were done on Bruker Quantax EDS with XFLASH 5010 detector attached to a field emission scanning electron microscope MIRA II LMH. The reflection spectra were obtained using a Filmetrics F40 microscope with a tungsten-halogen light source from 400-1000 nm. Raman 4 4 spectra were obtained on an Agiltron PeakSeeker spectroscope with a 785 nm laser and an integration time of 30 seconds. Fluorescence measurements were made on a Horiba (JobinYvon) Fluorlog spectrometer at a 60° angle with slit widths of 2.0 nm for the light source and detector. The integration time was set to 1 s and wavelength increments to 1 nm. The samples were irradiated with a xenon arc lamp excitation source at a wavelength of 525 nm. The emission range was set to 535-800 nm. Excitation spectra were collected with fluorescence monitoring at 555 nm and 610 nm with two excitation ranges for each. For the monitoring at 555 nm the excitation ranges were 300-545 nm and 565-800 nm. EXPERIMENTAL For the monitoring at 610 nm the excitation ranges were 310-600 nm and 620-800 nm. spectra were obtained on an Agiltron PeakSeeker spectroscope with a 785 nm laser and an integration time of 30 seconds. Fluorescence measurements were made on a Horiba (JobinYvon) Fluorlog spectrometer at a 60° angle with slit widths of 2.0 nm for the light source and detector. The integration time was set to 1 s and wavelength increments to 1 nm. The samples were irradiated with a xenon arc lamp excitation source at a wavelength of 525 nm. The emission range was set to 535-800 nm. Excitation spectra were collected with fluorescence monitoring at 555 nm and 610 nm with two excitation ranges for each. For the monitoring at 555 nm the excitation ranges were 300-545 nm and 565-800 nm. For the monitoring at 610 nm the excitation ranges were 310-600 nm and 620-800 nm. 5 5 RESULTS AND DISCUSSION Deposition of gold onto the silicon substrate followed the procedure previously reported.78 The gold surfaces were coated with Rh6G using spin-casting, using conditions previously used to coat glass.65 Direct measurement of the thickness of the Rh6G layer using optical or AFM methods proved to be ineffective. When spin- casting Rh6G onto glass the relationship between solution concentration and coating thickness was markedly nonlinear.65 For example, when [Rh6G] = 1×10–4 M, tRh6G ~ 1 nm, when [Rh6G] = 1×10–3 M, tRh6G ~ 3 nm, and when [Rh6G] = 1×10–2 M, tRh6G ~ 45 nm. We expected similar, but not identical, behavior for spin-casting onto the gold substrate. For the remainder of this paper reference will only be made to the spin- casting concentration. 6 6 A B C D Figure 1. SEM micrographs of A) Au with no Rh6G; B) Au spin-cast with 1×10–4 M Rh6G; C) Au spin-cast with 1×10–3 M Rh6G; D) Au spin-cast with 1×10–2 M Rh6G. The scale bars are 1 µm for each image. A B B A C D D C Figure 1. SEM micrographs of A) Au with no Rh6G; B) Au spin-cast with 1×10–4 M Rh6G; C) Au spin-cast with 1×10–3 M Rh6G; D) Au spin-cast with 1×10–2 M Rh6G. The scale bars are 1 µm for each image. Figure 1 shows the SEM images of samples covered with different thicknesses of Rh6G. Each sample shows the same features: grains that are less than 100 nm in size that cover the whole surface with a few particles that are 0.5 to 1 µm in diameter. Both of these features are attributed to the gold coating, which mainly coats the 7 7 substrate as small grains but there are a few particles that grow to larger size. There are no morphological features that can be assigned to the Rh6G. This is reasonable since the Rh6G is expected to be less than 50 nm thick for all of the coating conditions used. However, the EDS spectra, shown in Figure 2, indicate the presence of the Rh6G. The primary elements observed are Au and C with smaller peaks for Si and O. As the Rh6G coating becomes thicker, the intensity of the Au peak decreases, and the C peak increases. This confirms that the Rh6G is present but does not affect the morphology of the substrate. Figure 2. EDS spectra of Au coated with Rh6G. RESULTS AND DISCUSSION The inset shows the integrated area of the C and Au peaks as a function of Rh6G concentration. Figure 2. EDS spectra of Au coated with Rh6G. The inset shows the integrated area of the C and Au peaks as a function of Rh6G concentration. Figure 3. Reflectance spectra of Rh6G coated on gold for different surface coverages. Figure 3. Reflectance spectra of Rh6G coated on gold for different surface coverages. 8 Figure 3 shows the reflection spectra for Rh6G on gold for several surface coverages. The Au surface has a reflection minimum at ~480 nm, consistent for all preparations, and indicative of a pure gold surface with relatively large particle size.79 Figure 3 shows the reflection spectra for Rh6G on gold for several surface coverages. The Au surface has a reflection minimum at ~480 nm, consistent for all preparations, and indicative of a pure gold surface with relatively large particle size.79 As the thickness of Rh6G is coated onto the surface, several spectral responses can be noted. First, as expected, the reflection from the gold is reduced as the Rh6G thickness increases. At the thinnest coverage, this is the only change that is observed – no feature associated with absorption by Rh6G is measurable. At intermediate thicknesses, a broad feature grows in, centered at about 590 nm. Finally, the thickest films show three peaks at 530, 575, and 630 nm. The peaks at 530 nm and 575 nm are assigned to monomeric and aggregated Rh6G respectively, consistent with the literature.40-65 The absorption located in the 590 – 630 region is assigned to the plasmon shifted gold resonance. Figure 4 shows the background corrected Raman spectra of Rh6G coated onto Au as a function of the concentration used in the spin-casting solution. (The SERS spectra all have a fluorescence background, especially for thicker films.) As expected in a SERS response, as the film becomes thicker, the intensity of the Raman peaks increases. Three peaks at 1314, 1363, and 1512 cm–1 were fit to a Gaussian lineshape for each sample. As the film thickness increased, there was no substantial change in either the peak maxima or peak width (all fits agreeing within ±1 cm–1, less than the 4 cm–1 resolution of the measurement), indicating that there is no coupling between Rh6G molecules in the ground state. RESULTS AND DISCUSSION However, the intensity change as a function of surface coverage shows two regions, as indicated by the lines in Figure 4B. The break 9 occurs where the surface density of Rh6G molecules is expected to transition from a monolayer to multilayers. Figure 4. A, Top: Background corrected SERS spectra of Rh6G on Au as a function of the solution concentration used in spin-casting. B, Bottom: Peak intensity of selected peaks as a function of Rh6G concentration used in spin-casting. The lines are guides for the eye. Figure 4. A, Top: Background corrected SERS spectra of Rh6G on Au as a function of the solution concentration used in spin-casting. B, Bottom: Peak intensity of selected peaks as a function of Rh6G concentration used in spin-casting. The lines are guides for the eye. 10 Figure 5. Emission spectra of Rh6G on Au as a function of the solution concentration used in spin-casting. Excitation was done at 525 nm. Inset: Total area under the emission spectrum as a function of Rh6G concentration used in spin-casting. Figure 5. Emission spectra of Rh6G on Au as a function of the solution concentration used in spin-casting. Excitation was done at 525 nm. Inset: Total area under the emission spectrum as a function of Rh6G concentration used in spin-casting. Figure 5 shows the emission spectra of Rh6G as a function of surface coverage. The thinnest film (created using a 1.0×10–4 M solution for spin-casting) has a maximum at 555 nm. As the film thickness grows the emission intensity initially decreases and the wavelength maximum shifts to lower energy. This is consistent with what has been reported previously on glass.65 However, with further addition of Rh6G, the emission intensity begins to increase and the maximum wavelength continues to shift to lower energy. Table 1. Deconvoluted parameters for the emission spectra of Rh6G on gold and glass (from reference 65). λ is the wavelength maximum (in nm) and Γ is the full-width-at- half-maximum (in nm). The uncertainty in λ and Γ are both ±2 nm. [Rh6G] λ1 Γ1 λ2 Γ2 λ3 Γ3 λ4 Γ4 Gold 556 19 577 43 603-615 25 640-656 60 Glass 550 16 573 21 600 35 650 47 Assignment Monomer Excimer Exciton Aggregate Table 1. Deconvoluted parameters for the emission spectra of Rh6G on gold and glass (from reference 65). λ is the wavelength maximum (in nm) and Γ is the full-width-at- half-maximum (in nm). RESULTS AND DISCUSSION The uncertainty in λ and Γ are both ±2 nm. [Rh6G] λ1 Γ1 λ2 Γ2 λ3 Γ3 λ4 Γ4 Gold 556 19 577 43 603-615 25 640-656 60 Glass 550 16 573 21 600 35 650 47 Assignment Monomer Excimer Exciton Aggregate 11 Each emission spectrum was deconvoluted into two or three Gaussian peaks, as needed, to give an acceptable fit. For the films with the two lowest surface coverages only two peaks were required: one with a narrow lineshape with a maximum at 556 nm and a second broader peak located at 577 nm. The intensity and lineshape are similar to what was reported for thin films of Rh6G on glass,65 so the peaks are assigned to monomers (556 nm) and excimers (577 nm). The intensity of the emission spectra at low surface coverage is surprising since a metal surface typically induces quenching of an adjacent fluorophore. As the surface coverage increases a third peak is required to fit the emission spectra. The maximum of this third peak varies between 603 and 615 nm for different film thicknesses, but the linewidth remains constant at 25 nm. This peak is assigned to an exciton emission. Finally, for the thickest films the feature at 556 nm is no longer detectable and a new peak arises, observed as a broad shoulder, with a maximum in the range of 640 – 656 nm, assigned to aggregates or crystallized Rh6G. All of these assignments are summarized in Table 1 The total intensity of the emission spectra as a function of surface coverage is remarkable. As shown in the inset in Fig. 5, the emission intensity is high for the thinnest film and then decreases substantially as the surface density increases. At approximately one monolayer coverage the total emission intensity reaches a minimum. Then, as multiple layers accumulate, the intensity increases up to a maximum when the film thickness is estimated to be ~10 nm. For thicker films, which should be dominated by aggregates and crystallites, the emission slowly decreases as the films get thicker. In contrast, the intensity profile on glass as a function of film 12 12 thickness shows high emission for surface coverages less than one monolayer, but is substantially quenched for thicker films. The rise in emission intensity of films of Rh6G which are a few monolayers thick is attributed to MEF, where the Rh6G is acting as its own dielectric. RESULTS AND DISCUSSION In this interpretation, the enhanced fluorophore is the aggregate structure, not isolated Rh6G molecules. The maximum MEF response is found when the Rh6G is ~10 nm thick, which is consistent with previous studies of the optimum dielectric thickness for MEF.80-82 A comparison of the Rh6G emission intensity for films created from a 5×10–3 M solution on glass65 vs gold implies an enhancement factor of ~10. The overlap between the shifted gold plasmon resonance and the aggregate emission peak is likely responsible for the electric field enhancement that causes the MEF response. Figure 6. Normalized excitation spectra for selected films of Rh6G spin-cast onto Au. The molarities indicate the concentration of Rh6G used in spin-casting. Left: emission detected at 555 nm. Right: emission detected at 610 nm. Figure 6. Normalized excitation spectra for selected films of Rh6G spin-cast onto Au. The molarities indicate the concentration of Rh6G used in spin-casting. Left: emission detected at 555 nm. Right: emission detected at 610 nm. Figure 6 shows the normalized excitation spectra of Rh6G for several surface coverages. When the emission is detected at 555 nm, i.e. emission from the monomer excited state, the excitation spectra all have maxima at 534 nm, except for the thickest film (cast from [Rh6G] = 1×10–2 M), which has a maximum in the range of the 13 detection wavelength. The absorption maximum of Rh6G on glass at 527 nm is associated with the monomer, consistent with the emission spectra. The thick film, with an excitation maximum of 555±10 nm indicates absorption from aggregates and the lineshape, displays little absorption in the monomer region. To better understand this behavior, the excitation spectra were also measured using detection at 610 nm, which selects for both exciton and aggregate excited states. Under these measurement conditions the excitation spectra exhibit two general profiles. For low surface coverages the excitation maximum is at 534 nm, again indicative of absorption by monomer. In contrast, for films greater than a monolayer thickness, the excitation spectra have a maximum at 556 nm, are very broad, and have significant absorption at 534 nm. This is consistent with absorption associated with monomer, exciton, and aggregates. However, the energy absorbed by the monomer at these multilayer thicknesses is transferred to exciton or aggregate excited states. RESULTS AND DISCUSSION Scheme 1 monolayer coverage hν Weak monomer emission Strong monomer SERS multilayer coverage hν Strong aggregate emission Strong aggregate SERS hν Strong monomer emission Weak monomer SERS submonolayer coverage trong nomer ERS multilayer coverage hν Strong aggregate emission Strong aggregate SERS Strong monomer emission Weak monomer SERS Strong monomer SERS Strong aggregate emission Stron aggreg SERS Strong aggregate emission Strong monomer emission Weak monomer emission submonolayer monolayer Scheme 1 ge Scheme 1 summarizes the observations. At low Rh6G coverages the emission signal is strong, arising from monomers, and the SERS signal is weak, because of the low number density. At monolayer coverage the emission spectrum is quenched, probably because of self-quenching and influence from the underlying gold surface. In contrast, the SERS signal is strong. Finally, at multilayer coverage both the emission 14 and SERS exhibit strong signals. The emission signal is enhanced because the fluorophores are sufficiently distant from the surface to allow MEF to occur, but the emission is from aggregate states, not monomers. The SERS signal is strong for two reasons: a large number density and electric field enhancement from the gold surface. The emission enhancement decreases at thicker films while the SERS intensity is still increasing. This change occurs because Iemission ∝ E2 while ISERS ∝ E4, where E is the electric field, so that the SERS effect extends to thicker films than MEF. and SERS exhibit strong signals. The emission signal is enhanced because the fluorophores are sufficiently distant from the surface to allow MEF to occur, but the emission is from aggregate states, not monomers. The SERS signal is strong for two reasons: a large number density and electric field enhancement from the gold surface. The emission enhancement decreases at thicker films while the SERS intensity is still increasing. This change occurs because Iemission ∝ E2 while ISERS ∝ E4, where E is the electric field, so that the SERS effect extends to thicker films than MEF. 15 15 CONCLUSION Rh6G coated on gold has a complicated spectroscopic behavior as a function of coating thickness. The gold particles are synthesized to give reproducible sizes so that observed changes are not a result of the underlying gold layer. For submonolayer coverage, the structure of the Rh6G is primarily monomeric, as indicated by the emission spectrum. The emission, excitation, and SERS spectra all demonstrate changes as the film thickness exceeds a monolayer. In the case of SERS, this is observed as a change in the slope of the intensity vs coverage, with the change in slope occurring at about a monolayer thickness. For the fluorescence spectra, there are multiple changes observed as a function of Rh6G thickness. For submonolayer coverage, the emission intensity is high and arises from monomer excited state, but decreases substantially as the thickness increases. Surprisingly, with further coverage by Rh6G, the emission intensity increases, but the source of the emission is the aggregate excited state. The enhancements in both SERS and MEF rely on the electric field created by the underlying gold substrate. 16 ACKNOWLEDGMENTS AND REFERENCES This material is based upon work supported by the U.S. Department of Homeland Security, Science and Technology Directorate, Office of University Programs, under Grant Award 2013-ST-061-ED0001. 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Penzkofer, A.; Leupacher, W. Fluorescence Behaviour of Highly Concentrated Rhodamine 6G Solutions. J. Lumin. 1987, 37, 61–72. 46. Ojeda, P. R.; Amashta, I. A. K.; Ochoa, J. R.; Arbeloa, I. L. Excitonic Treatment and Bonding of Aggregates of Rhodamine 6G in Ethanol. J. Chem. Soc. Faraday Trans. 2 1988, 84, 1–8. 47. O. Valdes-Aguilera and D. C. Neckers, “Aggregation Phenomena in Xanthene Dyes,”Acc. Chem. ACKNOWLEDGMENTS AND REFERENCES Res., 1989, 22, 171 – 177. 48. K. Kemnitz and K. Yoshihara, “Entropy-Driven Dimerization of Xanthene Dyes inNonpolar Solution and Temperature-Dependent Fluorescent Decay of Dimers,” J. Phys. Chem., 1991, 95, 6095 – 6104. 23 49. Kemnitz, K.; Yoshihara, K. Entropy-Driven Dimerization of Xanthene Dyes in Nonpolar Solution and Temperature-Dependent Fluorescence Decay of Dimers. J. Phys. Chem. 1991, 95, 6095–6104. 50. Tapia Estevez, M.; López Rbeloa, F.; López Rbeloa, T.; López Rbeloa, I.; Schoonheydt, R. Spectroscopic Study of the Adsorption of Rhodamine 6G on Laponite B for Low Loadings. Clay Min. 1994, 29, 105–113. 51. Arbeloa, F.; Estevez, M.; Arbeloa, T.; Arbeloa, I. Spectroscopic Study of the Adsorption of Rhodamine 6G on Clay Minerals in Aqueous Suspensions. Clay Miner. 1997, 32, 97–106. 52. Antonov, L.; Gergov, G.; Petrov, V.; Kubista, M.; Nygren, J. UV-Vis Spectroscopic and Chemometric Study on the Aggregation of Ionic Dyes in Water. Talanta 1999, 49, 99–106. 53. Micheau, J.; Zakharova, G.; Chibisov, A. Reversible Aggregation, Precipitation and Re-Dissolution of Rhodamine 6G in Aqueous Sodium Dodecyl Sulfate. Phys. Chem. Chem. Phys. 2004, 2, 2420–2425. 54. Martínez, V. M.; Arbeloa, F. L.; Prieto, J. B.; Arbeloa, I. L. Characterization of Rhodamine 6G Aggregates Intercalated in Solid Thin Films of Laponite Clay. 2 Fluorescence Spectroscopy. J. Phys. Chem. B 2005, 109, 7443–7450. 55. De, S.; Das, S.; Girigoswami, A. Environmental Effects on the Aggregation of Some Xanthene Dyes Used in Lasers. Spectrochim. Acta - Part A Mol. Biomol. Spectrosc. 2005, 61, 1821–1833. 56. Anedda, A.; Carbonaro, C. M.; Corpino, R.; Ricci, P. C.; Grandi, S.; Mustarelli, P. C. Formation of Fluorescent Aggregates in Rhodamine 6G Doped Silica Glasses. J. Non. Cryst. Solids 2007, 353, 481–485. 24 57. Zhao, J.; Jensen, L.; Sung, J.; Zou, S.; Schatz, G. C.; Van Duyne, R. P. Interaction of Plasmon and Molecular Resonances for Rhodamine 6G Adsorbed on Silver Nanoparticles. J. Am. Chem. Soc. 2007, 129, 7647–7656. 58. A. Tomioka and Y. Kamiyama, “Dewetting-Assisted Formation of Novel Dequenched Aggregates of Rhodamines: Comparison with J- and H- Aggregates,” Mol. Cryst. Liq. Cryst., 2009, 505, 193/[431] – 202/[440]. 59. Lasio, B.; Malfatti, L.; Innocenzi, P. Photodegradation of Rhodamine 6G Dimers in Silica Sol–Gel Films. J. Photochem. Photobiol. A Chem. 2013, 271, 93–98. 60. Lofaj, M.; Valent, I.; Bujdak, J. Mechanism of Rhodamine 6G Molecular Aggregation in Montmorillonite Colloid. Cent. Eur. J. Chem. 2013, 11, 1606– 1619. 61. De Queiroz, T. B.; Botelho, M. B. ACKNOWLEDGMENTS AND REFERENCES S.; De Boni, L.; Eckert, H.; De Camargo, A. S. S. Strategies for Reducing Dye Aggregation in Luminescent Host-Guest Systems: Rhodamine 6G Incorporated in New Mesoporous Sol-Gel Hosts. J. Appl. Phys. 2013, 113, 113508-1 – 113508-11. 62. Zehentbauer, F. M.; Moretto, C.; Stephen, R.; Thevar, T.; Gilchrist, J. R.; Pokrajac, D.; Richard, K. L.; Kiefer, J. Fluorescence Spectroscopy of Rhodamine 6G: Concentration and Solvent Effects. Spectrochim. Acta - Part A Mol. Biomol. Spectrosc. 2014, 121, 147–151. 63. Fedoseeva, M.; Letrun, R.; Vauthey, E. Excited-State Dynamics of Rhodamine 6G in Aqueous Solution and at the Dodecane/Water Interface. J. Phys. Chem. B 2014, 118, 5184–5193. 25 64. Leonenko, E. V.; Telbiz, G. M.; Bogoslovskaya, A. B.; Manoryk, P. A. Effect of Aggregation of Rhodamine 6G on the Spectral and Luminescence Characteristics of Hybrid Mesostructured Silica Films. Theor. Exp. Chem. 2015, 50, 358–363. 65. Chapman, M.; Mullen, M.; Novoa-Ortega, E.; Alhasani, M.; Elman, J. F.; Euler, W. B. Structural Evolution of Ultrathin Films of Rhodamine 6G on Glass. J. Phys. Chem. C 2016, 120, 8289 – 8297. 66. Kasha, M. Energy Transfer Mechanisms and the Molecular Exciton Model for Molecular Aggregates. Radiat. Res. 1963, 20, 55–70. 67. Kasha, M.; Rawls, H. R.; Ashraf El-Bayoumi, M. The Exciton Model in Molecular Spectroscopy. Pure Appl. Chem. 1965, 11, 371–392. 68. Zhu, X.; Monahan, N. R.; Gong, Z.; Zhu, H.; Williams, K. W.; Nelson, C. A. Charge Transfer Excitons at van de Waals Interfaces. J. Am. Chem. Soc. 2015, 137, 8313 – 8320. 69. Birks, J. Excimers. Rep. Prog. Phys. 1975, 38, 903–974. 70. Golberg, D.; Zhang, C.; Xu, Z. Cubic Lattice Nanosheets: Thickness-Driven Light Emission. ACS Nano 2014, 8, 6516 – 6519. 71. Xu, J.; Ding, L.; Chen, J.; Gao, S.; Li, L.; Zhou, D.; Li, X.; Xue, G. Sensitive Characterization of the Influence of Substrate Interfaces on Supported Thin Films. Macromolecules 2014, 47, 6365 – 6372. 72. Höfle, S.; Lutz, T.; Egel, A.; Nickel, F.; Kettlitz, S. W.; Gomard, G.; Lemmer, U.; Colsmann, A. Influence of the Emission Layer Thickness on the 26 Optoelectronic Properties of Solution Processed Organic Light-Emitting Diodes. ACS Photonics 2014, 1, 968 – 973. 73. McCrate J. M.; Ekerdt, J. G. Coverage Dependent Luminescence from Two- Dimensional Systems of Covalently Attached Perylene Fluorophores on Silica. J. Phys. Chem. C 2014, 118, 2104 – 2114. 74. Debnath, P.; Chakraborty, S. Deb, S.; Nath, J.; Bhattacharjee, D.; Hussain, S. A. ACKNOWLEDGMENTS AND REFERENCES Reversible Transition Between Excimer and J-Aggregate of Indocarbocyanine Dye in Langmuir-Blodgett (LB) Films. J. Phys. Chem. C 2015, 119, 9429 – 9441. 75. Hildebrandt, P.; Stockburger, M.; Surface-Enhanced Resonance Raman Spectroscopy of Rhodamine 6G Adsorbed on Colloidal Silver. J. Phys. Chem. 1984, 88, 5935 – 5944. 76. Nie, S.; Emory, S. R. Probing Single Molecules and Single Nanoparticles by Surface-Enhanced Raman Scattering. Science 1997, 275, 1102 – 1106. 77. Zhao, J.; Jensen, L.; Sung, J.; Zou, S.; Schatz, G. C.; Van Duyne, R. P. Interaction of Plasmon and Molecular Resonances for Rh6G Adsorbed on Silver Nanoparticles. J. Am. Chem. Soc. 2007, 129, 7647 – 7656. 78. Whelan, J. C.; Karawdeniya, B. I.; Bandara, Y. M. N. D. Y.; Velleco, B. D.; Masterson, C. M.; Dwyer, J. R. Electroless Plating of Thin Gold Films Directly onto Silicon Nitride Thin Films and into Micropores. ACS Appl. Mater. Interfaces 2014, 6, 10952 – 10957. Whelan, J. C.; Karawdeniya, B. I.; Bandara, Y. M. N. D. Y.; Velleco, B. D.; Masterson, C. M.; Dwyer, J. R., Correction to Electroless Plating of Thin Gold Films Directly onto Silicon Nitride Thin Films and into Micropores. ACS Appl. Mater. Interfaces 2015, 7, 26004. 27 79. Ung, T.; Liz-Marzán, L. M.; Mulvaney, P. Gold Nanoparticle Thin Films. Colloids and Surf. 2002, 202, 119 – 126. 80. Fu, B.; Flynn, J. D.; Isaacoff, B. P.; Rowland, D. J.; Biteen, J. S. Super- Resolving the Distance-Dependent Plasmon-Enhanced Fluorescence of Single Dye and Fluorescent Protein Molecules. J. Phys. Chem. C 2015, 119, 19350 – 19358. 81. Lin, H.-H.; Chen, I.-C. Study of the Interaction between Gold Nanoparticles and Rose Bengal Fluorophores with Silica Spacers by Time-Resolved Fluorescence Spectroscopy. J. Phys. Chem. C 2015, 119, 26663 – 26671. 82. Li, H.; Kang, J.; Yang, J.; Wu, B. Distance Dependence of Fluorescence Enhancement in Au Nanoparticles@Mesoporous Silica@Europium Complex. J. Phys. Chem. C 2016, 120, 16907 – 16912. 28 28
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Reflections on a First-Time Flip in a Differential Equations Classroom
Mel Henriksen
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* Required * Required Math 2500-03 S17 Flipped Learning Evaluation Many of the questions below are similar or identical to those in the course evaluation. In this questionnaire I'm looking to be able to correlate your responses to other learning outcomes and the results of assessment tools (exams) in the course. Completing this questionnaire is completely voluntary and will have no effect on your course grade. Only I will be able to identify you as the one who responded to this questionnaire. 1. Last Name * 1. Last Name * 2. Student ID (W#) * 3. How would you evaluate your flipped learning experience in Math 2500 vs. other traditional learning experiences? * Mark only one oval. 1 2 3 4 5 Very Good / Helpful Not Good / Not Helpful 3. How would you evaluate your flipped learning experience in Math 2500 vs. other traditional learning experiences? * Mark only one oval. 1 2 3 4 5 Very Good / Helpful Not Good / Not Helpful 3. How would you evaluate your flipped learning experience in Math 2500 vs. other traditional learning experiences? * Mark only one oval. 1 2 3 4 5 Very Good / Helpful Not Good / Not Helpful 4. Please explain your response to the above question. * 5. Do you think you made the best use of the video lectures? * Mark only one oval. 1 2 3 4 5 Yes, definitely Not, not at all 6. Please explain your response to the above question. * 7. What suggestions do you have for improving the videos? * 8. How would you rate the in-class expereince Mark only one oval. 1 2 3 4 5 Very Good / Helpful Not Good / Not Helpful 5. Do you think you made the best use of the video lectures? * Mark only one oval. 1 2 3 4 5 Yes, definitely Not, not at all 6. Please explain your response to the above question. * 7. What suggestions do you have for improving the videos? * 8. How would you rate the in-class expereince Mark only one oval. 1 2 3 4 5 Very Good / Helpful Not Good / Not Hel 5. Do you think you made the best use of the video lectures? * Mark only one oval. 9. Please explain your response to the above question. * 9. Please explain your response to the above question. * Powered by 9. Please explain your response to the above question. * 10. What suggestions do you have for improving the in-class experience? * 11. What would you tell students entering this course next term? *
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Eight-year single-center experience with transcatheter aortic valve implantation (TAVI)
Ivo Petrov
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doi: 10.3897/icf.2.e98590 АВТОРСКИ СТАТИИ Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация 53 Въведение ративна аортна клапна стеноза [4]. С първата перкутанно имплантирана през 2002 г. аорт­ на клапа transcatheter aortic valve implantation (TAVI) се появява алтернатива на класическо­ то хирургично лечение (AVR). С напредване­ то на технологиите и натрупването на опит в областта TAVI процедурата стана по-ниско­ рискова. Това позволи да се променят инди­ кациите за процедурата – от иноперабилни пациенти поради екстремно висок кардиохи­ рургичен риск, през подбрана група пациенти с висок хирургичен риск, до такива с умерен и дори нисък риск от класическа хирургия, как­ то показаха проучванията ELR [5], PARTNER 3 [6] и др. Появиха се и новите индикации за TAVI, които включват бикуспидна аортна кла­ па, асимптомни пацинети, valve-in-valve про­ цедура и умерена аортна стеноза с резистент­ на сърдечна недостатъчност. Аортна стеноза Дегенеративната аортна клапна стено­ за е най-често срещаната клапна патология в развитите страни. Характеризира се с дегене­ рация на аортните клапни платна и пръстен, които в крайна сметка водят до стеснение на ефективния клапен отвор и редукция на деби­ та на кръв през клапата. Това води до незадо­ волителна системна циркулация и обременя­ ване на лявата камера [1]. Между 2-9% от хо­ рата над 65-годишна възраст и 12% от хората над 75-годишна възраст имат аортна стеноза [2]. Дегенеративните промени, засягащи аорт­ ната клапа се засилват с напредване на въз­ растта, което прави заболяването все по-често срещан проблем в т.нар. „застаряващи“ попу­ лации. Аортната клапна стеноза се харекте­ ризира с продължителен асимптомен период, през който компенсаторните механизми (пре­ димно от страна на лявата камера) успяват да поддържат адекватна хемодинамика. При вече появила се симптоматика обаче заболяването се характеризира с ниска продължителност на живота – под 2 г. при 50% от пациентите, кои­ то не са подложени на интервенция [3]. Пора­ ди редуцираната площ на аортния клапен от­ вор, лекарствената терапия при аортна клапна стеноза има ефект единствено по отношение на редукция на проявите на сърдечна недос­ татъчност, но не и по отношение промяна в продължителността на живот. Така хирургич­ ната интервенция (AVR или TAVI) при дегене­ ративна аортна клапна стеноза е една от про­ цедурите с най-убедителни доказателства по отношение подобряване продължителността на живота. EIGHT-YEAR SINGLE-CENTER EXPERIENCE WITH TRANSCATHETER AORTIC VALVE IMPLANTATION (TAVI) I. Petrov, Z. Stankov, P. Polomski, D. Boychev Clinic of cardiology and angiology, UMBAL “Ajibadem City Clinic Cardiovascular Center” Резюме. Първата имплантация на TAVI клапа е проведена през 2002 г. от Cribier и колеги. Оттогава до днес отчитаме съществен прогрес на технологията, с появата на нови поколения – по-нископ- рофилни, по-дълготрайни и по-стабилни при позиционирани TAVI протези. Настоящата публи- кация представя резултатите от едноцентров опит с TAVI процедури в рамките на осемгодишен период. През периода от 2013 до ноември 2022 г. в „Аджибадем Сити Клиник Сърдечно-съдов център“ са проведени общо 354 TAVI процедури. Две основни оперативни стратегии са използ- вани – стандартна и минималистична. От първата процедура през 2013 г. до средата на 2018 г. е използван предимно стандартния подход (съдовохирургичен достъп, обща анестезия, директна имплантация на клапата, където е възможно). След това като стандартен подход в Центъра се въведе минималистичния (перкутанен достъп, без интубационна анестезия, задължителна пре- дилатация на клапата и използване на rapid pacing). Ключови думи: аортна стеноза, TAVI, едноцентров опит, минималистичен подход Адрес за кореспонденция: д-р Петър Поломски, УМБАЛ „Аджибадем Сити Клиник Сърдечно-съ- дов център“, ул. Околовръстен път № 127, 1307 София, е-мейл: petar.polomski@acibademcityclinic.bg Abstract: The first TAVI implantation was performed in 2002 by Cribier and colleagues. From then, we have seen significant progress in technology, with the appearance of new generations – lower-profile, longer-lasting and more stable during positioning TAVI prostheses. The present publication presents single-center results and experience with TAVI procedures over an eight-year period. During the period 2013 – November 2022 a total of 354 TAVI procedures were performed in Acibadem City Clinical Cardiovascular Center. Two operating strategies are used – standard and minimalist approach. From the first procedure in 2013 until mid-2018 the standard approach (surgical vascular access, general anesthesia, direct valve implantation where possible) was mostly used. Then, the minimalist approach (percutaneous access, no intubation anesthesia, mandatory valve predilation and use of rapid pacing) was introduced as a standard approach in the center. Key words: aortic stenosis, TAVI, single-center experience, minimalist approach Address for correspondence: Petar Polomski, MD, UMBAL “Acibadem City Clinic Cardiovascular Center”, 127 Okolovrasten Pat Street, BG – 1307 Sofia, e-mail: petar.polomski@acibademcityclinic.bg Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация Материал и методи С навлизането на пазара на устройства за затваряне на съдовия достъп (closure devices) и с намаляването на размера на системите за имплантация – втората иновация, утвърдила изцяло перкутанния достъп, логична бе про­ мяна в протокола за имплантация. При него­ вото въвеждане, се счита, че използването на изцяло перкутанен достъп предлага по-добър комфорт за пациента, по-бърза рехабилита­ ция, по-кратък престой в интензивно отделе­ ние при сходен риск от усложнения. През периода от Октомври 2013 година до Ноември 2022 година в нашия сърдечно-съдов център са имплантирани транскатетърни аорт­ ни клапни протези при 354 пациента. Всички те са лекувани по един от двата протокола – първоначалния класически подход, приложен от първата TAVI до средата на 2018г., и мини­ малистичен подход – след средата на 2018 г. В група 1 („Класически подход“) има 141 паци­ енти, а в група 2 („Минималистичен подход“) – 213. Средната възраст на пациентите е 78 г., като по разпределението мъже : жени е 54,8 : 45,2% (табл. 1). Според различните автори съществуват редица определения какво точно представля­ ва т.нар. „минималистичен подход при TAVI“, но при всичките се спазва общия принцип за минимално инвазивна процедура с възможно най-кратък възстановителен период. Няма статистически значима разлика по отношение фракцията на изтласкване на лява­ та камера; степента на аортна стеноза, изме­ рена чрез средния трансклапен градиент през аортната клапа, както и предшестващата коро­ нарна реваскуларизация в двете групи. Сред­ ният отвор на аортната клапа, измерен чрез AVA (VTI), е 0.78 cm2, а средният трансклапен градиент за двете групи е 44,29 mm Hg, и съ­ ответно 44,91 mm Hg. В предходна публикация направихме ди­ ректно сравнение между тези два достъпа и доказахме преимущество на минималистич­ ния по отношение на: намаляване честотата на имплантация на пейсмейкър, намалява­ не на съдовите усложнения, намаляване на болничния престой за проведените до тогава 208 процедури [7]. Таблица 1. Клиничен профил на пациентите Показател Група 1 класически подход при имплантация (n = 141) Група 2 минималистичен под­ ход при имплантация (n = 213) p-value Възраст 77,94 ± 6,21 80,11 ± 7,28 p = 0,6 Пол p = 0,159 Мъже 58,2% 51,85% Жени 41,8% 48,15% EuroScore II 14,14 ± 11,72 8.01 ± 3,45 p < 0,001 Гр. Минималистичен подход при TAVI С напредване на световния опит с TAVI, процедурата по имплантация изменя своя характер. Тя се стреми да стане минимално щадяща за пациента, като днес все повече се говори за „PCI-подобна процедура“. Общата анестезия дълги години е смятана за задъл­ жителна при TAVI. Причините за тази доми­ нация на първоначалния „класически“, или „стандартен“ подход за дълъг период от вре­ ме (включващ обща интубационна анестезия, открит съдово-хирургичен достъп, водене на имплантацията под контрола на трансезофа­ геална ехокардиография (ТЕЕ), участието на кардиохирург в екипа с незабавна готовност за конверсия към обща хирургия, извършва­ нето на процедурата в изцяло хирургична или хибридна зала) са многостранни и имат своето логично обяснение. С натрупването на опит, увереност и отпадането на трансезофа­ гeалната ехокардиография като задължителна част от имплантацията, будната анестезия из­ лезе на преден план като опция, която може едновременно да опрости процедурата и да намали риска от усложнения при пациентите. Златен стандарт при лечение на дегенера­ тивната аортна клапна стеноза представлява хирургичната смяна на клапата с изкуствена аортна клапна протеза. Процедурата се е до­ казала във времето по отношение редукция на смъртността и подобрение на качеството на живот при пациенти с високостепенна дегене­ И. Петров, З. Станков, П. Поломски, Д. Бойчев 54 Материал и методи среден преди (mm Hg) 44,29 ± 14,46 44,91 ± 17,01 p = 0,969 ФИ (%) преди 53,85 ± 10,84 51,14 ± 14,03 p = 0,217 PCI в миналото 79 (56,0%) 115 (53,99%) p = 0,816 CABG в миналото 21 (15,0%) 20 (9,38%) p = 0,51 ХОББ 45 (31,9%) 31 (14,55%) p = 0,012 Пулмонална хипертония 131 (93,6%) 110 (51,64%) p < 0,001 Таблица 1. Клиничен профил на пациентите Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация 55 Именно по-високият рисков профил на паци­ ентите, реферирани за TAVI в нашия център може да обясни и разликата в честотата на ХОББ и пулмонална хипертония в двете гру­ пи (по-висока при класическия в сравнение с групата с минималистичен подход). Именно по-високият рисков профил на паци­ ентите, реферирани за TAVI в нашия център може да обясни и разликата в честотата на ХОББ и пулмонална хипертония в двете гру­ пи (по-висока при класическия в сравнение с групата с минималистичен подход). Впечатление прави сигнификантно по-високият EuroScore II оперативен риск на пациентите в група 1. Избрахме именно него поради факта, че STS скорът претърпя изменение през периода 2013-2021 г. По-ви­ сокият риск в групата с класически подход спрямо тази с минималистичен най-вероят­ но е естествено отражение на промяната в индикациите за TAVI през този 8-годишен период (фиг. 1). В група 1 попадат пациен­ ти от периода 2013-2018 г., които са предим­ но с много висок хирургичен риск, повече коморбидности и по-висок рисков профил. Първата имплантирана в Центъра кла­ па е през 2013 г. на 64-годишен мъж в силно увредено общо състояние с EuroScore II 23,2 (предходно проведена кардиохирургия, лево­ камерна дисфункция, тежка пулмонална хи­ пертония, състояние след радиотерапия в то­ ракалния отдел). Фиг. 1. Разпределение на TAVI процедурите по години Фиг. 2. Разпределение на пациентите спрямо типа на имплантираната клапа Фиг. 1. Разпределение на TAVI процедурите по години Фиг. 1. Разпределение на TAVI процедурите по години Фиг. 1. Разпределение на TAVI процедурите по години Фиг. 2. Разпределение на пациентите спрямо типа на имплантираната клапа Фиг. 2. Разпределение на пациентите спрямо типа на имплантираната клапа Фиг. 2. Разпределение на пациентите спрямо типа на имплантираната клапа И. Петров, З. Станков, П. Поломски, Д. Бойчев 56 Балонна предилатация Балонната предилатация има за цел да редуцира ригидността на калцирания аортен клапен пръстен и платната, като по този начин осигури по-безпрепятствено преминаване на TAVI протезата през клапата, както и точно позициониране. Макар и да представлява до­ пълнителна стъпка при TAVI, криеща допъл­ нителен риск от бързия пейсинг или емболия, последната осигурява безпроблемно пласира­ не на протезата през дегенериралата клапа и нейното позициониране. Тази стъпка е особе­ но важна за системи за имплантация, които не позволяват отдръпването на клапата веднъж въведена в пациента. В групата с минима­ листичен подход балонната предилатация се Особености на минималистичния подход Повечето от имплантираните в нашия център аортни клапни протези са от различни­ те генерации клапи на Medtronic – CoreValve до 2017 г. и Evolut R след 2017 г. (вкл. двама пациенти с Medtronic Evolut Pro+ през 2022 г.). За същия период имаме една имплантация на MyVal (Meril) клапа, 21 клапи Portico (SJM), 6 клапи Sapien (Edwards) и 10 клапи Acurate Neo (Boston Scientific) (фиг. 2). Използването на предимно self-expandable клапи се дължи както на натрупания в Центъра първоначален опит с CoreValve клапата (успешно прилаган в последствие с Evolut R), както и на непо­ стоянното наличие на реимбурсна balloon- expandable клапа през годините. Макар и да няма унифицирана дефини­ ция на минималистичен подход, от повечето автори днес се посочват будната анестезия, изцяло перкутанния съдов достъп, бързия пейсинг по време на имплантация, позволя­ ващ по-точно позициониране, и максимал­ на редукция на инвазивните процедури (вкл. централен венозен достъп, уретрален катетър, ТЕЕ) по време на TAVI. Компонентите, които приехме за част от минималистичния подход, са представени в табл. 2 Бърз камерен пейсинг Бърз камерен пейсинг Бързият камерен пейсинг има за цел да редуцира сърдечния дебит при стъпките, клю­ чови за правилно позициониране на клапата, както и балоните за пре- и постдилатация. Макар че е свързан с риск от продължителна хипотония, предсърдно мъждене и камерна тахикардия, последния позволява по-прециз­ на имплантация, което от своя стана намаля­ ва риска от паравалвуларна инсуфициенция и AV блок. Актуални публикации [8] показват, че до два епизода на бързо камерно пейсира­ не с продължителност под 30 секунди не са свързани със сигнификантно по-висока често­ та на усложнения в сравнение с пациентите, при които не е прилаган бърз камерен пей­ синг. Поради това след първоначалния период на класически подход (от средата на 2018 г.) бързият камерен пейсинг стана задължителна стъпка при минималистичния подход в нашия център по време на балонната предилатация, имплантацията на клапата и балонната пост­ дилатация (там където тя е била необходима). Р При първите 141 пациенти с имплантира­ на TAVI клапа с класически подход престоя в ICU постпроцедурно беше част от протокола на имплантация. Отчетохме среден престой на пациента от 1,26 дни (при таргет за транс­ фер от ICU към кардиологично отделение на първи постпроцедурен ден). От друга страна, при групата с минималистичен подход (об­ хващаща 213 пациенти) престоят в ICU не бе задължителен по протокол и се стремяхме да изведем пациента в Кардиологично отделение непосредствено след имплантация на клапа­ та. Въпреки това при 18 пациенти се наложи престой в Интензивно отделение постпроце­ дурно, поради преходна хипотония, продъл­ жаващо кървене от съдовия достъп (въпреки използваното устройство за затваряне на дос­ тъпа) или новопоявил се AV блок. Към тази група е включен и пациентът, при който по­ стпроцедурно се наложи съдовохирургична интервенция. Резултати Транскатетърна аортна клапна импланта­ ция бе проведена при 354 пациенти, разделе­ ни в съответно група 1 – група със стандар­ тен подход на имплантация – 141 пациенти, и група 2 – с минималистичен подход при 213 пациенти. TAVI бе успешно проведена при всичките 354 пациенти, без нито един починал интрапроцедурно (интрапроцедурна смъртност 0%). При един пациент от групата с минималистичен подход се наложи кардио­ хирургична интервенция поради пункция на дясната камера от катетър-дезиле, използван за пласиране на електрода за временна елек­ трокардиостимулация. Използването на перкутанен съдов дос­ тъп в сравнение с хирургичен такъв, липсата на обща анестезия и употребата на кубитален (вместо феморален) достъп за временния пей­ Протокол за имплантация – стандар­ тен vs. минималистичен подход В публикувана по-рано през 2022 г. наша статия е описан подробно опитът на нашия център с два подхода при имплантация на TAVI клапа – стандартен и минималистичен [7]. Публикуваните в статията пациенти об­ хващат периода октомври 2013 – март 2021 г. Всички пациенти със стандартен подход са включени в този период (2013-2018 г.). От публикуваната в статията група до настоящ­ ия момент в нашия център са проведени общо 145 нови TAVI процедури изцяло по минима­ листичен подход. Таблица 2. Разлики между минималистичен и стандартен подход Стандартен подход Mинималистичен подход Анестезия Обща, с интубационна Будна седация, без интубация Съдов достъп Хирургичен Перкутанен пункционен Кардиохирургичен Backup standby Задължителен в залата Незадължителен, приложен само при определени пациенти Втори съдов достъп Контралатерален феморален Десен радиален Рутинно ТЕЕ, централен венозен катетър, уретрален катетър Да Само при индикирани пациенти Задължителен престой в Реанима­ ционно отделение Да Не Предилатация на клапата Не Да Бърз пейсинг по време на имплан­ тацията Не Да Таблица 2. Разлики между минималистичен и стандартен подход Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация 57 на седация от Cribier и кол. В последващите години обаче интубационната анестезия оста­ ва златен стандарт при TAVI, тъй като осигу­ рява по-добър комфорт за пациента и екипа, възможност за постоянен ТЕЕ контрол, както и опция за конверсия на процедурата в отво­ рена хирургична, когато се наложи. Цената за това е по-продължителен реанимационен пре­ стой на пациента, по-продължителна употре­ ба на инотропи и по-висока честота на белод­ робните инфекции при интубационна анесте­ зия спрямо будна седация [9]. Еволюцията на клапните протези през годините, както и тех­ нологията на имплантация направи съдовия достъп по-щадящ за пациента, компютър-то­ мографската оценка, достатъчна при оразме­ ряване на протезата, направи технически въз­ можно осъществяването на процедурата без интубационна анестезия. прилага рутинно (с балон, оразмерен 1:0,8 в сравнение с аортния клапен анулус). Анестезия Интересен факт е, че първата проведена в света TAVI процедура е осъществена без пъл­ И. Петров, З. Станков, П. Поломски, Д. Бойчев 58 смейкър, направиха възможно превеждането на пациента от операционната зала директно в Кардиологично отделение, както и неговото раздвижване в рамките на няколко часа след процедурата при липса на усложнения. то ограничение пред използването на изцяло перкутанен достъп е липсата на устройва за затваряне на пункционното отвърстие с раз­ мер от 24F. С тяхната поява и с намаляването на профила на имплантационния катетър от 14 до 16F изцяло перкутанния достъп се уста­ нови като предпочитан. Статистическа значима разлика се наблю­ дава по отношение на престоя в Интензивно отделение при двете групи пациенти. Мини­ малистичният подход при TAVI е асоцииран с по-кратък престой – средно 0,11 дни, в срав­ нение със среден престой от 1,26 дни при кла­ сическия подход (табл. 3). Честотата на усложненията, свързани с достъпа, в групата с хирургичен такъв е 9,22%, при обща честота на съдовите услож­ нения – 12.5%. Пет от усложненията в групата с хирургичен достъп са лекувани чрез хирур­ гия, а другите 8 чрез ендоваскуларно лечение. Не открихме статистически значима разлика по отношение на усложненията в зависимост от типа на достъпа с уговорката, че групата с хирургичен съдов достъп в нашата кохорта е изключително малобройна. Най-честото ус­ ложнение при пациентите с перкутанен дос­ тъп е тромбоза на a. femoralis communis, която е използвана като основен достъп и затворена с устройство за затваряне (closure device). Таблица 3. Среден престой на пациентите в интен­ зивно отделение за двете групи Показател Група N Mean p ICU Stay Група 1 141 1,26 < 0,001 Група 2 213 0,11 Таблица 3. Среден престой на пациентите в интен­ зивно отделение за двете групи Съдов достъп От всички възможни подходи за импланти­ ране на транскатетърна клапа [трансапикален, венозно-артериален (чрез транссептална пунк­ ция), каротиден, трансаортен, субклавиален, илиачен], трансфеморалният е установен като най-атравматичен и безопасен за пациента. Минималистичният TAVI подход в най-класи­ чески вид изисква именно него за имплантация на клапата. Редукцията в размера на системата за имплантация на TAVI от 24F за първото по­ коление клапи до 14F за повечето съвременни клапи е от съществена роля за утвърждаване­ то на перкутанния трансфеморален достъп. Съществена роля има и появата на пазара на устройства за затваряне на съдовия достъп (ба­ зирани на шев на артерията или plug) и позво­ ляващи затварянето на достъпи до 18F. Устройствата, използвани за затваряне на съдовия достъп в изцяло перкутанната група, са Perclose ProGlide (Abbott Vascular Devices, Redwood City, CA, USA), Manta closure device (Teleflex, Morrisville, NC, USA) и Angio-Seal VIP Vascular Closure Device (Terumo, Japan). Proglide или Manta са използвани за затваряне на основния феморален достъп, а AngioSeal за затваряне на допълнителния феморален достъп, там където той се е наложил. Първата употреба на Manta в България приложи нашия екип на 08.05.2019 г. при пациент с TAVI. В групата, затваряни с Proglide, имаме 89 пациенти, а в групата с Manta имаме 242 пациенти. Общо има 41 съдови усложнения (13,2%), 7 от които са изисквали хирургична намеса (2,11%). Нито едно от усложненията не е довело до фатални за пациента последици. Първият елемент от минималистичния подход, който приехме в нашия център е пер­ кутанния вместо хирургичния съдов достъп. В резултат на това едва 23 пациенти (всичките в група 1) са с хирургичен съдов достъп, а ос­ таналите 331 – с изцяло перкутанен. Основно­ Втори съдов достъп е необходим за по­ зициониране на Pigtail катетър в най-ниска­ та точка на некоронарния синус, което прави възможна рентгеноскопичната пространстве­ Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация 59 Таблица 4. Честота на имплантация на ПЕКС след TAVI Новопоставен ПЕКС след таvi Група 1 Група 2 p Не N 105 197 0,005 % 74,5% 92,49% Да N 36 16 % 25,5% 7,51% Общо N 141 213 % 100,0% 100,0% Таблица 4. Честота на имплантация на ПЕКС след TAVI на ориентация за позицията на клапата спря­ мо аортния анулус по време на имплантация. В по-редки случаи допълнителният достъп може да се използва за подсигуряване на нискостояща коронарна артерия по време на TAVI. Той е значително по-малък от основния (5F). Съдов достъп Въпреки това докладваната честота на усложнения при вторичен феморален съдов достъп е значително по-честа в сравнение с вторичен радиален [10]. Ето защо в нашия център се възприе рутинното използване на втори радиален вместо контралатерален фе­ морален съдов достъп като задължителна част от т.нар. минималистичен протокол. Статистически значима зависимост се от­ крива също между позицията на имплантаци­ ята на клапата и честотата на имплантация на пейсмейкър в групата с минималистичен под­ ход. При пациентите от тази група с по-дълбо­ ка имплантация на TAVI протезата (позиция 2 и повече от 2) наблюдавахме статистически значима по-висока честота на имплантация на пейсмейкър постпроцедурно 18,9% спрямо 5,3% при пациентите с позиция на клапата 0 или 1, p = 0,048 (табл. 5). Устройството AngioSeal е използва­ но за затваряне на допълнителните фе­ морални съдови достъпи (използван за въвеждане на втория Pigtail катетър) при 49 пациенти. Няма нито едно усложнение, настъпило след AngioSeal, наложило съ­ довохирургична конверсия за затваряне на съдовия достъп. Новопоставен постоянен електрокар­ диостимулатор – пейсмейкър Исхемичен мозъчен инсулт е наблюдаван при 6 от 354 пациенти (1,69%) в пери- или в ранния постпроцедурен период. По-голяма­ та част от исхемичните инсулти са в групата с обща анестезия – 4 (1,13% от всички TAVI процедури), а само 2 е в групата с будна седа­ ция (2; 0,6% от всички TAVI процедури). Само 1 от двамата пациенти с исхемичен мозъчен инсулт от група 2 бе подложен на балонна предилатация, а другият имаше балонна вал­ Необходимост от имплантиране на по­ стоянен пейсмейкър постпроцедурно има при 52-ма от 354 (14,68%) от TAVI паци­ ентите. В групата с класически подход се е наложило имплантиране на постоянен елек­ трокардиостимулатор (ПЕКС) при 36 от 141 (25,5%) пациенти а в група 2 при 16 от 213 (7,51%) – разлика, която е статистически зна­ чима (табл. 4). Таблица 5. Честота на имплантация на ПЕКС в зависимост от дълбочината за имплантация на клапата в групата с минималистичен подход позиция на им­ плантация Новопоставен ПЕКС Общо p Не Да Група 2 0/1 N 161 8 170 0,048 % 94,7% 5,3% 100% 2 и повече N 35 8 43 % 81,39% 18,9% 100% ота на имплантация на ПЕКС в зависимост от дълбочината за имплантация на клапата в групата с минималистичен подход И. Петров, З. Станков, П. Поломски, Д. Бойчев 60 вулопластика като бриджинг терапия повече от месец преди мозъчносъдовия инцидент. Двама от пациентите с реализиран исхемичен мозъчен инсулт бяха с предсърдно мъждене (на адекватна антикоагулантна терапия). При един от пациентите с перипроцедурен мозъ­ чен инсулт (установен при неуспешен опит за събуждане от обща анестезия, или „wake- up stroke“), той е определен като причина за фатален изход настъпил на 23-ия ден от деня на имплантацията (пациент от група 1). Не се открива сигнификантна разлика в честотата на инсултите при стандартния и минималис­ тичния подход (табл. 6). ране; избягването на инвазивни процедури (централен венозен път, уретрална катетери­ зация, рутинна ТЕЕ); както и извеждането на пациентите в Кардиологично отделение (без престой в ICU) ранна рехабилитация и дехос­ питализация там, където е възможно. Първата стъпка, която усвоихме от мини­ малистичния подход беше перкутанния съдов достъп. Едва 14 пациенти от група 1 бяха с хи­ рургичен съдов достъп. След това въведохме Proglide (така наречената “preclosure” техни­ ка, при която предварително се въвеждат су­ турите в две взаимно перпендикулярни пло­ скости с помощта две устройства Proglide). Новопоставен постоянен електрокар­ диостимулатор – пейсмейкър Тази техника остана стандартен подход до 2018 г., когато въведохме рутинно използване­ то на Manta за затваряне на съдовия достъп. Наличните към този момент поколения кла­ пи изискваха съдов достъп 14-18F, за който Manta беше напълно достатъчен. Честотата на съдови усложнения свързани с достъпа в групата с хирургичен такъв е 9,22%, при обща честота на усложненията – 12,5%. Поради малката група пациенти със съдовохирурги­ чен достъп, разликата не е сигнификантна. Следва да отбележим, че нито едно съдово усложнение не е било фатално. Докладваните от нас резултати по този показател не се раз­ личават от големите рандомизирани проучва­ ния. Последните показват по-голяма честота на съдовите усложнения при перкутанните достъпи, свързани обаче с по-малък риск от голямо кървене, и не са свързани с повишен риск от смърт [11]. Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация 61 По-малко от половината от усложнения­ та в групата с хирургичен достъп са лекувани чрез хирургия, а другата половина чрез ендо­ васкуларно лечение (5 срещу 8 усложнения). В групата с перкутанен достъп от всички наблюдавани усложнения, 7 пациенти са пре­ търпели хирургия, а останалите са лекувани консервативно (мануална компресия при ня­ кои от случаите на кървене) или ендоваскулар­ но (балонна дилатация в случай на тромбоза или постигане на хемостаза с продължителна инфлация на балон на мястото на пункция в случай на кървене). Най-честото усложнение, с което се срещнахме е тромбоза на основния достъп на a. femoralis communis, която е из­ ползвана за въвеждане на TAVI и затворена с устройство за затваряне. В почти всички слу­ чаи ендоваскуларна балонна дилатация на по­ следната е била достатъчна за лечение (94% от пациентите в група 2). CoreValve US Pivotal Trial [12]. Самоекспан­ диращите се клапи в литературата се свързват с по-голяма честота на имплантация на ПЕКС, вероятно поради по-голямата дължина на ске­ лето на протезата, както и на по-честата дъл­ бока позиция на имплантация. Поради малкия брой на балонно-разгъващи се клапи в нашата кохорта не можем да потвърдим това. CoreValve US Pivotal Trial [12]. Самоекспан­ диращите се клапи в литературата се свързват с по-голяма честота на имплантация на ПЕКС, вероятно поради по-голямата дължина на ске­ лето на протезата, както и на по-честата дъл­ бока позиция на имплантация. Поради малкия брой на балонно-разгъващи се клапи в нашата кохорта не можем да потвърдим това. Разликата в честотата на имплантация на пейсмекър в група 1 и група 2 е статистически значима. При по-подробен анализ откриваме пряка връзка между дълбочината на имплан­ тация на TAVI клапата и честотата на възник­ ване на AV блок. Така пациентите с оптимал­ на позиция на протезата след имплантация (0 или 1) в група 2 са свързани със статисти­ чески значим по-нисък риск от имплантация на постоянен електрокардиостимулатор. Ето защо считаме че рутинната употреба на rapid pacing по време на позиционирането на клапа­ та е оправдана. Новонастъпил пълен AV блок след им­ плантация на TAVI се открива при 52 от 354 пациенти (14,68%). Всички случаи са в гру­ пата със самоекспандиращи се клапи и при всички е поставен ПЕКС. Tова корелира с да­ нните, които се откриват в международните регистри и в проучванията PARTNER и 2014 Обобщение на сравнителните резултати между минималистичния и стандартния под­ ход е дадено на таблица 7. Обсъждане Целта на настоящия труд е да се предста­ вят резултатите от имплантация на транскате­ търна аортна клапна протеза (TAVI) при общо 353-ма пациенти, лекувани в нашата клиника през периода октомври 2013г. – ноември 2022 г. Както при предходната ни публикация с 208 пациенти [6], при разглеждането на резултати­ те разделихме пациентите на две големи групи в зависимост от подхода, който е използван. Двете групи са изключително хетероген­ ни, тъй като 2018 г. разделя във времето па­ циентите, лекувани по класическия подход, спрямо тези с минималистичен такъв. В на­ шия център приехме като задължителни за минималистичен подход използването на: будна седация, вместо обща анестезия; из­ цяло перкутанен, вместо съдовохирургичен достъп; рутинната употреба на предилатация; рутинната употреба на бързо камерно пейси­ Таблица 6. Разпределение на интра- и постпроцедурен инсулт в двете групи Инсулт   Група 1 Група 2 Общо p Не N 137 211 348 0,06 % 97,2% 99,06% 98,3% Да N 4 2 6 % 2,8% 0,94% 1,7% Общо N 141 213 354 % 100,0% 100,0% 100,0% Таблица 6. Разпределение на интра- и постпроцедурен инсулт в двете групи Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация Подобно на предходно публикувания ни опит с 208 пациенти и понастоящем счита­ ме, че минималистичният подход за TAVI не Таблица 7. Обобщени резултати Крайна точка Минималистичен под­ ход (n = 213) Стандартен подход (n = 141) P value Вътреболнична смъртност 1 (1,5%) 1 (0,7%) 0,628 30-дневна смъртност 0 (0,0%) 1 (0,7%) 1,000 Конверсия към обща анестезия 0 0 n/a Конверсия към кардиохирургия 0 0 n/a Престой в ИКО, брой пациенти 12 (5,63%) 37 (26,24%) < 0,001 Среден престой в ИКО, ч 2,5ч 32ч < 0,001 Среден болничен престой, дни 5,2 ± 0,42 6,5 ± 4,05 0,012 Инсулт 2 (0,9%) 4 (2,84%) 0,06 Съдови усложнения 41 (13,2%) 13 (9,22%) 0,71 лекувани хирургично 7 5 n/s лекувани ендоваскуларно 32 8 n/s Имплантиран Пекс 16 (7,51%) 36 (25,53%) 0,005 Таблица 7. Обобщени резултати Таблица 7. Обобщени резултати И. Петров, З. Станков, П. Поломски, Д. Бойчев 62 Съкращения отстъпва на стандартния по отношение на твърдите крайни точки и е по-добър спрямо него в някои от вторичните точки. Минима­ листичният подход води със себе си до по-до­ бър комфорт за пациента, по-кратък болничен престой и по-малък брой на усложнения. Бла­ годарение на по-краткия болничен престой, по-ниската честота на имплантация на ПЕКС, липсата на рутинна необходимост от: престой в ИКО, анестезиологичен и хирургичен екип, води до по-добри икономически резултати. Минималистичният подход е удачна алтерна­ тива на стандартния подход, която носи само предимства, когато е прилагана от опитни оператори в големи центрове. отстъпва на стандартния по отношение на твърдите крайни точки и е по-добър спрямо него в някои от вторичните точки. Минима­ листичният подход води със себе си до по-до­ бър комфорт за пациента, по-кратък болничен престой и по-малък брой на усложнения. Бла­ годарение на по-краткия болничен престой, по-ниската честота на имплантация на ПЕКС, липсата на рутинна необходимост от: престой в ИКО, анестезиологичен и хирургичен екип, води до по-добри икономически резултати. Минималистичният подход е удачна алтерна­ тива на стандартния подход, която носи само предимства, когато е прилагана от опитни оператори в големи центрове. AVR – aortic valve replacement PCI – percutaneous coronary intervention TAVI – Transcatheter aortic valve implantation ТЕЕ – трансезофагеална ехокардиография ПЕКС – постоянен електрокардиостимулатор Библиография 1. Mann DL, Zipes DP, Libby P, Bonow RO, Braun­ wald E. Braunwald‘s heart disease: a textbook of cardiovascular medicine2015 2. Carabello B, Paulus W. Aortic stenosis. Lancet (London, England). 2009;373(9667); Pompil­ io F, Francesco A-C, Ferdinando B, Roberto L, Antonio DA, Livio D, Cas. Epidemiology and cardiovascular risk factors of aortic stenosis. Car­ diovascular Ultrasound. 2006;4(1):1-5 Следва да отбележим, че групите с кла­ сически и минималистичен подход в нашата кохорта се различават както по отношение на протокола за имплантация, така и времево. Така групата с класически подход обхваща всички пациенти от периода 2013 до началото на 2018 г., които са едва 15% от цялата кохор­ та. Ето защо по-добрите резултати в групата с минималистичен подход е възможно да се дължат частично на т.нар. „крива на обуче­ ние“, както и на приложение на второ поколе­ ние TAVI клапи. 3. Leon MB, Smith CR, Mack M, et al; PARTNER Trial Investigators. Transcatheter aortic-valve implantation for aortic stenosis in patients who cannot undergo surgery. N Engl J Med. 2010;363(17):1597-1607. doi:10.1056/ NEJ­ Moa1008232 4. Mann DL, Zipes DP, Libby P, Bonow RO, Braun­ wald E. Braunwald‘s heart disease: a textbook of cardiovascular medicine2015; Cary T, Pearce J. Aortic stenosis: pathophysiology, diagnosis, and medical management of nonsurgical patients. Critical care nurse. 2013;33(2) 5. Popma, J. J., Deeb, G. M., Yakubov, et al. (2019). Transcatheter Aortic-Valve Replace­ ment with a Self-Expanding Valve in Low-Risk Patients. In New England Journal of Medicine (Vol. 380, Issue 18, pp. 1706–1715). Massachu­ setts Medical Society. https://doi.org/10.1056/ nejmoa1816885 Изводи Минималистичният подход за имплан­ тация на TAVI е не по-лош от стандартния от гледна точка на твърдите крайни точки: 6. Mack, M. J., Leon, M. B., Thourani, et al. (2019). Transcatheter Aortic-Valve Replacement with a Balloon-Expandable Valve in Low-Risk Pa­ tients. In New England Journal of Medicine (Vol. 380, Issue 18, pp. 1695–1705). Massachu­ setts Medical Society. https://doi.org/10.1056/ nejmoa1814052 1. Перипроцедурна и вътреболнична смъртност, 2. Конверсия към обща анестезия, кон­ версия към кардиохирургия Минималистичният подход е по-добър спрямо стандартния по отношение на: Минималистичният подход е по-добър спрямо стандартния по отношение на: 7. Petrov, I., Stankov, Z., Polomski, et al. (2022). Safety and efficiency of the minimalistic and precise approach for transcatheter aortic valve implantation (TAVI) compared to the standard one. In Bulgarian Cardiology (Vol. 28, Issue 2, pp. 79–89). Pensoft Publishers. https://doi. org/10.3897/bgcardio.28.e82274 1) среден престой на пациента в ICU; 2) честота на имплантация на ПЕКС. По отношение на показателите: ново­ настъпил исхемичен мозъчен инсулт и услож­ нения на пункционното място не достигнахме статистическа значимост. По отношение на показателите: ново­ настъпил исхемичен мозъчен инсулт и услож­ нения на пункционното място не достигнахме статистическа значимост. 8. Fefer, P., Bogdan, A., Grossman, et al. (2018). Impact of Rapid Ventricular Pacing on Outcome 63 Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация Осемгодишен едноцентров опит с транскатетърна аортна клапна имплантация After Transcatheter Aortic Valve Replacement. In Journal of the American Heart Association (Vol. 7, Issue 14). Ovid Technologies (Wolt­ ers Kluwer Health). https://doi.org/10.1161/ jaha.118.009038 ral Aortic Valve Implantation (from the Spanish TAVI Registry). Am J Cardiol 2016;118:578-84 After Transcatheter Aortic Valve Replacement. In Journal of the American Heart Association (Vol. 7, Issue 14). Ovid Technologies (Wolt­ ers Kluwer Health). https://doi.org/10.1161/ jaha.118.009038 11. Hernández-Enriquez M, Andrea R, Brugaletta S, Jiménez-Quevedo P, Hernández-García J, Trillo R, et al. Puncture Versus Surgical Cut­ down Complications of Transfemoral Aortic Valve Implantation (from the Spanish TAVI Registry). The American journal of cardiology. 2016;118(4). 9. Guarracino, F., & Landoni, G. (2012). Con: Transcatheter Aortic Valve Implantation Should Not Be Performed Under General Anesthesia. Journal of Cardiothoracic and Vascular Anes­ thesia, 26(4), 736–739. https://doi.org/10.1053/j. jvca.2012.01.052 12. Goldsweig A, Al-Ani A, Almomani A. Pacemak­ er Requirements following Self-Expanding Tran­ scatheter Aortic Valve Replacement. Cardiology. 2020;145(1). 10. Hernandez-Enriquez M et al. Puncture Versus Surgical Cutdown Complications of Transfemo­
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Une étude expérimentale des bandes de compaction dans les roches très poreuses : l'exemple du Tuffeau de Maastricht
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An experimental study of localized compaction in high porosity rocks : the example of Tuffeau de Maastricht Athanasios Papazoglou To cite this version: Athanasios Papazoglou. An experimental study of localized compaction in high porosity rocks : the example of Tuffeau de Maastricht. Materials Science [cond-mat.mtrl-sci]. Université Grenoble Alpes, 2018. English. NNT : 2018GREAI100. tel-02071176v2 HAL Id: tel-02071176 https://theses.hal.science/tel-02071176v2 Submitted on 15 Jul 2019 HAL is a multi-disciplinary open access archive for the deposit and disse mination of scientific research documents, w hether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. 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THÈSE Pour obtenir le grade de DOCTEUR DE LA COMMUNAUTE UNIVERSITE GRENOBLE ALPES S pécialité : 2MGE : Matériaux, Mécanique, Génie civil, Electrochimie Arrêté ministériel : 25 mai 2016 Présentée par ATHANASIOS PAPAZOGLOU Thèse dirigée par Gioacchino Viggiani et codirigée par Christophe Dano et Giuseppe Buscarnera préparée au sein du Laboratoire Sols, Solides, Structures et Risques dans l'École Doctorale I-MEP2 Ingénierie Matériaux, Mécanique, Environnement, Energétique, Procédés, Production An experimental study of localized compaction in high porosity rocks: the example of Tuffeau de Maastricht Une étude expérimentale des bandes de compaction dans les roches très poreuses: l’exemple du Tuffeau de Maastricht Thèse soutenue publiquement le 13 décembre 2018, devant le jury composé de : Mon sieur Gioacchino VIGGIANI Professeur, Université Grenoble Alpes, Directeur de thèse Monsieur Patrick BAUD Professeur, EOST, Université de Strasbourg, Rapporteur Monsieur Manolis VEVEAKIS Assistant Professor, Duke University, USA, Rapporteur Monsieur Frederic Victor DONZE Professeur, Université Grenoble Alpes, Président Monsieur Pierre BESUELLE Chargé de recherche, CNRS, Examinateur Madame Eleni GEROLYMATOU Associate Professor, Chalmers University of Technology, Sweden, Examinatrice Monsieur Giuseppe BUSCARNERA Associate Professor, Northwestern University, USA, Invité Monsieur Christophe DANO Maître de Conférences, Université Grenoble Alpes, Invité Madame Helen LEWIS Associate Professor, Heriot-Watt University, UK, Invitée To my wife, Galateia Terti Acknowledgments First and foremost, I would like to offer a sincere Thank you to my advisors Cino Viggiani, Christophe Dano, and Giuseppe Buscarnera for being next to me to this challenging and exciting journey. This Ph.D. thesis gives me the title of Doctor that will be attached to my name, but it would ’t be possible without them. I want to express my sincere gratitude for believing in me and for giving me the opportunity to discover a new world. Their different personality, background and experience compose one of the most complete, competitive and dynamic groups I have ever met. Among other attributes, Cino’s leading profile, Christophe’s meekness, plus Giuseppe’s passion constitute an excellent supervising scheme. Cino, you believed in me before me, and I will never forget it. You were there at any time of the day with priceless advice on any topic. Your boundless enthusiasm for research was an extra motivation for me. Christophe, your loyalty on your targets and your delicate approach in any problem, makes your colleagues’ life must easier. Giuseppe, your desire for knowledge and competitiveness has been a great inspiration for me. Many thanks for hosting me at Northwestern University (U.S.A.). I would like to express my appreciation to my committee (Dr. P. Baud, Dr. M. Veveakis, Dr. F. Donze, Dr. P. Bésuelle, Dr. E. Gerolymatou, and Dr. H. Lewis) for the insightful comments and the valuable discussion during my thesis defense. It was a great pleasure to exchange opinions and experiences with such high-quality scientists. I hope that we will meet scientifically again in the future. I would like to acknowledge also the following people who provided expertise and information that were crucial for the completion of this dissertation: Jacques Desrues who was very open to discuss my topic and share his knowledge on strain localization; Pierre Bésuelle for his valuable advice and comments on the experiments; Edward Andò and Nicolas Lenoir who were always willing to help me with x-ray tomography; Steven Hall for hosting me at Lund University; Ferdinando Marinelli who replied to my modeling concerns and struggles in a direct and effective way; Ghassan Shahin who was very open to share his experience in modeling and welcoming me at Northwestern University. Erminio Salvatore, Zeynep Karatza, Max Wiebicke, and Cyrille Couture who were always willing to share with me their experimental expertise. I would like to extend my gratitude to Prof. Manolis Veveakis as well as to Prof. Jidong Zhao for their interest in my project and their priceless advices during our fruitful discussions. The experience of working with them and their scientific groups (Sotiris Alevizos, Mustafa Sari, and Huaran Wu) broadened my scientific horizons. I am thrilled that these collaborations are sealed with two scientific articles. V I am especially grateful to Pascal Charrier who has helped considerably to the technical side of this work. His unmatched patience with the non-french speakers, the willingness to help at any time of the day and always with a smile gives him the title of the best technician I have ever worked with. My biggest Thank you goes to my families, prior and new back in Greece. Many thanks to my parents and sisters for being next to me and supporting my choices; and especially to my mother in law who was next to me during this exciting but also challenging journey. She was courageous enough to stay awake all the sleepless nights while I was writing this thesis to support me. I am really grateful for your support. Special thanks to my lovely wife for being always next to me as an angel on my shoulders guiding my life. Her desire for new things, the courage to face the unknown and her perfectionism on everything she is involved will never stop to surprise me. I am writing these lines now because of her. She knew that I was able to do this step already some years before I did. My dear, I am truly thankful that you are always by my side and thinking for me before me. I would like to extend gratitude to my real friends back in Greece, Andreas, and Argiro for their friendship that is beyond distance. Of course, I could not forget my new real friends, Spyros and Mathias. They taught me that real friends don’t look age or nationality. To continue, I would like to say a big Thank you to the people who came to my life during the last four years and will be forever in my heart. These include people from the Ladoratoire 3SR, Northwestern University and the Greek community in Grenoble. Last but not least I am thankful for the best group of which I have ever been member in my life until now, The Ph.D. Seeds. VI Abstract Given their high porosity, carbonates form important water and hydrocarbons reservoirs, and they are also suitable for other applications such as CO2 storage and nuclear waste disposal. However, localized compaction in carbonates affects the stress field and the hydromechanical properties of these rocks leading to inelastic deformation and failure with potential economic, environmental and social impacts. Previous field and experimental studies have shown that in porous carbonates, unlike sandstones, a variety of micromechanisms such as pore collapse, grain crushing, debonding, crystal plasticity and pressure solution can lead to inelastic compaction. Due to the coexistence of such multiple inelastic processes and the interplay among them, the dominant micromechanism responsible for failure remains poorly understood. This doctoral thesis presents an experimental investigation into the deformation mechanisms governing the mechanical behavior and failure mode of high porosity carbonate rocks. To this end, Tuffeau de Maastricht, a bioclastic sedimentary limestone exhibiting up to 52% porosity, has been tested under dry conditions. This study focuses on how stress path, confining pressure and bedding orientation affect the onset and propagation of localized compaction. Three main experimental campaigns are conducted on cylindrical specimens of 11.5 mm diameter and 22 mm height to study the brittle-ductile transition: (i) isotropic compression, (ii) uniaxial compression, and (iii) triaxial compression tests at confining pressures ranging from 1 to 5 MPa. A systematic analysis of the anisotropic behavior of Tuffeau de Maastricht is conducted on samples cored perpendicular, oblique (45◦ ) and parallel to the bedding plane. High resolution x-ray computed tomography (CT) is used to obtain 3D images of the entire specimen under loading. The acquired images are processed and full-field measurements have been used to elucidate the mechanics of initiation and propagation of localized compaction. Porosity variations during loading are measured macroscopically as well as locally. The porosity measurements are performed over a REV, which is defined with the use of statistical tools. The systematic use of x-ray micro tomography combined with the use of advanced image analysis and Digital Image Correlation (DIC) provides a quantitative 3D information the strain field inside a sample and its evolution during a test. Two failure modes are identified, based on porosity measurements and DIC: compactive shear bands at low confining pressure, and compaction bands (perpendicular to the maximum compressive stress) at higher confinement. These bands develop at essentially constant deviator stress and propagate through the whole sample punctuated by episodic stress drops. Triaxial compression tests at much higher axial strain present three distinct phases: (1) an initial quasilinear increase of deviator stress, followed by (2) a plateau and (3) a post-plateau hardening. The essential observation from these experiments if the occurrence of a debonding phase which converts the specimen from rock-like to sand-like. A second localization, typical of dense sand, VII eventually occurs for very high axial strain. Additional experiments that are performed on artificially debonded specimens emphasize this destructuration phase during the plateau of deviator stress. The experimental results also highlight the strong anisotropy of the mechanical behavior of the studied material. VIII Résumé En raison de leur porosité élevée, les roches carbonatées forment d’importants réservoirs d’eau et d’hydrocarbures, et conviennent également à d’autres applications telles que le stockage de CO2 ou des déchets nucléaires. Cependant, le compactage localisé dans les roches carbonatées affecte le champ des contraintes et les propriétés hydromécaniques de ces roches, entraînant des déformations inélastiques et des dommages avec des impacts économiques, environnementaux et sociaux potentiels. Des études antérieures sur le terrain et des études expérimentales en laboratoire que dans les roches carbonatées poreuses, contrairement aux grès, une variété de micromécanismes tels que l’effondrement des pores, le broyage des grains, la petre de cimentation, la plasticité des cristaux et la dissolution sous contrainte peuvent entraîner une densification inélastique. En raison de coexistence de ces multiples processus inélastiques et de leur interactions, le micromécanisme prédominant à l’origine du processus de localisation et de rupture reste mal compris. Cette thèse de doctorat présente une étude expérimentale sur les mécanismes de déformation régissant le comportement mécanique et le mode de rupture des roches carbonatées à haute porosité. A cet effet, le Tuffeau de Maastricht, un calcaire sédimentaire bioclastique présentant jusqu’à 52 % de porosité, a été testé à l’état sec. Cette étude s’est concentrée sur la façon dont le chemin des contraintes, la pression de confinement et l’orientation de la stratification influent sur l’apparition et la propagation des bandes de compaction. Trois campagnes expérimentales principales sont menées sur des éprouvettes cylindriques de 11,5 mm de diamètre et de 22 mm de hauteur pour étudier la transition fragile-ductile : (i) compression isotrope, (ii) compression uniaxiale et (iii) compression triaxiale à des pressions de confinement allant de 1 à 5 MPa. Une analyse systématique du comportement anisotrope du Tuffeau de Maastricht est effectuée sur des échantillons qui ont été forés perpendiculairement, obliquement (45◦ ) et parallèlement au plan de la stratification. La micro-tomographie à rayons X à haute résolution est utilisée pour obtenir des images 3D de l’ensemble de l’échantillon en cours de chargement. Les images acquises sont traitées et des mesures de plein champ ont été utilisées pour élucider les mécanismes d’initiation et de propagation des zones de compactage localisées. Les variations de porosité pendant le chargement sont mesurées macroscopiquement et localement. Les mesures de porosité sont effectuées sur un REV, qui est défini à l’aide d’outils statistiques. L’utilisation systématique des rayons X (CT) combinée à l’utilisation de l’analyse d’image avancée et de la corrélation d’images numérique (CIVD) fournit une 3D quantitative du champ de déformation et de son évolution pendant un test. Deux modes de rupture sont identifiés, selon les mesures de porosité et la CIVD : les bandes de cisaillement contractantes développées à basse pression de confinement et les bandes de IX compaction formées perpendiculairement à la contrainte principale majeure de compression à un confinement plus élevé. Ces bandes se développent à contrante déviatoire presque constante et se propagent dans tout l’échantillon, phase marquée par des chutes épisodiques de la contrainte deviatoire. Les essais de compression triaxiale conduit à des niveux de déformation axiale plus élevée présentent trois phases distinctes : une phase initiale quasi-linéaire, suivie par un plateau de contrainte déviatoire, enfin un durcissement post-plateau. L’observation essentielle de ces expériences est l’existence d’un mécanisme de dégradation del la cimentation entre grains qui transforme l’échantilon cohésif et frottant en un miliu granulaire purement frottant. Une deuxième localisation typique des sables denses se développe dans la phase post-plateau pour de grandes déformation axiales. D’autres expériences réalisées sur du sable obtenu par dégradation artificielle de la roche originelle mettent l’accent sur cette phase de déstructuration qui se produit lors du plateau de la contrainte déviatoire. Les résultats expérimentaux mettent également en évidence la forte influence due à l’anisotropie sur le comportement mécanique du matériau étudié alors que le modèle de localisation n’est pas affecté. X Contents 1 Introduction 1 1.1 Motivation and objectives of the thesis........................ 1 1.2 Structure of the thesis.......... ....................... 3 2 State of the art 5 2.1 Experimental studies of localized deformation in porous rocks........... 5 2.2 Compaction bands................................... 8 2.3 Pore collapse...................................... 14 2.4 Anisotropy....................................... 16 2.5 Full-field measurements in porous rocks....................... 18 2.5.1 Ultrasonic waves................................ 19 2.5.2 Acoustic Emissions............................... 20 2.5.3 X-ray computed tomography........... .............. 21 2.5.4 Digital Image Correlation........................... 21 3 Experimental campaign 3.1 23 Material tested..................................... 23 3.1.1 Tuffeau de Maastricht............................. 23 3.1.2 Reference material............................... 26 3.2 Specimen preparation................................. 27 3.3 Experimental apparatus................................ 30 3.3.1 Loading system................................. 31 3.3.2 Triaxial cell.......... ......................... 32 3.4 Test setup........................................ 34 3.5 Experimental campaign................................ 35 3.5.1 Uniaxial compression test........................... 36 3.5.2 Isotropic compression test........................... 37 XI 3.5.3 3.6 Triaxial compression test........................... 37 Summary........................................ 38 4 Methodology: image and data processing tools 4.1 41 X-ray computed tomography (CT).......................... 41 4.1.1 X-ray CT basics.... ............................ 42 4.1.2 X-ray scanner in Laboratoire 3SR...................... 44 4.1.3 X-ray reconstruction.............................. 46 4.1.4 X-ray to study localisation on Tuffeau de Maastricht............ 48 Porosity measurements................................. 51 4.2.1 Representative Elementary Volume (REV).................. 54 4.3 Measurement of specimen volume........................... 58 4.4 Digital Image Correlation (DIC)........................... 61 4.5 Summary........................................ 63 4.2 5 Results 65 5.1 Isotropic compression test....... ........................ 65 5.2 Triaxial compression tests............................... 70 5.2.1 Full-field measurements: failure mode and localized compaction...... 74 5.2.2 Triaxial compression tests up to high axial strain.............. 82 5.2.3 Anisotropy................................... 88 5.3 Uniaxial compression tests............................... 95 5.4 Summary ........................................ On the top deformation bands appears in narrow tabular zones, such as compaction, shear, and dilation bands. On the bottom row, sharp discontinuities are depicted. After Aydin et al. (2006)........................... 6 Schematic diagram of kinematics-based classification of deformation bands. PDB: pure dilation band, SEDB: Shear-enhanced dilation band, DSB: dilation shear band, SSB: simple shear band, CSB: compaction shear band, SECB: shear-enhanced compaction band, PCB: pure compaction band. After Fossen et al. (2017)..... 6 (a)Shear-induced dilation, and (b) compaction in Adamswiller sandstone. The solid curves show the effective mean stress as a function of porosity change for axisymmetric compression tests at fixed effective pressures as indicated. The inflection points are indicated by the arrows. The isotropic compression curve is shown as dashed curves for reference. After Wong et al. (1997)........... 8 Generalized Mohr diagram showing deviatoric stress versus mean stress for failure of porous rocks. Dilation shear bands occur at low confining pressures. Shear bands develop for intermediate pressure conditions. Compaction bands occur at high confining pressure. After Weinberg et al. (2015)................ 9 Compaction bands (cb) of different orientations. (a) Bed-parallel compaction bands. Compass for scale. (b) High-angle compaction bands. Compass (circled) for scale. (c) Coexistence of dominant set and secondary set of high-angle compaction bands. Compass for scale. (d) Bed-parallel and high-angle compaction bands. The ends of bed-parallel compaction bands and high-angle compaction bands are connected by dashed lines to show the narrow transition zone between them. Pens (circled) for scale. (e) Wiggly compaction bands. Pen for scale. (f) A member of the dominant set of high-angle compaction bands with splays in the form of wiggly bands occurring within a dune. After Deng and Aydin, (2012)... 10 (a) Schematic pressure-volumetric strain curve for porous sandstone under hydrostatic conditions, (b) Schematic stress-strain curve for porous sandstone in axisymmetric compression. After Issen and Rudnicki, (2000)............ 11 Thin-sections of Bentheim sandstone samples deformed at 300MPa confining pressure at different levels of axial strain. After Baud et al. (2004)........... 12 Schematic diagram of grain reorientation resulting in closer packing and volume reduction......................................... 14 XV 2.9 Pore collapse is influenced by initial porosity. (a) Critical pore collapse pressure is decreasing with increasing porosity, after Vajdova et al. (2004a). (b) Porosity is plotted versus the vertical effective stress for moldic limestone samples. A trend line is proposed to predict pore collapse based on the initial porosity of the intact samples, after Smits et al. (1988)............................ 15 2.10 (a) SEM image of the isotropically compacted sample of Tavel limestone. A macropore surrounded by a halo of cataclastic damage is observed. The diameter of the macropore is ≈ 20 μm, the concentric rim of particularly intense damage extended over a thickness of ≈ 2 μm, after Vajdova et al. (2010). (b) Schematic diagram of a representative element of radius b with dual porosity. A macropore of radius α is surrounded by a medium made of many micropores of radius α∗. Principal stresses are presented by S1, S2, and S3. After Zhu et al. (2010)......... 16 2.11 Peak stress as a function of bedding angle (a) in Tournemire shale, after Niandou et al. (1997), and (b) in Adamswiller sandstone in Baud et al. (2005) after Millien et al. (1993)....................................... 18 3.1 Miner in a underground quarry, using a special handsaw to cut a Tuffeau de Maastricht block from the surrounding rock , after Dubelaar et al. (2006)..... 24 SEM images of the Tuffeau de Maastricht (a) rock fragment, (b) thin section, after Cnudde (2005)...................................... 24 Tuffeau de Maastricht diffractogram. This analysis has been performed in ISTerre (Institut des Sciences de la Terre), Grenoble..................... 25 Microstructure of Tuffeau de Maastricht. These are x-ray Computed Tomography (CT) scans at a resolution of 1 μm. Note the high porosity and the bio c last s variability ......................................... 25 Por e throat analysis derived from mercury injection tests on samples of Tuffeau de Maastricht. These analysis is conducted with the help of professor G. Russo and coworkers (University of Cassino and Southern Lazio)............. 26 3.6 Grain size distribution curves for the reference material............... 27 3.7 Sampling directions for drilling cores......................... 28 3.8 Sequence of images illustrating the various steps necessary for specimen preparation, (a) The block of Tuffeau de Maastricht, (b) A smaller part of the material placed on the extra device, necessary for the oblique samples, (c) The material secured onto the pedestal of the drilling machine, (d) Measurement of the actual coring orientation (e) Several cores are prepared at the same time to avoid any deviation from the coring direction among the samples, (f) A number of cores are prepared at 45 degrees with respect to the bedding planes............. 29 3.2 3.3 3.4 3.5 XVI 3.9 Illustration of the procedure by which the specimen is prepared in this work. (a) The device used to flatten the two specimen’s ends and to ensure their parallelism, (b) The lubricated specimen between the two porous stones, (c) The membrane is wrapped around the specimen and the porous stones, (d) Sample placed on the specimen holder..................................... 30 3.10 The triaxial cell in place in the x-ray tomograph in Laboratoire 3SR, after Andò et al. (2013)....................................... 31 3.11 LVDT calibration at the beginning of the experiment................ 32 3.12 Schematic of (a) conventional triaxial cell after Bishop and Hekel, (1957), (b) triaxial cell of laboratoire 3SR designed by P. Bésuelle and N. Lenoir after Andò (2013). All dimensions are in mm........................... 33 3.13 (a) The confining pressure is applied by a Gilson pump, (b) The pressure inside the cell is read from a pressure inlet placed on the bottom platen of the cell.... 34 3.14 Tuffeau de Maastricht specimens placed on the specimen holder before the uniaxial compression test. Two different methods are applied to attach the samples on the upper piston, (a) a thin latex membrane surrounds the whole specimen, (b) the latex membrane is only on the top and the bottom of the specimen......... 36 4.1 "Hand mit ringen" First radiography, showing Anna Röntgen’s left hand with a ring, by Wilhelm Conrad Röentgen (Wikimedia Commons)............. 44 4.2 Labeled photography of the Laboratoire 3SR x-ray scanner, after Andò, 2013... 45 4.3 Backprojection process of a single point. projection. (b)-(i) Backprojection of views (d) 0 to 67.5◦ ; (e) 0 to 90◦ ; (f) 0 to 112.5◦ ; to 180◦. After Hsieh et al., 2009...... (a) Backprojected image of a single covering: (b) 0 to 22.5◦ ; (c) 0 to 45◦ ; (g) 0 to 135◦ ; (h) 0 to 135◦ ; and (i) 0............ .......... 47 A radiograph of Tuffeau de Maastricht where the sample appears between the ceramic porous platens on the top and the bottom (a) at initial conditions, and (b) after deformation is applied............................. 48 Horizontal slices of the 3D reconstructed volume of Tuffeau de Maastricht. In order to reconstruct the CT images, radiographs are acquired at (a) only 1◦, (b) 0 to 45◦, (c) 0 to 90◦, (d) o to 135◦, (e) 0 to 180◦, (f) 0 to 225◦, (g) 0 to 270◦, (h) 0 to 300◦, (i) 0 to 330◦, and (j) 0 to 360◦. Note that all the radiographs are acquired at regular spaced intervals of 0.32◦..................... 49 Horizontal slices of the same 3D reconstructed volume. A full 360◦ rotation applied to the sample with different angular steps: (a) every 0.32◦ (1120 radiographs), (b) every 0.34◦ (560 radiographs) (c) 0.96◦ (374 radiographs).............. 49 Cross-section of Tuffeau de Maastricht at different zoom level: voxel size of (a) 13 μm, (b) 7 μm, and (c) 1 μm. The x-ray CT images at high resolution are not obtained in Laboratoire 3SR............................. . 50 A cross-section of Tuffeau de Maastricht with the corresponding histogram.... 51 4.4 4.5 4.6 4.7 4.8 XVII 4.9 Schematic description of image acquisition with x - ray computed tomography... 51 4.10 The threshold values that separate the voids from the grains are defined manually in small selected regions. This schematic diagram shows how these measurements are collected. In red are the measurements for the solid phase while in blue are the ones for the void................................... 52 4.11 Schematic 2D diagram of local porosity measurements. Porosity is measured for each node within a predefined subvolume the REV. In this diagram a non overlapping subvolume example is presented........................ 53 4.12 Evolution of the measurement of porosity as the cubic subvolume of on which it is calculated increases from 1 pixel to 100 pixels. As the subvolume increases in size, the calculated value of porosity tends towards a value representative of specimen’s overall porosity...................................... 55 4.13 Variance of porosity versus the subvolume size. The measurements are performed on a smaller volume extracted from the whole specimen. (a) Vertical slice of the global CT scan where the extracted volume is delimited with dashed red lines. (b) The effect of the size of the subvolume on the variance of the porosity for the extracted volume (1500 × 600 × 600 pixels)...................... 4.14 Variograms of porosity measured for an increasing size subvolume at different extracted volume (a) 600 × 600 × 600 pixels, (b) 500 × 500 × 500 pixels, (c) 400 × 400 × 400 pixels, (d) 300 × 300 × 300 pixels, (e) 200 × 200 × 200 pixels, (f) 100 × 100 × 100 pixels.................................. 56 57 4.15 Sequential horizontal slices of the 3D reconstructed volume of Tuffeau de Maastricht. On the left top the surrounding membrane and the top porous platen can be detected. As the images are moving in i − 1 slice towards the bottom of the sample, the porous platen disappears and the top of the specimen emerges.... 59 4.16 A two-dimensional plot of pixel’s intensity along a line plotted on the horizontal slice. The gray value of the neoprene membrane is similar to gray value of the material.......................................... 60 4.17 Schematic diagram of the technique developed for the removal of the membrane from the 3D images................................... 60 4.18 Horizontal slices of the same sample at different loading stages. The top images illustrate the sample and the surrounding membrane without any image processing. The corresponding images after the removal of the membrane is applied are presented in the bottom................................. 61 5.1 Curves of volumetric strain vers us mean stress obtained from isotropic compression tests for intact samples (solid line), and the reference material (dashed line) samples. The arrow indicates the critical pressure P ∗ for the onset of pore collapse . 66 5.2 Compilation of critical pressure for porous limestones. Pore collapse pressure P ∗ is decreasing with increasing porosity. The material tested in this study (Tuffeau de Maastricht) is presented in red color........................ XVIII 67 5.3 Vertical slices through the measured 3D field of porosity in different configurations for the isotropic compression tests ISO-00 and ISO-01. On the top of each figure is marked the mean stress at which the measurement is taken............ 68 Vertical slices through the measured 3D field of porosity in different configurations for the isotropic compression tests ISO-00 and ISO-01. The initial mean porosity of each sample is subtracted from the porosity maps. On the top of each figure is marked the mean stress at which the measurement is taken............. 69 (a) Stress-strain curves for triaxial compression test at confining pressures ranging from 0.5 to 5 MPa. The uniaxial compression test is plotted as a reference. (b) The corresponding volumetric strain versus axial strain curves (please note that volumetric strain is obtained by image analysis; no x-ray scans are performed for the test at 0.5 MPa confinement, and thus no volumetric data are available for this test)......................................... 71 Stress-strain curves for the triaxial tests that are performed at (a) in the brittle regime, (b) in the ductile regime............................ 72 The volumetric strain is plotted versus the mean stress and for reference the isotropic data is shown (the dashed line). P ∗ indicates the critical pressure for pore collapse, C ∗ indicate the stress state of accelerated compaction........ 73 (a) Peak stresses that map the yield surface for Tuffeau de Maastricht plotted in p-q plane, compared with prior results from Baxevanis et al. (Baxevanis et al., 2006) (b) Comparison of Tuffeau de Maastricht yield surface with other porous limestones........................................ 74 The evolution of macroscopic porosity with loading for the triaxial tests performed at confining pressure from 2 to 4 MPa......................... 74 5.10 Vertical slices of the 3D field of porosity of some selected loading stages for test (a) TX90-02, (b) TX90-03, (c) TX90-04, and (d) TX90-05.............. 75 5.11 Porosity profile along the specimen axis before any load applied to the sample and for loading step a = 8.5% in the triaxial compression test at 5 MPa (TX90-05).. 76 5.4 5.5 5.6 5.7 5.8 5.9 5.12 (a)Vertical slices from the 3D reconstructed volume of the sample compressed at 4 MPa confining pressure (TX90-04). The loading step at which the x-ray CT is performed is noted on the top of each slice. (b) Vertical slices of the displacement field measured over increments during the test. The slices are colored by the value of the measured vertical incremental displacement (negative values mean upwards). 78 5.13 Vertical slices of the displacement fields for a selected increment of a = 4 − 9% for test TX90 -04. (a) Vertical displacement , (b) X displacement , and (c) Y displacement....................... ................ 78 5.14 Vertical slices of the 3D strain field for test TX90-04. (a) Deviatoric strain, and (b) maximum volumetric strain measured by Digital Image Correlation...... 79 5.15 Vertical slices in selected loading stages, measured by DIC in terms of maximum shear strain at different confining pressures for test (a) TX90-01, (b) TX90-02, (c) TX90-03, (d) TX90-04, and (e) TX90-05....................... 80 XIX 5.16 Vertical slices in selected loading stages, measured by DIC in terms of volumetric strain at different confining pressures for test (a) TX90-01, (b) TX90-02, (c) TX9003, (d) TX90-04, and (e) TX90-05........ ................... 81 5.17 (a) Stress-strain curves for triaxial compression tests at 4 and 5 MPa confining pressure. (b) Volumetric strain versus axial strain for test TX90-04 and TX90-05. 83 5.18 Stress-strain curves for triaxial compression tests at 4 MPa confinement stopped right before the hardening phase............................ 84 5.19 Grain size distribution curve for the samples tested at 4 MPa confinement and loaded up to 14% axial strain (end of the plateau). The grain size distribution curve for the reference material is added as a reference (black color)........ 85 5.20 Mechanical response for three samples of reference material that deformed under axisymmetric conditions at 4 MPa confinement. The stress-strain curve for test TX90-04 is plotted as a reference........................... 85 5.21 Vertical slices of the 3D porosity field in the post plateau loading stage for test TX90-04. Two conjugate shear bands are evident at the end of the experiment up to high axial strain.................................... 86 5.22 Stress-strain curve for the additional triaxial compression test at 4 MPa confinement. In total, 42 x-ray CT scans are performed for this particular test with most of them at constant deviator strain (plateau)............... ..... 87 5.23 Vertical slices of the 3D volumetric strain field for test TX90-04-2 at 4 MPa confinement. (a) Small loading increments are shown here of 0.5% and 0.25% of axial strain. (b) The difference between the slices of the volumetric strain, shows that the regions of localized strain are not fixed in space................. 88 5.24 Vertical slices each 10◦ increment, in the volumetric strain map of the increment 5.5-6% for test TX90-04-2................................ 88 5.25 Stress-strain curves for triaxial compression tests at confining pressures ranging for 1-5 MPa for samples cored at (a) 0◦, (b) 45◦................... 90 5.26 Collection of mechanical data of Tuffeau de Maastricht for samples cored at different directions at (a) 1 MPa, (b) 3 MPa, (c) 4MPa, and (d) 5 MPa confinement. The black color corresponds to perpendicular samples, the blue to oblique, and the red to parallel....................................
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High-density genetic map and identification of QTLs for responses to temperature and salinity stresses in the model brown alga Ectocarpus. Scientific Reports, 2017, 7 (1), pp.43241. &#x27E8;10.1038/srep43241&#x27E9;. &#x27E8;hal-03145860&#x27E9;
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High-density genetic map and identification of QTLs for responses to temperature and salinity stresses in the model brown alga Ectocarpus Komlan Avia, Susana Coelho, Gabriel J Montecinos, Alexandre Cormier, Fiona Lerck, Stéphane Mauger, Sylvain Faugeron, Myriam Valero, . , Boudry HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. 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. High-density genetic map and identification of QTLs for responses to temperature and salinity stresses in the model brown alga Ectocarpus Komlan Avia1,2, Susana M. Coelho1, Gabriel J . Monte cinos 1,2,3, Alexandre Cor mier1 , F iona Lerck1, St éphane Mauger2, Sylvain Faugeron2,3, Myriam Valero2, J. Mark Cock1 & Pierre Boudry 4 Deciphering the genetic architecture of adaptation of brown algae to environmental stresses such as temperature and salinity is of evolutionary as well as of practical interest. The filamentous brown alga Ectocarpus sp. is a model for the brown algae and its genome has been sequenced. As sessile organisms, brown algae need to be capable of resisting the various abiotic stressors that act in the intertidal zone (e.g. osmotic pressure, temperature, salinity, UV radiation) and previous studies have shown that an important proportion of the expressed genes is regulated in response to hyposaline, hypersaline or oxidative stress conditions. Using the double digest RAD sequencing method, we constructed a dense genetic map with 3,588 SNP markers and identified 39 QTLs for growth-related traits and their plasticity under different temperature and salinity conditions (tolerance to high temperature and low salinity). GO enrichment tests within QTL intervals highlighted membrane transport processes such as ion transporters. Our study represents a significant step towards deciphering the genetic basis of adaptation of Ectocarpus sp. to stress conditions and provides a substantial resource to the increasing list of tools generated for the species. Brown algae (Phaeophyceae) represent one of only five eukaryotic lineages that have evolved complex multicellularity independently. They are very distantly related to other major lineages such as animals or green plants1,2. These seaweeds constitute the dominant tion in the intertidal and subtidal zone of coastal ecosystems. They display a large variability of morphologies and some brown algae, such as kelps, may form extensive forests that offer suitable habitats for numerous species and hence support ocean biodiversity3,4. Brown algae have a wide range of uses as food, cosmetics or fertilizers and there is increasing attention on new biotechnological applications such as biofuels or cell-wall polysaccharides5–7. Despite their evolutionary, ecological and economic importance, many aspects of the biology of brown algae remain poorly understood. In particular, the range of phenotypic variation of such morphologically simple organisms, as well as the sources of this variation, their impact on fitness and the limits they may impose on adaptive responses to environmental conditions are largely unknown. A large number of seaweed species are able to colonize the intertidal zone, and some of these species live only in this habitat. The intertidal zone is often characterized by the presence of multiple stresses including high temperature, low or high salinity, extreme irradiation with sunlight, wave mechanical force, desiccation and osmotic shocks due to tidal emersion-immersion cycles. There is evidence that the vertical distribution of organisms is related to their ability to tolerate different types of stress. This is particularly the case in the intertidal zone, where the difference between tolerant and susceptible species lies in the extent to which they can recover photosynthesis 1 Algal Genetics Group, UMR 8227, CNRS, Sorbonne Universités, UPMC, Station Biologique Roscoff, CS 90074, 29688 Roscoff, France. 2UMI 3614 Evolutionary Biology and Ecology of Algae, CNRS, Sorbonne Universités, UPMC, Pontificia Universidad Católica de Chile, Universidad Austral de Chile, Station Biologique Roscoff, CS 90074, 29688 Roscoff, France. 3Centro de Conservación Marina and CeBiB, Facultad de Ciencias Biológicas, Pontificia Universidad Católica de Chile, Casilla 114-D, Santiago, Chile. 4Ifremer, Laboratoire des Sciences de l’Environnement Marin (UMR 6539 LEMAR, UBO, CNRS, IRD, Ifremer), Centre Bretagne – ZI de la Pointe du Diable, CS 10070, 29280 Plouzané, France. Correspondence and requests for materials should be addressed to K.A. (email: komlan.avia@sb-roscoff.fr) Scientific S 7:43241 | DOI: 10.1038/srep43241 1 www.nature.com/scientific / when re-immersed in seawater8. Coastal habitats may present other stresses, such as low salinity in estuarine environments, high concentrations of heavy metals and other chemical pollutants near ports, mines or coastal cities, spatial temporal variations in upwelling and other coastal ographic processes9,10. Adding to this complexity, variations in environmental conditions and their impact can even be observed at the microhabitat scale11. Remarkably, a number of seaweed species are able to cope with these strong environmental gradients. From an evolutionary point of view, two mechanisms can explain this tolerance to abiotic stressors: either evolution towards a generalist, all-purpose phenotype by increasing phenotypic plasticity, or local adaptation to specific sets of environmental conditions. It is however difficult to determine the relative importance of phenotypic plasticity and local adaptation, respectively, in determining differences among populations12. Plasticity may mimic local adaptation resulting in differences between populations that are not due to genetic factors13. While an extensive literature is available on the range of phenotypic plasticity in responses of seaweeds to both biotic and abiotic factors14, the genetic basis of their responses to environmental heterogeneity remains poorly explored. Several mechanisms involved in the responses to stressors such as heat, salinity and dehydration have been shown to be conserved among land plant taxa, including the presence of common actors such as reactive oxygen species (ROS), ion fluxes, activation of kinases and a cascade of reactions leading to the expression of transcription factors15–17. However, the extent to which mechanisms of stress tolerance known for those taxa are used by brown algae is largely unknown. Although some aspects might be conserved18,19, other important processes are likely to be found only in brown algae because of their unique evolutionary history. To understand the stress tolerance features characteristic of this group, it is therefore essential to study this phenomenon using brown algal models rather than extrapolating information from distant models in other phylogenetic groups. Such knowledge is of evolutionary as well as of applied interest, as novel biomolecules and metabolic pathways may be discovered. Furthermore, with the current expansion of the algal aquaculture sector, brown algae need to be well characterized for future domestication and selective breeding to provide the industry with optimized strains. Ectocarpus sp., a small filamentous alga, has been established as the model organism for the brown algae, inducing the generation of several genetic and genomic resources such as a fully sequenced genome1, a genetic map20 and transcriptomic data19,21. Previously named Ectocarpus siliculosus, it has recently become clear that this taxa corresponds to a separate species that has not been described previously22 and we therefore refer to the species provisionally as Ectocarpus sp. 1c23, simplified as Ectocarpus sp. in the text below. As with many other members of the brown algal group, this species alternates between a haploid (gametophyte) and a diploid (sporophyte) phase, and thus its life cycle involves sequential development of two successive complex organisms24. A recent study in the Ectocarpus group has shown that haploid and diploid organisms also exhibit clear niche partitioning. However, mainly asexual populations also exhibit similar habitat usage25. Although brown algae are mainly marine species, rare cases of adaptation to fresh water have been reported26. An Ectocarpus species, Ectocarpus subulatus, is able to live in both marine and freshwater, suggesting extreme physiological plasticity23,27–29. Freshwater colonization is a rare event that is thought to induce rapid evolutionary radiations30. The colonization event involving this brown alga is still under investigation but it does not appear to have involved extensive radiation, as only about 1% of these species have colonized freshwater31. Recent analyses showed that the transition to low salinity has been accompanied by fundamental morphological, transcriptomic and metabolomic changes but might be still reversible31, suggesting high phenotypic plasticity rather than local adaptation. This transition is also dependent on the host interactions with its complex bacterial communities29. Although E. subulatus is a different species, such host-bacterial interactions may also play a role in the adaptation of Ectocarpus sp. to its environment (although this aspect has not been investigated in the study presented here). Analysis of the Ectocarpus sp. genome suggested that this species has evolved effective mechanisms to survive its harsh intertidal environment such as a complex photosynthetic system and a large number of ion channels1. These characteristics may have contributed to its ability to colonize freshwater environments. However, even with the current improved assembly and annotation of the Ectocarpus genome, about 39% of the predicted genes lack functional annotations based on available databases32. Hence, an important proportion of the genes in the genome do not have a predicted function and, therefore, approaches such as detection of quantitative trait loci (QTLs) and analyses of polymorphism of candidate genes33 are important to explore the genetic basis of adaptation in this species. QTL analysis provides insights into the genetic determinism of traits and is an important aid for marker assisted selection34,35. QTL mapping has been used successfully to improve our understanding of the genetic basis of traits in land plants36 and in animals, including marine animals37, but remains rarely investigated in algae38. With recent advances in sequencing technology, molecular markers such as single nucleotide polymorphisms (SNPs) can now be identified in abundance at continually decreasing cost, even in complex genomes. Methods such as Restriction site Associated DNA (RAD) sequencing allow the complexity of the genome to be reduced in order to produce high confidence SNPs cost effectively for various applications39,40. In our study, we generated 3,588 RAD-seq-based SNP markers to construct a dense genetic map for Ectocarpus sp. and used it to identify QTLs for growth-related traits and their plasticity under different temperature and salinity conditions. Several candidate QTLs for high temperature and low salinity tolerance were detected and GO (Gene Ontology) enrichment tests within these QTLs contributed to our understanding of the ability of Ectocarpus sp. to adapt to high temperature or low salinity. Results Identification of phenotypic traits under temperature and salinity stress. To study the genetic basis of growth under temperature and salinity stresses, we grew a family of 89 Ectocarpus sp. haploid progeny, together with their two parental strains (six clones for each strain) for 12 days in growth cabinets under three temperature (13 °C as control, 26 °C and 28 °C; hereafter T13, T26 and T28) and three salinity conditions (34‰ as control, 20‰ and 15‰; hereafter S34, S20 and S15). Temperature and salinity stresses were applied Figure 1. Distributions of the progeny BLUPs of the studied traits. T13, T26 and T28 correspond to growth rate phenotypes for temperatures 13 °C, 26 °C and 28 °C respectively. S34, S20 and S15 correspond to growth rate phenotypes for 34‰ salinity, 20‰ and 15‰ respectively. Plasticity traits are represented by a letter followed by a number and a slash, then another letter and number. For example, S34/S20 corresponds to plasticity represented by slope of the reaction norm between salinity 34‰ condition and salinity 20‰ condition. Surv_S15 and Surv_S20 correspond to survival trait for conditions salinity 15‰ and salinity 20‰. Frequency distributions of the progeny BLUPs of the analyzed traits; blue arrows indicate mean values for the male parent and red arrows indicate mean values for the female parent; the green dashed line represents the mean value for the progeny population; “Slope” represents the slope values of the reaction norm between two conditions indicated at the top of each graph; “% survival” represents the proportion of survival among replicates of each progeny for salinity conditions 15‰ and 20‰. under normal, control salinity (34‰) and temperature (13 °C) conditions, respectively. An initial series of test experiments aimed at selecting optimal temperature and salinity conditions for QTL detection had shown that 30 °C and 10‰ salinity were extreme conditions for the mapping family, leading to high mortality. We therefore selected our stress conditions so that they had significant impacts on the growth phenotype of the offspring without killing a high proportion of individuals (we considered up to 30% of mortality as acceptable, i.e. none of the conditions should induce a complete loss of more than 26 progeny). Growth, expressed as a ratio of the thallus area on day 12 to the thallus area on day 0, varied significantly across the studied progeny under all three salinity conditions (p-value between 4 × 10−4 and 7 × 10−16, ANOVA) but only under two of the three temperature conditions (p-value = 0.005 for 26 °C, p–value < 1 × 10−10 for 28 °C and p = 0.2 for 13 °C, ANOVA). A significant sex-dependent difference was observed under 15‰ salinity (adjusted p-value Tukey comparison test: 3 × 10−7) with males showing more growth than females (growth ratio of 0.47 vs 0.30 respectively). The impact of the applied stresses was clearly visible through their effects on the distribution of the traits, with a reduced growth rate for the stress conditions and a much lower population mean for the growth ratio (Fig. 1). We observed substantial variance in all traits across the progeny, with the fastest growers having growth ratios 2 to 5-fold larger than the slowest growers. Differences between the mean values for each parent were more limited. Transgressive individuals (i.e. displaying more extreme phenotypes than the parental strains) were observed in the mapping family under almost all conditions (Fig. 1). By treating different experimental conditions as different environments, we observed significant genotype by environment (G × E) interactions (genotype × salinity p-value = 2 × 10−6 and genotype × temperature p-value = 4 × 10−4), which is potentially indicative of a genetic basis of variation of phenotypic plasticity41,42. Reaction norms of the progeny for temperature and salinity variations were also analyzed. The results Min Max Vg CVg H2 (s.e.) 1.49 0.67 2.16 0.039 0.13 0.42 (0.11) 0.64 0.024 1.3 0.054 0.36 0.78 (0.04) S15 0.37 0.008 0.9 0.033 0.49 0.78 (0.05) T13 1.56 1.17 2.42 0.014 0.08 0.20 (0.14) T26 1.18 0.4 2.07 0.024 0.13 0.36 (0.14) T28 0.34 0.03 0.86 0.019 0.41 0.62 (0.08) Surv_S20 — — — 1.02 — 0.65 (0.09) Surv_S15 — — — 1.73 — 0.76 (0.06) Salinity 1 0.008 2.16 0.009 0.09 0.31 (0.19) Temperature 1.03 0.03 2.42 0.002 0.04 0.1 (0.18) Survival — — — 1.42 — 0.72 (0.05) Trait Mean S34 S20 Table 1. T rait statistics. T13, T26 and T28 correspond to growth rate phenotypes for temperatures 13 °C, 26 °C and 28 °C respectively. S34, S20 and S15 correspond to growth rate phenotypes for 34‰ salinity, 20‰ and 15‰ respectively. Surv_S15 and Surv_S20 correspond to survival trait for conditions salinity 15‰ and salinity 20‰. Salinity, Temperature and Survival correspond to the joint analysis of the three salinity conditions, the three temperature conditions and the two survival conditions respectively. Vg and CVg corresponds to genetic variances and their coefficients of variation (CVg expressed as V g /trait mean), H2 s.e.) corresponds to broadsense heritabilities and their standard errors estimated via jackknife resampling. Min and Max are based on average values for individuals and not the raw replicate values. showed that several reaction norms had different slopes and therefore crossed, suggesting significant G × E (Supplementary Fig. S1). We therefore used the slopes of these reaction norms as plasticity traits. There were three temperature plasticity traits (T13/T26, T13/T28 and T26/T28) and three salinity plasticity traits (S34/S20, S34/S15 and S20/S15, Fig. 1). In total, 15 traits were tested: 3 for temperature, 3 for salinity, 3 for temperature plasticity, 3 for salinity plasticity, 2 for survival, plus sex (Fig. 1). Broad-sense heritability estimates for growth related-traits and survival varied between 0.20 and 0.78 for individual traits and between 0.10 and 0.72 when combining all conditions of temperature and salinity (Table 1). Construction of a ddRAD-seq-based genetic map. Barcoded ddRAD libraries were constructed for the two parents and their 89 progeny using the enzymes PstI and HhaI and were pooled for sequencing. Of the initial total of 470 million reads, the Process_radtags module of the Stacks pipeline together with additional cleaning steps retained 339 million reads. The Ref_map process in Stacks generated 183,336 consensus sequences from this sequence data, of which 181,655 were unique, and the Genotypes program identified 11,740 putative markers within these regions. After application of a series of filters (see materials and methods), 6,275 of the 11,740 markers identified by Stacks were retained. During the filtering, nine individuals (out of the 89 progeny) with excessive missing genotypes were removed. For the construction of the genetic map, distorted markers that did not show the expected 1:1 segregation pattern (at a threshold of 0.05%) were also filtered out. When two or more markers exhibited similar segregation patterns (based on a similarity of ≥ 0.95), only one of the markers was retained. Markers with suspect linkages were also filtered out. Finally, a total of 3,588 markers and 80 individuals were used for the construction of the genetic map. Maps obtained with R/qtl and JoinMap using this data were compared and found to be very similar. The 3,588 SNPs were distributed over 28 linkage groups (LGs), with a minimum logarithm of the odd (LOD) score of 4.0. The total length of the map was 2,585.7 centimorgans (cM), which accounted for 98.35% of the estimated genome (Ge) length (Ge = 2629 cM). The average spacing between two adjacent markers was 0.7 cM and the largest gap was 20.3 cM (on LG28). The lengths of the 28 LGs ranged from 41.8 cM with 54 markers to 152.3 with 217 markers (Table 2, Supplementary Fig. S2 and Supplementary Dataset). Considering the 214 Mbp genome size of Ectocarpus sp.1, the estimated global recombination rate was 12.28 cM/Mb. The average recombination rate per LG varied between 11.11 cM/Mb for LG28 and 17.93 cM/Mb for LG4. At a 1 Mbp scale along the different LGs, the recombination rate varied considerably with broad patterns of decreases and increases (Supplementary Fig. S3). However, there were no substantial differences between the LGs. Identification of QTLs for responses to temperature and salinity stresses. Combination of gen- otyping and phenotyping data allowed the identification of a total of 39 QTLs, with between 0 and 10 QTLs detected per trait across a total of 15 traits tested. The highest number of QTLs (10) was observed for the plasticity trait S34/S20. No QTLs were detected for the traits T13 and S34. Each QTL is associated among others with the observed phenotypic variance (R2) and an estimated additive effect (a) that it accounts for. The detected QTLs explained 6% to 34% of the observed phenotypic variance, depending on the trait (Table 3). In some cases, QTLs for different traits mapped approximately to the same genomic region (Fig. 2). For all the temperature and salinity traits (i.e. growth ratios), and for the plasticity traits, there were both cases where the allele transmitted by the male parent was favorable (increasing the growth ratio) and cases where it was unfavorable (decreasing the LG Number of markers LG length (cM) Average spacing between markers (cM) Maximum spacing between markers (cM) 11.2 1 217 152.3 0.7 2 194 96.5 0.5 5.3 3 202 90.4 0.4 8.5 4 180 116.7 0.7 7.6 5 168 117.9 0.7 6.7 6 171 110.4 0.6 8.8 7 170 113.4 0.7 9.3 8 152 88.7 0.6 6.3 9 155 87.8 0.6 7.6 10 138 92 0.7 8 11 120 92 0.8 10 12 127 112.4 0.9 8.9 13 124 92.6 0.8 7.6 14 124 96.7 0.8 6.3 15 119 83.1 0.7 7.8 12.8 16 106 80.7 0.8 17 111 64.9 0.6 7.6 18 116 74.8 0.7 11.5 19 107 78.5 0.7 8.7 20 112 81.8 0.7 10.1 21 87 128.9 1.5 12.8 22 103 71.4 0.7 18.3 23 91 72.4 0.8 8.8 24 90 71.6 0.8 8.8 25 96 71.9 0.8 7 26 79 112.5 1.4 16.9 27 75 9 1.2 19.4 28 54 41.8 0.8 20.3 overall 3588 2585.7 0.7 20.3 Table 2. Linkage group statistics for the genetic map. growth ratio), indicating antagonistic QTLs (see values of additive effect a in Table 3). In contrast, for the two survival traits, the male allele was always unfavorable (lowering the survival value). The sex of each individual was determined using PCR primers based on the coding sequence of the sex-linked gene Esi0068_000321,43. Using this characteristic as a binary trait, a major sex-associated locus was mapped to LG13. This result confirmed the position of the previously identified sex-determining region21. Twenty-one significant epistatic interactions were detected, involving 38 unique linkage map positions. Among these interactions, only six involved previously detected QTL positions (Supplementary Table S1). For example, in the case of trait T28, the result of epistasis between LG1 and LG14 (Supplementary Fig. S4) showed that the locus on LG1 (at 6 cM) had an effect only in the presence of the B genotype (A and B genotypes derived from the male and female parents, respectively) at the locus on LG14 (at 64 cM). In the presence of the A genotype at the locus on LG14, no significant difference was observed between the growth ratio of individuals carrying the A genotype and those carrying the B genotype at the locus on LG1. We also detected five significant QTL × sex interactions, where the effect of the locus was different for the two sexes, representing potential sexually antagonistic alleles (Supplementary Fig. S5). Gene ontology enrichment test. A genome-wide list of candidate genes was constructed by retaining all loci in the 1.5-LOD support confidence intervals of the complete set of QTLs. This list of 562 genes included 263 genes that had associated GO terms. In the re-annotated genome of Ectocarpus32, 17,418 genes were identified among which 10,688 had predicted functions and 7,383 had associated GO terms. We built a reference list, consisting of genes located in 10 kb windows around the SNPs localized on the genetic map. This gave a list of 2,710 genes among which, 1,156 had associated GO terms (Supplementary Dataset). A GO enrichment test was carried out by comparing the candidate list of 263 genes which had associated GO terms with the reference list of 1,156 genes also having associated GO terms. Six terms were significantly enriched in the candidate gene list compared with the reference at p = 0.05, with one term having a p-value < 0.01. Four of those 6 terms were linked to transport processes, the most significant being anion transport (Table 4, Supplementary Fig. S6 and Supplementary Dataset). Trait S15 S20 S20/S15 S34/S15 Salinity S34/S20 Survival_S15 Survival_S20 T26 T28 LG Peak (cM) LOD R2 (%) a 1.5LOD Left 1.5LOD Right Method 2 60 3.83 23 0.110 49 64 RQTL_Scanone 6 52.686 4.97 10 0.077 50 52.7 MapQTL_MQM 23 12.585 3.96 9.4 − 0.048 7.6 12.6 MapQTL_MQM 1 54.123 5.81 11.2 − 0.075 53 55 MapQTL_MQM 6 63.964 4.62 9.6 0.068 62 64 MapQTL_MQM 21 74.591 4.4 10.7 0.117 70.7 76 MapQTL_MQM 24 71.624 4.89 10.2 − 0.099 68.6 71.6 MapQTL_MQM 26 36.69 3.38 6.8 − 0.090 31.4 36.7 MapQTL_MQM 26 56.356 3.2 6.4 0.090 51.4 56.3 MapQTL_MQM 7 74.093 4.18 27 − 0.033 68.4 86 MapQTL_MQM 2 60.456 9.43 32.1 − 0.029 60 64 MapQTL_MQM 7 109.287 3.83 11 − 0.007 108 113 MapQTL_MQM 22 47.593 4.1 10.6 0.016 44 47.6 MapQTL_MQM 22 58.867 3.53 9.7 − 0.015 50 59 MapQTL_MQM 1 13.812 3.95 5.8 − 0.008 11.2 13.9 MapQTL_MQM 1 54.123 15.83 33.6 0.020 54 56 MapQTL_MQM 4 70.291 7.9 13.3 0.018 65 70.3 MapQTL_MQM 4 83.254 8.62 15.2 − 0.022 82.3 83.3 MapQTL_MQM 11 30.17 7.61 12.7 0.015 28.8 30.2 MapQTL_MQM 16 0 4.93 8 0.011 0 0 MapQTL_MQM 16 21.773 6.43 10.4 − 0.013 10.8 21.8 MapQTL_MQM 26 9.778 5.63 8.5 − 0.012 8.6 11.5 MapQTL_MQM 26 56.356 6.61 10.5 − 0.016 50.5 56.4 MapQTL_MQM 26 80.621 6.39 9.6 0.012 74.4 80.7 MapQTL_MQM 23 17 3.75 5.6 − 0.010 7 37.7 RQTL_Scanone 11 91.953 6.48 13 − 10.408 91.9 92.3 MapQTL_MQM 19 50.116 3.52 6.3 − 7.211 45.5 50.4 MapQTL_MQM 22 37.558 4.6 6.7 − 13.560 36.5 41 MapQTL_MQM 9 32.541 4.18 19.5 0.188 31 34 MapQTL_MQM 2 57.891 9.54 21.3 0.058 57.5 57.9 MapQTL_MQM 4 17.573 3.65 6.8 − 0.040 11.3 18.6 MapQTL_MQM 4 91.605 13.35 33.6 0.081 91.6 94.3 MapQTL_MQM 14 0 5.8 11.4 − 0.045 0 0 MapQTL_MQM MapQTL_MQM 18 15.042 4.83 9.3 0.037 15 15.1 24 37.7 3.72 7 0.014 33 63 RQTL_Scanone T13/T26 5 99.023 3.65 13.4 − 0.010 94 101 MapQTL_MQM T13/T28 26 111.259 3.26 12.7 0.012 90 112 MapQTL_MQM T26/T28 6 63.964 4.63 18.4 0.069 63.9 64.1 MapQTL_MQM Sex 13 40.1 52.1 75 0.500 39 41 RQ TL_Scanone Temperature Table 3. QTL mapping results. T13, T26 and T28 correspond to growth rate phenotypes for temperatures 13 °C, 26 °C and 28 °C respectively. S34, S20 and S15 correspond to growth rate phenotypes for 34‰ salinity, 20‰ and 15‰ salinity respectively. Discussion Growth under different temperature and salinity conditions showed a distribution with the presence of transgressive segregants among the offspring in almost all cases, even when there was very little difference between the parents. Transgressive individuals may have characteristics allowing them to occupy new ecological habitats or to perform more effectively in already occupied environments44. These transgressive segregants are likely to be the result of complementary action of different alleles of genes from the male and female parent45,46 and their Scientific ReportS | 7:43241 | DOI: 10.1038/srep43241 6 www.nature.com/scientificreports/ Figure 2. Genetic map showing the localization of detected QTLs for temperature, salinity and their associated plasticity and survival traits. Blue color indicates salinity and its plasticity traits, red indicates temperature and associate plasticity and green indicates survival traits. The brown color on LG13 represents the sex-determining region and the QTL LOD score curve from a Kruskal-Wallis non-parametric test in MapQTL. T13 , T 26 and T28 correspond to growth rate phenotypes for temperatures 13 °C, 26 °C and 28 °C respectively. S34, S20 and S15 correspond to growth rate phenotypes for 34‰, 20‰ and 15‰ salinity, respectively. Plasticity traits are represented by a letter followed by a number and a slash, then another letter and number. For example, S34/S20 corresponds to plasticity represented by the slope of the reaction norm between 34‰ and 20‰ salinity. Surv_S15 and Surv_ S 20 correspond to survival traits for 15‰ and 20 ‰ salinity, respectively . T13 T26 T28 S34 T26 0.095 T28 − 0.017 0.003 S34 0.038 0.217* − 0.05 S20 − 0.2 − 0.26* 0.163 0.025 S15 0.149 0.061 0.202 0.024 S20 0.531**** Table 4. Pearson’s correlation coefficients between main studied traits. See Table 2 for trait details *Significant at 0.05. ****Significance < 0.0001. presence provides the potential for improvement of the traits using selective breeding or as a result of natural selection. The two parents of the mapping family originated from the west coast of South America, between the south of Peru and the north of Chile, representing about 2,000 km of coastal ecosystem where seasonal variation in seawater temperature is high (between 13 °C in winter and 25 °C in summer on average, Fig. 3). The parental strains are therefore presumably adapted to living in a changing environment. The annual average temperature of the original location of the male parent is lower than that of the female parent (Fig. 3). And it is noteworthy that it was only at the highest temperature that the female parent performed better than the male one. This may be explained by the mean temperatures at the parental locations, but since 28 °C is not a common mean temperature encountered there, this is rather speculative. Nevertheless, their occurrence in rockpools or low tides during summer months can expose these Ectocarpus strains to very high temperatures. Furthermore, the average seasonal temperature of seawater in the distribution zone of the species can increase by 4 °C to 10 °C during El Niño-Southern Oscillation events47. The distributions of growth ratios varied little at 13 °C and 26 °C but significantly decreased at 28 °C. Even at 28 °C, the majority of the offspring could maintain non-null growth. A temperature of 30 °C may exceed the tolerance of this family as observed during preliminary tests, at least under our laboratory conditions, but it is possible that the response of the population to extreme temperatures would show some differences under field conditions compared to the observations in laboratory conditions, particularly because several stressors act in synergy in the wild. For salinity stress, the female parent always performed better than the male parent. Typical salinity of seawater in the distribution range of the species is 34–36‰. However, our data showed that several strains were able to maintain active growth even at 15‰. Although most of the species of the Ectocarpus genera are predominantly marine, some strains (e.g. E. subulatus isolates) are tolerant to low salinity (i.e. occur in estuaries) or are even adapted to a freshwater environment31,48. The maintenance of a capacity to respond to large variations in water salinity in the extremely arid region of the Atacama Desert, where there are no estuaries, is likely a result of an adaptive evolution in other regions of the coast. Interestingly, this low salinity tolerance in Ectocarpus species may explain why there are cases of colonization of freshwater environments, albeit rare. Dittami et al.31 suggested that, while high stress tolerance and plasticity may be prerequisites for the colonization of freshwater, genomic alterations are likely to have occurred and these alterations would have produced permanent changes in metabolite profiles to stabilize the transition. Figure 3. Sea surface temperature (sst) in the distribution range of Ectocarpus sp. for year 2014. The blue arrow represents the original location of the male parent (San Juan de Marcona, Peru) and the red arrow represents the original location of the female parent (Arica, Chile). Created with the SeaWiFS Data Analysis System (SeaDAS) visualization and data processing software version 7.2, using seasonal (winter and summer) and annual MODIS sst data from 2014: http://seadas.gsfc.nasa.gov/installers/; http://oceandata.sci.gsfc.nasa. gov/MODIS-Aqua/Mapped. NASA Goddard Space Flight Center, Ocean Biology Processing Group; (2014): Sea-viewing Wide Field-of-view Sensor (SeaWiFS Ocean Color Data, NASA OB.DAAC, Greenbelt, MD, USA. heritability estimates were low to moderate but increased with the degree of stress for the environmental conditions we tested (from 0.20 to 0.78). The heritability estimates were lower when temperature and salinity stress were combined (0.10 and 0.31). It is well known that estimated heritability of a trait can vary either with environmental conditions or between populations. Hoffmann and Merilä49 summarized hypotheses to explain the relationship between environmental effects and heritability. It is possible that phenotypic variations between genotypes would be difficult to detect unless resources become limiting, regardless of the history of selection50. In contrast, unfavorable conditions could also decrease the importance of observed genetic variation if increased environmental variance reduces the adaptive value of individual genotypic combinations. This might apply to our study, when we combined stress conditions for temperature and for salinity, hence increasing the overall environmental heterogeneity. Furthermore, although we were able to replicate genotypes in this studied species, traits are nonetheless measured with some error and this might lead to an underestimate of heritability if phenotypic variance is higher under unfavorable conditions51. With 3,588 SNP markers, the genetic map described here is considerably denser than the previously published map for Ectocarpus sp., which was based on 406 microsatellite markers20. Overall, the distribution of the markers on the 28 LG was homogenous. The 28 LGs detected here are coherent with cytogenetic studies carried out using European strains of E. siliculosus that indicated an approximate number of 25 chromosomes52. Assignation of the SNP markers to sequence scaffolds allowed 500 of the 1,561 scaffolds of the genome sequence to be ed onto linkage groups, significantly improving the large-scale assembly of the genome32. Integration of this new information along with the data from the microsatellite-based linkage map20 has allowed a total of 531 scaffolds to be anchored onto linkage groups, corresponding to 177 Mbp of sequence data and 90.5% of the total genome. The improved genetic map will represent an important resource for future genetic and comparative genomic studies using Ectocarpus sp. as a model species. The quality of a genetic map is influenced by the density of the markers used and the size of the mapping family. As far as marker density is concerned, next generation sequencing technologies represent a means to tremendously improve the generation of genetic markers and the ddRAD sequencing approach used in this study produced enough markers to cover the major part of the genome. However, the mapping family is a “pseudo F2” haploid population where each individual is derived from a separate but unique meiosis. This, plus the relatively small size of the family, constitute factors that may limit the power of QTL detection53. We estimated a global recombination rate of 12.28 cM/Mb for Ectocarpus sp., an estimate that is higher than values obtained for most terrestrial plant species54. If we examine data available for Saccharina japonica55,56, the only other brown algal species for which both a genetic map and a complete genome sequence currently exist, the global recombination rate is 4.93 cM/Mb. This value is more similar to those observed for angiosperms. The genome size of Saccharina japonica is 537 cM56, which is 2.5 times larger than that of Ectocarpus sp. These estimates are in accordance with the observation of negative correlation between global recombination rate and genome size, pointing to a putative role of LTR retrotransposons54. More estimates are needed for additional brown algae to provide improved insights into global recombination rates in this group. In any case, recombination is a very complex feature because it is known to vary substantially across eukaryote genomes and even GO ID Term GO:0015698 inorganic anion transport Annotated Significant Expected Rank in classic p-value classic 3 2 0.15 1 0.007 GO:0006820 anion transport 4 2 0.2 2 0.014 GO:0015031 protein transport 22 4 1.1 3 0.02 GO:0008104 protein localization 24 4 1.2 5 0.027 GO:0006396 RNA processing 6 2 0.3 8 0.032 GO:0006886 intracellular protein transport 17 3 0.85 9 0.048 GO:0006605 protein targeting 8 2 0.4 12 0.056 GO:0072594 establishment of protein localization 8 2 0.4 13 0.056 GO:1902580 single-organism cellular localization 9 2 0.45 15 0.07 GO:0006811 ion transport 21 3 1.05 16 0.082 GO:0016482 cytoplasmic transport 11 2 0.55 17 0.1 GO:0006810 transport 103 8 5.14 22 0.128 GO:0051234 establishment of localization 104 8 5.19 23 0.133 GO:0009148 pyrimidine nucleoside triphosphate biosynthesis 3 1 0.15 25 0.142 GO:0043 cellular metabolic compound salvage 3 1 0.15 26 0.142 GO:0007005 mitochondrion organization 3 1 0.15 24 0.142 GO:0044743 intracellular protein transmembrane importation 3 1 0.15 27 0.142 GO:0009147 pyrimidine nucleoside triphosphate metabolism 3 1 0.15 28 0.142 GO:0017038 protein import 3 1 0.15 29 0.142 GO:0051179 localization 106 8 5.29 32 0.144 Table 5. List of the top 20 GO terms identified by the test for GO term enrichment in genes located within the QTL intervals identified in this study. See materials and methods for details. between individuals within populations, for reasons that are still to be fully understood57. In our study, recombination rates varied along and between the different Ectocarpus sp. LGs (average rate per LG between 11.11 cM/ Mb for LG28 and 17.93 cM/Mb for LG4), at a 1 Mb scale. Although no clear differential patterns between the LGs were observed, this result should be considered with caution for several reasons. First, resolution of cross-based estimates of recombination rates like those we provide here depends on the number of recombination events occurring in a generation, and the generation of the family analyzed here involved only one meiosis per individual. Second, because the scale at which the recombination rates are examined may influence the detected relationships between recombination and genomic features and, consequently, patterns at coarse scales may not accurately reflect relationships at finer scales58. Our experimental setup allowed us to detect 38 QTLs for growth-related traits and their plasticity under different temperature and salinity conditions and 1 QTL for sex. Eighteen of the 28 LGs contained QTLs for these traits. Although several of the QTLs had large confidence intervals, some showed relatively small ones. For example, the QTLs for T28 on LG2 and LG18 had small confidence intervals, which contained respectively 41 and 6 annotated or predicted genes. There was only one case of co-localization of QTLs (for temperature and salinity on LG2 for traits T28 and S15). The rarity of co-localization of QTLs was in agreement with the low to moderate correlation between traits, with most correlations being statistically non-significant (Table 5). More co-localizations were observed when survival and plasticity traits were considered. In three cases (LG1, LG2 and LG26), plasticity QTLs co-localized with main traits. These co-localizations could be due to the presence of genes that control metabolic pathways that influence multiple traits or to the presence of pleiotropic genes. Phenotypic plasticity is one of the strategies used by organisms to cope with variability in their environment but its genetic basis is often poorly documented59. Plasticity often involves altering gene expression and physiology in response to environmental cues60. The QTL approach developed here could allow evolutionary questions such as the evolution of the reaction norm as a response to the changing environment to be addressed. The detection of plasticity QTLs in Ectocarpus sp. indicates that factors controlling plasticity in this species are likely to be genetically-based41. We also identified several antagonistic QTLs (i.e. QTLs with alleles that have opposing effects). It is thought that, in such cases, trait differences may have arisen through drift and/or through selection that fluctuates in direction46,61. Antagonistic QTLs are also considered to be able to generate transgressive segregants46, which is in accordance with our results. Epistasis is considered to be an important genetic basis of complex phenotypes62,63. More than one trait was involved in all the 21 cases of epistatic interactions detected in this study, suggesting pleiotropy not only for single loci but also for epistatic effects. Among those 21 epistatic interactions, we observed only six cases where one of the markers had a main QTL effect on the trait. This suggests that epistasis is an important mechanism for the control of the response to stress in Ectocarpus sp., at least when growth ratio is used as a proxy for fitness. Few QTL × sex interactions were identified in our study. These interactions were sex-antagonistic since the effects of the QTL alleles were opposite for the two sexes. Such interactions indicate that the effect of a QTL is different between the two sexes and this can be important in evolutionary as well as in breeding contexts. Evolution ary arguments implicate QTL × sex interactions in the maintenance of variation for complex traits 64. From a biological point of view, QTL × sex interactions can be explained by invoking interactions between genes with different effects in different sexual environments (considering sexes as different environments and hence Scientific ReportS | 7:43241 | DOI: 10.1038/srep43241 9 www.nature.com/scientificreports/ QTL × sex interactions to be QTL × environment interactions)65. However, we cannot exclude the possibility that the observed QTL × sex interactions observed in our study may just reflect the different origins of the parental strains and their specific trait inheritance, since we cannot separate the effects of their sex and their origin. The detection of main effects, epistasis and sexually-dimorphic QTLs suggest complex genetic regulation of growth under stress conditions. A GO enrichment test identified six terms significantly enriched in putative genes lying in the QTL intervals, among which, four were linked to ion and protein transport processes. Of the 562 putative genes in the QTL intervals, 102 were also identified as being significantly differentially expressed between low and high salinity by Dittami et al.31 (Supplementary Dataset), but more interestingly, the authors also observed an accumulation of intracellular ions at different levels between freshwater and marine strains, suggesting an important role for ion transport in the adaptation to low salinities. The list of putative stress-related genes corresponding to the QTL intervals identified in the current study should be treated with caution because there are uncertainties linked to positions of QTLs and because growth is a complex phenotype integrating numerous metabolic pathways. Taking into account these limitations, the data presented here is however in accordance both with the suggested importance of intracellular ion composition and osmotic balance in adaptation to stresses such as low salinity and with the large number of ion channels observed in the genome of the species1,31. Furthermore, transport processes such as ion transport are well studied in land plants and have been shown to be involved in the response to osmotic stresses16,66. In seagrasses, several genes have been also shown to respond to elevated sea surface temperatures67 or to be under selection along the salinity gradient of the intertidal shore68. In our study, we built a high-density genetic map using ddRAD-seq approaches and detected several QTLs for growth rate under high temperature and low salinity stresses as well as related plasticity and survival traits. GO enrichment tests suggested a role for ion transport genes among the main loci controlling the QTLs. This study represents a significant step towards deciphering the genetic architecture of adaptation of Ectocarpus sp. to stress conditions and, furthermore, adds a substantial resource to the increasing list of resources generated for the species. It also opens new perspectives in population genomics of adaptation in brown algal species. As mentioned in the introduction, brown algae have also been shown to display important interactions with complex bacterial communities, which influence their ability to respond to environmental stressors and this aspect makes the picture more complex. Several studies have shown that algal-bacterial associations are beneficial for the algal hosts, increasing their fitness69,70 and some brown algal species such as Ectocarpus fasciculatus and Pylaiella littoralis are absolutely dependent on their associated bacteria71,72. These complex interactions were not included in this study but should be examined in future studies in order to have a more complete understanding of the adaptation of Ectocarpus sp. to its stressful environments. Materials and Methods Mapping family. The mapping family was generated by crossing the male Ectocarpus sp. strain Ec 32 (whose genome has been fully sequenced) with a compatible female strain, Ec 568. See Heesch et al.20 for a detailed description of the production of the family. Briefly, a single F1 hybrid sporophyte isolated from the cross (Ec 569) was used to produce a family of sibling haploid gametophytes, each individual being derived from a separate meiotic event. Gametes from each individual were then allowed to germinate parthenogenetically to produce haploid partheno-sporophytes. Eighty-nine progeny of this haploid family, plus haploid partheno-sporophytes derived from the parental gametophytes, were cultivated for the experiments.
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187 Revista de Derecho de la Universidad Católica de la Santísima Concepción Nº 38, 2021, pp. 175-195 fecto desde que hay acuerdo de voluntades en la cosa y en el precio. Si así no ocurre, faltaría al contrato algo más que las solemnidades legales o la entrega de la cosa, le faltaría el consentimiento recíproco de las partes sobre la cosa por lo que ya no podría perfeccionarse con sólo esos elementos. No concurriría, por consiguiente, en la promesa el requisito del número 4º del artículo 1554”.41 Volviendo al derecho del consumo, esta especie de cláusulas suelen presentarse muy usualmente en la clase de contratos a los que hacemos alusión en este comentario y su abusividad se revisa a la luz del artículo 16 letra a). Para analizar esta cláusula conviene revisar el tenor del artículo 16 letra a) que contiene la causal de modificación unilateral por la cual fue sancionado el término en cuestión. La norma señala en lo pertinente: “Artículo 16.- No producirán efecto alguno en los contratos de adhesión las cláusulas o estipulaciones que: a) Otorguen a una de las partes la facultad de dejar sin efecto o modificar a su solo arbitrio el contrato o de suspender unilateralmente su ejecución(…) (énfasis añadido)”. La doctrina chilena ha comentado bastante esta causal de abusividad.42 Así, Pinochet,43 ha sostenido que “esas disposiciones afectan la base misma de la justificación del contrato, en cuanto contenido obligatorio para ambos contratantes, porque si una de las partes interpreta o modifica el contrato a su antojo, sólo será obligatorio lo que en cada momento quiera o desee ese contratante, instante preciso en que el contrato deja de ser obligatorio a su respecto —sólo lo sería mientras quiera— perdiendo el mismo su principio de fuerza contractual, contenido en el artículo 1545 de nuestro Código Civil, desnaturalizando la esencia misma del contrato como fuente natural de obligaciones que se originan en la autonomía privada”. Por su parte Isler,44 señala que el fundamento de esta causal “radicaría en que el ejercicio de las facultades a las que alude podrían permitir que los efectos de un contrato válidamente celebrado quedaran a la sola voluntad del predisponente”. Cabe observar que la causal se configura cuando se permite una modificación unilateral arbitraria por parte del proveedor. Sobre el punto, Barrientos45 ha señalado que, cuando la cláusula permite al proveedor realizar cualquier clase de alteración de la prestación hay arbitrariedad, y entonces esta “se manifiesta en una falta de certeza e incertidumbre para los consumidores”. La misma doctrina precisa que la vaguedad de la referencia al “desarrollo del negocio”46 tiene un componente de incertidumbre tal que lesiona los derechos del consumidor. Siguiendo con la arbitrariedad que se exige para la configuración de esta causal, Cortéz ha hecho una delimitación de lo que, en esa línea, podría considerarse una modificación unilateral arbitraria. 41 Alessandri (2003), p. 887. 42 Ver, entre otros: Pizarro y Petit (2013), p. 306; Momberg (2014); Isler (2014); Barrientos (2017); Pinochet (2013); Barrientos (2019). 43 Pinochet (2013), p. 161. 44 Isler (2014), p.144. 45 Barrientos (2017), p. 32. Una expresión equivalente sería “los cambios en las tendencias comerciales o que deriven del desarrollo de la construcción”, expresión extraída del caso. 46 188 Revista de Derecho de la Universidad Católica de la Santísima Concepción Nº 38, 2021, pp. 175-195 Señala que son “aquellas disposiciones en las cuales se faculte al proveedor a modificar, sin fundamento suficiente o de forma desproporcionada para el fin querido, las prestaciones objeto del contrato o cuando el ejercicio de esta facultad dependa de la verificación de circunstancias de las cuales tiene control el proveedor. También lo será cuando no se asegure la indemnidad del consumidor tras la variación de las obligaciones, frente a la cual el proveedor debe ofrecer alternativas que permitan mantener el valor que el bien o servicio representaba para el adherente al momento de contratar, y no sólo las opciones de aceptar el cambio o poner fin al contrato”.47 Momberg,48 en ese sentido, establece una posibilidad de que una cláusula de este estilo pueda ser considerada válida. Para ello, la facultad de modificación debiese basarse en parámetros objetivos y fuera de su esfera de control. De lo contrario, al establecer dicha facultad sin ninguna limitación -como es en el caso que comentamos- significaría que el proveedor estaría cargando al consumidor los costos de su posible ineficiencia en ámbitos de su negocio, o haciéndolo pagar por los riesgos que la empresa debió prever. Finalmente, sobre este término en particular, la parte de la cláusula que señala que la modificación al inmueble singularizado en la promesa se podrá realizar “sin requerir autorización alguna de las partes” (…) “cuyo consentimiento, además, se entenderá otorgado, para estos efectos, por el solo hecho de la declaración de aceptación y firma del presente contrato (…)” se puede considerar, además, bajo la causal del artículo 16 letra g). Esto porque si recurrimos a las vinculaciones entre la buena fe y la razonabilidad,49 no se podía estimar razonablemente que, tratando (hipotéticamente) el consumidor en un plano de igualdad y lealtad, en un contrato libremente discutido, pueda haber aceptado una cláusula tal. Lo razonable sería que, si el inmueble que se promete vender sufre en alguna medida modificaciones en el tiempo intermedio entre la promesa y la compraventa, que el consumidor tenga la posibilidad de decidir si acepta o rechaza esas modificaciones. Entonces, son cláusulas que vulneran la buena fe objetiva. Se trata además de una disposición exageradamente desequilibrada, ya que no considera -más bien excluye deliberadamente- los intereses que el consumidor pueda tener en esas modificaciones. 3. Cláusula de prórroga de competencia CLÁUSULA OCTAVA: “Domicilio Convencional. Para todos los efectos legales derivados del presente contrato, las partes fijan domicilio especial en la ciudad y comuna Santiago”. El Sernac alude a que la referida cláusula no respeta las reglas de competencia en la materia, sobre todo considerando que los proyectos inmobiliarios sub lite, no se desarrollan en Santiago, infringiendo nuevamente el art. 16 letra g). Sobre esas alegaciones, el tribunal estimó lo siguiente: “CUADRAGESIMO TERCERO: (…) importa también un claro desequilibrio a los derechos de los contratantes, por cuanto la prórroga de la competencia relativa resulta especialmente gravosa para el consumidor en 47 Cortéz (2018), p. 64. 48 Momberg (2014), p.179-180 49 Sobre esto ver en análisis de: Momberg y Morales (2019), pp. 157-180. 189 Revista de Derecho de la Universidad Católica de la Santísima Concepción Nº 38, 2021, pp. 175-195 aquellos casos que éste tenga su residencia fuera de la capital, dificultándose de sobremanera y haciéndose excesivamente oneroso el eventual ejercicio de su derecho a defensa, lo cual basta para infringir lo establecido en la letra g) del artículo 16 de la LPC. A mayor abundamiento, la referida cláusula pugna con el principio establecido en el artículo 50A de la misma norma legal, por medio del cual el legislador busca facilitar al consumidor el acceso a la justicia, fijando reglas especiales en materia de competencia absoluta y relativa”. Nuevamente aquí es posible recurrir a las vinculaciones entre la buena fe y las expectativas razonables del consumidor. Como se ha dicho en otro lugar50 este ejercicio implica determinar si el proveedor tuvo la posibilidad estimar razonablemente que, tratando de una manera leal y equitativa con el consumidor – en un plano hipotético ya que la relación es asimétrica- este aceptaría una cláusula de este tipo.51 Lo anterior implica que al momento de redactar las cláusulas el proveedor debe considerar los intereses del consumidor y no defraudar sus expectativas razonables. Cuando el proveedor establece en el contrato la prórroga de competencia en su solo beneficio, lo que hace es vulnerar los parámetros de la buena fe objetiva porque no considera ni los intereses ni las expectativas del consumidor, al que no le conviene litigar en el lugar que esa cláusula impone. La misma conducta tiene como efecto – o es al mismo tiempo- un desequilirbio importante en perjuicio de la parte más débil que no tuvo posibilidad de negociar esa disposición que le afecta negativamente. Se altera de manera no razonable el equilibrio entre las prestaciones.52 Sobre la fundamentación e importancia que reviste prohibir la prórroga de competencia en materia de consumo, Walker53 ha dicho que “la doctrina ya se había pronunciado en torno a la prohibición —antaño tácita— de prorrogar la competencia relativa por contrato. Cortez Matcovich, por ejemplo, señalaba que, a la conclusión de que no es posible prorrogar la competencia, se podía llegar por dos vías diferentes: una primera vía implicaba afirmar que la Ley de Protección a los Derechos de los Consumidores ha establecido normas especiales, que excluyen las generales del Código Orgánico de tribunales, entre las que se encuentran, por cierto, las que establecen la posibilidad de prorrogar la competencia. Una segunda vía era el propio texto del art. 182 del Código Orgánico de Tribunales, que señala que “La prórroga de la competencia sólo procede en primera instancia, entre tribunales ordinarios de igual jerarquía y respecto de negocios contenciosos civiles’. Precisamente, los Juzgados de Policía Local pertenecen a la categoría de tribunales especiales, por consiguiente, no es admisible la prórroga de competencia respecto de ellos”. Si una cláusula del estilo que se comenta ha sido incorporada a un contrato celebrado posteriormente a la entrada en vigencia de las modificaciones introducidas por la Ley Nº 21.08154 habría que considerar, además de lo ya señalado, que el texto actual de la LPDC fija reglas especiales en materia 50 Momberg y Morales (2019), p. 167. 51 Sentencia del Tribunal de Justicia de la Union Europea, ECLI:EU:C:2013:164, de 14 de marzo de 2013. 52 Tapia y Valdivia (1999), p. 86 53 Walker (2021), en prensa. 54 Ley Nº 21.081, de 2018. 190 Revista de Derecho de la Universidad Católica de la Santísima Concepción Nº 38, 2021, pp. 175-195 de competencia, buscando asegurar el acceso a la justicia del consumidor. Luego, si el proveedor establece una prórroga de la misma, a su sólo beneficio, no sólo se configura la causal del artículo 16 letra a), sino que además contraviene una disposición legal expresa, cual es el artículo 50 A, que señala literalmente que “se prohíbe la prórroga de competencia por vía contractual”, resultando perjudicado el consumidor, especialmente cuando el mismo no reside en la ciudad que se designa como domicilio convencional. 4. Cláusula arbitral “CLÁUSULA SÉPTIMA: Arbitraje. Cualquier dificultad, duda, litigio o cuestión grave que se suscite entre las partes con ocasión del presente contrato, respecto de su existencia o inexistencia, validez o nulidad, cumplimiento o incumplimiento, término anticipado, interpretación, aplicación, ejecución, terminación o por cualquier otro motivo relacionado directa o indirectamente con él, será resuelta por un árbitro arbitrador, conforme al reglamento del Centro de Arbitraje y Mediación de Santiago, el cual consta de escritura pública otorgada el diez de diciembre de mil novecientos noventa y dos, en la notaría de Santiago de don Sergio Rodríguez Garcés, modificada por la escritura pública otorgada el dieciocho de agosto de mil novecientos noventa y cinco, en la notaría de Santiago de don Raúl Undurraga Laso, Y que conocidos y aceptados por las partes, se entiende formar parte integrante del presente instrumento. A tal efecto, las partes confieren poder especial irrevocable a la cámara de Santiago A.G., para que, a solicitud de cualquiera de ellas, designar árbitros Mitrador dentro los integrantes del cuerpo arbitral del centro de trajes y mediaciones antes referido”. Sobre esta cláusula relativa al arbitraje, el Sernac alegó que no cumpliría con la obligación de establecer la posibilidad de que el consumidor recuse al árbitro, transgrediendo así el art. 16 letra g) toda vez que el consumidor queda en notoria desventaja. Sobre ello, el sentenciador señaló: “CUADRAGESIMO SEGUNDO: Que conforme al tenor de la estipulación transcrita en el párrafo anterior se aprecia que se omitió el mandato legal de informar al consumidor de su facultad de recusar sin expresión de causa al árbitro designado y que esta , establecida en el inciso 2o del artículo 16 de la Ley N° 19.496, la cual además determina las materias que aquel conocerá, por lo que su infracción, vulnera el derecho del consumidor a accionar de acuerdo a los medios que la ley franquea, según lo establecido en el artículo 3 letra e) de la ley del ramo, hechos que constituyen, por sí solos, una contravención al principio de buena fe que resguarda la letra g) del mentado artículo 16, siendo menester declarar abusiva la cláusula en cuestión”. Para entender de mejor manera lo que aquí se discute, conviene leer el tenor literal del inc. 2 del art. 16 de la LPDC, que reza: “Si en estos contratos se designa árbitro, el consumidor podrá recusarlo sin necesidad de expresar causa y solicitar que se nombre otro por el juez letrado competente. Si se hubiese designado más de un árbitro, para actuar uno en subsidio de otro, podrá ejercer este derecho respecto de todos o parcialmente respecto de algunos. Todo ello de conformidad a las reglas del Código Orgánico de Tribunales”. La importancia y el fundamento de la ilicitud de las cláusulas que no incluyen la facultad de recusar los árbitros, como señala Tapia y Valdivia, “proviene de la parcialidad que envuelve la resolución de la controversia por un tercero que es generalmente de la confianza del empresario, y que tenderá inevita- 191 Revista de Derecho de la Universidad Católica de la Santísima Concepción Nº 38, 2021, pp. 175-195 blemente a favorecerlo. Es presumible que el adherente desconoció las consecuencias de esta estipulación al aceptar el contrato por lo que su inclusión defrauda sus expectativas, acarreando un desincentivo a la litigación”.55 Entonces, siguiendo esa misma línea, es muy probable que, al no señalar la facultad en las cláusulas, el consumidor no esté enterado de que puede recusar al árbitro, lo que, como concluye el juez, contravendría la buena fe y pone al consumidor en una posición de desequilibro importante pudiendo considerarse abusiva, a la luz de la letra g) del artículo 16 de la LPDC. Disentimos de lo decidido sobre esta cláusula. Lo primero que hay que observar sobre esta clase de cláusulas es que no son abusivas per se. En efecto, en primer lugar, no se encuentran dentro del listado del articulo 16. Luego, los incisos segundo y final del mismo artículo las permiten y regulan expresamente señalando que, si en los contratos de adhesión se designa un árbitro, “el consumidor podrá recusarlo sin necesidad de expresar causa y solicitar que se nombre otro por el juez letrado competente”. Luego agrega la norma que siempre que se incluyan este tipo de términos en un contrato de adhesión “será obligatorio incluir una cláusula que informe al consumidor de su derecho a recusarlo”. Finalizando con una consagración expresa del derecho del consumidor de “recurrir siempre ante el tribunal competente”. A nuestro entender no cabe duda sobre la licitud de incluir estas cláusulas. Sin embargo, la ley impone en estos casos un deber de información al proveedor relativo al derecho que asiste al consumidor de recusar. De esta manera, existiendo allí un deber legal de información para el proveedor, su infracción debiese sancionarse de acuerdo con el artículo 24 de la LPDC, ya que, si el legislador hubiese querido que la sanción aplicable fuese la declaración de abusividad, hubiese incluido la cláusula arbitral como una hipótesis más del artículo 16. En cambio, reguló la situación en el inciso segundo, fuera del listado. BIBLIOGRAFÍA Doctrina citada alessandri rodríguez, Arturo (2003): De la Compraventa y de la promesa de venta, t. II, vol. 2 (Santiago, Editorial Jurídica de Chile). barrientos caMus, Francisca (2019): Lecciones de derecho del consumidor (Santiago, Thomson Reuters). barrientos caMus, Francisca (2017): “El concepto de arbitrariedad del artículo 16 a) de la ley de consumo: análisis de los criterios judiciales que examina la cláusula de modificación unilateral”, en: Revista de derecho (Concepción) (vol. 85). barros bourie, Enrique (2020): Tratado de responsabilidad extracontractual, 2ª edición (Santiago, Editorial Jurídica de Chile). boestsch gillet, Cristián (2015): La buena fe contractual (Santiago, Ediciones UC). caMpos Micin, Sebastián (2018): “Sobre el poder-deber de declarar de oficio l a n ulidad d e cláusulas manifiestamente abusivas y su aplicabilidad en Chile”, en: Revista de Derecho y Consumo (núm. 1). cortéz lópez, Hernán (2018): “Delimitación del concepto de arbitrariedad a propósito de la facultad 55 Tapia y Valdivia (1999), p. 122-123 192 Revista de Derecho de la Universidad Católica de la Santísima Concepción Nº 38, 2021, pp. 175-195 del proveedor de modificar unilateralmente un contrato por adhesión: una labor de integración e interpretación”, en: Revista de Derecho y Consumo (núm. 1). De La Maza Gazmuri, Iñigo (2020): “Lex specialis: sobre el artículo 2º bis de la Ley 19.496”, en: Revista De Derecho Universidad De Concepción (vol. 247). Díaz de Valdés Haase, Macarena. (2020): “Nulidad de cláusulas abusivas en reservas, promesas de compraventa y compraventas suscritas por consumidores de viviendas comercializadas en verde”, en: Revista Chilena de Derecho privado (vol. 35). Fernández Fredes, Francisco (2003): Manual de Derecho Chileno de Protección al Consumidor (Santiago, LexisNexis) Gatica Rodríguez, María Paz y Morales Ortiz, María Elisa (2020): “El deber de profesionalidad como elemento determinante del est ndar de diligencia en el derecho del consumo”, en: Revista de Derecho de la Universidad Católica del Norte, en prensa. Hernández Paulsen, Gabriel, & Campos Micin, Sebastián (2021): “Funciones y alcance del control de incorporación, con especial referencia a la contratación de productos y servicios financieros”, en: Revista De Derecho (Valdivia) (vol. 34(1). Isler Soto, Erika (2014): “La causal de abusividad establecida en el artículo 16 letra a) de la LPDC”, en: Cuadernos de Análisis Jurídicos, Colección Derecho Privado (vol. VIII). Momberg Uribe, Rodrigo (2013a): “Artículo 1 Nº 1”, en: De La Maza Gazmuri, Iñigo; Pizarro Wilson, Carlos (Dirs.) y Barrientos Camus, Francisca (coord.), La protección de los Derechos de los consumidores. Comentarios a la ley de protección a los derechos de los consumidores (Santiago, Editorial Thomson Reuters). Momberg Uribe, Rodrigo (2013b): “Artículo 1 Nº 2”, en: De La Maza Gazmuri, Iñigo; Pizarro Wilson, Carlos (Dirs.) y Barrientos Camus, Francisca (coord.), La protección de los Derechos de los consumidores. Comentarios a la ley de protección a los derechos de los consumidores (Santiago, Editorial Thomson Reuters). Momberg Uribe, Rodrigo (2014): “Las cláusulas de modificación unilateral en los contratos de consumo”, en: Barrientos Camus, Francisca (coord.), Condiciones generales de la contratación y cláusulas abusivas, Cuadernos de Análisis Jurídicos. Colección de derecho privado VIII (Santiago, Ediciones Universidad Diego Portales). Momberg Uribe, Rodrigo (2019): “Leyes especiales y aplicación de la Ley N° 19.496 sobre protección de los derechos de los consumidores. Análisis de casos”, en: Morales Ortiz, María Elisa (Dir.) y Mendoza Alonzo, Pamela (Coord.), Derecho del Consumo: Ley, doctrina y jurisprudencia (Santiago, Der Ediciones). Momberg Uribe, Rodrigo, & Morales Ortiz, Maria Elisa. (2019): “Las cláusulas relativas al uso y tratamiento de datos personales y el artículo 16 letra g) de la Ley 19.496 sobre protección de los derechos de los consumidores”, en: Revista Chilena de derecho y tecnología (vol. 8, núm. 2). Morales Ortiz, María Elisa (2018): Control preventivo de cláusulas abusivas (Santiago, Der Ediciones). Morales Ortiz, María Elisa y Gatica Rodríguez, María Paz (2020): “Caso fortuito, protección al consumidor y deber de profesionalidad”, en: Idealex.press (en línea). Disponible en https://idealex.press/ caso-fortuito-proteccion-al-consumidor-y-deber-de-profesionalidad/ (fecha de consulta: 1 septiembre 2020). Morales Ortiz, María Elisa y Veloso Castillo, Franco (2019): “Cláusulas abusivas en la Ley Nº 19.496. Ley, doctrina y jurisprudencia”, en: Morales Ortiz, María Elisa (Dir) y Mendoza Alonzo, Pamela (Ed.), 193 Revista de Derecho de la Universidad Católica de la Santísima Concepción Nº 38, 2021, pp. 175-195 Derecho del Consumo: Ley, doctrina y jurisprudencia. (Santiago, Der Ediciones). Munita Marambio, Renzo (2020): “Comentario de sentencia de la Ilustrísima Corte de Apelaciones de Talca, de 29 de octubre de 2020, dictada en causa rol: 59-2020 Policía Local”, en: Lepin Molina, Cristian, Diario Jurisrpudencial, Noviembre 9/2020 (Valencia, Tirant Lo Blanch). Pinochet Olave, Ruperto (2013): “Modificación unilateral del contrato y pacto de autocontratación: dos especies de cláusulas abusivas a la luz del derecho de consumo chileno. Comentario a la sentencia de la Excma. corte suprema de 24 de abril de 2013 recaída en el ‘caso Sernac con Cencosud”, en: Ius et Praxis (vol. 19). Pizarro Wilson, Carlos y Petit Pino, Jean (2013): “Artículo 16 A)”, en: De La Maza Gazmuri, Iñigo; Pizarro Wilson, Carlos (Dirs.) y Barrientos Camus, Francisca (coord.), La protección de los Derechos de los consumidores. Comentarios a la ley de protección a los derechos de los consumidores (Santiago, Editorial Thomson Reuters). Tapia Rodríguez, Mauricio (2017): Protección de consumidores. Revisión crítica de su ámbito de aplicación (Santiago, Rubicón). Tapia Rodríguez, Mauricio y Valdivia Olivares, José Miguel (1999): Contrato por adhesión Ley no 19.496 (Santiago, Editorial Jurídica de Chile). Walker Silva, Nathalie (2021): “Artículo 50 A”, en: De la Maza Gazmuri, Iñigo; Pizarro Wilson, Carlos y Barrientos Camus, Francisca (Dirs.), La protección de los Derechos de los consumidores. Comentarios a la ley de protección a los derechos de los consumidores (Santiago, Editorial Thomson Reuters). Normativa citada Decreto con Fuerza de Ley Nº 458, aprueba nueva Ley General de Urbanismo y Construcciones, de 13 de abril de 1976. Ley Nº 19.472, modifica el D.F.L. Nº 458, de 1975, Ley General de Urbanismo y Construcciones, estableciendo normas relativas a la calidad de la construcción, de 04 de septiembre de 1996. Ley Nº 19.496, establece normas sobre protección de los derechos de los consumidores, de 07 de marzo de 1997. Ley Nº 20.416, fija normas especiales para las empresas de menor tamaño, de 03 de febrero de 2010. Ley Nº 21.081, modifica la ley Nº 19.496, sobre protección de los derechos de los consumidores, de 13 de septiembre de 2018. Jurisprudencia citada Raúl Vergara Tello con Importadora y Exportadora V. Textil Ltda (2009): Corte de Apelaciones de Antofagasta, de 25 de septiembre de 2009, rol 101-2009. Servicio Nacional del Consumidor con Inmobiliaria las Encinas de Peñalolén S.A (2014): Corte de Apelaciones de Santiago, de 3 de junio de 2014, rol 8281-2013. Servicio Nacional del Consumidor con Inmobiliaria Las Encinas (2015): Corte Suprema, de 09 de noviembre de 2015, rol 23092-2014. Servicio Nacional del Consumidor con Constructora Santa Beatriz (2017): 17º Juzgado Civil de Santiago, de 27 de enero de 2017, rol C-15092-2014. 194 Revista de Derecho de la Universidad Católica de la Santísima Concepción Nº 38, 2021, pp. 175-195 Servicio Nacional del Consumidor con Constructora Santa Beatriz (2018) Corte de Apelaciones de Santiago, de 07 de septiembre de 2018, rol 8261-2017 Servicio Nacional del Consumidor con Socovesa S.A. y otra (2020): 28o juzgado civil de Santiago, de 2 de octubre de 2018, rol 1333-2014; confirmada por Corte de Apelaciones de Santiago, de 7 de mayo de 2020, rol 16.078-2020. Miranda con Inmobiliaria Independencia S.A (2020): Corte de Apelaciones de Talca, de 29 de octubre de 2020, rol 59-2020. Myriam Soto Martínez con Inmobiliaria Town Houses Maipú SpA (2021): Corte de Apelaciones de Santiago, de 27 de enero de 2021, rol 491-2019. Sentencia del Tribunal de Justicia de la Union Europea, ECLI:EU:C:2013:164, de 14 de marzo de 2013. 195.
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Comparative Analysis of Curcuma longa Rhizome and Tectona grandis Leaves Extracts as Green Indicators versus some Synthetic Indictors in Acid-Base Titration
Kaana Asemave
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Comparative Analysis of Curcuma longa Rhizome and Tect grandis Leaves Extracts as Green Indicators versus some Synthetic Indictors in Acid-Base Titration Kaana Asemave*, Agube Solomon Shiebee Department of Chemistry, Benue State University, Makurdi – Nigeria *Corresponding author: Kaana Asemave, Dept. Chemistry, Benue State University, Makurdi- Nigeria, +234(0)8106331881 & kasemave@bsum.edu.ng Department of Chemistry, Benue State University, Makurdi – Nigeria ABSTRACT: The work considered comparative analysis of CRI (Curcuma longa rhizome extract indicator) and TLI (Tectona grandis leaves extract indicator) as green indicators versus some synthetic indicators in acid – base titration involving HCl-NaOH, CH3COOH-NaOH, CH3COOH -NH4OH, and HCl-NH4OH. The codes used were SA (strong acid), SB (strong base), WA (weak acid) and WB (weak base). 10 mL of the base with three drops of the CRI, TLI, MO (methyl orange), and PL (phenolphthalein) were used. Prior to the titrations, the extracts of Curcuma longa rhizome and Tectona grandis leaves were tested for their colours in acidic and basic media. Also, the UV-visible absorptions of the extracts were determined. There were sharp colours of yellow (for CRI) and red (for TLI) in acid and brown (for CRI) and black (for TLI) in base media. Meanwhile, CRI absorbed (absorbance of 0.83-0.85) substantially at 400-450 nm, but gave lesser absorption at 500-800 nm with absorbance of 0.55-0.24. On the other hand, TLI was found with higher absorbance (0.09) at 400 nm and lesser absorption (absorbance ~0.04) at 720 nm. The titre values of 10.95±0.95 mL (SA-SB), 13.75±0.15 mL (WA-SB), 2.15±0.15 mL (WA-WB), 1.85±0.05 mL (SA-WB) and 11.70±0.3 mL (SA-SB), 13.45±0.45 mL (WA-SB), 2.15±0.05 mL (WA-WB), 2.20±0 mL (SA-WB) were obtained for CRI and TLI, respectively. The results matched with the values 12.25±0.15 mL (SA-SB), 13.90±0.7 mL (WA-SB), 2.10±0.2 mL (WA-WB), and 3.00±0.6 mL (SA-WB) of PL and MO, respectively. It will be beneficial to us to replace the use of MO and PL as indicators with CRI and TLI, because these green indicators are more benign and also effective. This will facilitate the eradication of toxicity accruing from synthetic indicators, MO and PL. In the future, we are looking out to determining the pKa and stability of these natural indicators. KEYWORDS: Green acid-base indicators, Synthetic indicators, Toxicity, Curcuma longa, Tectona di KEYWORDS: Green acid-base indicators, Synthetic indicators, Toxicity, Curcuma longa, Tectona grandis grandis Received: 26 December 2021, Revised: 06 February 2022, Accepted: 18 February 2022, Online: 28 February 2022 DOI: https://dx.doi.org/10.55708/js0101005 Journal of Engineering Research and Sciences, 1(1): 51-55, 2022 1. Introduction institutions of human facet. In such a manner, the overdependence on petroleum (a finite resource) for myriads of raw materials for our industries and allied purposes can be substantially shifted to renewable source. In view of this, there has been high quantum of surge about sourcing/ deriving chemicals from plant-based origin [2–9]. More recently, Green Chemistry has also underscored the need for sustainable development, which partly provides the use of benign and renewable materials instead petrochemicals [10]. In a nutshell, the derivation of This There is dearth of basic science teaching materials in most undeveloped worlds because of high cost of such reagents and chemicals. Thus, it has become imperative that ardent scientists look out for possible improvisation of science teaching materials and reagents so as to maintain science knowledge dissemination for overall growth and development of mankind [1]. Furthermore, the natural resources, plants are ever thought to be vast and viable reservoir from which human can derived arrays of feedstock in addition to food for numerous in Journal of Engineering Research and Sciences, 1(1): 51-55, 2022 51 K. Asemave et al., Comparative Analysis of Curcuma longa products from biomass entails overall reduction in environmental pollution for better wellbeing of humanity. products from biomass entails overall reduction in environmental pollution for better wellbeing of humanity. indicators were attested to be a very useful, economical, simple, accurate, and eco-friendly [15]. According to the results obtained from acid-base titrimetric analysis with plant (Tagetes Erecta, Impatiens Balsamina, and Tecoma stans) indicators, the tire values of these green indicators were insignificantly different from the synthetic counterparts [12]. However, rosa double delight flower did not give colour change for neither SA-SB nor WA-WB titration [12]. Other plants too, such as; daffodils, daisies, dandelions, marigolds, and mums (yellow) do not effectively give indicator properties [14]. In the titration of 0.1 M HCl – 0.1 M NaOH; 24.75±0.16 mL, 24.60 ± 0.32 mL, 24.70 ±0.23 mL, 24.55 ±0.21 mL, 24.65±0.18 mL, 24.60±0.17 mL, and 24.70±0.14 mL titre values were obtained for Bougainvillea, Oleander, Flamboyant, Chinese rose, Pumpkin, Dutchman’s pipe, and phenolphthalein, respectively [1]. In this study we report comparative analysis of CRI (Curcuma longa rhizome extract indicator) and TLI (Tectona grandis leaves extract indicator) as natural/ green indicators versus some synthetic indicators in acid-base titration. The results have importance in teaching of chemistry and science at large. 1. Introduction It would also facilitate teachers’ interest toward improvisation of teaching / learning material and learners’ capacity for solving problems. Now, one important classical reagent used in acid-base titrations is indicator. Indicators are usually added in small quantity to a solution to determine the acidity or alkalinity of the solutions [11]. Most of the pH indicators are weak organic acids or bases, which have tendency to accept or donate electrons. They are supposed to exhibit distinct coloration in acid, base, or neutral medium. In that way they will be effective for the detection of end point in acid-base titration [1,11]. Unfortunately, nowadays commonly used indicators are expensive and shows some toxic and hazardous effect [12 - 13]. Thus, we need to look out for indicators from natural sources in order to avoid unwanted deleterious effects of synthetic indicators. In fact, commonly used synthetic indicators have some harmful effects which are oftentimes ignored. For example, a commonly used indicator phenolphthalein has carcinogenic properties which may cause ovarian cancer. Methyl orange causes local skin destruction or dermatitis. Also, the repeated exposure of the methyl orange will impart lung damage and also eye irritation. Methyl red is capable of causing cancer and neurological disorder. Therefore, these indicate the harmful effects of the synthetic indicators to human, and the environment in general. More so, because of these unwanted and toxic effects of synthetic indicators, there has been high advocacy for natural/ green acid-base indicators [12]. These natural indicators should be easily available, easy to prepare, simple to extract out, less toxic, inexpensive, and eco-friendly [12 - 13]. Again, coloured flower/ plants have potentials as natural indicators due to the presence of anthocyanin, quinine, flavones, flavonoid etc [12]. Besides, intense/sharp colour is desirable so that very little quantity of indicator is used; the volume of the indicator itself should not affect the pH of the solution [11 - 12]. 2.1. Materials/ Apparatus/ Reagents 100 mL beakers, mortar and pestle, measuring cylinder, 50 mL burette, 20 mL pipette, 100 mL conical flask, 1000 mL volumetric flask, funnel, white tile, clamp. Distilled water, 0.1 M hydrochloric acid, 0.1 M acetic acid, 0.1 M sodium hydroxide, 0.1 M ammonium hydroxide, UV-1800 Shimadzu UV-Visible spectrophotometer. In addition, 5.748 mL (CH3COOH), 5.86 mL (NH4OH), and 8.7 6 mL (HCl) were separately transferred into 1000 mL volumetric flask and enough distilled water was added to mark to give a stock solution of 0.1 M CH3COOH, 0.1 M NH4OH, and 0.1 M HCl, respectively. Whereas 0.1 M NaOH was prepared by dissolving 4 g of NaOH pellets in 500 mL beaker using distilled water and was transferred in 1000 mL volumetric flask and enough distilled water was added to mark. Therefore, natural fruits, vegetable, and flower indicators; apple skin, beets, blueberries, cabbage (red), cherries, cranberries, red or purple grapes, onions red, peaches, plums, radish skin, rhubarb skin, strawberries, tomato leaves, turnip skin dahlias, daylilies, geraniums, hibiscus, hollyhocks, hydrangeas, blue iris, morning glories, mums (purple), pansies, peonies, petunias, poppies, roses (red, pink), violets etc [14] have come onboard. Turmeric has also been demonstrated in the past as natural indicator. Main indicator characteristic compound of turmeric is curcumin. In acidic solution (pH < 7.4) it turns yellow, whereas in basic (pH >8.6) solution it shows bright red [13]. Other constituent present are volatile oils including turmerone, atlantone and zingiberone, sugars, proteins, and resins [13]. In [15], Euphorbia mili, Erythrina varigata, and Nelumbo nucifera methanolic and aqueous extract were positively used as acid-base indicator in titrations [15]. These green 2.2.2. Sample Preparation and Extraction About 30 g of the Curcuma longa rhizome and Tectona grandis leaves were washed and rinsed with distilled water to remove dirt. The rhizome of Curcuma longa and Tectona grandis leaves were separately triturated in mortar and about 5 g each transferred into 100 mL beakers. 20 mL of distilled water was added into each sample and left for 4 h for effective extraction. Thereafter, the mixture was filtered using whatman filter paper No.41 and the filtrates then collected into indicator bottles for the research work as similarly reported [1, 13]. Figure 2: Colour change of the indicators in acidic and basic solution (A = CRI in acid (yellow); B = CRI in base (brown); C = TLI in acid (red); and D = TLI in base (black)) Figure 1: Curcuma longa rhizome and Tectona grandis leaves Figure 1: Curcuma longa rhizome and Tectona grandis leaves 3.2. Results of the Acid- Base Titration Analysis 0.1 M acid was titrated against 10 mL 0.1 M base using 3 drops of the indicator (synthetic and natural). Different acid-base combinations (HCl/NaOH, CH3COOH/NaOH, CH3COOH/NH4OH and HCl/NH4OH) were adopted. The titrimetry result using natural indicators (CRI and TLI) and some synthetic indicators are shown in the Table 1 as follows. The titre values obtained with the CRI and TLI were similar to those of the synthetic indicators. Different acid-base combinations (HCl-NaOH, CH3COOH-NaOH, HCl-NH4OH, and CH3COOH- NH4OH) were employed during the titrations. 3.1. Colour Results for CRI and TLI in different Media For the titration involving HCl-NaOH, it was found that the titre values of 10.95±0.95 mL and 11.70±0.3 mL for CRI and TLI, respectively were similar to that of PL (12.25±0.15 mL) as indicated in Table 1. In addition, for the SA -SB titration, there was colour change of the solution from pink to colourless for PL. Using CRI in the titration, brown to yellow colouration change was observed. Meanwhile, black to red change in colour was shown during the titration of the SA-SB with the usage of TLI. The extracts from Curcuma longa rhizome and Tectona grandis leaves were found to show different colours in acidic and basic solutions. The products, CRI gave different sharp colours in acid (yellow) and base (brown). Whereas, TLI produced black colour in base and red colour in acid (see Figure 2). This then become a potential as previously demonstrated, for their ability as indicators in acid-base titration. In [15], it was observed that many natural products around us like turmeric, mangosteen skin, and purple cabbage can be used as indicator of acid and base because these materials give a different color in acid, alkali, and neutral media. In addition, the UV-visible absorptions of the extracts were carried out between 300-800 nm. Higher absorption of UV-visible radiation for the CRI was found at 400-450 nm with absorbance of 0.83-0.85 and less absorption was found at 500-800 nm with absorbance of 0.55-0.24. For TLI, the λmax for the TLI was found at 400 nm with absorbance of 0.09 and lesser absorption was found at 720 nm with absorbance slightly above 0.04. Compounds that can absorbed in this region of the UV- visible radiation are conjugated and aromatic compounds. Similarly, in the titration of WA-SB, the titre values of 13.75±0.15 mL, 13.90±0.7 mL, and 13.45±0.45 mL were obtained for CRI, PL, and TLI, respectively. All the indicators used (natural and synthetic) gave titre values that are absolutely comparative to one another. CRI changed from brown to yellow; whereas the TLI indicator showed black colour that changed into red during the WA-SB titration. Then PL produced colouration change of pink to colourless (find the details in Table 1). It was also reported in [13] that turmeric and PL produced endpoint values of 8.0 ±0.2 mL and 7.5 ± 0.02 mL in the course of titration of HCl -NaOH [13]. 2.2.1. Sample Collection and Identification Curcuma longa (turmeric) rhizome and Tectona grandis (teak) (see Figure 1 below) were collected from Makurdi municipal area of Benue State -Nigeria. The samples were subsequently identified by Mr. J. I. Wenga of the Dept. Biological Science, Benue State University, Makurdi - Nigeria. Journal of Engineering Research and Sciences, 1(1): 51-55, 2022 52 www.jenrs.com K. Asemave et al., Comparative Analysis of Curcuma longa Hence, curcumin, flavonoids, flavonols, anthocyanins, quinines, quinones, and carotene are likely present in these extracts as previously established [12]. Hence, curcumin, flavonoids, flavonols, anthocyanins, quinines, quinones, and carotene are likely present in these extracts as previously established [12]. Figure 1: Curcuma longa rhizome and Tectona grandis leaves Figure 2: Colour change of the indicators in acidic and basic solution (A = CRI in acid (yellow); B = CRI in base (brown); C = TLI in acid (red); and D = TLI in base (black)) 3.1. Colour Results for CRI and TLI in different Media In same vein, titre values obtained in [12] for the natural indicator from Tagetes erecta in HCl – NaOH and CH3COOH-NH4OH titration; 8.0 mL and 10.8mL, respectively; were quite same as those found with MO (8.2 mL and 11.2 mL, respectively) and PL (8.0 mL and 11.2mL, respectively) [12]. The results have shown that CRI and TLI can supplant MO and PL as indicators in acid-base titration. This is also in conformity to the pursuit of green chemistry advancement of the reduction of environmental pollution and use of renewable materials at least [10, 17–21]. mL) during the titration of HCl-NaOH. According to the report in [11], titre values of 11.0± 0.155 mL and 11.1±0.154 mL for MO and vinca flower extract indicators, respectively were observed for HCl-NaOH titration. Whereas, for HCl-NH4OH, the titre values were found as 4.2±0.118 mL and 4.2±0.106 mL for PL and vinca flower extract indicators, respectively [11]. In same vein, titre values obtained in [12] for the natural indicator from Tagetes erecta in HCl – NaOH and CH3COOH-NH4OH titration; 8.0 mL and 10.8mL, respectively; were quite same as those found with MO (8.2 mL and 11.2 mL, respectively) and PL (8.0 mL and 11.2mL, respectively) [12]. The results have shown that CRI and TLI can supplant MO and PL as indicators in acid-base titration. This is also in conformity to the pursuit of green chemistry advancement of the reduction of environmental pollution and use of renewable materials at least [10, 17–21]. In this work again, it can be seen that in WA-WB titration, TLI showed black colour that turned into red at the end of the titration with the titre value of 2.15±0.05 mL. This titre value was relatedly similar to that of 2.10±0.2 mL (in PL) and 2.15±0.15 mL (in CRI). The titrimetric colour change of CRI was from brown to yellow, while PL colour change was still pink to colourless. Furthermore, the titre values obtained for the titrations of SA-WB were 3.00±0.6 mL, 1.85±0.05 mL, and 2.20±0 mL for MO, CRI, and TLI, respectively. The titre values of the natural indicators coincided to that of MO (synthetic and common indicator) yet again. The MO colour change was yellow to red. Brown to yellow change in colour was shown for CRI; whereas, TLI was from black to red as shown in Table 1 and Figure 2. 3.1. Colour Results for CRI and TLI in different Media The results have shown that the bioderived materials, CRI and TLI are efficient and effective for use as acid-base indicators in comparison to MO and PL. In comparison to other researchers, we have seen higher titre values for the titrations involving WA-WB and SA-WB than the ones found in this report. This is likely due to misjudgments of the colour change before the actual endpoint. However, most of previous studies also reported that both synthetic and natural/ green indicators can give similar results, hence green indicators are suitable enough to replace synthetic ones where applicable. 3.1. Colour Results for CRI and TLI in different Media Journal of Engineering Research and Sciences, 1(1): 51-55, 2022 53 K. Asemave et al., Comparative Analysis of Curcuma longa Table 1: Comparison of the titrimetric titre values for some synthetic and natural indicators Acid- base Titre value for PL or MO/ mL Colour change for PL/ MO Titre value for CRI/ mL Colour change for CRI Titre value for TLI/ mL Colour change for TLI Literature titre values mL [16] SA-SB 12.25±0.15(PL) Pink to colourless 10.95±0.95 Brown to yellow 11.70±0.3 Black to red 8.97 ± 0.0577* 8.87 ± 0.0577 (PL) * WA-SB 13.90±0.7 (PL) Pink to colourless 13.75±0.15 Brown to yellow 13.45±0.45 Black to red 12.23 ± 0.0577* 12.07 ± 0.0577 (PL)* WA-WB 2.10±0.2 (PL) Pink to colourless 2.15±0.15 Brown to yellow 2.15±0.05 Black to red - - SA-WB 3.00±0.6 (MO) Yellow to red 1.85±0.05 Brown to yellow 2.20±0 Black to red 15.17 ± 0.0577* 14.57 ± 0.0577(PL) * SA-SB (strong acid -strong base) = HCl-NaOH, WA-SB (weak acid – strong base) = CH3COOH-NaOH, WA-WB (weak acid – weak base) = CH3COOH-NH4OH, and SA-WB (strong acid – weak base) = HCl- NH4OH; PL= phenolphthalein indicator, MO= methyl orange indicator, CRI = Curcuma longa Rhizome extract Indicator, and TLI = Tectona grandis Leaves extract Indicator. The titre values are mean of triplicate titrations ± the standard deviations. * literature titre values for Bougainvillea glabra green indicator in [16]. Table 1: Comparison of the titrimetric titre values for some synthetic and natural indicators SA-SB (strong acid -strong base) = HCl-NaOH, WA-SB (weak acid – strong base) = CH3COOH-NaOH, WA-WB (weak acid – weak base) = CH3COOH-NH4OH, and SA-WB (strong acid – weak base) = HCl- NH4OH; PL= phenolphthalein indicator, MO= methyl orange indicator, CRI = Curcuma longa Rhizome extract Indicator, and TLI = Tectona grandis Leaves extract Indicator. The titre values are mean of triplicate titrations ± the standard deviations. * literature titre values for Bougainvillea glabra green indicator in [16]. mL) during the titration of HCl-NaOH. According to the report in [11], titre values of 11.0± 0.155 mL and 11.1±0.154 mL for MO and vinca flower extract indicators, respectively were observed for HCl-NaOH titration. Whereas, for HCl-NH4OH, the titre values were found as 4.2±0.118 mL and 4.2±0.106 mL for PL and vinca flower extract indicators, respectively [11]. 7. References [20] K. Asemave, F. Byrne, T. J. Farmer, J. H. Clark, and A. J. Hunt, “Rapid and efficient biphasic liquid extraction of metals with bio- derived lipophilic β-diketone,” RSC Adv., vol. 6, no. 98, 2016, doi: 10.1039/C6RA24104B. [1] M. D. Garba and S. Abubakar, “Flower Extract As An Improvised Indicator In Acid – Base Titration,” Chemsearch J., vol. 3, no. 1, pp. 17–18, 2012. [21] K. Asemave, “Greener Chelators for Recovery of Metals and Other Applications,” Org. Med. Chem. Int. J., vol. 6, no. 4, pp. 001–011, 2018, doi: 10.19080/OMCIJ.2018.06.555694. [2] K. Asemave, “Bioactivity of Arachis Hypogaea Shell Extracts against Staphylococcus aureus and Pseudomonas aeruginosa,” Prog. Chem. Biochem. Res., vol. 4, no. 3, pp. 331–336, 2021, doi: 10.22034/PCBR.2021.290653.1190. [3] K. Asemave and S. A. Ujah, “Determination of the Chemical Composition of Banana Leaves Wax,” Int. J. Appl. Sci. Curr. Futur. Res. Trends, vol. 11, no. 1, pp. 23–30, 2021. Copyright: This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY-SA) license (https://creativecommons.org/licenses/by-sa/4.0/). [4] K. Asemave and D. Ayom, “Assessment of Azadirachta indica and Moringa oleifera Leaves Powders as Alternative Coagulants for Water Purification,” Int. J. Appl. Sci. Curr. Futur. Res. Trends, vol. 11, no. 1, pp. 13–22, 2021. KAANA ASEMAVE has bagged his B.Sc. (2006) Chemistry from University of Maiduguri-Nigeria, M.Sc. (2012) Inorganic Chemistry from Benue State University, Makurdi-Nigeria and PhD (2016) Chemistry (Green Chemistry) from University of York, UK. [5] K. Asemave and S. S. Ode, “Proximate and Antinutritional Analyses of Seed, Pulp and Peel of Aframomum angustifolium (Sonn.) K. Schum,” Org. Med. Chem IJ, vol. 7, no. 4, pp. 001–005, 2018, doi: 10.19080/OMCIJ.2018.07.555720. [6] K. Asemave, “Biobased Lipophilic Chelating Agents and their Applications in Metals Recovery,” University of York, UK, 2016. [7] J. R. Dodson et al., “Bio-derived materials as a green route for precious & critical metal recovery and re-use,” Green Chem. (RSC), pp. 1–15, 2015, doi: 10.1039/C4GC02483D He works with the Department of Chemistry, Benue State University, Makurdi-Nigeria as far back as 2009. He has carried out many integrated researches in chemistry; in the area of Inorganic, Organic, and Physical Chemistry. Most recently he has been keen in Green/ Sustainable Chemistry. That has led to his development of bio-derived lipophilic metal ions chelators. The authors declare no conflict of interest. The authors declare no conflict of interest. The authors declare no conflict of interest. K. Asemave et al., Comparative Analysis of Curcuma longa Int. J. Res. Dev., vol. 3, no. 12, pp. 138–143, 2018. titre values of 12.25±0.15 mL (SA-SB), 13.90±0.7 mL (WA- SB), 2.10±0.2 mL (WA-WB); and 3.00±0.6 mL (SA-WB) of the synthetic indicators PL and MO, respectively. Thus, since these green indicators are effective, easily available, easy to prepare, less toxic, inexpensive, and eco-friendly it would be possible to replace the MO and PL indicators in conventional laboratories with CRI and TLI as much as possible. This will also facilitate the eradication of environmental toxicity accruing from synthetic indicators. pp [14] “Flinn Scientific. Natural Indicators,” 2016. https://www.flinnsci.com/api/library/Download/75bfca43b 9da4346a173bf3ac21fd68a [15] S. H. Burungale and A. V. Mali, “Natural indicator as a eco-friendly in acid base titration,” J. Chem. Pharm. Res., vol. 6, no. 5, pp. 901– 903, 2014. [16] N. Kapilraj, S. Keerthanan, and M. Sithambaresan, “Natural Plant Extracts as Acid-Base Indicator and Determination of Their pKa Value,” HindawiJournal Chem., 2019, doi: 10.1155/2019/2031342. [17] K. Asemave and E. Thank-God Ocholongwa, “Archives of Chemistry and Chemical Engineering Investigation of the Alternative Green Procedure for Lassaigne’s Test (Quantitative focus),” 2019, https://escientificpublishers.com/assets/data1/images/ACCE-01- 0007.pdf The authors are highly indebted to the members of the Dept. Chemistry, Benue State University, Makurdi for their immense and various contribution toward the success of the research. [19] K. Asemave, “Comparative Analysis of Soap made from different composition of Mango Kernel Oil and Coconut Oil with two other Commercial Soaps,” Chem. Res. J., vol. 6, no. 3, pp. 75–83, 2021. Journal of Engineering Research and Sciences, 1(1): 51-55, 2022 4. Conclusion The work considered the comparative analysis of CRI and TLI as natural/ green indicators versus some synthetic indicators in acid – base titration. Prior to the titration experiments, CRI and TLI were tested for their peculiar colours in acidic and basic media. Therefore, sharp colours of yellow (for CRI) and red (for TLI) in acid and brown (for CRI) and black (for TLI) in base media were obtained. More so, the substantial absorption in the UV-Visible region highly implicated the presence of curcumin, flavonoids, flavonols, anthocyanins, quinines, quinones, and carotene in these natural materials, CRI and TLI. Thus, the titre values of 10.95±0.95 mL (SA-SB), 13.75±0.15 mL (WA-SB), 2.15±0.15 mL (WA-WB), 1.85±0.05 mL (SA-WB); and 11.70±0.3 mL (SA-SB), 13.45±0.45 mL (WA-SB), 2.15±0.05 mL (WA-WB), 2.20±0 mL (SA-WB) were obtained using the natural indicators CRI and TLI, respectively. The results matched or coincided with the More so, the trend of our results agreed with other investigators that did work on natural/ green indicators [1, 11-12,16]. For instances, the titrimetric titre values obtained in [16] using Bougainvillea glabra extracts indicator in WA-SB titration was 12.23 ± 0.0577 mL; and 12.07 ± 0.0577 mL with PL in same experiment [16]. In another development, the findings in [1] obtained the endpoint value for flamboyant extract indicator as 24.70±0.23 mL which was also similar to the PL (24.70±0.14 Journal of Engineering Research and Sciences, 1(1): 51-55, 2022 54 www.jenrs.com K. Asemave et al., Comparative Analysis of Curcuma longa 6. Acknowledgment [18] K. Asemave, T. P. Tarhemba, and G. O. Obochi, “Evaluation of Some Nutritional Profile of Pineapple (Ananas comosus (L.) merr) Rinds,” Int. J. Green Herb. Chem., vol. 9, no. 1, pp. 026–037, 2019, doi: 10.24214/IJGHC/HC/9/1/02637. The authors are highly indebted to the members of the Dept. Chemistry, Benue State University, Makurdi for their immense and various contribution toward the success of the research. 7. References In addition, he is a member of the ACE – African Higher Education Centres of Excellence project at the Benue State University, Makurdi- Nigeria for developing sustainable ways in postharvest management of farm produce amongst others. Thus, he is inclined to bio-derived chemicals and green chemical processes for sustainable development. He has over 60 publications. [8] K. Asemave and T. T. Anure, “The bioactivities of the neem (seeds, leaves and their extracts) against Callosobruchus maculatus on Vigna Subterranean L,” Prog. Chem. Biochem. Res., vol. 2, no. 3, pp. 92–98, 2019, doi: 10.33945/SAMI/PCBR.2019.3.2. [9] K. Asemave and T. A. Asemave, “African Shea Butter as a Staple and Renewable Bioproduct,” Int. J. Sci. Res., vol. 4, no. 12, pp. 2133– 2135, 2015, doi: 10.21275/v4i12.nov152415. [10] T. T. Philip, K. Asemave, and G. Obochi, “Comparative Assessment of Phytochemicals in Four (4) Varieties of Ananas Comosus (l.) Merr Peels,” Prog. Chem. Biochem. Res., pp. 1–10, 2020, doi: 10.22034/PCBR.2020.240534.1111. [11] S. U. Kokil, D. G. Joshi, and R. L. Jadhav, “Catharanthus Roseus Flower Extract As Natural Indicator In Acid Base Titration, 2007” http://www.articlesbase.com/science [12] S. Garg, A. Garg, P. Shukla, J. Mathew, D. Vishwakarma, and S. Sen, “Investigation Of Plant Source As Natural Indicators For Acid Base Titration To Reduce The Use Of Harmful Chemicals In Some Extent,” IJBPAS, January, vol. 7, no. 1, pp. 64–70, 2018. [13] N. B. Patil, A. A. Patil, K. B. Patil, and M. N. Wagh, “A Natural Indicator From Rhizomes Of Curcuma Longa (Turmeric),” EPRA Journal of Engineering Research and Sciences, 1(1): 51-55, 2022 55 Journal of Engineering Research and Sciences, 1(1): 51-55, 2022 www.jenrs.com www.jenrs.com
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The impact of idiosyncratic volatility on the investors' herd behavior in the Chinese Stock Market
Khalil NAIT BOUZID
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International Journal of Strategic Management and Economic studies (IJSMES) ISSN: 2791-299X The impact of idiosyncratic volatility on the investors’ herd behavior in the Chinese Stock Market Dr. Khalil NAIT BOUZID Central University of Finance and Economics (CUFE), School of Finance, Beijing, China Abstract: This study provides a comprehensive study of herding behavior in the Chinese Stock Market using the cross-sectional absolute deviation of returns method (CSAD) proposed by (Chang et al., 2000), which captures the non-linearity relationship between the dispersion of individual returns and market return. According to (Christie & Huang, 1995) and (Chang et al., 2000), in a stock market, herding behavior occurs when individual returns begin to converge towards the consensus of the market, leading to a decrease in the dispersion of stock return from the market return. More particularly, this study inspects the impact of idiosyncratic volatility on the investors’ herd behavior in the Chinese Stock Market by delving deeper into the nature of herding and its asymmetric effect under extreme market conditions and at various stages of idiosyncratic volatility, as well as herding frequency and its asymmetric effect in increasing and falling markets. The results of this study indicate that idiosyncratic volatility is an essential component and determinant of herding conduct. The findings indicate that herding occurs in the Chinese stock market, and exhibits diverse patterns under different equity portfolios according to the levels of idiosyncratic volatility as well as the market trend, and that investment behavior tends to be different during three sub- periods. Moreover, the findings document that Financial Crisis period increases herding, especially within stock portfolios with higher idiosyncratic volatility. Keywords: Herding Behavior, Idiosyncratic Volatility, Portfolio Construction, Chinese Stock Market, CSAD, Sub-period Analysis. Digital Object Identifier (DOI): https://doi.org/10.5281/zenodo.7250179 Published in: Volume 1 Issue 2 This work is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License. http://www.ijsmes.com 1. Introduction The dynamics of the financial markets have become a real challenge for most of the researchers. The financial markets are still puzzling and almost defy all conventional asset pricing models, particularly during severe turbulent events, despite thorough studies in explaining the asset price movement. The conventional asset pricing theory, in which the “Capital Asset Pricing http://www.ijsmes.com 483 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X Model (CAPM)” is the most well-known mainstream finance model, has demonstrated weakness in describing fluctuations in asset prices and the instability of excess returns on financial markets following the aftermath of global financial crises and market turbulence. Indeed, when the traditional financial concepts fail to explicate the asset price movements, scholars are more liable to find answers in the behavioral finance theory. Model (CAPM)” is the most well-known mainstream finance model, has demonstrated weakness in describing fluctuations in asset prices and the instability of excess returns on financial markets following the aftermath of global financial crises and market turbulence. Indeed, when the traditional financial concepts fail to explicate the asset price movements, scholars are more liable to find answers in the behavioral finance theory. Behavioral finance is a modern way of looking at the stock market that has established more practical and rational reasons for market volatility based on a blend of social and cognitive psychological theory with conventional economics and finance in response to difficulties faced by the traditional paradigm. “The behavioral theory explanation assumes that investors' reaction to events fuelling market variation is more influential than the events themselves” (Litimi et al., 2016). In other words, as argued by (Jyoti Kumari, 2015), the volatile emotions and beliefs of the investors play a significant role to predict the future volatility. In the same line, (BenSaïda, 2017) assume that the driving force of the excessive market volatility in the U.S. Stock Market is essentially the investors' trading behavior, more particularly, the behavior of herd. According to the classical asset pricing models, an investor can only bear the systematic risk, also called market risk, and can only mitigate the firm-specific risk, also called idiosyncratic volatility risk, through portfolio diversification. While, idiosyncratic volatility can be lessened in a well-diversified portfolio, investors may still care about the “unsystematic risk” of the financial assets that they hold. http://www.ijsmes.com 1. Introduction By the reason of wealth constraints or by subjective choices, many investors do not hold diversified portfolios (Xu & Malkiel, 2003). As a consequence, undiversified investors claim compensation to endure the idiosyncratic volatility risk (Merton, 1987). Moreover, (Levy, 1978) contends that the idiosyncratic volatility plays a critical role in determining the asset price equilibrium when investors hold few stocks in their stock portfolios. (Malkiel & Xu, 2006) confirm that higher idiosyncratic volatility portfolios have higher average returns because investors who are unable to maintain a completely diversified portfolio want return compensation. (Spiegel & Wang, 2005) confirmed the latter argumentations by finding a positive relationship at the firm level between expected returns and expected idiosyncratic volatility. There is a growing study that has paid considerable attention to the phenomena of idiosyncratic volatility and has provided theoretical and empirical evidence that idiosyncratic volatility matters (Campbell et al., 2001); (Malkiel & Xu, 2006), and should be priced and included in the financial asset pricing models. Therefore, one can argue that the idiosyncratic volatility has a price (Ang et al., 2006); (Ang et al., 2009); (Bali & Cakici, 2009) and (Campbell et al., 2001). Therefore, the particular risk of the securities they hold is still of interest to investors. That is to say, idiosyncratic volatility still necessitates further study in academic research. Furthermore, when undiversified investors face the risk of information scarcity, the idiosyncratic volatility of their stocks increases and the herding behavior occurs. Non- transparency, according to (Bikhchandani et al., 1992), is one of the key factors that contributes to herding. As a consequence, a better understanding of the relationship between idiosyncratic volatility and herd behavior is needed and recommended. In a broader sense, herd behaviour is a concept used in economics and finance to characterize a mechanism in which market participants ignore their own values in order to mimic each other's opinions, emotions, and behaviors, and base their decisions on the actions of other http://www.ijsmes.com 484 ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X investors (Spyrou, 2013). According to (Bikhchandani & Sharma, 2001), herding behavior emerges from a noticeable desire by investors to replicate the behavior of other investors. (Nofsinger & Sias, 1999) define the “herding behavior as a group of investors who trade in the same direction over a period of time. 1. Introduction (Hwang & Salmon, 2004) describe the herding behavior as a form of harmonized and homogenous behavior”. (Avery & Zemsky, 1998) define the herd as the process by which investors suppress the initial valuation and act in accordance with the trend in the preceding trade. This study defines herding behavior as the process whereby individual investors exhibit a mimicking behavior of the actions of others and a preference for compatibility with the market consensus (Devenow & Welch, 1996); (Galariotis et al., 2015); (Galariotis et al., 2016) and (Indārs et al., 2019). The institutional characteristic of the Chinese Stock Market, in which the study examines herding behavior in both the Shanghai Stock Exchange (S.H.S.E) and Shenzhen Stock Exchange (S.Z.S.E), plays a crucial role for the first pillar motivation of this study. The Chinese Stock Market's unique macro/micro-structure features yield an important background for the investigation of investor herding behavior. In recent years, the Chinese government has enacted various courses of action to reform the stock market, but it is still widely criticized for its lack of transparency, large scale of unsophisticated retail investors, heavy idiosyncratic volatility, and substantial protocols. Hence, in comprehending of how investors act in the Chinese Stock Market is important and worthwhile. The second motivation is manifested by the characteristic of asymmetric information in the framework of emerging markets. (Gelos & Wei, 2005) argue to the fact that emerging markets are characterized by lower transparency and higher information asymmetries, provide sufficient motivation to investors to recourse to herding. The third motivation stems from the lack of articles that take into account herd behavior in the sense of idiosyncratic volatility or firm-specific risk. In the existing literature, a comprehensive attempt has been made to research idiosyncratic volatility. Most previous study, on the other hand, focused on analyzing the problem under the presumption that investors are rational, ignoring the significance of investor actions. Despite that, (Huang et al., 2015) and (Vo & Phan, 2019a) argued that when undiversified investors emulate other market participants' decision-making strategies, the idiosyncratic volatility could have a major effect on herding conduct. Few studies deliver a direct connexion of herding response to the effect of idiosyncratic volatility (Chang & Dong, 2006); (Dennis & Strickland, 2004) and (Fernandez, 2014). As a result, this study performs a sub-period analysis at the market level to explore the effects of idiosyncratic uncertainty on herding behavior in greater depth. http://www.ijsmes.com 2. Related literature In the aftermath of various global financial meltdowns, herding conduct has gained worldwide attention from academia and the financial literature. Herd activity, according to (Bikhchandani & Sharma, 2001); (Spyrou, 2013) fuels market uncertainty and contributes to financial instability. The role of herding in both advanced and developing markets has been studied extensively (Christie & Huang, 1995); (Chang et al., 2000); (Guney et al., 2017); (Demirer & Kutan, 2006); (Galariotis et al., 2015);(Galariotis et al., 2016); (Chiang & Zheng, 2010) and (Vo & Phan, 2019a); (Vo & Phan, 2019b). Moreover, there is a substantial body of literature that has examined the herding behavior and total volatility, only a few studies indicate a direct effect of idiosyncratic volatility on herding behavior. The behavior of the volatility of the market has been widely studied in the financial literature. However, less attention has been devoted to the behavior of the volatility of individual stocks. (Xu & Malkiel, 2003) state that the stock-specific risk can increase even when the market-risk as a whole remains stable. As a consequence, it is both worthwhile and desirable to obtain a deeper understanding of the relationship between herding conduct and idiosyncratic volatility. Using Japanese data from 1975 to 2003, (Chang & Dong, 2006) study the cross-sectional relationship between idiosyncratic volatility of individual firms, institutional herding, and firm earnings and provide empirical evidence at both portfolio level and firm level that variations in idiosyncratic volatility are related to both fundamental and behavioral factors. More specifically, the findings show that both firm earnings and institutional herding are positively and significantly linked to idiosyncratic volatility. Thus, the argument of the behavior story confirms its key role in explaining the different patterns of market aggregate idiosyncratic volatility. From a different viewpoint, (Huang et al., 2015) examine the effects of idiosyncratic uncertainty on individual investors' investment activity in the Taiwanese stock market from 2004 to 2013. The empirical findings indicate that herd behavior occurs in the Taiwan Stock Market, and that it takes various forms depending on the degree of idiosyncratic volatility. Herding activity occurs in stock portfolios with higher idiosyncratic volatility, but not in stock portfolios with lower idiosyncratic volatility, according to the empirical findings. In contrast, (Vo & Phan, 2019a) analyze the effect of idiosyncratic volatility on individual investor herd activity using data from the Vietnam stock market from 2005 to 2016. 1. Introduction Furthermore, this study explores the effects of idiosyncratic volatility on herding behavior in greater detail, by looking into the nature of herding and its asymmetric influence under extreme market conditions and market dynamics (falling and rising markets), conducting a sub-period analysis focused on the Great Financial Crisis, and constructing a portfolio based on idiosyncratic volatility. The majority of studies look at idiosyncratic volatility through the prism of investor rationality, ignoring the behavioral element of it, and only a few studies show a clear correlation between idiosyncratic volatility and herding conduct. As a consequence, a deeper understanding of the relationship between idiosyncratic volatility and herd behavior is essential. The results of this study indicate that idiosyncratic volatility is an essential component http://www.ijsmes.com 485 ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X and determinant of herding conduct. The findings indicate that herding occurs in the Chinese stock market, that it differs with idiosyncratic volatility, and that investment behavior tends to be different during three sub-periods. The remainder of this research is structured as follows. The analysis of literature on herd behavior and idiosyncratic volatility is outlined in Section 2. The data and methods that will be used are discussed in Section 3. Section 4 describes empirical observations on the occurrence of herding activity at different levels of idiosyncratic instability. Finally, conclusion. http://www.ijsmes.com 2. Related literature and Korean Stock Markets, their empirical evidence reports that herding is reduced during the Asian crisis and especially during the Russian crisis. Indeed, the impact of extreme events on traders' investment strategies affects the behavior of the herd. (Huang et al., 2015) show that the 2007 / 2008 financial crisis augments herding behavior, in particular portfolios with larger idiosyncratic volatility. Whereas, (Vo & Phan, 2019a) provide evidence of herding in three sub-groups: BFC, FC and AFC within various levels of idiosyncratic volatility of each individual stock. Herding activity is thought to be more common in stock portfolios with the lowest idiosyncratic volatility than in stock portfolios with the highest idiosyncratic volatility. Therefore, inspiring from the above literature, this study will investigate the pattern of herding behavior and idiosyncratic volatility during major financial meltdowns. In addition, it is also important to examine the herding behavior under different market conditions and investigate the asymmetry effect of the herding as well (Huang et al., 2015); (Chiang & Zheng, 2010) (Galariotis et al., 2015); (Indārs et al., 2019) and (Vo & Phan, 2019a). Therefore, a further empirical investigation might deliver a critical understanding to the linkage of the behavior of herding and idiosyncratic volatility in this regard. g g p y g Indeed, the impact of extreme events on traders' investment strategies affects the behavior of the herd. (Huang et al., 2015) show that the 2007 / 2008 financial crisis augments herding behavior, in particular portfolios with larger idiosyncratic volatility. Whereas, (Vo & Phan, 2019a) provide evidence of herding in three sub-groups: BFC, FC and AFC within various levels of idiosyncratic volatility of each individual stock. Herding activity is thought to be more common in stock portfolios with the lowest idiosyncratic volatility than in stock portfolios with the highest idiosyncratic volatility. Therefore, inspiring from the above literature, this study will investigate the pattern of herding behavior and idiosyncratic volatility during major financial meltdowns. In addition, it is also important to examine the herding behavior under different market conditions and investigate the asymmetry effect of the herding as well (Huang et al., 2015); (Chiang & Zheng, 2010) (Galariotis et al., 2015); (Indārs et al., 2019) and (Vo & Phan, 2019a). Therefore, a further empirical investigation might deliver a critical understanding to the linkage of the behavior of herding and idiosyncratic volatility in this regard. 2. Related literature None of the studies that investigates the relationship of herding and idiosyncratic volatility in the context of the Chinese Stock Market, so it is believed that this is the first study of its kind in the Chinese Stock Market. Besides, some of the studies that have been done in other markets, incorporate idiosyncratic volatility into the non-linear model, however the particularity of this study is manifested by building a portfolio-based idiosyncratic volatility in which herding intensity is examined more deeply. Furthermore, many of the studies examine idiosyncratic volatility in a context of rationality, and fail to consider the behavior bias. More particularly, this study explores the effects of idiosyncratic volatility on herding behavior in greater detail, by looking into the nature of herding and its asymmetric influence under extreme market conditions and market dynamics, conducting a sub-period analysis focused on the Great Financial Crisis. http://www.ijsmes.com 2. Related literature Under varying degrees of idiosyncratic volatility, empirical evidence confirms the occurrence of herding conduct. Herding activity is more likely to be stronger and important in stock portfolios with the lowest idiosyncratic volatility than in stock portfolios with the highest idiosyncratic volatility. http://www.ijsmes.com 486 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X Many individual investors refer stocks with strong idiosyncratic risk features as stocks that are problematic to estimate their price value, such that it is better for individual investors to pursue skilled and sophisticated investors’ trading strategies. (Wibowo, 2019) claims that herd activity appears to be much stronger in stock groups which have high idiosyncratic volatility in the Indonesia stock exchange. More particularly, he suggests that herd occurs in normal periods and not during crisis. Many individual investors refer stocks with strong idiosyncratic risk features as stocks that are problematic to estimate their price value, such that it is better for individual investors to pursue skilled and sophisticated investors’ trading strategies. (Wibowo, 2019) claims that herd activity appears to be much stronger in stock groups which have high idiosyncratic volatility in the Indonesia stock exchange. More particularly, he suggests that herd occurs in normal periods and not during crisis. A branch of literature has also provided evidence that financial crises affect herding formation (Chiang & Zheng, 2010) and (Galariotis et al., 2015). For instance, (Indārs et al., 2019) use data covering from 2008 to 2015 Moscow stock Exchange, they show that the total herding is appearing during the period of the Subprime crisis and during the Crimea's annexation, but no herding was evidenced during the Russian crisis. However, (Hwang & Salmon, 2004) studied the herding behavior in both U.S. and Korean Stock Markets, their empirical evidence reports that herding is reduced during the Asian crisis and especially during the Russian crisis. A branch of literature has also provided evidence that financial crises affect herding formation (Chiang & Zheng, 2010) and (Galariotis et al., 2015). For instance, (Indārs et al., 2019) use data covering from 2008 to 2015 Moscow stock Exchange, they show that the total herding is appearing during the period of the Subprime crisis and during the Crimea's annexation, but no herding was evidenced during the Russian crisis. However, (Hwang & Salmon, 2004) studied the herding behavior in both U.S. 3.2.2 Portfolio based-Idiosyncratic Volatility Construction To investigate, to which extent idiosyncratic volatility affects herding behavior, this study perform a sub-period analysis, the first period is the before financial crisis (BFC) period which starts from 2003/01/01 to 2007/06/30, the second period is of financial crisis (FC) which starts from 2007/07/01 to 2008/12/31, and finally the period after the crisis (AFC) which starts from 2009/01/01 to 2018/12/31, then the study splits the sample into three main groups giving the level of the idiosyncratic volatility of each stock. Group 1, will contain stocks with the smallest idiosyncratic volatility, while Group 3, will contain stocks with the biggest idiosyncratic volatility. 3.1 Data Collection The dataset consists of all A- Shares and B- Shares listed Shanghai Stock Exchange (S.H.S.E) and the Shenzhen Stock Exchange (S.Z.S.E) over the period from January 1, 2003 through December 31, 2018. All data is obtained from the China Stock Market & Accounting Research 487 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X (C.S.M.A.R) database. It is widely assumed that herding behavior is a very short-lived phenomenon (Christie & Huang, 1995). So, to deepen the understanding of the distinct pattern of the herding behavior, the study will provide a comprehensive analysis by using daily frequency. Therefore, the sample will include data of both firm-specific returns and market- level returns on a daily frequency. Because B- Shares are denominated in “U.S. dollars” or “Hong Kong dollars” for Shanghai B- and Shenzhen B- Shares, respectively, the returns on B- Shares will be adjusted for exchange rate effects. 3.2.1 Idiosyncratic Volatility Estimation To estimate the idiosyncratic volatility, this study employs the single factor model of (Bali & Cakici, 2009)1. 𝑹𝒊,𝒕= 𝜷𝟎+ 𝜷𝟏𝑹𝒎,𝒕+ 𝜺𝒊,𝒕 𝑰𝒅𝒊𝒐𝒗𝒐𝒍𝒂𝒕𝒊𝒊,𝒕= (𝑽𝒂𝒓(𝜺𝒊,𝒕)) 𝟏𝟐 ⁄ Where N is the number of firms in the portfolio, 𝑅𝑚,𝑡 is the market return at time t, and 𝑅𝑖,𝑡 is the stock return of firm i at time t. 𝜀𝑖,𝑡 is regression residuals of stock i at time t. 𝐼𝑑𝑖𝑜𝑣𝑜𝑙𝑎𝑡𝑖𝑖,𝑡 represents the idiosyncratic volatility of individual stock i, which is the standard deviation of residuals at time t. 1 “For each of the stock markets, Shanghai A (S.H.S.A), Shanghai B (S.H.S.B), Shenzhen A (S.Z.S.A) and Shenzhen B (S.Z.S.B), the idiosyncratic volatility is estimated.” http://www.ijsmes.com 3.2.3 Herding Intensity Estimation To estimate the presence of herding behavior, this study follows the non-linear model of the cross-sectional absolute deviation of returns method (CSAD) advanced by (Chang et al., 2000). 𝑪𝑺𝑨𝑫𝒕= 𝜷𝟎+ 𝜷𝟏|𝑹𝒎,𝒕| + 𝜷𝟐𝑹𝒎,𝒕 𝟐 + 𝜺𝒕 Eq: 3 Thus, a negative and statistically significant coefficient 𝛽2 infers the decrease of return dispersion from market returns which indicates the incidence of herding. Similarly, this study checks for herding behavior in periods of extreme market conditions by employing CSAD measure. 𝑪𝑺𝑨𝑫𝒕= 𝜷𝟎+ 𝜷𝟏𝑫𝒕 𝑼+ 𝜷𝟐𝑫𝒕 𝑳+ 𝜺𝒕 𝑪𝑺𝑨𝑫𝒕= 𝜷𝟎+ 𝜷𝟏𝑫𝒕 𝑼+ 𝜷𝟐𝑫𝒕 𝑳+ 𝜺𝒕 Eq: 4 http://www.ijsmes.com 488 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X Where 𝐷𝑡 𝐿= 1 , if the market return at day t, situates in the extreme “lower tail of the returns distribution, and 0 otherwise. 𝐷𝑡 𝑈= 1, if the market return at day t, lies in the extreme “upper tail” of the returns, and 0 otherwise. A statistically significantly negative values of 𝛽1 and 𝛽2 indicate the presence of herding. This study uses the 1%, 5% criterion of the market return, to express the utmost market movements. To inspect the asymmetric effect of herding under “up and down markets”, the following model is specified: p 𝑪𝑺𝑨𝑫𝒕 𝑫𝑶𝑾𝑵= 𝜷𝟎+ 𝜷𝟏 𝑫𝑶𝑾𝑵|𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵| + 𝜷𝟐 𝑫𝑶𝑾𝑵(𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵)² + 𝜺𝒕, where 𝑹𝒎,𝒕< 𝟎 Eq: 5 𝑪𝑺𝑨𝑫𝒕 𝑼𝑷= 𝜷𝟎+ 𝜷𝟏 𝑼𝑷|𝑹𝒎,𝒕 𝑼𝑷| + 𝜷𝟐 𝑼𝑷(𝑹𝒎,𝒕 𝑼𝑷) 𝟐+ 𝜺𝒕, where 𝑹𝒎,𝒕> 𝟎 Eq: 6 Where 𝐶𝑆𝐴𝐷 is the dependent variable. |𝑅𝑚,𝑡 𝑈𝑃| and |𝑅𝑚,𝑡 𝐷𝑂𝑊𝑁| are the “absolute values of average market returns in up and down markets”, respectively (𝑅𝑚,𝑡 𝑈𝑃) 2 and (𝑅𝑚,𝑡 𝐷𝑂𝑊𝑁) 2are the corresponding quadratic terms. p 𝑪𝑺𝑨𝑫𝒕 𝑫𝑶𝑾𝑵= 𝜷𝟎+ 𝜷𝟏 𝑫𝑶𝑾𝑵|𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵| + 𝜷𝟐 𝑫𝑶𝑾𝑵(𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵)² + 𝜺𝒕, where 𝑹𝒎,𝒕< 𝟎 Eq: 5 𝑪𝑺𝑨𝑫𝒕 𝑼𝑷= 𝜷𝟎+ 𝜷𝟏 𝑼𝑷|𝑹𝒎,𝒕 𝑼𝑷| + 𝜷𝟐 𝑼𝑷(𝑹𝒎,𝒕 𝑼𝑷) 𝟐+ 𝜺𝒕, where 𝑹𝒎,𝒕> 𝟎 Eq: 6 Where 𝐶𝑆𝐴𝐷 is the dependent variable. |𝑅𝑚,𝑡 𝑈𝑃| and |𝑅𝑚,𝑡 𝐷𝑂𝑊𝑁| are the “absolute values of average market returns in up and down markets”, respectively (𝑅𝑚,𝑡 𝑈𝑃) 2 and (𝑅𝑚,𝑡 𝐷𝑂𝑊𝑁) 2are the corresponding quadratic terms. Eq: 5 Eq: 6 http://www.ijsmes.com 4.1 Descriptive Statistics of CSAD Table 1 summarizes the descriptive statistics of CSAD for the Shanghai A (S.H.S.A), Shanghai B (S.H.S.B), Shenzhen A (S.Z.S.A), and Shenzhen B (S.Z.S.B) stock markets , for the complete sample duration and three sub-periods. This metric depicts how individual stock returns cluster around market returns. High values of CSAD mean that returns are less clustered around market returns. Low values of CSAD values, on the other hand, indicate more clustered returns around market returns. Furthermore, the higher level and variability of dispersion of return in a given time can indicate different trading trends among traders at that time. In all the periods, the average values of CSAD of Shanghai A (S.H.S.A) are all marginally greater than zero, indicating that individual stock returns shift in synch with market returns. Furthermore, the mean CSAD rises from 0.000011 in the BFC period to 0.000027 in the FC period, with a standard deviation of 0.000033 with a standard deviation of 0.000042, and increases again to 0.000414 in the AFC period accompanied by a higher standard deviation of 0.000550, indicating that herding in Shanghai A (S.H.S.A) is probable to be more marked in FC period. For Shanghai B (S.H.S.B), the mean CSAD increases from 0.000246 in the BFC period accompanied by a standard deviation of 0.000294, to 0.00029 in the FC period with a standard deviation of 0.000301, and decreases to 0.000188 in the AFC period accompanied by a standard deviation of 0.000240, indicating that herding in Shanghai B (S.H.S.B) is probable to be more marked in AFC period. For Shenzhen A (S.Z.S.A), the mean CSAD increases from 0.000028 in the BFC period accompanied by a standard deviation of 0.000056, to 0.000033 in the FC period with a standard deviation of 0.000098, and decreases to 0.000012 in the AFC period accompanied by a standard deviation of 0.000025, indicating that herding in Shenzhen A (S.Z.S.A) is probable to be more noticeable in AFC period. For Shenzhen B (S.Z.S.B), the mean CSAD increases from 0.000269 in the BFC period accompanied by a standard deviation of 0.000276, to 0.000307 in the FC period with a standard deviation of 0.000303, and decreases to 0.000207 in the AFC period accompanied by a standard deviation of 0.000236, indicating that herding in Shenzhen B (S.Z.S.B) is probable to be more distinct in AFC period. Table 1: Descriptive Statistics of CSAD. p “Notes: This table presents the descriptive statistics on cross-sectional absolute deviation of returns (CSAD), Equal Weighted Market returns (RM) for the full sample, BFC, FC, and AFC periods. The Mean is the average value during the sample and three sub-periods; The Std. dev is the standard deviation; The Min and Max are the minimum and maximum return dispersions, respectively. The whole sample period is from January 1, 2003 to December 31, 2018, the BFC period is from January 1, 2003, to June 30, 2007, the FC period is from July 1, 2007 to December 31, 2008, and the AFC period is from January 1, 2009 to December 31, 2018.” http://www.ijsmes.com 4.1 Descriptive Statistics of CSAD http://www.ijsmes.com 489 ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X Overall, the values of CSAD values are decreasing from the BFC to the AFC period, suggesting that herding activity is more apparent in the AFC period. Furthermore, as the standard deviations reflecting return dispersion variability increase from BFC to AFC, it suggests that there are more diverse investment trends among investors during periods with high standard deviations. Full sample Period BFC Period FC Period AFC Period Markets Equal- Weighted Market return CSAD Equal- Weighted Market return CSAD Equal- Weighted Market return CSAD Equal- Weighted Market return CSAD S.H.S.A Mean 0.000624 0.000011 0.000964 0.000020 - 0.000822 0.000027 0.000687 0.000414 Std.dev 0.019574 0.000017 0.017536 0.000033 0.030722 0.000042 0.018424 0.000550 Min - 0.096800 0.000000 - 0.085800 0.000000 - 0.088000 0.000000 - 0.096800 0.000000 Max 0.095800 0.007808 0.076900 0.013899 0.09570 0.013869 0.095800 0.267986 S.H.S.B Mean 0.000538 0.000215 0.000995 0.000246 - 0.001763 0.000290 0.000687 0.000188 Std.dev 0.019730 0.000265 0.021239 0.000294 0.029230 0.000301 0.016918 0.000240 Min - 0.099800 0.000000 - 0.089200 0.000000 - 0.090900 0.000000 - 0.099800 0.000000 Max 0.107600 0.026834 0.107600 0.019170 0.094500 0.003358 0.100100 0.026834 S.Z.S.A Mean 0.000744 0.000013 0.000963 0.000028 - 0.001055 0.000033 0.000861 0.000012 Std.dev 0.020520 0.000027 0.017810 0.000056 0.031144 0.000098 0.019810 0.000025 Min - 0.097800 0.000000 - 0.085300 0.000000 - 0.088600 0.000000 - 0.097800 0.000000 Max 0.099100 0.015477 0.075700 0.021075 0.097400 0.022843 0.099100 0.015570 S.Z.S.B Mean 0.000572 0.000236 0.001087 0.000269 - 0.002029 0.000307 0.000750 0.000207 Std.dev 0.017779 0.000258 0.018779 0.000276 0.025200 0.000303 0.015600 0.000236 Min - 0.098900 0.000000 - 0.090200 0.000000 - 0.086000 0.000000 - 0.098900 0.000000 Max 0.100200 0.008513 0.091200 0.003343 0.092500 0.003276 0.100200 0.008513 Overall, the values of CSAD values are decreasing from the BFC to the AFC period, suggesting that herding activity is more apparent in the AFC period. Furthermore, as the standard deviations reflecting return dispersion variability increase from BFC to AFC, it suggests that 4.2 Herding towards the Chinese Stock Market. The study starts first with the investigation of herding behavior in the stock markets Shanghai A (S.H.S.A), Shanghai B (S.H.S.B), Shenzhen A (S.Z.S.A), and Shenzhen B (S.Z.S.B) for the full sample period and three sub-periods. Table 2 summarizes the analytical findings. Panel A displays the approximate results using the dummy variable method, with 𝛽1 and 𝛽2 are dummy variables to measure herding in extremely “upper and lower tails of the distribution”. This study chooses 1% and 5% criterion levels of 𝐷𝑡 𝑈 and 𝐷𝑡 𝐿 according to the arbitrary definition of extreme market conditions suggested by (Christie & Huang, 1995). In the entire sample duration for whole markets, the estimates of 𝛽1 and 𝛽2 for CSAD in both criterion levels are 490 ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X statistically positive, indicating that stock return dispersion appears to increase during times of intense price movement, which does not support the occurrence of herding in the Chinese stock market. When the entire sample is divided into sub-periods, however, only the FC periods display signs of herding, suggesting that investors' investment behavior can alter drastically during times of market turbulence. The estimates of 𝛽1 and 𝛽2 for CSAD for Shanghai A (S.H.S.A) under 1% criterion level, are both negative and statistically significant indicating that herding is observed during up and low 1% extreme price movements, while under 5% criterion level, herding is present only during up 5% extreme price movements. For Shanghai B (S.H.S.B), the estimates of 𝛽1 and 𝛽2 for CSAD are only negative and significant under up 1% criterion level and statistically positive during down extreme market conditions, implying that herding is more pronounced during up extreme price movements, while under 5% criterion, herding is not observed in both periods. The estimates of 𝛽1 and 𝛽2 for CSAD for Shenzhen A (S.Z.S.A), under 1% criterion level, are both negative and statistically significant which indicates that herding is observed during up and low 1% extreme price movements, while under 5% criterion level, herding is present only during up 5% extreme price movements. 4.2 Herding towards the Chinese Stock Market. For Shanghai B (S.H.S.B), the estimates of 𝛽1 and 𝛽2 for CSAD under 1% and 5% criterion level are both positive during up and down market extreme conditions, suggesting that during times of intense price movement, stock return dispersion appears to increase, refuting the notion of herding in the Chinese stock market during the financial crisis. The estimates of 𝛽1 and 𝛽2 for CSAD for Shanghai A (S.H.S.A) under 1% criterion level, are both negative and statistically significant indicating that herding is observed during up and low 1% extreme price movements, while under 5% criterion level, herding is present only during up 5% extreme price movements. For Shanghai B (S.H.S.B), the estimates of 𝛽1 and 𝛽2 for CSAD are only negative and significant under up 1% criterion level and statistically positive during down extreme market conditions, implying that herding is more pronounced during up extreme price movements, while under 5% criterion, herding is not observed in both periods. Besides, this study tests the non-linearity and the results are summarized in panel B of Table 2. Coefficients that are statistically significant and positive. The linear relationship between return dispersions and market returns is suggested by 𝛽1, which is consistent with classical financial theory, which implies that the relationship between return dispersions and market returns is linear under rational asset pricing models. To test nonlinearity, (Chang et al., 2000) added the quadratic term 𝑅𝑚,𝑡 to the regression model; thus, a statistically negative and significant 𝛽2 indicates the incidence of herding. The empirical results show that the quadratic non-linearity between return dispersion and market returns computed by CSAD is significantly negative for the whole stock markets in China. This discovery provides empirical proof of herding magnitude in the Chinese Stock Market from 2003 to 2018, as well as overall sub- periods such as BFC, FC and AFC. This inference is backed by recent research on the occurrence of herding activity in emerging markets (Dang & Lin, 2016); (Vo & Phan, 2017). http://www.ijsmes.com 491 Table 1: The regression Results of CSAD. Full Sample Period BFC Period FC Period AFC Period CSAD CSAD CSAD CSAD Panel A: The Dummy Variable Approach 1% Criterion Level S.H.S.A 𝜷𝟎 0.3269*** 0.3139*** 0.2613*** 0.3349*** 368.166 154.697 81.964 330.458 𝜷𝟏 0.0797*** 0.2582*** -0.4905*** 0.1634*** 11.863 12.597 -47.175 19.270 𝜷𝟐 0.4507*** 0.8250*** -0.0687*** 0.5015*** 50.591 41.988 -4.139 41.906 Adj-R² 0.001 0.003 0.001 0.001 Table 1: The regression Results of CSAD. International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X Adj-R² 0.008 0.008 0.000 0.008 S.H.S.B 𝜷𝟎 0.2949*** 0.2810*** 0.3021*** 0.2987*** 90.091 47.650 30.272 68.080 𝜷𝟏 0.3997*** 0.3826*** 0.2271*** 0.3700*** 37.599 14.189 8.136 45.726 𝜷𝟐 -0.0624*** -0.0569*** -0.0757*** -0.0535*** -17.495 -5.356 -6.399 -28.238 Adj-R² 0.038 0.044 0.005 0.033 S.Z.S.A 𝜷𝟎 0.3028*** 0.2834*** 0.3290*** 0.3024*** 226.699 91.215 42.214 208.055 𝜷𝟏 0.2133*** 0.2103*** 0.0582** 0.1909*** 62.436 22.087 2.322 57.040 𝜷𝟐 -0.0383*** -0.0143*** -0.0398*** -0.0307*** -32.086 -2.769 -3.342 -28.607 Adj-R² 0.003 0.006 0.000 0.003 S.Z.S.B 𝜷𝟎 0.2817*** 0.2543*** 0.2608*** 0.2919*** 99.766 54.089 29.884 75.746 𝜷𝟏 0.2919*** 0.2482*** 0.1783*** 0.2668*** 48.989 23.459 8.415 35.336 𝜷𝟐 -0.0448*** -0.0359*** -0.0484*** -0.0357*** -24.327 -9.505 -5.513 -17.001 Adj-R² 0.029 0.026 0.006 0.024 “Notes: Panel A of this table reports the estimation results of dummy variable approach for the full sample, BFC, FC, and AFC periods, which is as follows: 𝑪𝑺𝑨𝑫𝒕= 𝜷𝟎+ 𝜷𝟏𝑫𝒕 𝑼+ 𝜷𝟐𝑫𝒕 𝑳+ 𝜺𝒕, where 𝑪𝑺𝑨𝑫𝒕 is the dependent variables in the regression. The independent variables of 𝑫𝒕 𝑼 and 𝑫𝒕 𝑳 are dummy variables. 𝑫𝒕 𝑼 = 1 if the market return is in the extreme upper tail of return distribution, 0 otherwise; 𝑫𝒕 𝑳 = 1 if the market return is in the extreme lower tail of return distribution, 0 otherwise. The criterion for extreme is at 1% and 5% of the market returns observations. Panel B of this table reports the estimation results of the non-linear model which is as follow: 𝑪𝑺𝑨𝑫𝒕= 𝜷𝟎+ 𝜷𝟏|𝑹𝒎,𝒕| + 𝜷𝟐𝑹𝒎,𝒕 𝟐 + 𝜺𝒕, where |𝑹𝒎,𝒕| is absolute value of the average return of market portfolio on day t, and 𝑹𝒎,𝒕 𝟐 is the squared value. BOLD values imply the occurrence of herding. T-statistics is in parentheses and is corrected for heteroskedasticity and autocorrelation by (Newey & West, 1987). ***, **, and * denote significant level at the 1%, 5% and 10% level, respectively.” http://www.ijsmes.com 4.2 Herding towards the Chinese Stock Market. Table 1: The regression Results of CSAD. 491 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X International Journal of Strategic Management and Economic studies (IJSMES) ISSN: 2791 299X http://www.ijsmes.com 492 S.H.S.B 𝜷𝟎 0.3580*** 0.3399*** 0.3120*** 0.3588*** 105.910 58.256 33.387 79.698 𝜷𝟏 0.4145*** 0.3698** -0.1816*** 0.3511*** 6.967 2.260 -3.316 8.457 𝜷𝟐 0.6404*** 0.9448*** -0.0606 0.7874*** 16.488 13.042 -1.043 13.190 Adj-R² 0.004 0.007 0.000 0.004 S.Z.S.A 𝜷𝟎 0.3254*** 0.3122*** 0.3230*** 0.3244*** 244.624 105.332 45.977 226.924 𝜷𝟏 0.1189*** 0.2310*** -0.4910*** 0.2317*** 10.623 5.808 -7.480 27.297 𝜷𝟐 0.2751*** 0.7852*** -0.1770*** 0.2944*** 24.737 17.924 -6.764 27.109 Adj-R² 0.000 0.002 0.000 0.000 S.Z.S.B 𝜷𝟎 0.3235*** 0.2925*** 0.2741*** 0.3340*** 111.675 60.858 33.224 85.106 𝜷𝟏 0.4831*** 0.4856*** -0.0029 0.4074*** 14.348 9.272 -0.057 8.530 𝜷𝟐 0.6158 0.4605*** 0.1892*** 0.8098*** 19.397*** 8.404 3.011 16.530 Adj-R² 0.005 0.005 0.000 0.006 5% Criterion Level S.H.S.A 𝜷𝟎 0.2954*** 0.2839*** 0.2606*** 0.3058*** 323.995 135.398 76.872 293.503 𝜷𝟏 0.1515*** 0.2281*** -0.2281*** 0.1298*** 45.658 25.857 -31.639 32.669 𝜷𝟐 0.5866*** 0.5858*** 0.1064*** 0.5852*** 131.634 67.003 11.438 119.296 Adj-R² 0.008 0.007 0.001 0.009 S.H.S.B 𝜷𝟎 0.3099*** 0.2856*** 0.2969*** 0.3100*** 92.522 50.044 30.599 69.370 𝜷𝟏 0.5072*** 0.6120*** 0.0094 0.5193*** 26.325 14.476 0.277 23.086 𝜷𝟐 0.6735*** 0.7451*** 0.2339*** 0.6773*** 37.406 23.126 6.118 28.485 Adj-R² 0.020 0.029 0.002 0.019 S.Z.S.A 𝜷𝟎 0.2959*** 0.2815*** 0.3266*** 0.2965*** 221.076 96.014 43.046 199.537 𝜷𝟏 0.1532*** 0.1988*** -0.2553*** 0.1691*** 24.466 13.596 14.027 25.056 𝜷𝟐 0.5134*** 0.6129 0.0385*** 0.4953*** 64.841 28.673*** 2.492 103.084 Adj-R² 0.003 0.005 0.000 0.003 S.Z.S.B 𝜷𝟎 0.2876*** 0.2606*** 0.2623*** 0.2982*** 99.550 54.557 30.756 76.018 𝜷𝟏 0.4553*** 0.4667*** 0.0842** 0.4101*** 30.648 18.877 2.535 20.231 𝜷𝟐 0.4756*** 0.3669*** 0.1840*** 0.5524*** 32.988 14.436 5.669 26.017 Adj-R² 0.016 0.016 0.002 0.016 Panel B: The Non-linear Approach CSAD CSAD CSAD CSAD S.H.S.A 𝜷𝟎 0.2998*** 0.2865*** 0.2618*** 0.3093*** 329.125 136.476 85.236 295.957 𝜷𝟏 0.2058*** 0.1946*** 0.0359*** 0.1722*** 105.484 42.256 3.512 79.199 𝜷𝟐 -0.0300*** -0.0097*** -0.0209*** -0.0196*** -43.807 -4.856 -4.773 -27.316 http://www.ijsmes.com 492 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X 4.3 The Effect of Idiosyncratic Volatility. For Shenzhen A (S.Z.S.A), herding is observed during upper extreme market conditions within stock portfolios with smallest idiosyncratic volatility under both criterion levels and also during both extreme market conditions within stock portfolios with medium idiosyncratic volatility under 1% criterion level, while only during upper extreme market conditions under 5% criterion level, as well as during both market extreme conditions within stock portfolios with largest idiosyncratic volatility under 5% criterion level. Finally, for Shenzhen B (S.Z.S.B), herding is only evidenced within stock portfolios with the largest idiosyncratic volatility, during both extreme market conditions under 1% criterion level while only during down extreme market conditions under 5% criterion level. During the AFC period, only Shanghai B (S.H.S.B) and Shenzhen A (S.Z.S.A) exhibited herding behavior. More particularly, in Shanghai B (S.H.S.B), herding is observed within stock portfolios with the smallest idiosyncratic volatility, during both extreme market conditions under 1% criterion level and during down extreme market conditions under 5% criterion level. For Shenzhen A (S.Z.S.A), herding is observed within stock portfolios with medium idiosyncratic volatility, during both extreme market conditions under 1% criterion level and during down extreme market conditions under 5% criterion level. Also, herding is observed within stock portfolios with the largest idiosyncratic volatility, during down extreme market conditions under the 1% criterion level. Overall, the empirical results suggest that the financial crisis of 2007–2008 encouraged herding, especially in portfolios with medium to high idiosyncratic volatility. The results of the non linear regression used to estimate herding strength within different period, only Shanghai B (S.H.S.B) exhibited herding behavior under the 1% criterion level during periods of upper extreme price movement within stock portfolios with medium idiosyncratic volatility and during periods of lower extreme price movements within largest idiosyncratic volatility stock portfolios. Most estimated coefficients of group 3 and group 2 are statistically negative during the FC phase, suggesting the existence of herding. The findings suggest that the financial crisis of 2007–2008 exacerbated herding, especially in stock portfolios with the highest idiosyncratic volatility. More particularly, in Shanghai A (S.H.S.A) and Shanghai B (S.H.S.B), herding is evidenced under a 1% criterion level during both extreme market conditions within the smallest idiosyncratic volatility stock portfolios and during up extreme market conditions within the largest idiosyncratic volatility stock portfolios . While, under the 5% criterion level, herding is pronounced only during both extreme market conditions within the largest idiosyncratic volatility stock portfolios. http://www.ijsmes.com 4.3 The Effect of Idiosyncratic Volatility. The sample is divided into three main classes, each representing the degree of idiosyncratic volatility to analyze if herding behavior follows different trends at different levels of idiosyncratic volatility over different sub-periods. Stock portfolios in Group 1 have the lowest idiosyncratic volatility, while stock portfolios in Group 3 have the highest idiosyncratic volatility, and stock portfolios in Group 2 includes the rest. This research uses the CSAD approach to detect herding activity in three portfolios over three sub-periods, sorting by individual stock idiosyncratic volatility. Table 3 summarizes the predicted outcomes. Table 3's Panel A displays the findings under extreme conditions. The results show that during the full sample period the coefficients 𝛽1 and 𝛽2 are all positive in Shanghai A (S.H.S.A) for most cases according to the two criterion levels. While Shanghai B (S.H.S.B), herding is observed under 1% criterion level, during both extreme market conditions and within stock portfolios with the smallest idiosyncratic volatility. For Shenzhen A (S.Z.S.A), herding is noticeable under the 1% criterion level, during both extreme market condition and within stock portfolios with medium idiosyncratic volatility, while in Shenzhen B (S.Z.S.B), herding is only present during periods of low extreme price movements under 1% criterion level within stock portfolios with smallest idiosyncratic volatility. During the BFC http://www.ijsmes.com 493 ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X period, only Shanghai B (S.H.S.B) exhibited herding behavior under the 1% criterion level during periods of upper extreme price movement within stock portfolios with medium idiosyncratic volatility and during periods of lower extreme price movements within largest idiosyncratic volatility stock portfolios. Most estimated coefficients of group 3 and group 2 are statistically negative during the FC phase, suggesting the existence of herding. The findings suggest that the financial crisis of 2007–2008 exacerbated herding, especially in stock portfolios with the highest idiosyncratic volatility. More particularly, in Shanghai A (S.H.S.A) and Shanghai B (S.H.S.B), herding is evidenced under a 1% criterion level during both extreme market conditions within the smallest idiosyncratic volatility stock portfolios and during up extreme market conditions within the largest idiosyncratic volatility stock portfolios . While, under the 5% criterion level, herding is pronounced only during both extreme market conditions within the largest idiosyncratic volatility stock portfolios. 4.3 The Effect of Idiosyncratic Volatility. http://www.ijsmes.com http://www.ijsmes.com 494 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X While Shanghai B (S.H.S.B), herding is observed more within stock portfolios with medium idiosyncratic volatility than smallest idiosyncratic volatility. Similarly, herding in Shenzhen B (S.Z.S.B) is observed within three levels of idiosyncratic volatility and more intense within the largest idiosyncratic volatility stock portfolios. During the FC period, herding is evidenced in Shanghai A (S.H.S.A) and Shanghai B (S.H.S.B) only within the largest idiosyncratic volatility stock portfolios. While, Shenzhen A (S.Z.S.A) within medium idiosyncratic volatility stock portfolios and Shenzhen B (S.Z.S.B) within stock portfolios with medium and largest idiosyncratic volatility, with herding more pronounced within the latter. AFC period, herding is evidenced in Shanghai B (S.H.S.B) and Shenzhen A (S.Z.S.A) within three levels of idiosyncratic volatility, however, herding is more intense with the largest idiosyncratic volatility stock portfolios. In Shanghai A (S.H.S.A), herding is only observed in the largest idiosyncratic volatility stock portfolios, while Shenzhen B (S.Z.S.B), herding is more pronounced with medium idiosyncratic volatility stock portfolio than the smallest idiosyncratic volatility stock portfolios. Furthermore, the major disparity between groups 3 and 1 supports herding in stock portfolios with higher idiosyncratic volatility. For example, the test difference shows that stock portfolios with higher idiosyncratic volatility promote herding in the overall markets over the entire sample period. During the BFC time, however, only a small amount of evidence was found in Shenzhen B (S.Z.S.B). During the FC time, the test difference between groups 3 and 1 serves as a secondary indicator of herding in high idiosyncratic volatility stock portfolios, especially in Shanghai A (S.H.S.A), Shanghai B (S.H.S.B), and weak evidence in Shenzhen B (S.Z.S.B), implying that initiative-based trade behavior is usually apparent during FC periods. During the AFC period, only Shanghai A (S.H.S.A), Shanghai B (S.H.S.B) where investors significantly tend to herd in larger idiosyncratic volatility stock portfolios, while with a small magnitude in Shenzhen A (S.Z.S.A). When the coefficients are compared across the groups with idiosyncratic volatility, it is clear that the higher idiosyncratic volatility stock portfolios and a higher herding level supports the presence of style investors. These findings also indicate that when undiversified investors follow the strategies of other investors, idiosyncratic volatility can have a significant effect on herd conduct. 4.3 The Effect of Idiosyncratic Volatility. For Shenzhen A (S.Z.S.A), herding is observed during upper extreme market conditions within stock portfolios with smallest idiosyncratic volatility under both criterion levels and also during both extreme market conditions within stock portfolios with medium idiosyncratic volatility under 1% criterion level, while only during upper extreme market conditions under 5% criterion level, as well as during both market extreme conditions within stock portfolios with largest idiosyncratic volatility under 5% criterion level. Finally, for Shenzhen B (S.Z.S.B), herding is only evidenced within stock portfolios with the largest idiosyncratic volatility, during both extreme market conditions under 1% criterion level while only during down extreme market conditions under 5% criterion level. During the AFC period, only Shanghai B (S.H.S.B) and Shenzhen A (S.Z.S.A) exhibited herding behavior. More particularly, in Shanghai B (S.H.S.B), herding is observed within stock portfolios with the smallest idiosyncratic volatility, during both extreme market conditions under 1% criterion level and during down extreme market conditions under 5% criterion level. For Shenzhen A (S.Z.S.A), herding is observed within stock portfolios with medium idiosyncratic volatility, during both extreme market conditions under 1% criterion level and during down extreme market conditions under 5% criterion level. Also, herding is observed within stock portfolios with the largest idiosyncratic volatility, during down extreme market conditions under the 1% criterion level. Overall, the empirical results suggest that the financial crisis of 2007–2008 encouraged herding, especially in portfolios with medium to high idiosyncratic volatility. The results of the non-linear regression used to estimate herding strength within different classes of idiosyncratic volatility are shown in Panel B. To analyze herding under sub-periods under different levels of idiosyncratic instability, the sample is divided into three sub-periods: BFC, FC and AFC. The bulk of 𝛽2 coefficients are strongly negative, according to the empirical findings. This result reveals the existence of a non-linear model over time and through groups. The supportive occurrence of herding is consistent with Table 2's findings. With the exception of Shanghai A (S.H.S.A) within the smallest idiosyncratic volatility stock portfolios, all markets demonstrated herding within three ranges of idiosyncratic volatility throughout the entire sample span. Herding is more pronounced in Shanghai A (S.H.S.A) and Shenzhen A (S.Z.S.A) with the highest idiosyncratic volatility stock portfolios than the lowest idiosyncratic volatility stock portfolios during the BFC period. 4.3 The Effect of Idiosyncratic Volatility. The empirical results are consistent with those of (Chang & Dong, 2006) who used Japanese data from 1975 to 2003 to investigate the relationship between institutional herding and firm idiosyncratic volatility. Their findings show a clear correlation between institutional herding and high idiosyncratic volatility. The results, on the other hand, contradict the findings of (Vo & Phan, 2019a), who say that during the global financial crisis, many individual investors restricted their trading of stocks with high idiosyncratic volatility due to their “loss-averse sentiment”. 495 http://www.ijsmes.com http://www.ijsmes.com International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X Table 2 : The Regression Results of CSAD Within the Stock Portfolios of Idiosyncratic Volatility. Panel A: The Dummy Variable Approach Panel B: The Non-linear Approach 1% Criterion Level 5% Criterion Level 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² Markets Full Sample Period S.H.S.A Group1 0.0264*** 0.0947*** 0.0368*** 0.000 0.0243 0.0350 0.0320 0.000 0.0224*** 0.0186*** 0.0003 0.001 45.307 17.074 6.557 40.039 13.467 12.314 37.470 15.910 0.971 Group2 0.0529*** 0.0483*** 0.1053*** 0.000 0.0443*** 0.0751*** 0.1279*** 0.002 0.0457*** 0.0826*** -0.0162*** 0.005 75.308 7.919 17.966 60.399 27.099 46.001 63.044 58.538 -36.362 Group3 0.3685*** -0.0007 0.0361** 0.000 0.3500*** 0.1162*** 0.2567*** 0.001 0.3508*** 0.1670*** -0.0355*** 0.002 191.629 -0.058 2.346 173.745 18.513 30.240 172.572 33.993 -18.363 G3-G1 -0,0954*** -0,0007 0,0812*** 0,2247*** 0,1484*** -0,0358*** -7,1106962 -0,04 12,10 26,30 29,10 -17,90 S.H.S.B Group1 0.0258*** -0.1254*** -0.0977*** 0.001 0.0229*** 0.0093 0.0025 0.000 0.0213*** 0.0567*** -0.0130*** 0.005 10.535 -4.910 -3.724 8.980 0.818 0.219 8.407 14.440 17.838 Group2 0.0525*** 0.1299*** 0.2391*** 0.002 0.0447*** 0.0940*** 0.1307*** 0.003 0.0410*** 0.0672*** -0.0076*** 0.007 20.724 6.030 9.326 16.948 8.512 11.297 15.769 14.858 -7.453 Group3 0.4073*** 0.2060 -0.0325 0.000 0.3825*** 0.2642*** 0.2641*** 0.004 0.3832*** 0.2332*** -0.0498*** 0.009 70.655 1.559 -0.524 64.483 7.841 10.085 57.345 7.838 -3.732 G3-G1 0,3314*** 0,0652 0,2549*** 0,2616*** 0,1765*** -0,0368** 2,4633 0,9698 7,1330 9,1355 5,8317 -2,8224 S.Z.S.A Group1 0.0423*** 0.0083 0.0375*** 0.000 0.0386*** 0.0552*** 0.0281*** 0.000 0.0406*** 0.0671*** -0.0184*** 0.002 67.650 1.223 5.634 59.644 18.236 9.643 63.478 49.745 -41.915 Group2 0.0725*** -0.0167** -0.2704*** 0.002 0.0627*** 0.1124*** 0.0241*** 0.001 0.0713*** 0.1406*** -0.0456*** 0.008 95.110 -2.218 -36.346 79.631 34.432 7.142 91.315 87.106 -83.420 Group3 0.3883*** 0.0686*** -0.0357 0.000 0.3716*** 0.0950*** 0.2439*** 0.000 0.3768*** 0.1658*** -0.0408*** 0.001 118.319 2.598 -1.401 111.286 6.255 13.105 108.365 16.963 -10.241 G3-G1 0,0603** -0,0732** 0,0398** 0,2158*** 0,0987*** -0,0224*** Regression Results of CSAD Within the Stock Portfolios of Idiosyncratic Volatility. 4.3 The Effect of Idiosyncratic Volatility. http://www.ijsmes.com 496 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X International Journal of Strategic Management and Economic studies (IJSMES) ISSN: 2791 299X 2,23949 -2,81956 2,60181 11,21891 9,82102 -5,60000 S.Z.S.B Group1 0.0161*** -0.0291 -0.0569** 0.000 0.0152*** -0.0001 0.0026 0.000 0.0135*** 0.0377*** -0.0094*** 0.002 6.732 -1.235 -2.453 6.061 -0.013 0.243 5.417 9.274 -10.041 Group2 0.0587*** 0.1126*** 0.1059*** 0.001 0.0527*** 0.0852*** 0.0800*** 0.002 0.0509*** 0.0561*** -0.0083*** 0.004 23.215 4.755 4.281 20.016 7.531 7.033 19.491 11.610 -6.360 Group3 0.3527*** 0.1684*** 0.1700*** 0.000 0.3310*** 0.2806*** 0.2153*** 0.005 0.3333*** 0.1415*** -0.0244*** 0.006 73.027 3.497 3.287 67.183 12.507 10.059 66.884 11.045 -4.737 G3-G1 1,4034*** 2,6230*** 0,2807*** 0,2127*** 0,1038*** -0,0150*** 26,1508 46,1313 11,4121 8,9722 7,6315 -2,9417 BFC Period S.H.S.A Group1 0.0296*** 0.0254** 0.0365*** 0.000 0.0286*** 0.0078 0.0256*** 0.000 0.0283*** 0.0225*** -0.0050*** 0.000 24.245 2.230 2.933 22.445 1.422 4.598 22.124 6.860 -3.461 Group2 0.0480*** 0.0262** 0.3103*** 0.003 0.0441*** 0.0126** 0.1350*** 0.002 0.0398*** 0.0053* 0.0162*** 0.004 37.208 2.170 25.902 32.880 2.220 23.132 30.146 1.814 15.689 Group3 0.3870*** 0.1314*** 0.1597*** 0.000 0.3640*** 0.1530*** 0.3547*** 0.001 0.3716*** 0.1135*** -0.0103** 0.001 82.651 3.019 4.366 73.817 7.984 21.761 73.975 10.266 -2.081 G3-G1 0,1060** 0,1232*** 0,1452*** 0,3291*** 0,0910*** -0,0053 2,3372 3,1673 7,3905 19,2591 7,9812 -1,0394 S.H.S.B Group1 0.0284*** 0.0055 -0.0072 0.000 0.0260*** 0.0242 0.0227 0.000 0.0257*** 0.0359*** -0.0076*** 0.001 6.058 0.121 -0.163 5.311 1.171 1.065 5.305 3.723 -2.792 Group2 0.0485*** -0.1083*** 0.2705*** 0.002 0.0407*** 0.0295 0.1571*** 0.003 0.0403*** 0.0720*** -0.0120*** 0.005 10.034 -5.303 5.822 8.061 1.505 7.231 8.120 7.984 -5.828 Group3 0.3826*** 0.4070 -0.1639*** 0.001 0.3571*** 0.2449*** 0.3072*** 0.005 0.3581*** 0.2429*** -0.0491 0.012 39.642 1.219 -1.880 36.166 2.985 6.216 25.408 3.280 -1.362 G3-G1 0,4015 -0,1567 0,2207** 0,2845*** 0,2070** -0,0415 1,1913 -1,6073 2,6073 5,3367 2,7721 -1,1488 S.Z.S.A Group1 0.0354*** -0.0071 0.0679*** 0.000 0.0350*** -0.0103 0.0305*** 0.000 0.0343*** 21.160*** -0.0055*** 0.000 22.983 -0.498 3.863 21.812 -1.510 4.216 0.0223 5.148 -2.679 Group2 0.0464*** 0.0060 0.3610*** 0.003 0.0424*** 0.0163** 0.1337*** 0.002 0.0364*** -0.0056 0.0217*** 0.005 28.241 0.368 19.477 24.841 2.277 17.508 21.561 -1.476 14.950 497 http://www.ijsmes.com International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X Group3 0.3863*** 0.1287 0.1492 0.000 0.3624*** 0.1398*** 0.3873*** 0.001 0.3725*** 0.1427*** -0.0225* 0.001 54.222 1.216 1.395 48.665 3.829 11.710 46.498 6.349 -1.733 G3-G1 0,1358 0,0813 0,1501*** 0,3568*** -21,0173 -0,0170 1,2701 0,7493 4,0928 10,5768 -939,9222 -1,2925 S.Z.S.B Group1 0.0327*** 0.0390 -0.0727 0.000 0.0297*** 0.0372** 0.0160 0.000 0.0304*** 0.0336*** -0.0091** 0.001 7.368 0.933 -1.620 6.431 1.852 0.780 6.555 3.056 -2.230 Group2 0.0506*** 0.1386*** 0.0590 0.001 0.0459*** 0.0746*** 0.0589*** 0.001 0.0439*** 0.0543*** -0.0094*** 0.003 10.961 3.400 1.390 9.575 3.656 2.826 9.250 6.057 -3.758 Group3 0.3257*** 0.1404 0.1808** 0.001 0.3008*** 0.2940*** 0.2627*** 0.007 0.3116*** 0.1824*** -0.0367*** 0.010 40.171 1.541 2.030 36.804 7.886 6.094 37.010 8.375 -3.948 G3-G1 0,1014 0,2535** 0,2568*** 0,2467*** 0,1488*** -0,0276** 1,0117 2,5419 6,1056 5,1553 6,0496 -2,8024 FC Period S.H.S.A Group1 0.0282*** 0.0356*** 0.1399*** 0.001 0.0281*** -0.0024 0.0462*** 0.000 0.0263*** -0.0120* 0.0096*** 0.000 13.025 3.794 6.327 12.529 -0.284 4.684 11.322 -1.871 3.293 Group2 0.0483 -0.6416*** -0.4207*** 0.005 0.0365*** -0.0420*** 0.1601*** 0.003 0.0357*** -0.0184*** 0.0165*** 0.001 22.521 -5.945 -43.077 16.407 -3.666 16.905 14.753 -2.583 4.668 Group3 0.3354*** -0.3915*** 0.0359 0.000 0.3530*** -0.1872*** -0.2223*** 0.001 0.3509*** 0.0125 -0.0367** 0.000 40.028 -17.104 0.878 39.030 -13.422 -11.047 46.256 0.392 -2.422 G3-G1 -0,4271*** -0,1040** -0,1848*** -0,2685*** 0,0245 -0,0463*** -17,29 -2,24 -11,10 -12,01 0,75 -3,03 S.H.S.B Group1 0.0185** 0.6561*** 0.1666* 0.012 0.0197** 0.1196*** 0.0165 0.002 0.0081 -0.0716*** 0.0480*** 0.007 2.261 11.156 1.910 2.309 3.156 0.441 0.929 -2.776 4.568 Group2 0.0417*** -0.2256*** -0.0689* 0.002 0.0325*** -0.0440 0.1619*** 0.004 0.0334*** 0.0187 -0.0015 0.000 4.884 -3.159 -1.944 3.664 -1.167 4.518 3.674 0.668 -0.132 Group3 0.3465*** -0.1741** -0.0857 0.000 0.3583*** -0.1390*** -0.1408*** 0.002 0.3627*** 0.0979* -0.0665** 0.001 22.964 -2.198 -1.041 22.421 3.088 -2.616 21.616 1.851 -2.521 G3-G1 -0,8302*** -0,2523** -0,2586*** -0,1573** 0,1695** -0,1145*** -8,4199 -2,1104 -4,3906 -2,4030 2,8712 -4,0558 S.Z.S.A Group1 0.0544*** -0.1730*** 0.3119*** 0.003 0.0529*** -0.0423*** 0.0965*** 0.001 0.0553*** 0.0110 -0.0039 0.000 498 http://www.ijsmes.com International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791 20.571 -12.763 8.356 19.438 -3.966 6.633 19.692 1.346 -1.005 Group2 0.0336*** -1.2026*** -0.5133*** 0.008 0.0277*** -0.1100*** 0.0693*** 0.001 0.0344*** 0.0263*** -0.0188*** 0.000 12.142 -13.707 -45.171 9.698 -7.667 5.809 11.173 2.938 -4.204 Group3 0.4443*** -0.2900 -0.0636 0.000 0.4695 -0.2134*** -0.3231*** 0.000 0.4645*** -0.0416 -0.0210 0.000 22.494 -1.376 -0.706 21.933 -3.270 -9.204 20.053 -0.511 -0.475 G3-G1 -0,1170 -0,3755*** -0,1711** -0,4196*** -0,0526 -0,0171 -0,5533 -3,8588 -2,5954 -11,0192 -0,6462 -0,3870 S.Z.S.B Group1 0.0236 0.2553 0.0814 0.002 0.0253*** 0.0736* -0.0345 0.001 0.0181*** -0.0095 0.0122 0.001 3.049 2.978 1.043 3.145 1.897 -0.983 2.200 -0.431 1.352 Group2 0.0408*** -0.0871 0.4752*** 0.006 0.0354*** 0.0038 0.1774*** 0.004 0.0347*** 0.0824*** -0.0195** 0.004 5.034 -1.285 6.835 4.187 0.107 4.891 4.020 3.524 -1.989 Group3 0.3446*** -0.2841*** -0.2922*** 0.002 0.3431*** 0.0312 -0.1340** 0.001 0.3569*** 0.0599 -0.0515** 0.001 23.042 -4.524 -3.068 22.187 0.552 -2.465 21.862 1.230 -2.171 G3-G1 -0,5394*** -0,3736*** -0,0424 -0,0995 0,0694 -0,0637** -5,0597 -5,0267 -0,6139 -1,5462 1,2921 -2,4852 AFC Period S.H.S.A Group1 0.0244*** 0.0816*** 0.0556*** 0.000 0.0227*** 0.0348*** 0.0251*** 0.000 0.0209*** 0.0158*** 0.0007** 0.001 34.593 12.365 8.252 30.940 11.187 7.954 29.068 11.917 2.078 Group2 0.0244*** 0.0816*** 0.0556*** 0.000 0.0227*** 0.0348*** 0.0251*** 0.000 0.0209*** 0.0158*** 0.0007** 0.001 34.593 12.365 8.252 30.940 11.187 7.954 29.068 11.917 2.078 Group3 0.3849*** 0.0905*** 0.1383*** 0.000 0.3658*** 0.0925*** 0.3320*** 0.002 0.3626*** 0.1230*** -0.0144*** 0.003 186.837 5.856 6.435 168.566 14.244 38.627 164.835 22.327 -6.786 G3-G1 0,0089 0,0827*** 0,0577*** 0,3069*** 0,1072*** -0,0151*** 0,5377 3,7360 8,6014 32,3501 17,6236 -7,5500 S.H.S.B Group1 0.0301*** -0.1755*** -0.1801*** 0.002 0.0275*** 0.0120 -0.0314** 0.000 0.0256*** 0.0509*** -0.0112*** 0.008 9.626 -5.290 -5.557 8.444 0.801 -2.176 7.884 11.491 -18.701 Group2 0.0565*** 0.1064*** 0.1179*** 0.001 0.0506*** 0.0872*** 0.0735*** 0.002 0.0469*** 0.0642*** -0.0090*** 0.005 17.220 3.269 3.364 14.862 5.932 4.833 13.948 10.704 -5.908 Group3 0.4324*** -0.0429 0.2068 0.000 0.4003*** 0.2686*** 0.4041*** 0.005 0.4037*** 0.2061*** -0.0361*** 0.007 52.559 -0.860 2.199 47.587 7.857 10.175 47.318 10.568 -5.658 http://www.ijsmes.com 499 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-29 G3-G1 0,1326* 0,3869*** 0,2566*** 0,4355*** 0,1552*** -0,0249*** 2,2134 3,8964 6,9049 10,2763 7,6093 -4,0935 S.Z.S.A Group1 0.0322*** 0.0865*** 0.0382*** 0.000 0.0276*** 0.0978*** 0.0197*** 0.001 0.0305*** 0.0771*** -0.0201*** 0.003 46.613 10.106 4.815 38.625 27.379 5.978 43.159 51.105 -39.129 Group2 0.0557*** -0.0312*** -0.4857*** 0.006 0.0480*** 0.1051*** -0.0576*** 0.002 0.0580*** 0.1369*** -0.0504*** 0.012 70.934 -3.369 -61.437 59.189 27.971 -15.218 72.276 82.306 -95.559 Group3 0.3934*** 0.1201*** -0.0710*** 0.000 0.3769*** 0.0855*** 0.2501*** 0.000 0.3797*** 0.1339*** -0.0292*** 0.001 113.947 8.010 -3.260 103.955 5.164 28.890 103.757 14.130 -8.257 G3-G1 0,0336* -0,1092*** -0,0123 0,2304*** 0,0568*** -0,0091* 1,9208 -4,6648 -0,7043 24,2863 6,1608 -2,2071 S.Z.S.B Group1 0.0228 -0.0313 -0.0479 0.000 0.0213*** 0.0015 0.0112 0.000 0.0186*** 0.0366*** -0.0072*** 0.002 7.254 -0.969 -1.619 6.516 0.101 0.803 5.737 8.194 -9.398 Group2 0.0591*** 0.1192*** 0.0744** 0.001 0.0531*** 0.0938*** 0.0637*** 0.002 0.0522*** 0.0580*** -0.0094*** 0.003 17.689 3.538 2.457 15.253 6.354 4.284 15.211 10.536 -7.310 Group3 0.3769*** 0.3489*** 0.4458*** 0.003 0.3578*** 0.2573*** 0.2953*** 0.005 0.3534*** 0.0844*** 0.0039 0.006 55.325 4.617 6.569 51.206 7.861 9.579 50.294 4.706 0.561 G3-G1 0,3802*** 0,4937*** 0,2558*** 0,2841*** 0,0478** 0,0111 4,6106 6,6426 7,1359 8,3523 2,5923 1,5698 “Notes: Panel A of this table reports the estimation results of the dummy variable approach for the full sample, BFC, FC, and AFC periods, which is as follow: 𝑪𝑺𝑨𝑫𝒕= 𝜷𝟎+ 𝜷𝟏𝑫𝒕 𝑼+ 𝜷𝟐𝑫𝒕 𝑳+ 𝜺𝒕, where 𝑪𝑺𝑨𝑫𝒕 is the dependent variables in the regression. 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. The analysis then looks at the asymmetric impact of herding in “up and down markets” with varying levels of idiosyncratic volatility over three sub-periods and the entire sample period. The findings are shown in Tables 4 and 5. Table 4 shows the results in down markets, while Table 5 shows the results in up markets.” Except in a few situations, the majority of the 𝛽2 herding coefficients are substantially negative in four cycles inside three classes of idiosyncratic volatility. More precisely, the majority of quadratic term coefficients are found to be negative and important across the entire study, meaning that there is no evidence to support the predictions of rational capital asset pricing models like “CAPM or APT.” The empirical evidence of the decrease in dispersion of returns in rising and falling market confirms the homogeneous trading behavior, except in Shanghai A (S.H.S.A) within smallest idiosyncratic volatility stock portfolios and in Shanghai B (S.H.S.B) with largest idiosyncratic volatility stock portfolios during rising markets in the whole sample period. In the BFC period and during falling markets, there is exist a little evidence of herding in Shanghai A (S.H.S.A) with smallest and largest idiosyncratic volatility stock portfolios, while during rising markets there exist significant evidence of herding within stock portfolios s with smallest and largest idiosyncratic volatility. For Shanghai B (S.H.S.B), herding is significant within stock portfolios with smallest and largest idiosyncratic volatility during falling markets, while during rising markets, only significant proof of herd conduct within medium idiosyncratic volatility stock portfolios. For Shenzhen A (S.Z.S.A), herding is only evidenced within the largest idiosyncratic volatility within stock portfolios during falling markets, and only within stock portfolios with the smallest idiosyncratic volatility during rising markets. Finally, little evidence of herding within stock portfolios s with the smallest and largest idiosyncratic volatility in Shenzhen B (S.Z.S.B) during falling markets, while little proof of herd conduct within medium idiosyncratic volatility stock portfolios, and significant proof within largest idiosyncratic volatility stock portfolios during rising markets. In the FC period, herding is more evidenced almost within stock portfolios with medium and largest idiosyncratic volatility. 4.3 The Effect of Idiosyncratic Volatility. The independent variables of 𝑫𝒕 𝑼 and 𝑫𝒕 𝑳 are dummy variables. 𝑫𝒕 𝑼 = 1 if the market return is in the extreme upper tail of return distribution, 0 otherwise; 𝑫𝒕 𝑳 = 1 if the market return is in the extreme lower tail of return distribution, 0 otherwise. The criterion for extreme is at 1% and 5% of the market returns observations. Panel B of this table reports the estimation results of the non-linear model, which is as follow: 𝑪𝑺𝑨𝑫𝒕= 𝜷𝟎+ 𝜷𝟏|𝑹𝒎,𝒕| + 𝜷𝟐𝑹𝒎,𝒕 𝟐 + 𝜺𝒕, where |𝑹𝒎,𝒕| is absolute value of the average return of market portfolio on day t, and 𝑹𝒎,𝒕 𝟐 is the squared value. BOLD values imply the occurrence of herding. T-statistics is in parentheses and is corrected for heteroskedasticity and autocorrelation by (Newey & West, 1987). ***, **, and * denote significant level at the 1%, 5% and 10% level, respectively.” 500 http://www.ijsmes.com ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X http://www.ijsmes.com 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. During falling markets, herding is exhibited in Shanghai A (S.H.S.A) within stock portfolios with medium and largest idiosyncratic volatility while no evidence of herding during rising markets, which reflect the fact that during the global financial crisis, many individual investors limit their trading of stocks with high idiosyncratic volatility due to their sentiment of loss-aversion. In Shanghai B (S.H.S.B), herding is observed with weak evidence within stock portfolios with largest idiosyncratic volatility during falling markets, however little evidence within stock portfolios s with medium and largest idiosyncratic volatility during rising markets. In Shenzhen B (S.Z.S.B), during falling markets, there is poor evidence of herd conduct in the highest idiosyncratic volatility stock portfolios, yet strong evidence of herding in medium idiosyncratic volatility stock portfolios. In the AFC period, herding is observed almost within three groups and across all markets. More specifically, in Shanghai B (S.H.S.B) and Shenzhen A (S.Z.S.A), herding is evidenced within three groups of idiosyncratic volatility during rising and falling markets. While, in Shanghai A (S.H.S.A), there is significant evidence of herding in both stock portfolios with medium and http://www.ijsmes.com 501 ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X largest idiosyncratic volatility during falling and rising markets. Similarly, in Shenzhen B (S.Z.S.B) herding is observed in both stock portfolios with smallest and medium idiosyncratic volatility during falling and rising markets. Overall, the findings suggest that idiosyncratic volatility is essential for herding as it may trigger different herding patterns among investors concerning different market trends and its level. The fact that there was a substantial gap between the two classes for the entire sample period shows that during periods of market downturn, herding in whole markets is more pronounced in stock portfolios with the largest idiosyncratic volatility in the full sample period, suggesting that increase of idiosyncratic volatility is an intensification driven factor of herding behavior. During the BFC period, herding is only observable with a greater magnitude in the largest idiosyncratic volatility stock portfolios in both Shanghai B (S.H.S.B) and Shenzhen A (S.Z.S.A). During the FC period, herding is more noticeable in the largest idiosyncratic volatility stock portfolios in Shanghai A (S.H.S.A) and Shenzhen A (S.Z.S.A) and with weak evidence in Shanghai B (S.H.S.B). 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. Also, herding is more noticeable during falling markets in full sample period and rising period during FC period and AFC period for medium idiosyncratic volatility stock portfolios. In Shenzhen A (S.Z.S.A), herding is pronounced in falling markets in full sample period and AFC period for larger idiosyncratic volatility stock portfolios. In addition, herding is also noticeable during rising markets in full sample period, FC period, and AFC period for the smallest idiosyncratic volatility stock portfolios. Also, herding is more apparent during falling markets in the FC period and during rising markets in the AFC period for medium idiosyncratic volatility stock portfolios. In Shenzhen B (S.Z.S.B), no evidence of herding disparity between up and down During the rising market, herding is only pronounced with a greater magnitude in the largest idiosyncratic volatility stock portfolios in Shanghai A (S.H.S.A). During the BFC period, herding is again evidenced in Shanghai A (S.H.S.A) and with a little evidence in Shenzhen B (S.Z.S.B). During the FC period, herding in evidenced only in Shanghai B (S.H.S.B) and with weak evidence in Shenzhen B (S.Z.S.B). During the AFC period, herding is significantly observed in Shanghai B (S.H.S.B) and with weak evidence in Shanghai A (S.H.S.A). In addition, the t-test is duplicated to compare the herding coefficients of 𝛽2 𝑈𝑃 and 𝛽2 𝐷𝑂𝑊𝑁under up and down market within three groups is duplicated. The null hypothesis that nonlinearity is the same between up and down markets holds is tested. The results in table 5, imply that herding follow different patterns with regard to the level of idiosyncratic volatility and the period concerned. In Shanghai A (S.H.S.A), herding is more pronounced in largest idiosyncratic volatility stock portfolios during rising markets in the BFC period and AFC period during falling markets. In addition, herding is also noticeable in falling markets during the full sample period and FC period in the smallest idiosyncratic volatility for stock portfolios. Also, herding is pronounced in falling markets in full sample period, FC period, and AFC period for medium idiosyncratic volatility stock portfolios. In Shanghai B (S.H.S.B), herding is only more pronounced in rising markets in the largest idiosyncratic volatility stock portfolios during the AFC period. While, herding is also pronounced falling markets during full sample period and FC period for stock portfolios with smallest idiosyncratic volatility. http://www.ijsmes.com 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. During the AFC period, herding is more in the largest idiosyncratic volatility stock portfolios in Shanghai A (S.H.S.A) and Shenzhen A (S.Z.S.A) and in the smallest idiosyncratic volatility stock portfolios in Shanghai B (S.H.S.B). During the BFC period, herding is only observable with a greater magnitude in the largest idiosyncratic volatility stock portfolios in both Shanghai B (S.H.S.B) and Shenzhen A (S.Z.S.A). During the FC period, herding is more noticeable in the largest idiosyncratic volatility stock portfolios in Shanghai A (S.H.S.A) and Shenzhen A (S.Z.S.A) and with weak evidence in Shanghai B (S.H.S.B). During the AFC period, herding is more in the largest idiosyncratic volatility stock portfolios in Shanghai A (S.H.S.A) and Shenzhen A (S.Z.S.A) and in the smallest idiosyncratic volatility stock portfolios in Shanghai B (S.H.S.B). During the rising market, herding is only pronounced with a greater magnitude in the largest idiosyncratic volatility stock portfolios in Shanghai A (S.H.S.A). During the BFC period, herding is again evidenced in Shanghai A (S.H.S.A) and with a little evidence in Shenzhen B (S.Z.S.B). During the FC period, herding in evidenced only in Shanghai B (S.H.S.B) and with weak evidence in Shenzhen B (S.Z.S.B). During the AFC period, herding is significantly observed in Shanghai B (S.H.S.B) and with weak evidence in Shanghai A (S.H.S.A). In addition, the t-test is duplicated to compare the herding coefficients of 𝛽2 𝑈𝑃 and 𝛽2 𝐷𝑂𝑊𝑁under up and down market within three groups is duplicated. The null hypothesis that nonlinearity is the same between up and down markets holds is tested. The results in table 5, imply that herding follow different patterns with regard to the level of idiosyncratic volatility and the period concerned. In Shanghai A (S.H.S.A), herding is more pronounced in largest idiosyncratic volatility stock portfolios during rising markets in the BFC period and AFC period during falling markets. In addition, herding is also noticeable in falling markets during the full sample period and FC period in the smallest idiosyncratic volatility for stock portfolios. Also, herding is pronounced in falling markets in full sample period, FC period, and AFC period for medium idiosyncratic volatility stock portfolios. In Shanghai B (S.H.S.B), herding is only more pronounced in rising markets in the largest idiosyncratic volatility stock portfolios during the AFC period. While, herding is also pronounced falling markets during full sample period and FC period for stock portfolios with smallest idiosyncratic volatility. 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. Also, herding is more noticeable during falling markets in full sample period and rising period during FC period and AFC period for medium idiosyncratic volatility stock portfolios. In Shenzhen A (S.Z.S.A), herding is pronounced in falling markets in full sample period and AFC period for larger idiosyncratic volatility stock portfolios. In addition, herding is also noticeable during rising markets in full sample period, FC period, and AFC period for the smallest idiosyncratic volatility stock portfolios. Also, herding is more apparent during falling markets in the FC period and during rising markets in the AFC period for medium idiosyncratic volatility stock portfolios. In Shenzhen B (S.Z.S.B), no evidence of herding disparity between up and down http://www.ijsmes.com 502 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X markets for larger idiosyncratic volatility stock portfolios with during all periods. While, herding is more pronounced during falling markets in full sample period and FC period for stock portfolios with smallest idiosyncratic volatility. In addition, herding is also more apparent during rising markets in the FC period and AFC period for medium idiosyncratic volatility stock portfolios. The findings in almost all cases suggest that idiosyncratic volatility affects herding behavior by triggering different herding patterns behavior under numerous market conditions and trends. Furthermore, taking into consideration the macro-micro structure of the Chinese framework, the information scarcity, and the dominance of retail investors who are major market participants, one can argue that by the reason of wealth constraints or by the subjective choices, many of these investors do not hold diversified portfolios (Xu & Malkiel, 2003). As a consequence, the more they face the risk of information scarcity, the more the idiosyncratic volatility of their stocks increases and the herding behavior occurs (BenSaïda, 2017). (Bikhchandani et al., 1992) point that non-transparency is one of the primary factors leading to herding. 503 http://www.ijsmes.com http://www.ijsmes.com International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X Table 3 : Herding in Down Markets within Stock Portfolios of Idiosyncratic Volatility. 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. Falling market Full Sample Period BFC Period FC Period AFC Period arket 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² 𝜷𝟎 𝟏 𝜷𝟐 Adj- R² 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² H.S.A Group1 0.0286*** 0.0190*** -0.0022*** 0.001 0.0374*** 0.0223*** -0.0039* 0.000 0.0420 -0.0432*** 0.0296 0.001 0.0214*** 0.0088*** 0.0008 0.001 30.315 10.443 -4.095 19.334 4.560 -1.828 10.274 -3.661 4.496 18.607 4.398 1.570 Group2 0.0661*** 0.1022*** -0.0211*** 0.007 0.0490*** 0.0305*** 0.0141*** 0.011 0.0803 0.0522 -0.0151*** 0.002 0.0626*** 0.0946*** -0.0203*** 0.006 59.796 50.423 -36.381 25.295 7.164 11.386 21.785 5.231 -3.187 46.369 42.427 -35.549 Group3 0.3571*** 0.2041*** -0.0450*** 0.004 0.3663*** 0.1290*** -0.0103* 0.003 0.3682*** 0.1128*** -0.0793*** 0.001 0.3655*** 0.1647*** -0.0255*** 0.004 121.492 28.650 -17.633 65.865 8.753 -1.711 49.993 3.391 -5.013 94.610 19.720 -8.934 G3-G1 0,1851*** -0,0428*** 0,1067*** -0,0064 0,156*** -0,1089*** 0,1559*** -0,0263*** 25,42544 -13,5345 6,748300 -1,01192 4,442659 -6,23559 18,9056 -8,31679 H.S.B Group1 0.0153 0.0554 -0.0123*** 0.004 0.0302*** 0.0469*** -0.0121*** 0.001 0.0215* -0.0322 0.0196 0.001 0.0111*** 0.0485*** -0.0110*** 0.008 4.082 9.481 -10.876 4.471 3.238 -2.817 1.676 -0.813 1.136 2.283 7.487 -12.418 Group2 0.0399*** 0.0693*** -0.0062*** 0.010 0.0395*** 0.0792*** -0.0023 0.014 0.0516*** -0.0129 0.0191 0.003 0.0367*** 0.0515*** -0.0060*** 0.004 10.402 9.849 -3.577 5.640 5.458 -0.566 3.938 -0.336 1.243 7.287 5.993 -3.017 Group3 0.3625*** 0.2768*** -0.0646*** 0.010 0.3443*** 0.3856*** -0.1045*** 0.021 0.3364*** 0.1208 -0.0653* 0.001 0.3841*** 0.1846*** -0.0240*** 0.008 40.441 12.303 -8.152 24.328 10.597 -7.315 14.307 1.598 -1.781 28.010 6.177 -2.566 G3-G1 0,2214*** -0,0523*** 0,3387*** -0,0924*** 0,153 -0,0849* 0,1361*** -0,013 9,3143 -6,48701 8,76861 -6,34605 1,78148 -2,085 4,4485 -1,435 Z.S.A Group1 0.0407*** 0.0327*** -0.0082*** 0.001 0.0476*** 0.0132** 0.0006 0.000 0.0693*** -0.0930*** 0.0633*** 0.003 0.0180*** 0.0262*** -0.0057*** 0.001 40.261 15.928 -12.153 19.468 1.989 0.189 13.485 -5.757 7.015 16.189 11.942 -7.970 Group2 0.0764*** 0.1424*** -0.0464*** 0.010 0.0487*** 0.0142*** 0.0207*** 0.012 0.0921*** 0.1113*** -0.0568*** 0.002 0.0494*** 0.1197*** -0.0464*** 0.016 63.843 62.052 -65.753 20.080 2.699 12.067 19.879 8.755 -9.564 40.228 51.334 -69.845 Group3 0.3872*** 0.2158*** -0.0563*** 0.001 0.3951*** 0.2075*** -0.0426*** 0.001 0.4799*** 0.1295 -0.1055** 0.000 0.3875*** 0.1757*** -0.0416*** 0.002 87.556 19.133 -14.080 30.213 6.702 -2.613 15.675 1.183 -2.084 87.917 18.610 -12.099 G3-G1 0,1831*** -0,0481*** 0,1943*** -0,0432*** 0,2225* -0,1688*** 0,1495*** -0,0359*** 16,376 -11,665 6,1138 -2,6537 2,001 -3,2594 16,21 -11,352 Z.S.B Group1 0.0110*** 0.0398*** -0.0108*** 0.002 0.0341*** 0.0375** -0.0143* 0.001 0.0124 0.0474 -0.0144 0.001 0.0106** 0.0425*** -0.0088*** 0.003 3.008 6.646 -7.586 5.238 2.064 -1.862 1.048 1.485 -1.129 2.147 6.505 -7.674 Group2 0.0566*** 0.0495*** -0.0081*** 0.003 0.0493*** 0.0476*** -0.0081** 0.002 0.0323*** -0.0086 0.0312** 0.012 0.0542*** 0.0455*** -0.0067*** 0.003 14.545 7.104 -4.321 7.260 3.627 -2.235 2.642 -0.270 2.472 10.342 5.977 -4.414 Table 3 : Herding in Down Markets within Stock Portfolios of Idiosync Herding in Down Markets within Stock Portfolios of Idiosyncratic Volatility. otes: This table provides the estimation results for the full sample period and three sub-periods under down market conditions. The model specification is as follow: 𝑪𝑺𝑨𝑫𝐭 𝑫𝑶𝑾𝑵= + 𝜷𝟏 𝑫𝑶𝑾𝑵|𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵| + 𝜷𝟐 𝑫𝑶𝑾𝑵(𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵)² + 𝜺𝒕 . Where C𝑆𝐴𝐷 is the dependent variable. |𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵| is the absolute value of average market returns in down markets. (𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵) 2 is the responding quadratic term. This research sorts the sample into two groups based on the daily idiosyncratic volatility index. Group 1 includes stocks during the period of w idiosyncratic volatility and group 3 includes stocks during the period of high idiosyncratic volatility. BOLD values imply the occurrence of herding. This paper also tests e difference between group 1 and group 3 by using a t-test (G1-G3). The sample period is from 2003 to 2018. T-statistics is in parentheses and is corrected for teroskedasticity and autocorrelation by (Newey & West, 1987). ***, **, and * denote significant level at the 1%, 5% and 10% level, respectively.” 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. http://www.ijsmes.com 504 ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791 Group3 0.3314*** 0.1457*** -0.0285*** 0.006 0.3183*** 0.1692*** -0.0294** 0.009 0.3417*** 0.0702 -0.0546* 0.002 0.3446**** 0.0695*** 0.0083 0.009 46.018 8.207 -4.255 25.574 5.170 -2.034 15.429 1.037 -1.650 33.602 2.926 1.021 G3-G1 0,1059*** -0,0177** 0,1317*** -0,0151 0,0228 -0,0402 0,027 0,0171* 5,5814 -2,503 3,5036 -0,9364 0,3033 -1,1334 1,08 2,120 vides the estimation results for the full sample period and three sub-periods under down market conditions. The model specification is as follow: 𝑪𝑺𝑨𝑫𝐭 𝑫𝑶𝑾𝑵= 𝑶𝑾𝑵(𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵)² + 𝜺𝒕 . Where C𝑆𝐴𝐷 is the dependent variable. |𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵| is the absolute value of average market returns in down markets. (𝑹𝒎,𝒕 𝑫𝑶𝑾𝑵) 2 is the atic term. This research sorts the sample into two groups based on the daily idiosyncratic volatility index. Group 1 includes stocks during the period of tility and group 3 includes stocks during the period of high idiosyncratic volatility. BOLD values imply the occurrence of herding. This paper also tests en group 1 and group 3 by using a t-test (G1-G3). The sample period is from 2003 to 2018. T-statistics is in parentheses and is corrected for d autocorrelation by (Newey & West, 1987). ***, **, and * denote significant level at the 1%, 5% and 10% level, respectively.” 505 http://www.ijsmes.com International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X Table 4 : Herding in Up Markets within Stock Portfolios of Idiosyncratic Volatility. 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. Rising market Full Sample Period BFC Period FC Period AFC Period Market 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² 𝜷𝟎 𝜷𝟏 𝜷𝟐 Adj- R² S.H.S.A Group1 0.0243*** 0.0350*** 0.0320*** 0.000 0.0212*** 0.0243*** -0.0062*** 0.000 0.0135*** 0.0005 0.0020 0.000 0.0200*** 0.0198*** 0.0017*** 0.001 40.039 13.467 12.314 12.390 5.511 -3.203 4.623 0.057 0.577 21.660 11.353 3.684 Group2 0.0320*** 0.0721*** -0.0154*** 0.003 0.0370*** 0.0182*** -0.0020 0.000 0.0055* -0.0547*** 0.0208*** 0.001 0.0344*** 0.0567*** -0.0090*** 0.002 33.142 34.378 -19.247 20.070 3.716 -0.877 1.707 -5.206 3.623 30.280 25.457 -12.651 Group3 0.3471*** 0.1453*** -0.0408*** 0.001 0.3837*** 0.1486*** -0.0461*** 0.000 0.3337*** -0.0780 -0.0245 0.001 0.3595*** 0.0825*** -0.0083** 0.001 121.416 20.224 -12.519 45.561 8.123 -4.629 25.950 -1.337 -0.883 141.117 10.722 2.243 G3-G1 0,1103*** -0,0728*** 0,1243*** -0,0399*** -0,0785 -0,0265 0,0627*** -0,01** 15,15 -24,26 6,741 -3,912 -1,340 -0,941 7,6034 -2,5 S.H.S.B Group1 0.0267*** 0.0575*** -0.0136*** 0.005 0.0211*** 0.0290** -0.0052 0.001 -0.0019 -0.0920*** 0.0661*** 0.016 0.0370*** 0.0517*** -0.0111*** 0.007 7.683 10.894 -14.568 3.024 2.251 -1.461 -0.160 -2.695 5.257 8.401 8.481 -13.552 Group2 0.0420*** 0.0631*** -0.0080*** 0.006 0.0385*** 0.0448*** -0.0092*** 0.002 0.0184 0.0610 -0.0344** 0.002 0.0546*** 0.0795*** -0.0138*** 0.006 11.860 10.542 -6.398 5.442 3.739 -3.651 1.447 1.524 -2.015 12.065 9.153 -5.509 Group3 0.4006*** 0.1888*** -0.0328 0.007 0.3738*** 0.1325 -0.0067 0.009 0.3901*** 0.0945 -0.0831** 0.003 0.4219*** 0.2451*** -0.0599*** 0.007 39.512 3.258 -1.145 16.968 1.063 -0.108 16.734 1.231 -2.079 40.277 10.321 -8.332 G3-G1 0,1313** -0,0192 0,1035 -0,0015 0,1865** -0,1492*** 0,1934*** -0,0488*** 2,2554 -0,66 0,823 -0,024 2,215 -3,547 7,817 -6,901 S.Z.S.A Group1 0.0391*** 0.0929*** -0.0260*** 0.004 0.0239*** 0.0336*** -0.0118*** 0.000 0.0405*** 0.0448*** -0.0282*** 0.001 0.0362*** 0.1159*** -0.0314*** 0.007 47.215 52.330 -46.052 11.058 5.950 -4.588 12.065 4.677 -6.881 39.591 56.955 -44.516 Group2 0.0676*** 0.1393*** -0.0449*** 0.006 0.0320*** 0.0182*** -0.0021 0.000 -0.0051 -0.0092 -0.0230*** 0.003 0.0629*** 0.1471*** -0.0511*** 0.008 65.129 57.255 -44.489 13.367 2.859 -0.686 -1.230 -0.667 -2.824 8.972 57.108 -48.564 Group3 0.3683*** 0.1214*** -0.0329*** 0.000 0.3584*** 0.1135*** -0.0271 0.000 0.4386*** -0.2331 0.0810 0.000 0.3735*** 0.0966*** -0.0236*** 0.000 64.834 5.751 -2.909 37.002 3.809 -1.290 11.489 -1.506 0.683 63.784 5.174 -3.136 G3-G1 0,0285 -0,0069 0,0799** -0,0153 -0,2779 0,1092 -0,0193 0,0078 1,3510 -0,624 2,611 -0,72 -1,78 0,917 -1,01 0,967 Full Sample Period http://www.ijsmes.com 506 ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X S.Z.S.B Group1 0.0155*** 0.0378*** -0.0087*** 0.002 0.0271*** 0.0359** -0.0073 0.001 0.0239** -0.0520* 0.0345*** 0.005 0.0247*** 0.0334*** -0.0064*** 0.002 4.590 6.823 -7.263 4.038 2.450 -1.484 2.064 -1.855 3.157 5.753 5.480 -6.441 Group2 0.0459*** 0.0620*** -0.0082*** 0.005 0.0493*** 0.0476*** -0.0081** 0.002 0.0370*** 0.1606*** -0.0705*** 0.010 0.0505*** 0.0713*** -0.0130*** 0.004 13.031 9.310 -4.565 7.260 3.627 -2.235 3.105 5.410 -6.470 11.122 8.612 -5.320 Group3 0.3344*** 0.1348*** -0.0177** 0.006 0.3045*** 0.1921*** -0.0411*** 0.010 0.3721*** 0.0521 -0.0474 0.001 0.3600*** 0.0977*** 0.0007 0.005 49.759 7.259 -2.199 27.349 6.642 -3.405 16.361 0.741 -1.415 37.656 3.211 0.048 G3-G1 0,097*** -0,009 0,1562*** -0,0338** 0,1041 -0,0819* 0,0643* 0,0071 4,868 -1,116 4,78 -2,6 1,3807 -2,354 2,101 0,472 “Notes: This table provides the estimation results for the full sample period and three sub-periods under rising market conditions. “Notes: This table provides the estimation results for the full sample period and three sub-periods under rising market conditions. The model specification is as follow 𝑪𝑺𝑨𝑫𝐭 𝑼𝑷= 𝜷𝟎+ 𝜷𝟏 𝑼𝑷|𝑹𝒎,𝒕 𝑼𝑷| + 𝜷𝟐 𝑼𝑷(𝑹𝒎,𝒕 𝑼𝑷) 𝟐+ 𝜷𝟑𝑪𝑺𝑨𝑫𝐭−𝟏 𝑼𝑷+ 𝜺𝒕 .Where C𝑆𝐴𝐷 is the dependent variable. |𝑹𝒎,𝒕 𝑼𝑷| is the absolute value of average market returns in up markets (𝑹𝒎,𝒕 𝑼𝑷) 𝟐 is the corresponding quadratic term. This research sorts the sample into two groups based on the daily idiosyncratic volatility index. Group 1 includes stocks durin the period of low idiosyncratic volatility and group 3 includes stocks during the period of high idiosyncratic volatility. This paper also tests the difference between group and group 3 by using (Paternoster et al., 1998) test (G1-G3). BOLD values imply the occurrence of herding. The sample period is from 2003 to 2018. T-statistics is in parentheses and is corrected for heteroskedasticity and autocorrelation by (Newey & West, 1987). ***, **, and * denote significant level at the 1%, 5% and 10% level respectively.” 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. The model specification is as follow 𝑪𝑺𝑨𝑫𝐭 𝑼𝑷= 𝜷𝟎+ 𝜷𝟏 𝑼𝑷|𝑹𝒎,𝒕 𝑼𝑷| + 𝜷𝟐 𝑼𝑷(𝑹𝒎,𝒕 𝑼𝑷) 𝟐+ 𝜷𝟑𝑪𝑺𝑨𝑫𝐭−𝟏 𝑼𝑷+ 𝜺𝒕 .Where C𝑆𝐴𝐷 is the dependent variable. |𝑹𝒎,𝒕 𝑼𝑷| is the absolute value of average market returns in up market (𝑹𝒎,𝒕 𝑼𝑷) 𝟐 is the corresponding quadratic term. This research sorts the sample into two groups based on the daily idiosyncratic volatility index. Group 1 includes stocks durin the period of low idiosyncratic volatility and group 3 includes stocks during the period of high idiosyncratic volatility. This paper also tests the difference between group and group 3 by using (Paternoster et al., 1998) test (G1-G3). BOLD values imply the occurrence of herding. The sample period is from 2003 to 2018. T-statistics is parentheses and is corrected for heteroskedasticity and autocorrelation by (Newey & West, 1987). ***, **, and * denote significant level at the 1%, 5% and 10% lev respectively.” S.Z.S.B Group1 0.0155*** 0.0378*** -0.0087*** 0.002 0.0271*** 0.0359** -0.0073 0.001 0.0239** -0.0520* 0.0345*** 0.005 0.0247*** 0.0334*** -0.0064*** 0.002 4.590 6.823 -7.263 4.038 2.450 -1.484 2.064 -1.855 3.157 5.753 5.480 -6.441 Group2 0.0459*** 0.0620*** -0.0082*** 0.005 0.0493*** 0.0476*** -0.0081** 0.002 0.0370*** 0.1606*** -0.0705*** 0.010 0.0505*** 0.0713*** -0.0130*** 0.004 13.031 9.310 -4.565 7.260 3.627 -2.235 3.105 5.410 -6.470 11.122 8.612 -5.320 Group3 0.3344*** 0.1348*** -0.0177** 0.006 0.3045*** 0.1921*** -0.0411*** 0.010 0.3721*** 0.0521 -0.0474 0.001 0.3600*** 0.0977*** 0.0007 0.005 49.759 7.259 -2.199 27.349 6.642 -3.405 16.361 0.741 -1.415 37.656 3.211 0.048 G3-G1 0,097*** -0,009 0,1562*** -0,0338** 0,1041 -0,0819* 0,0643* 0,0071 4,868 -1,116 4,78 -2,6 1,3807 -2,354 2,101 0,472 his table provides the estimation results for the full sample period and three sub-periods under rising market conditions. The model specification is as follow: = 𝜷𝟎+ 𝜷𝟏 𝑼𝑷|𝑹𝒎,𝒕 𝑼𝑷| + 𝜷𝟐 𝑼𝑷(𝑹𝒎,𝒕 𝑼𝑷) 𝟐+ 𝜷𝟑𝑪𝑺𝑨𝑫𝐭−𝟏 𝑼𝑷+ 𝜺𝒕 .Where C𝑆𝐴𝐷 is the dependent variable. |𝑹𝒎,𝒕 𝑼𝑷| is the absolute value of average market returns in up markets. the corresponding quadratic term. This research sorts the sample into two groups based on the daily idiosyncratic volatility index. Group 1 includes stocks during d of low idiosyncratic volatility and group 3 includes stocks during the period of high idiosyncratic volatility. This paper also tests the difference between group 1 p 3 by using (Paternoster et al., 1998) test (G1-G3). BOLD values imply the occurrence of herding. The sample period is from 2003 to 2018. 5. Conclusion When undiversified investors face the risk of information scarcity, the idiosyncratic volatility of their stocks increases and may become essential for herding. Therefore, they tend to imitate the investment strategies of other investors rather than executing trades according to their own beliefs and personal information. Thus, the purpose of this study in investigating the influence of idiosyncratic volatility on market participants' herding activity in the Chinese Stock Market from 2003 to 2018. For this reason, this study employs the cross-sectional absolute deviation (CSAD) as a metric dispersion of returns to detect herding propensity. The empirical findings show that during severe price fluctuations, the estimates of 𝛽1 and 𝛽2 for CSAD in both criterion levels are statistically positive in the entire sample period for whole markets, suggesting that stock return dispersion appears to increase during times of extreme price movement, contradicting the presence of herding activity in the Chinese Stock Market. However, when the entire sample is divided into sub-periods, only the FC periods display signs of herding, suggesting that investors can behave irrationally and change their investment strategy significantly during times of turmoil. In addition, using (Chang et al., 2000)’s model, the findings indicate empirical evidence of herding tendency in the Chinese stock market from 2003 to 2018, as well as overall sub-periods: BFC, FC and AFC. This conclusion backs up the findings of recent research on the occurrence of herding activity in emerging markets (Dang & Lin, 2016); (Vo & Phan, 2017). The analysis also looks at whether herding activity varies based on the degree of idiosyncratic volatility in different sub-periods. The sample is divided into three main classes, each with a different level of idiosyncratic volatility. Stocks in Group 1 have the lowest idiosyncratic volatility, while stocks in Group 3 have the highest idiosyncratic volatility, and stocks in Group 2 have the highest idiosyncratic volatility. The bulk of 𝛽2 coefficients are strongly negative, according to the empirical findings. This result reveals the existence of a non-linear model over time and through groups. Furthermore, the significant difference between groups 3 and 1 provides additional evidence of herding in larger idiosyncratic volatility stock portfolios. For instance, in the full sample period, the test difference shows that larger idiosyncratic volatility stock portfolios encourage herding in the whole markets. However, only a small evidence in Shenzhen B (S.Z.S.B) during the BFC period. International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X -0,0353553 0 -5,9720296 -2,2273864 Group3 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 -0,0109 0,0229 -0,0181 0,0282 -0,4164676 0,52126291 -0,185468 0,73401668 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0108 -0,0117 0,0072 -0,0076 1,01597854 -0,6345216 0,15427784 -0,4470588 “Notes: This table reports the estimation results of the test difference between up and down market under three groups of idiosyncratic volatility for the full sample, BFC, FC, and AFC periods. For this purpose, this study uses (Paternoster et al., 1998) formula which is as follow: 𝑍= 𝛽1− 𝛽2 √(𝑆𝐸𝛽1)2+(𝑆𝐸𝛽2)2 . Where: 𝑆𝐸𝛽 is the standard error of 𝛽. ***, **, and * denote significant level at the 1%, 5%, and 10% level, respectively.” “Notes: This table reports the estimation results of the test difference between up and down market under three groups of idiosyncratic volatility for the full sample, BFC, FC, and AFC periods. For this purpose, this study uses (Paternoster et al., 1998) formula which is as follow: 𝑍= 𝛽1− 𝛽2 √(𝑆𝐸𝛽1)2+(𝑆𝐸𝛽2)2 . Where: 𝑆𝐸𝛽 is the standard error of 𝛽. ***, **, and * denote significant level at the 1%, 5%, and 10% level, respectively.” 4.4 Asymmetric Effect of Idiosyncratic Volatility on Herding Behavior during Rising and Falling Markets. T-statistics is in ses and is corrected for heteroskedasticity and autocorrelation by (Newey & West, 1987). ***, **, and * denote significant level at the 1%, 5% and 10% level, ely.” 507 http://www.ijsmes.com ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X http://www.ijsmes.com 508 Table 5 : Asymmetric Reaction Examination in Up and Down Markets within Stock Portfolios of Idiosyncratic Volatility. Full Sample Period BFC Period FC Period AFC Period Markets S.H.S.A Group1 𝜷𝟏 𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 0,016*** 0,002 0,0437*** 0,011*** 5,65685425 0,31234752 3,03004982 3,8890873 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0342*** -0,0023 0,0359*** 0,0009 34,2 -0,8131728 4,71390094 0,9 Group2 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 -0,0301*** -0,0123* -0,1069*** -0,0379*** -10,641957 -1,9209373 -10,798531 -13,399674 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0057*** -0,0123*** 0,0359*** 0,0113*** 4,03050865 -5,5007272 6,34628336 7,99030663 Group3 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 -0,0588*** 0,0196 -0,1908*** -0,0822*** -5,939697 0,83650762 -2,8592493 -7,2655222 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0042 -0,0358*** 0,0548 0,0172*** 0,98994949 -3,0698247 1,69927586 3,44 S.H.S.B Group1 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 0,0385*** -0,0179 -0,0598 0,0032 4,92941988 -0,9369288 -1,1390993 0,37712362 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0342*** 0,0069 0,0465** -0,0001 24,1830519 1,2197592 2,17280231 -0,0707107 Group2 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 -0,0301*** -0,0344* 0,0739 0,0739*** -3,2648034 -1,7907925 1,33943645 5,80613235 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0057** -0,0069 -0,0535** -0,0078* 2,54911749 -1,38 -2,3597838 -2,1633308 Group3 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 -0,0588 -0,2531* -0,0263 0,0605 -0,9423997 -1,9457146 -0,2430916 1,5747521 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0042 0,0978 -0,0178 -0,0359*** 0,98994949 1,53867952 -0,3266743 -3,1486383 S.Z.S.A Group1 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 0,0602*** 0,0204* 0,1378*** 0,0897*** 21,2839141 2,21269067 7,30338539 31,7137391 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 -0,0178*** -0,0124 -0,0915*** -0,0257*** -12,586501 -2,922708 -9,2904174 -18,172644 Group2 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 -0,0031 0,004 -0,1205*** 0,0274*** -1,0960155 0,51214752 -6,3072583 7,59939269 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0015 -0,0228 0,0338*** -0,0047*** 1,06066017 -6,3235822 3,38 -3,3234019 Group3 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 -0,0109 -0,094 -0,3626* -0,0791*** -0,4597887 -2,1789871 -1,9077606 -3,7624033 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0234* 0,0155 0,1865 0,018** 1,99919692 0,58710436 1,44050881 2,10674065 S.Z.S.B Group1 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 -0,002 -0,0016 -0,0994** -0,0091 -0,2357023 -0,0870285 -2,2661249 -0,804334 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 0,0108*** 0,007 0,0489*** 0,0024 7,63675324 0,74199852 4,96504275 1,69705627 Group2 𝜷𝟏 𝑼𝑷−𝜷𝟏 𝑫𝑶𝑾𝑵 0,0125 0 0,1692*** 0,0258** 1,26269068 0 3,85742797 2,28041937 𝜷𝟐 𝑼𝑷−𝜷2 𝑫𝑶𝑾𝑵 -0,0001 0 -0,1017*** -0,0063** http://www.ijsmes.com 508 http://www.ijsmes.com 5. Conclusion During the FC period, the test difference between groups 3 and 1 provides also a supplementary indication of herding behavior in larger idiosyncratic volatility stock portfolios, especially in Shanghai A (S.H.S.A), Shanghai B (S.H.S.B), and weak evidence in Shenzhen B http://www.ijsmes.com 509 International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X (S.Z.S.B), implying that initiative-based trade behavior is usually apparent during FC periods. During the AFC period, only Shanghai A (S.H.S.A), Shanghai B (S.H.S.B) where investors significantly tend to herd with larger idiosyncratic volatility stock portfolios, while with a small magnitude in Shenzhen A (S.Z.S.A). In addition, the analysis looks at the asymmetric impact of herding in up and down markets with varying levels of idiosyncratic volatility over three sub-periods and the entire sample period. During falling markets, herding in whole markets is more pronounced in the highest idiosyncratic volatility stock portfolios, as demonstrated by the large gap between the two classes over the entire sample span. During the BFC period, herding is only observable with a greater magnitude in the largest idiosyncratic volatility stock portfolios in both Shanghai B (S.H.S.B) and Shenzhen A (S.Z.S.A). During the FC period, herding is more noticeable in the largest idiosyncratic volatility stock portfolios in Shanghai A (S.H.S.A) and Shenzhen A (S.Z.S.A) and with weak evidence in Shanghai B (S.H.S.B). During the AFC period, herding is more apparent in largest idiosyncratic volatility stock portfolios in Shanghai A (S.H.S.A) and Shenzhen A (S.Z.S.A) and in smallest idiosyncratic volatility stock portfolios in Shanghai B (S.H.S.B). During the rising market, herding is only pronounced with a greater magnitude in the largest idiosyncratic volatility stock portfolios in Shanghai A (S.H.S.A). During the BFC period, herding is again evidenced in Shanghai A (S.H.S.A) and with a little evidence in Shenzhen B (S.Z.S.B). During the FC period, herding in evidenced only in Shanghai B (S.H.S.B) and with weak evidence in Shenzhen B (S.Z.S.B). During the AFC period, herding is significantly observed in Shanghai B (S.H.S.B) and with weak evidence in Shanghai A (S.H.S.A). In conclusion, this research shows that herding occurs in the Chinese stock market, that it differs with levels of idiosyncratic volatility, and that investment behavior tends to vary during the three sub-periods. http://www.ijsmes.com 5. Conclusion The majority of studies look at idiosyncratic volatility through the prism of investor rationality, ignoring the behavioral element of it, and only a few studies show a clear correlation between idiosyncratic volatility and herding conduct. As a consequence, a deeper understanding of the relationship between idiosyncratic volatility and herd behavior is essential. As a result, this study contributes to existing literature by exploring the effects of idiosyncratic volatility on herding behavior in greater detail, by looking into the nature of herding and its asymmetric influence under extreme market conditions and market dynamics, conducting a sub-period analysis focused on the Great Financial Crisis. Overall, the results of this study indicate that idiosyncratic volatility is an essential component and determinant of herding conduct in the Chinese Stock Market. The findings indicate that herding occurs in the Chinese stock market, that it differs with idiosyncratic volatility, and that investment behavior tends to be different during three sub-periods. Academic researchers, investors, and policymakers will benefit from this paper's results in both academia and practice. To begin, this study adds to the current literature by presenting empirical evidence in the sense of an emerging market. Second, investors should be acknowledged to identify firms with high and low levels of idiosyncratic volatility and make plausible investment decisions, even in the case of companies with the low idiosyncratic volatility. They should also be able to understand the relationship between herding and idiosyncratic volatility, which may help them in taking better investment decisions and offsetting strategies. This will assist stock http://www.ijsmes.com 510 ernational Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X prices in getting closer to their fundamental values, thus improving market efficiency. Finally, this study suggests that policymakers focus more on enhancing information accuracy in order to achieve and maintain financial stability. Future research can focus on herding behavior of institutional investors, as this study tested only firm level herding. This study has used only daily stock returns data, future researchers can test herding behavior using high frequency, weekly and monthly returns. This study has also used only market level data, future research can examine industry level data , (Bikhchandani & Sharma, 2001) state that herd might arise at the level of investments in a group of stocks, such as stocks of firms in an industry or in a country where investors might face similar information. 5. Conclusion Idiosyncratic volatility, fundamentals, and institutional herding: Evidence from the Japanese stock market. Pacific-Basin Finance Journal, 14(2), 135- 154. doi:https://doi.org/10.1016/j.pacfin.2005.09.001 [10] Chang, E. C., & Dong, S. (2006). Idiosyncratic volatility, fundamentals, and institutional herding: Evidence from the Japanese stock market. Pacific-Basin Finance Journal, 14(2), 135- 154. doi:https://doi.org/10.1016/j.pacfin.2005.09.001 [11] Chiang, T. C., & Zheng, D. (2010). An empirical analysis of herd behavior in global stock markets. Journal of Banking & Finance, 34(8), 1911-1921. doi:https://doi.org/10.1016/j.jbankfin.2009.12.014 [12] Christie, W. G., & Huang, R. D. (1995). Following the Pied Piper: Do Individual Returns Herd around the Market? Financial Analysts Journal, 51(4), 31-37. doi:10.2469/faj.v51.n4.1918 [13] Dang, H. V., & Lin, M. (2016). Herd mentality in the stock market: On the role of idiosyncratic participants with heterogeneous information. International Review of Financial Analysis, 48, 247-260. doi:https://doi.org/10.1016/j.irfa.2016.10.005 [14] Demirer, R., & Kutan, A. M. (2006). Does herding behavior exist in Chinese stock markets? Journal of International Financial Markets, Institutions and Money, 16(2), 123-142. doi:https://doi.org/10.1016/j.intfin.2005.01.002 [15] Dennis, P., & Strickland, D. (2004). The Determinants of Idiosyncratic Volatility. [16] Devenow, A., & Welch, I. (1996). Rational herding in financial economics. European Economic Review, 40(3), 603-615. doi:https://doi.org/10.1016/0014-2921(95)00073-9 [17] Fernandez, V. (2014). Stock volatility and pension funds under an individual capitalization- based system. Journal of Business Research, 67(4), 536-541. doi:https://doi.org/10.1016/j.jbusres.2013.11.010 [18] Galariotis, E. C., Krokida, S.-I., & Spyrou, S. I. (2016). Herd behavior and equity market liquidity: Evidence from major markets. International Review of Financial Analysis, 48, 140- 149. doi:https://doi.org/10.1016/j.irfa.2016.09.013 [19] Galariotis, E. C., Rong, W., & Spyrou, S. I. (2015). Herding on fundamental information: A comparative study. Journal of Banking & Finance, 50, 589-598. doi:https://doi.org/10.1016/j.jbankfin.2014.03.014 [20] Gelos, R. G., & Wei, S.-J. (2005). Transparency and International Portfolio Holdings. The Journal of Finance, 60(6), 2987-3020. doi:https://doi.org/10.1111/j.1540-6261.2005.00823.x [21] Guney, Y., Kallinterakis, V., & Komba, G. (2017). Herding in frontier markets: Evidence from African stock exchanges. Journal of International Financial Markets, Institutions and Money, 47, 152-175. doi:https://doi.org/10.1016/j.intfin.2016.11.001 [22] Huang, T.-C., Lin, B.-H., & Yang, T.-H. (2015). Herd behavior and idiosyncratic volatility. Journal of Business Research, 68(4), 763-770. doi:https://doi.org/10.1016/j.jbusres.2014.11.025 [22] Huang, T.-C., Lin, B.-H., & Yang, T.-H. (2015). Herd behavior and idiosyncratic volatility. Journal of Business Research, 68(4), 763-770. doi:https://doi.org/10.1016/j.jbusres.2014.11.025 [23] Hwang, S., & Salmon, M. (2004). Market stress and herding. Journal of Empirical Finance, 11(4) 585 616 doi:https://doi org/10 1016/j jempfin 2004 04 003 [23] Hwang, S., & Salmon, M. (2004). Market stress and herding. Journal of Empirical Finance, 11(4), 585-616. 5. Conclusion Another reason is the degree of familiarity of sophisticated investors with certain industries, that allow un sophisticated investors to mimic their trading and investment strategies within these specific industries, thus, the occurrence of the herd. Therefore, studying industry herding might provide a high practical value. A further research might also explore some other financial anomalies such as lottery-type stocks, momentum effect, idiosyncratic risk puzzle as well as some Chinese specific elements that might influence herding such as the impact of financial market liberalization such as the effect of Stock-Connect Schemes “The Shanghai–Hong Kong Stock Connect (SH–HK–SC) and Shenzhen–Hong Kong Stock Connect (SZ–HK–SC) programs”, political tensions, recent pandemic effect, new financial regulations, information asymmetry effect, policy uncertainty effect and international shocks. [1] Ang, A., Hodrick, R. J., Xing, Y., & Zhang, X. (2006). The Cross-Section of Volatility and Expected Returns. The Journal of Finance, 61(1), 259-299. doi:https://doi.org/10.1111/j.1540- 6261.2006.00836.x [1] Ang, A., Hodrick, R. J., Xing, Y., & Zhang, X. (2006). The Cross-Section of Volatility and Expected Returns. The Journal of Finance, 61(1), 259-299. doi:https://doi.org/10.1111/j.1540- 6261.2006.00836.x [2] Ang, A., Hodrick, R. J., Xing, Y., & Zhang, X. (2009). High idiosyncratic volatility and low returns: International and further U.S. evidence. Journal of Financial Economics, 91(1), 1-23. doi:https://doi.org/10.1016/j.jfineco.2007.12.005 [3] Avery, C., & Zemsky, P. (1998). Multidimensional Uncertainty and Herd Behavior in Financial Markets. The American Economic Review, 88(4), 724-748. [4] Bali, T. G., & Cakici, N. (2009). Idiosyncratic Volatility and the Cross Section of Expected Returns. Journal of Financial and Quantitative Analysis, 43(1), 29-58. doi:10.1017/S002210900000274X [5] BenSaïda, A. (2017). Herding effect on idiosyncratic volatility in U.S. industries. Finance Research Letters, 23, 121-132. doi:https://doi.org/10.1016/j.frl.2017.03.001 [6] Bikhchandani, S., Hirshleifer, D., & Welch, I. (1992). A Theory of Fads, Fashion, Custom, and Cultural Change as Informational Cascades. Journal of Political Economy, 100, 992-1026. doi:10.1086/261849 [7] Bikhchandani, S., & Sharma, S. (2001). Herd Behavior in Financial Markets. IMF Staff Papers, 47, 1-1. [8] Campbell, J. Y., Lettau, M., Malkiel, B. G., & Xu, Y. (2001). Have Individual Stocks Become More Volatile? An Empirical Exploration of Idiosyncratic Risk. The Journal of Finance, 56(1), 1-43. doi:https://doi.org/10.1111/0022-1082.00318 [9] Chang, E. C., Cheng, J. W., & Khorana, A. (2000). An examination of herd behavior in equity markets: An international perspective. Journal of Banking & Finance, 24(10), 1651-1679. doi:https://doi.org/10.1016/S0378-4266(99)00096-5 511 http://www.ijsmes.com International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-299X [10] Chang, E. C., & Dong, S. (2006). 5. Conclusion doi:https://doi.org/10.1016/j.jempfin.2004.04.003 [24] Indārs, E. R., Savin, A., & Lublóy, Á. (2019). Herding behaviour in an emerging market: Evidence from the Moscow Exchange. Emerging Markets Review, 38, 468-487. doi:https://doi.org/10.1016/j.ememar.2018.12.002 [25] Jyoti Kumari, J. M. (2015). Does investor sentiment predict the asset volatility? Evidence from emerging stock market India. Journal of Behavioral and Experimental Finance, 8, 25-39. [25] Jyoti Kumari, J. M. (2015). Does investor sentiment predict the asset volatility? Evidence from emerging stock market India. Journal of Behavioral and Experimental Finance, 8, 25-39. [26] Levy, H. (1978). 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Working paper. (The University of Texas at Dallas). 512 http://www.ijsmes.com http://www.ijsmes.com International Journal of Strategic Management and Economic studies (IJSMES) – ISSN: 2791-29 [29] Merton, R. C. (1987). A Simple Model of Capital Market Equilibrium with Incomplete Information. The Journal of Finance, 42(3), 483-510. doi:https://doi.org/10.1111/j.1540- 6261.1987.tb04565.x [29] Merton, R. C. (1987). A Simple Model of Capital Market Equilibrium with Incomplete Information. The Journal of Finance, 42(3), 483-510. doi:https://doi.org/10.1111/j.1540- 6261.1987.tb04565.x [30] Newey, W. K., & West, K. D. (1987). A Simple, Positive Semi-Definite, Heteroskedasticity and Autocorrelation Consistent Covariance Matrix. Econometrica, 55(3), 703-708. doi:10.2307/1913610 [31] Nofsinger, J. R., & Sias, R. W. (1999). Herding and Feedback Trading by Institutional and Individual Investors. The Journal of Finance, 54(6), 2263-2295. doi:https://doi.org/10.1111/0022-1082.00188 [32] Paternoster, R., Brame, R., Mazerolle, P., & Piquero, A. (1998). Using the Correct Statistical Test for Equality of Regression Coefficients. Criminology, 36, 859-866. doi:10.1111/j.1745- 9125.1998.tb01268.x [33] Spiegel, M., & Wang, X. (2005). Cross-sectional Variation in Stock Returns: Liquidity and Idiosyncratic Risk. Yale School of Management Working Papers. [34] Spyrou, S. (2013). 5. Conclusion Herding in financial markets: a review of the literature. Review of Behavioral Finance, 5(2), 175-194. doi:10.1108/RBF-02-2013-0009 [35] Vo, X. V., & Phan, D. B. A. (2017). Further evidence on the herd behavior in Vietnam stock market. Journal of Behavioral and Experimental Finance, 13, 33-41. doi:https://doi.org/10.1016/j.jbef.2017.02.003 [36] Vo, X. V., & Phan, D. B. A. (2019a). Herd behavior and idiosyncratic volatility in a frontier market. 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Les hémosporidies des rapaces et corvidés en centres de soins : enquête épidémiologique 2018-2019 au centre d'accueil de faune sauvage de l’École vétérinaire d'Alfort (CHUV-FS). Médecine vétérinaire et santé animale. 2022. &#x27E8;dumas-03830592&#x27E9;
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French
Spoken
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La majorité des infestations était de faible intensité quel que soit le genre de l’hémosporidie. En revanche, les degrés moyens et forts ont été uniquement retrouvés chez les juvéniles dans le cas d’Haemoproteus et Leucocytozoon, tandis que tous les degrés d’intensité ont été retrouvés dans les 3 classes d’âge pour Plasmodium. Co-infestations Les cas de co-infestations ont exclusivement été retrouvés chez les corvidés dans cette étude. Les co-infestations concernent 10 % des corvidés de l’échantillon et 20,5 % des corvidés infestés. Plasmodium concernait la majorité des cas de co-infestations et son association avec Haemoproteus était aussi la plus importante. Des résultats similaires ont été notés dans une étude concernant les corvidés dans le sud de la France, à la nuance près que Haemoproteus était majoritaire devant Plasmodium (Jacquesson, 2019). C. Perspectives Cette étude confirme l’arrivée de rapaces et corvidés infestés aux hémosporidies en centre de soins ainsi que la présence des trois genres d’hémoparasites (Haemoproteus, Leucocytozoon et Plasmodium) en Île-de-France. Malgré le faible nombre d’animaux analysés, le genre Leucocytozoon était bien représenté chez les rapaces, notamment chez ceux provenant de zones urbaines. Ces derniers pourraient alors participer à représenter indirectement un risque vis-à-vis des hémosporidies pour les autres oiseaux occupant ces territoires, dont ceux accueillis au Chuv-FS. Le printemps et l’été semblent néanmoins être les saisons les plus à risque concernant l’infestation aux hémosporidies chez les rapaces et corvidés étudiés. Les parasites trouvent en effet des conditions climatiques plus favorables et un plus grand nombre d’hôtes vecteurs pour leur développement. Les belles saisons marquent aussi le pic d’activité des centres de soins à la faune sauvage, ce qui amène à avoir des populations d’oiseaux en convalescence plus denses que dans leur milieu naturel. En présence du vecteur associé, cette plus forte densité augmente le risque d’infestation pendant le séjour des oiseaux au centre, même si ce fait n’a pas pu être confirmé dans cette étude. Il est donc préférable de gérer l’hospitalisation des rapaces et corvidés de la manière la plus extensive possible. Pour la même raison, une lutte anti-vectorielle est aussi recommandée en centre (utilisation d’insecticides, filets, etc). De plus, si cette étude n’a pas permis de déterminer s’il existait un risque de transmission interespèce d’hémosporidies, elle a été décrite dans d’autres centres de soins ou parcs zoologiques Page 108 (Leclerc, 2008). Séparer les différentes espèces d’oiseaux entre elles lors de leur séjour en centre pourrait limiter ce risque, même si les conséquences décrites en France ne sont majoritairement pas dramatiques en l’état actuel. Aussi, les centres de soins regroupent des animaux d’origine géographique variées, et sous réserve d’une transmission au sein du centre par la présence de vecteurs, un possible brassage de lignées ou de genres d’hémosporidies serait possible au sein d’une ou plusieurs espèces d’oiseaux. Si l’infestation plus fréquente des juvéniles n’a pas été démontrée statistiquement ici, une tendance en faveur de leur plus grande suceptibilité d’infestation semble se dessiner, et avec un plus fort degré d’infestation des jeunes par rapport aux adultes. Ces individus pourraient donc nécessiter une plus grande attention en centre. Il a été observé que l’infestation aux hémosporidies est majoritairement sans influence sur le relâché potentiel des rapaces et corvidés. Au vu du coût que représentent les traitements spécifiques contre les hémosporidies et par les résistances potentielles aux antipaludéens, il est conseillé de n’envisager de traiter uniquement les animaux effectivement infestés et présentant des signes cliniques. Enfin, cette étude portait sur les rapaces et corvidés arrivés au Chuv-FS de l’EnvA. L’étude de l’hémoparasitisme sur d’autres espèces aviaires présentes en Île-de-France pourrait la compléter. Aussi, il serait intéressant d’étudier l’hémoparasitisme des populations d’oiseaux arrivant dans d’autres centres de soins en France, par exemple ceux associés aux autres écoles vétérinaires. La communauté scientifique semble aussi de plus en plus s’intéresser aux hôtes vecteurs. Davantage d’études en ce sens en France pourraient aussi compléter les connaissances existantes sur les hémosporidioses aviaires. Conclusion Cette étude s’est intéressée à la situation épidémiologique vis-à-vis des hémosporidies chez les rapaces et corvidés arrivés au centre de soins de la faune sauvage de l’Ecole nationale vétérinaire d’Alfort et présente une analyse statistique descriptive et inférentielle axée sur la présence ou non des genres Haemoproteus, Leucocytozoon et Plasmodium. Les résultats obtenus ont montré une variabilité prévalence et du degré de l’infestation au sein des espèces de rapaces et corvidés. La présence des hémosporidies était detectée chez 33 % des rapaces et 48 % des corvidés accueillis entre mai 2018 et mai 2019. L’origine des corvidés était majoritairement urbaine (Paris et petite couronne) et principalement péri-urbaine pour les rapaces. Chez les corvidés, Plasmodium était le genre d’infestation le plus fréquent et 20 % des infestations étaient liées à plusieurs genres d’hémosporidies. Chez les rapaces en revanche, aucun cas de co-infestation n’a été détecté, et Leucocytozoon était le genre majoritairement détecté dans ce groupe. Bien que non démontré statistiquement, il semblerait que les juvéniles arrivant pendant le printemps et l’été soient les individus les plus à risque d’être infestés. Aussi, les résultats obtenus ont montré un taux de relâché similaire entre les individus infestés et non-infestés, confirmant l’affirmation que les hémosporidioses aviaires sont la plupart du temps des affections subcliniques qui ne déclenchent pas nécessairement une maladie impactant l’état clinique des oiseaux au point de compromettre leur relâché. Cette observation souligne le rôle des centres de soins dans la gestion du risque lié à la dissémination des hémosporidies et dans la lutte antivectorielle. 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PLoS One 9(4), e94877 Annexe 1 : Lexique -Anautogène : se dit des femelles diptères qui ont besoin de se nourrir de sang qui contient les protéines nécessaires pour permettre la maturation des oeufs (en opposition aux femelles autogènes qui peuvent se passer de sang pour la maturation des oeufs). -Apicoplaste : organelle de type plaste non photosynthétique entourée de deux double membranes et contenant de l’ADN circulaire, présente chez les parasites Apicomplexa et participant à la pénétration active du parasite dans les cellules de l’hôte. Il serait un vestige de chloroplaste. -Clades : en phylogénie, un clade ou groupe monophylétique est un groupe d’organismes, vivants ou ayant vécu, comprenant un ancêtre commun particulier et l’ensemble de ses descendants. -Cryptozoïte : méronte de première génération dans la mérogonie exo-érythrocytaire primaire (le suffixe « -zoïte » est impropre dans ce cas, mais le terme a été consacré par l’usage). -Cycle hétéroxène : évolutif parasitaire à deux ou plusieurs hôtes. On y distingue un hôte intermédiaire (qui héberge des formes en développement et permet leur évolution) et un hôte définitif (qui héberge les formes adultes, sexuées). L’hôte intermédiaire peut être facultatif ou obligatoire. -Gamète : produit issu de la gamétogonie. Cellule sexuée (mâle ou femelle), haploïde, destinée à la fécondation, dont le noyau comporte un nombre N de chromosomes égal à la moitié de celui des cellules originelles. La fusion de deux gamètes produit un oeuf (ou zygote). -Gamétocyte : produit de la transformation du mérozoïte au cours de la gamétogonie, qui donnera un ou plusieurs gamètes. -Gamétogonie : formation de gamétocytes à partir de mérozoïtes et qui donneront à terme des gamètes. -Haploïde : une cellule est haploïde lorsque chaque noyau ne possède qu’un seul exemplaire de chaque chromosome. Ceci s’oppose aux cellules diploïdes, qui contiennent des chromosomes en double exemplaire (2n chromosomes) -Hématophage : qui se nourrit de sang. -Hémozoïne : pigment issu de la digestion de l’hémoglobine par certaines hémosporidies dans les érythrocytes. -Macrogamète : gamète femelle d’hémosporidie ayant atteint sa maturité, de dimensions plus grandes que le gamète mâle (microgamète). -Macrogamétocyte : gamétocyte femelle de plus grande dimension que le gamétocyte mâle. -Mérogonie (=schizogonie) : multiplication asexuée, consistant en de nombreuses divisions noyau, transformant le trophozoïte en méronte. -Mérontes (=schizontes) : issu de la transformation du trophozoïte, contenant plusieurs noyaux en division. Le méronte donne des cellules-filles appelées mérozoïtes (ou schizozoïtes) libérées à la suite de la rupture du méronte. -Mérozoïte : élément uninucléé, provenant de la division et du découpage du nte (ou méronte) dans le sycle de reproduction des sporozoaires. -Métacryptozoïte : méronte de deuxième génération dans la mérogonie exo-érythrocytaire secondaire (le suffixe « -zoïte » est impropre dans ce cas, mais le terme a été consacré par l’usage). -Microgamète : gamète mâle d’hémosporidie issu des microgamétocytes, qui chez Plasmodium possède un flagelle. -Microgamétocyte : gamétocyte mâle de dimension plus petite que le gamétocyte femelle. -Nématocère : sous-ordre d’insectes à antennes allongées à plus de 6 articles, diptères à allure de moucherons ou de moustiques, par opposition à ceux ressemblant à des mouches (brachycères = antennes courtes). -Oeuf (=zygote) : cellule à 2n chromosomes résultant de la fusion des cellules sexuelles mâle et femelle, appelée aussi cellule-oeuf. -Oocyste : forme enkystée du gamète femelle fertilisé d’un hémosporidie, après son passage sous forme d’ookinète. -Ookinète : oeuf mobile résultant de l’union des gamètes, au cours de la phase de reproduction sexuée des sporozoaires. -Orthorrhaphes : Insectes diptères dont seules les femelles se nourrissent de sang. Leurs larves sont céphalées et leurs lymphes sont mobiles -Paraphylétique : en phylogénie, un groupe est dit paraphylétique quand il ne rassemble pas tous les descendants d’un ancêtre commun qu’il contient. -Pecten : structure choroïdienne oculaire richement vascularisée présente chez les oiseaux -Phanérozoïte : méronte issu de la mérogonie post-érythrocytaire. -Schizogonie (=mérogonie) : multiplication ou reproduction asexuée, consistant en de nombreuses divisions noyau, transformant le trophozoïte en méronte. -Solénophagie : Type de nutrition chez les insectes par ponction sanguine directement dans un capillaire sanguin de l’hôte. -Spores : formes à paroi épaisse, se formant à l’intérieur du protozoaire, voire à l’intérieure d’un kyste. Leur production peut se faire par sporogonie. Corpuscule unicellulaire ou pluricell pouvant donner naissance sans fécondation à un nouvel individu. -Sporogonie : série de divisions asexuées ayant lieu à l’intérieur de l’oocyste, à la suite de la fécondation, et aboutissant à la formation de spores ou de sporozoïtes. -Sporozoïte : forme unicellulaire et allongée du parasite, produit de la sporogonie, et constituant la forme infestante dans l’hôte vecteur. -Syncitium : Masse de cytoplasme qui contient plusieurs noyaux. Chez les hémosporidies, le syncitium est un fragment de méronte avec au moins deux noyaux. -Telmophagie : ponction sanguine en créant dans le derme une petite poche sanguine, dont le contenu est ensuite absorbé. -Trophozoïte : chez les hématozoaires, stade asexué du protozoaire capable de se nourrir. -Zygote (=oeuf) : cellule à 2n chromosomes résultant de la fusion des cellules sexuelles mâle et femelle, appelée aussi cellule-oeuf. Annexe 2 : Protocole de prélèvement et frottis sanguin Matériel nécessaire : Gants en latex pour l ’opérateur et l’aide Gants en cuir pour l’aide si nécessaire Ethanol 70% dans une pissette Aiguille 25 gauge (orange) de 16mm de long, une par oiseau Pipette Pasteur cotonnée en verre de 150 mm de long Tétine de pipetage Lames de microscopes, environ 4 par oiseau Tube à EDTA (bouchon violet), 1 par oiseau Compresses Crayon de papier Marqueur indélébile Consignes : Deux personnes sont nécessaires pour réaliser une prise de sang à la veine brachiale : une personne dédiée à la contention et une autre personne pour le prélèvement sanguin. Rassembler le matériel. Identifier les lames qui vont être utilisées pour le frottis sanguin : noter à une extrémité de la lame et au crayon de papier (la coloration du frottis dissoudrait le feutre) la date du jour, le numéro de registre de l’oiseau au CEDAF et le numéro de la lame si plusieurs sont réalisées. Identifier le tube EDTA : noter au feutre indélébile sur chaque tube la date du jour et le numéro de registre de l’oiseau au CEDAF. Enfiler les gants avant de toucher l’animal. La personne dédiée à la contention immobilise l’animal en saisissant le corps d’une main et en maintenant la tête de l’autre. Cela permet d’une part de calmer l’animal en couvrant les yeux et de protéger l’opérateur du bec de l’oiseau d’autre part. Le choix de l’aile étendue se fait en fonction de l’examen clinique de l’animal et en fonction de la préférence manuelle de l’opérateur. L’aide peut poser l’animal sur le dos sur une table d’examen pour plus de facilité. La manipulation est stoppée en cas de stress trop important pour l’oiseau. L’opérateur cherche la veine alaire et mouille la zone en regard avec de l’éthanol. L’aile est maintenue entre l’index et le majeur tandis que le pouce de la même main comprime la veine en amont du site de ponction. Une fois la veine identifiée, l’opérateur la ponctionne avec l’aiguille orange. Il n’est pas nécessaire d’insérer toute l’aiguille dans la veine. L’opérateur place ensuite la pipette Pasteur en verre au bout de l’aiguille pour aspirer par capillarité le sang qui sort de la garde. Lorsque le prélèvement est fait, relâcher la compression, retirer l’aiguille et comprimer le site de ponction avec une compresse. Si l’animal a été maintenu sur le dos pour le prélèvement, la compression peut se faire par l’aide et en position physiologique pour minimiser le stress de l’animal. Mettre le sang dans le tube EDTA et agiter en conservant l’équivalent d’une goutte par lame dans la pipette Pasteur. Déposer une goutte en bordure lame sur chacune d’entre elles. Réaliser les frottis rapidement, avant que la goutte de sang ne sèche ou ne coagule, de la ière suivante : Une fois sèches, colorer les lames au RAL 555 (principalement utilisé dans cette étude) ou au MGG. Conservation : Une fois sèches, colorer les lames au RAL 555 (principalement utilisé dans cette étude) ou au MGG : insérer puis ressortir 10 fois de suite la lame dans chaque fixateur/colorant, puis rincer en plaçant sous un faible flux d’eau en évitant de diriger le flux directement sur le sang. Les tubes EDTA serviront à réaliser une étude génomique et moléculaire au Muséum d’Histoire naturelle ou à faire d’autres frottis. Annexe 3 : Tableaux de contingence Examen clinique / Devenir Relâché Euthanasie Mort spontanée Inconnu n n n n Traumatisme 29 31 17 1 Métabolique/nutritionnel 7 8 10 1 Infectieux 1 0 1 0 Inconnu 42 3 27 6 Type d’infestation Haemoproteus Leucocytozoon Plasmodium Co-infestation Non infesté n n n n Rapace 2 5 5 0 25 Corvidés 27 18 40 15 77 Saison d’arrivée / type d’infestation Haemoproteus Leucocytozoon Plasmodium Coinfestation Non infesté n n n n n Printemps 0 4 3 0 12 Eté 1 0 2 0 5 Automne 1 1 0 0 5 Hiver 0 0 0 0 3 Printemps 17 15 21 9 60 Eté 12 2 17 6 8 Automne 0 1 2 0 5 Hiver 0 0 0 0 4 Rapace Corvidés Département d’origine / type d’infestation Haemoproteus Leucocytozoon Plasmodium Coinfestation Non infesté n n n n n Deux-sèvres 0 1 0 0 Essonne 0 1 0 0 Haurs-de-seine 0 1 0 0 Nièvre 0 0 0 0 1 Oise 1 0 2 0 4 Paris 0 0 0 0 2 Seine-et-marne 0 1 2 0 8 Seine-Saint-Denis 0 1 0 0 2 Val d’Oise 1 0 0 0 1 Val-de-marne 0 0 0 0 3 Yvelines 0 0 0 0 2 Rapace 2 Corvidés Côte d’Or 1 Essonne 6 2 1 2 2 Haurs-de-seine 2 1 4 1 3 Paris 5 8 7 4 24 Seine-et-marne 1 0 3 0 7 Seine-Saint-Denis 2 0 7 2 6 Val d’Oise 0 0 0 0 3 Val-de-marne 12 5 11 4 23 Yvelines 0 0 1 0 1 127 Classe d’âge / type d’infestation Haemoproteus Leucocytozoon Plasmodium Coinfestation Non infesté n n n n n Juvéniles dépendants 0 3 0 0 8 Juvéniles indépendants 2 0 0 4 Adultes 2 0 4 0 13 Juvéniles dépendants 19 12 19 8 31 Juvéniles indépendants 7 5 13 6 32 Adultes 2 1 6 0 12 Rapace Corvidés LES HÉMOSPORIDIES DES RAPACES ET CORVIDÉS EN CENTRES DE SOINS : ENQUÊTE ÉPIDÉMIOLOGIQUE 2018-2019 AU CENTRE D'ACCUEIL DE FA SAU AGE DE L'ÉCOLE VÉTÉRINAIRE D'ALFORT (CHUV-FS) AUTEUR : Sarah HILKA RÉSUMÉ : Les hémosporidies bénéficient d’un regain d’intérêt à l’heure actuelle suite, entre autres, aux dommages qu’elles ont pu causer sur la faune sauvage et à l’importance croissante des centres de soin dans la réhabilitation de l’avifaune. Une étude transversale monocentrique était réalisée sur 37 rapaces (6 espèces) principalement d’origine péri-urbaine et 150 corvidés majoritairement d’origine urbaine (4 espèces) arrivés au ChuvFS de l’EnvA entre mai 2018 et mai 2019. L’analyse des frottis a permit l’identification morphologique des hémosporodies et l’estimation de la parasitémie. Cette étude a mis en évidence trois genres d’hémosporidies (Haemoproteus, Leucocytozoon et Plasmodium). Le taux de relâché très proche parmi les infestés et non infestés (72% des rapaces, 35% des corvidés) montre la faible incidence clinique liée à l’hémoparasitisme. L’analyse statistique des résultats a montré une association positive entre les corvidés juvéniles et l’infection par Plasmodium sp., L’infestation à Plasmodium en particulier était prédominante chez les corvidés et était aussi plus fréquemment impliquée dans les cas de co-infestations. Bien que non démontré statistiquement, Leucocytozoon semblait infester plus fréquemment les rapaces que les autres genres d’hémosporidies. Les résultats suggèrent que l’hémoparasitisme chez les rapaces et corvidés en centre de soins est une infestation majoritairement subclinique influençant probablement peu le potentiel relâché des oiseaux. Il est donc important de déterminer la présence des vecteurs dans les centres de soin et le risque de transmission pendant la période de réhabilitation. Ceci permettra d’établir les mesures de gestion de ce risque sur la lutte antivectorielle et permettra de réduire le risque de dissémination des hémosporidies lors des rêlachés. MOTS CLÉS : HEMOSPORIDIE / PARASITOLOGIE / HAEMOPROTEUS / LEUCOCYTOZOON / PLASMODIUM /EPIDEMIOLOGIE / OISEAU / RAPACES / CORVIDES / CENTRE DE SOINS / FRANCE / ILE-DE - FRANCE JURY : Président : Pr Grégory JOUVION Directrice de thèse : Dr Véronica RISCO-CASTILLO Examinateur : Dr Pascal ARNÉ HEMOSPORIDIA OF RAP TORS AND COR VID S IN WILDLIFE HOS PITAL S : EPI DEMIOLOGIC AL STUD Y AT THE VETERINARY WILDLIFE HOSPITAL OF THE NATIONAL VETERINARY SCHOOL OF ALFORT FROM 2018 TO 2019 AUTHOR: Sarah HILKA SUMMARY: The scientific interest in Hemosporidia is currently being reawakened, following, amongst others, the damages they have caused on wildlife, as well as the expanding role of wildlife hospitals in matters of avifauna rehabilitation. This study’s objectives were twofold: firstly, to compile a global overview of the epidemiological situation concerning hemoparastism in the raptors and corvids fostered in a wildlife hospital in Île-de-France; secondly, to identify potential key factors in the haemosporidian infestation and its transmission in those species, in order to propose relevant risk mitigation measures. Between May 2018 and May 2019, a transversal and monocentric study was conducted on birds sheltered at the wildlife hospital of the national veterinary school of Alfort, which included 37 raptors (6 species), mainly of peri-urban origins, and 150 corvids (4 species), mainly of urban origins. The analysis of the resulting blood smears allowed for the morphological identification of Hemosporodia and gave an estimate for the parasitemia. This study highlighted the presence of three genera of hemosporidia (Haemoproteus, Leucocytozoon and Plasmodium). The close release rates between infested and non-infested birds (72% of raptors, 35% of corvids) shows the weak clinical impact of hemoparasitism. Statistical analysis of the results demonstrated a positive association between juvenile corvids and Plasmodium sp. infection. Plasmodium infestation was particularly predominant in corvids, and was also more frequently implicated in cases of co-infestations. Though it was not statistically proven, Leucocytozoon seems to be infecting raptors more often than any other genera of hemosporidia. Results suggest that hemoparasitism in raptors and corvids in wildlife hospitals is a largely subclinical infestation, and has very little impact of the potential release of the birds. It is therefore crucial to determine the existence of vectors in wildlife hospitals, and to limit the risk of transmission during the rehabilitation period. Thus, it will allow for the implementation of risk management measures concerning vector control and will reduce the risk of dissemination of hemosporidies via released birds. KEYWORDS: HEMOSPORIDIA / PARASITOLOGY / HAEMOPROTEUS / LEUCOCYTOZOON / PLASMODIUM / EPIDEMIOLOGY / BIRD / RAPTORS / CORVIDS / WILDLIFE HOSPITAL / FRANCE / ILE -DE-FRANCE JURY: Chairperson: Pr Grégory JOUVION Thesis Director: Dr Véronica RISCO-CASTILLO Reviewer : Dr Pascal ARNÉ.
6,256
https://arxiv.org/abs/2401.06945
arXiv
Open Science
CC-By
null
Knowledge-Centric Templatic Views of Documents
Isabel Cachola, Silviu Cucerzan, Allen Herring, Vuksan Mijovic, Erik Oveson, Sujay Kumar Jauhar
English
Spoken
8,273
13,903
Knowledge-Centric Templatic Views of Documents Isabel Cachola ${}^{\text{1}}$ Silviu Cucerzan${}^{\text{2}}$ Allen Herring${}^{\text{2}}$ Vuksan Mijovic${}^{\text{2}}$ Erik Oveson${}^{\text{2}}$ Sujay Kumar Jauhar${}^{\text{2}}$ 1Johns Hopkins University 2Microsoft icachola@cs.jhu.edu, {silviu,allenh,vmijovic,erikov,sjauhar}@microsoft.com This work was conducted by the first author during an internship at Microsoft Research. ###### Abstract Authors seeking to communicate with broader audiences often compose their ideas about the same underlying knowledge in different documents and formats – for example, as slide decks, newsletters, reports, brochures, etc. Prior work in document generation has generally considered the creation of each separate format to be different a task, developing independent methods for generation and evaluation. This approach is suboptimal for the advancement of AI- supported content authoring from both research and application perspectives because it leads to fragmented learning processes, redundancy in models and methods, and disjointed evaluation. Thus, in our work, we consider each of these documents to be templatic views of the same underlying knowledge, and we aim to unify the generation and evaluation of these templatic views of documents. We begin by introducing an LLM-powered method to extract the most important information from an input document and represent this information in a structured format. We show that this unified representation can be used to generate multiple templatic views with no supervision and with very little guidance, improving over strong baselines. We additionally introduce a unified evaluation method that is template agnostic, and can be adapted to building document generators for heterogeneous downstream applications. Finally, we conduct a human evaluation, which shows that humans prefer 82% of the downstream documents generated with our method. Furthermore, the newly proposed evaluation metric correlates more highly with human judgement than prior metrics, while providing a unified evaluation method. Figure 1: Visualization of our method. Given an input document, we prompt the LLM to generate a Structure Unified Representation (SURe). We can use the SURe to prompt the model to generate a templatic view of the input document. We then evaluate the generations using our unified evaluation. ## 1 Introduction Sharing information in multiple formats is an important part of communication in a variety of domains, as it allows for knowledge to be disseminated to a wider audience. A product manager may need to create a requirements document, a product pitch deck, and a product announcement newsletter. Likewise, a person on the job market may create a resume, a cover letter, and a personal website. We consider these documents to be templatic views of the same underlying knowledge. This is also true for the scientific domain, in which researchers need to create documents in multiple formats to effectively disseminate their work, – such as through conference talks, social media posts, poster presentations, and non-technical blog posts. Sharing knowledge in multiple formats broadens its audience and can help bridge the information gap between domain experts, researchers in adjacent fields, and even the general public – leading to greater understanding, new collaboration and accelerated progress in the field. With the significant increase in the pace of publication in recent years Bornmann and Mutz (2014), it has become essential for scientists to engage with the community and share their work in more compact, efficient, or easier to digest formats. Past work on document generation has focused on developing methods of generation and evaluation for each specific document type individually Fu et al. (2021); Qiang et al. (2016); Chandrasekaran et al. (2020). However, tailoring methods to each template is time consuming and limiting, resulting in methods that are usable only for each intended template that cannot be compared across template types with specialized evaluation metrics. Our goal is to unify the tasks of generating and evaluating templatic views of documents. By doing so, we aim to allow system designers to adapt to new document types, templates and domains easily and efficiently, and to allow researchers to compare approaches more flexibly and fairly. We begin by setting a few desiderata for our system for templatic view generation; it must be (1) unified, (2) adaptable, and (3) require minimal supervision. In order to design such a system to generate each of these templates, the method must be able to create structure and follow style norms associated with each template. We thus introduce an LLM-powered approach to generate a Structure Unified Representation (SURe) that represents the most important knowledge of an input document in a structured format. We demonstrate that this SURe can be used with no supervision and with very little prompted guidance about the output formats, to generate multiple templatic views of a document. Meanwhile, automatic evaluation is crucial for researchers and developers to iterate more quickly than they otherwise would be capable of by relying solely on human evaluation. However, because in the past each templatic view has been tackled independently, previous work has used different evaluation metrics for each task, such as BERTScore for summarization Zhang* et al. (2020), Slide Level ROUGE for slide decks Qiang et al. (2016), or even a custom-trained, model-based metric for posters Wang et al. (2015). In this paper, we introduce Template Agnostic Evaluation (TAE) – a unified precision-recall style method of automatic evaluation that is template agnostic. Importantly, this evaluation framework is highly customizable, allowing users to easily integrate existing text-based metrics from the literature into its formulation and tailor its function to their specific use case. We evaluate our unified approach to templatic view generation and evaluation on 3 types of documents: slides, posters, and blog posts. In each of these, the inputs are scientific articles and the outputs are expected to be documents of the corresponding types. We use the DOC2PPT Fu et al. (2021), Paper-Poster Qiang et al. (2016), and LongSumm Chandrasekaran et al. (2020) datasets, respectively. We show that our method of generating a Structured Unified Representation leads to improvements in performance across each tasks, demonstrating that LLMs are capable of generating templatic views with structure-augmented prompts, despite having no supervision. We additionally conduct a human evaluation to validate both our document generation method and evaluation metric. We show that humans prefer the output yielded by our method 82% of the time and that our evaluation metric correlates more highly with human preference than other popular metrics, such as ROUGE and BERTScore Lin (2004); Zhang* et al. (2020). While the focus of this paper is the transformation of scientific documents, this choice was primarily driven by the availability of publicly available data. We note that nothing about our unified framework is domain specific, and we believe our approach for the creation and evaluation of templatic views of documents is easily adaptable to novel domains, and document types. More generally, we believe our work is a step towards the broader and more challenging goal of AI-assisted authoring support, and future research in reasoning over and generation of long documents. ## 2 Related Work There are several areas of related research in NLP that are relevant to the problems of document transformation and evaluation. Document summarization has been explored in a number of domains, including news See et al. (2017), literature Sciré et al. (2023), law Deroy et al. (2023), and dialogue Chen et al. (2021). In the scientific domain, summarization of scientific papers has taken the form of long form summaries Chandrasekaran et al. (2020), abstract generation Cohan and Goharian (2015), conference talks Lev et al. (2019), and query based summaries Fok et al. (2023). These summaries can be either extractive Sefid and Giles (2022) or abstractive Chandrasekaran et al. (2020). Although the tasks of slide and poster generation have generally been considered separate from scientific summarization, they are related in that both tasks require taking an input article, then organizing and abstracting the information to generate a new document. Past work has developed methods for slide generation from papers Hu and Wan (2015); Li et al. (2021); Hu and Wan (2015); Fu et al. (2021), from code Wang et al. (2023a), or based on a query Sun et al. (2021). Poster generation has been explored in the form of content extraction for posters Xu and Wan (2021), interactive generation Wang et al. (2015), or full content generation using graphical models Qiang et al. (2016). To the best of our knowledge, our work is the first to create a unified method capable of generating a diverse range of templatic views of a source document. Large Language Models (LLMs), which are central to our approach, have shown impressive capabilities in a variety of tasks Radford et al. (2019); Brown et al. (2020). Based on the transformer architecture Vaswani et al. (2017), LLMs have shown emergent abilities in tasks such as arithmetic and question answering Wei et al. (2022a). Similar to chain of thought prompting Wei et al. (2022b) and content planning prompting Wang et al. (2023b), we show that by generating an intermediate Structured Unified Representation (SURe) of an input document can improve performance over simply prompting the model to generate the final document Additionally, past work has explored using knowledge graphs to provide structure to LLMs in order to improve performance Pan et al. (2024); Rosset et al. (2020); Lewis et al. (2020). Similarly, we show that the structure provided by the SURe improves the quality of the final document, while being more easily adapted to new domains than a knowledge graph. As past work has considered generation of templatic views to be separate tasks, methods for automatic evaluation of different templatic views has also been considered independently. LongSumm, the shared task introduced by Chandrasekaran et al. (2020), uses ROUGE scores to evaluate model performance Lin (2004). Fu et al. (2021) introduced Slide Level ROUGE to evaluate slide generation, which is a variant of ROUGE that contains a penalty for the number of slides. Qiang et al. (2016) used a trained regressor to predict the size of panels in a poster. In the summarization space, many automatic metrics for evaluation have been introduced such as BERTScore Zhang* et al. (2020), UniEval Zhong et al. (2022), BARTScore Yuan et al. (2021), BLANC Vasilyev et al. (2020), and MoverScore Zhao et al. (2019). However, these metrics are intended for a simple input document-summary setup, and do not take into account factors that affect the quality of other types of documents, such as structure and ordering. Our work is the first to introduce template agnostic evaluation, allowing uniform comparison of performance across template types. Prompt Function | Prompt ---|--- Generate the SURe | | "Given the input text, extract the document title and authors. --- For each section in the given input text, extract the most important sentences. Format the output using the following json template:\n <SURe TEMPLATE>\n\n Input: <INPUT DOCUMENT>\n Output:" [0.5pt/3pt] Generate LaTeX document | | "Summarize the following input in a <TEMPLATE TYPE>style. --- Style parameters: <STYLE PARAMETERS> Format the output document as a latex file:\n Input: <INPUT DOCUMENT>\n\n Output:" Table 1: Prompts used to generate the SURe and final LaTeX document. The template is pictured in Figure 2. ## 3 Data Before introducing our approach to unified generation and evaluation of templatic document views, we begin by describing the data we use in this paper. There is no existing dataset that includes multiple views of a single document. Instead, we evaluate our unified method, described in §4, on 3 datasets: DOC2PPT, LongSumm, and Paper-Poster Fu et al. (2021); Chandrasekaran et al. (2020); Qiang et al. (2016). These datasets are chosen because they each involve generating a different view of a document. We note that our method is not specific to the scientific domain. However, the scientific domain is one of the few domains with abundantly available public data of multiple templatic views of documents. We leave exploration of other domains to future work. The three datasets and their associated generation tasks are described below. ##### Slide Generation. We use use the DOC2PPT dataset introduced by Fu et al. (2021). DOC2PPT is a dataset of 5.8K scientific papers in Computer Science and their respective slide decks. We randomly sample 1K examples from this dataset for evaluation. The slides are provided as an image for each slide. We use the Azure OCR tool to extract the text from each slide111https://learn.microsoft.com/en- us/azure/ai-services/computer-vision/overview-ocr. ##### Blog Generation. We use the LongSumm dataset introduced by Chandrasekaran et al. (2020), which includes blog posts of scientific papers in the Computer Science domain. LongSumm was originally introduced as a shared task for the purposes of long form summarization of scientific documents. Although LongSumm includes a blind set of 22 papers, our goal is to develop both a unified method of generation and evaluation across template types. As we are unable to compute our custom evaluation metric, described in §5, we exclude the blind test data from our evaluation. Instead, we use their released train split as our evaluation data, since our method does not require any training or supervision. Of the 531 released blog posts, we were able to access 505 of their papers. The other 26 papers included broken links or were behind a paywall. Longsumm also includes a set of extractive summaries from Lev et al. (2019). We exclude these summaries from our evaluation data. ##### Poster Generation. We use the Paper-Poster dataset introduced by Qiang et al. (2016). Paper- Poster is a dataset of 85 papers in Computer Science and Biology, and their respective scientific posters. We exclude 2 examples containing corrupted PDFs from our evaluation. Although Qiang et al. (2016) uses the source files to extract the text of posters for evaluation, they only release the PDF formats. To preprocess the reference posters, we found that automatic tools to extract text from documents did not handle the visual layout of posters well, so we manually extracted the text of the posters in this dataset. Note that this process was only done to obtain metrics for evaluation, and that our unsupervised generation method is capable of creating target documents without the need for reference data, or this dataset-specific manual extraction step. For all 3 datasets, we use the Azure Document Layout tool to extract the text of the input papers.222https://learn.microsoft.com/en-us/azure/ai- services/document-intelligence/concept-layout?view=doc-intel-4.0.0 ## 4 Unified LLM-powered Generation of Templatic Views Our goal is to develop a method of generation that is: (1) unified, (2) adaptable, and (3) requires minimal supervision. We introduce a 2 step method: generate a Structured Unified Representation (SURe) and then generate the templatic view. By first generating a SURe, we are providing the model with a structured representation of the knowledge in the input document. This representation unifies the resulting templatic views, and can be used to generate any new template styles, achieving criteria (1) and (2). Additionally, this method is a zero shot method, meaning it requires no previously annotated data or training, achieving criteria (3). This process is visualized in Figure 1. ### 4.1 SURe Generation The SURe is a JSON representation of the original document, consisting of a structured layout of the most important parts of the input. We provide the document to the model along with a template of the SURe. The prompt and template used can be found in Table 1 and Figure 2, respectively. By first generating a SURe, we are providing structure to the input document, while representing only the most important information, making it easier for the LLM to parse than the full input document. While we experiment with representing the SURe as a JSON in this paper, we note that a JSON format isn’t inherent to the SURe. The SURe could be represented in any format that provides structure to the input text (e.g. XML or Markdown) and we leave exploration of different formats to future work. ### 4.2 Templatic View Generation We then feed the generated SURe as input back into the LLM, asking the model to generate the final output document. We ask the LLM to represent the final output document as a LaTeX file, as LaTeX is capable of formatting multiple styles of documents, including slides, posters, and blog posts. The prompts for each step can be found in Table 1. For each templatic view, the prompt to generate the final LaTeX document takes a short description of the desired output, which we refer to as style parameters. For the tasks we evaluate in this paper, we use the following style parameters: * • Slides: “Slides should include a title page. Following slides should contain an informative slide title and short, concise bullet points. Longer slides should be broken up into multiple slides.” * • Posters: “Posters should include a title section at the top. Each panel should include a heading and short, concise bullet points of the most important take- aways from that section.” * • Blogs: “Blogs should include pargraphs introducing the topic, a summary of the input document, and important takeaways. The blog should be more readable to a general audience than the input document.” By incorporating the use of style parameters, our method is adaptable to new templatic views; the user only needs to write a short description of the template style. This means that although we evaluate our method on the scientific domain, our method is not limited and could be generalized to other domains and template styles, such as enterprise-specific document types. We leave the exploration of other domains to future work. Figure 2: Template provided to generate the SURe. ## 5 Template Agnostic Evaluation As past work has treated the generation of different templatic views as separate tasks, the evaluation of these types has also been developed independently. Unfortunately, none of the previously used metrics scale well to other document types or more generally to a unified evaluation of templatic views. ROUGE Lin (2004); Chandrasekaran et al. (2020) is only designed to evaluate text against a text reference, and does not take structure and ordering of information into account; the same is true for other fuzzy text comparison metrics Zhang* et al. (2020); Zhong et al. (2022); Yuan et al. (2021). Slide-level ROUGE Fu et al. (2021) partly solves the problem with a length penalty but still does not account for distribution of information, nor is it easily extensible to formats other than slides. Finally using a trained regressor Qiang et al. (2016) as a metric is only possible with availability of human-labeled data, which is expensive and time-consuming to curate for new domains and applications. Thus, our goal is to develop a framework of automatic evaluation that is template agnostic. In order to generalize to multiple templates, we introduce the concept of panels. A panel is a unit of organization within a document type, for which the placement and ordering of the panel is important to the overall flow of information in the document. For example, we consider panels to be each slide in a slide deck and each section on a poster. We consider the entirety of a blog post to be a single panel. Although we test our method on the tasks of slide, blog, and poster generation, the concept of panels is not limited to these document types. For example, each post on a social media thread could be considered a panel, or each page on a website. By generalizing to the idea of panels, we can define an evaluation metric that is template agnostic. We aim to unify the evaluation of templatic views by adapting and integrating prior metrics into a template agnostic precision-recall framework, which we refer to as Template-Agnostic Evaluation (TAE). TAE is not a new individual metric, but rather a framework of evaluation allowing generalization to new templates. For example, although ROUGE is not designed to capture posters, TAE can be used with ROUGE to evaluate poster generation. The general formulation of TAE is as follows: $\begin{split}\mathrm{Precision}=Q_{P}\times O_{P}\times L\\\ \mathrm{Recall}=Q_{R}\times O_{R}\times L\end{split}$ (1) in which $Q_{P}$ is the precision measure of quality (§5.1), $O_{P}$ is the precision penalty for order (§5.2), and $L$ is the penalty for length (§5.3). Similarly $Q_{R}$ is the recall measure of quality and $O_{R}$ is the recall penalty for order. The length penalty $L$ is non-reflexive, as discussed in §5.3. We calculate separate precision and recall scores, allowing evaluators to decide which measure is most important to them, including the ability to calculate an overall F-measure score. ### 5.1 Quality Measure For the TAE precision score, we calculate the average similarity between the generated panels and their most similar reference panel. More specifically, we calculate $Q_{P}$ as follows: $Q_{P}=\frac{1}{|\tilde{S}|}\sum_{\tilde{S}}\mathrm{max}_{\mathrm{sim}}(S,\tilde{S}_{i})$ (2) in which $S$ is the set of reference panels and $\tilde{S}$ is the set of generated panels. For the similarity metric, the user can choose a similarity metric that best matches their use case, such as ROUGE, BERT-Score, or a custom trained regressor Lin (2004); Zhang* et al. (2020). For example, a user might choose ROUGE if they want a similarity metric that focuses on exact word overlap, or they may choose BERTScore to measure broader semantic similarity. Similar to precision, for the TAE recall score, we calculate the average similarity between the reference panels and their most similar generated panel: $Q_{R}=\frac{1}{|S|}\sum_{S}\mathrm{max}_{\mathrm{sim}}(\tilde{S},S_{i})$ (3) In other words, we measure how similar each reference panel is to the generated panels. By splitting the evaluation of quality into precision and recall, we can evaluate both the content of the slides that were generated as well as the coverage of this content against some reference. ### 5.2 Order Penalty Broadly, the goal of the ordering penalty is to measure the similarity of the _order_ of information in reference and generated panels, independent of other factors. Unfortunately, because the cardinality of panels in the two outputs is not necessarily the same, a direct one-to-one mapping to compare ordering is not feasible. Instead, a panel in one set can align to multiple references in the other, or none at all – as depicted in Figure 3. Intuitively, our solution is to virtually replicate (resp. drop) panels that have multiple (resp. zero) alignments in the reference set so that a one-to-one mapping of ordering, can in fact be computed. Formally, assume $S$ and $\tilde{S}$ are sequences of reference and generated panels respectively. We use the maximum similarity scores calculated in §5.1 to align the panels across sets. For the precision ordering penalty, we define the following operation $\lambda_{P}(s)=\sum_{\tilde{s}}\delta_{P}(s,\tilde{s})$, where $\delta_{P}(s,\tilde{s})=\begin{cases}1,&\text{iff }s\rightarrow\tilde{s}\\\ 0,&\text{otherwise}\end{cases}$ Intuitively, this captures the cardinality of the alignment of a given panel in $S$ with panels in $\tilde{S}$. Then, using this operation we can replace every panel $s\in S$ with $\lambda(s)$ copies, leading to an identical cardinality for both $S$ and $\tilde{S}$, and subsequent one-to-one mapping between their corresponding panels. With this one-to-one mapping in place we can then measure the misalignments between the two sets of ordered panels to assign a penalty scores. To operationalize this, we associate panels with ranks in both sets and use a rank correlation metric to compute the degree of agreement. Specifically, rank assignment is done as follows: panels in $\tilde{S}$ are simply assigned ranks in order of appearance 1 through N – we call this $\tilde{S}_{ranking}^{P}$; meanwhile panels in $S$ are assigned the identical rank to their one-to-one aligned panel in $\tilde{S}$ and $\tilde{S}_{ranking}^{P}$ – we refer to these rankings as $S_{ranking}^{P}$. The final ordering penalty is computed using Spearman’s rank correlation Szmidt and Kacprzyk (2010): $O_{P}=\frac{\mathrm{Spearman}(S_{ranking}^{P},\tilde{S}_{ranking}^{P})+1}{2}$ (4) where we perform a linear transformation to map the original range of the correlation coefficient [-1, 1] to the desired range [0, 1] for precision. Similarly, for the recall ordering penalty, we perform the same operation but in the other direction, mapping the reference panels to the generated panels. This means that panels st $\delta_{P}(s,\tilde{s})=0$ will be accounted for in the recall ordering penalty. Formally, $\lambda_{R}(s)=\sum_{s}\delta_{R}(\tilde{s},s)$, where $\delta_{R}(\tilde{s},s)=\begin{cases}1,&\text{iff }\tilde{s}\rightarrow s\\\ 0,&\text{otherwise}\end{cases}$ We calculate the rankings for recall similarly, assigning the panels in $S$ a rank of $S_{ranking}^{R}=[1,...,N]$ in order of appearance, while panels in $\tilde{S}$ are assigned the identical rank to their one-to-one aligned panel in $S$ and $S_{ranking}^{R}$. We then take the Spearman’s rank correlation as follows: $O_{R}=\frac{\mathrm{Spearman}(S_{ranking}^{R},\tilde{S}_{ranking}^{R})+1}{2}$ (5) An example of this process can be found in Figure 3. Figure 3: Example of the process of obtaining the rankings for the precision ordering penalty. This process is reflexive, and panels not accounted for in the precision ordering penalty are accounted for in the recall ordering penalty. | | | Simularity Measure ---|---|---|--- Template | Model | Template | R-1 | R-L | BERTScore slides | GPT4 | SURe | 8.95 | 8.37 | 38.08 Base | 8.89 | 8.29 | 36.24 2-6[0.5pt/3pt] | GPT3.5 | SURe | 7.94 | 7.31 | 36.65 | Base | 5.62 | 5.09 | 31.64 [0.5pt/3pt] blog | GPT4 | SURe | 27.88 | 25.78 | 82.68 Base | 27.73 | 25.68 | 82.76 2-6[0.5pt/3pt] | GPT3.5 | SURe | 27.30 | 25.36 | 82.42 | Base | 27.02 | 25.10 | 82.85 [0.5pt/3pt] poster | GPT4 | SURe | 15.76 | 14.64 | 57.25 Base | 17.61 | 16.35 | 59.82 2-6[0.5pt/3pt] | GPT3.5 | SURe | 14.48 | 13.47 | 53.53 | Base | 8.38 | 7.55 | 35.45 Table 2: Evaluation results using GPT3.5 (gpt35-16k) and GPT4 (gpt4-32k). For each model, we compare the performance with and without the SURe. We report the TAE F1 scores as calculated in §5, using Rouge-1 (R-1), Rouge-L (R-L), and Bert-Score as the similarity metrics. ### 5.3 Length Penalty Finally, we compute a length penalty for both the recall and precision scores. Similar to Fu et al. (2021), this is done as follows: $L=e^{\frac{-\mathrm{abs}(|S|-|\tilde{S}|)}{|S|}}$ (6) If $L$ were reflexive, the denominator in the reverse case would be $|\tilde{S}|$, meaning that as $|\tilde{S}|\rightarrow\infty$, $L\rightarrow 1$. In other words, the length penalty could be cheated by over-generating. Therefore, unlike the quality measure and ordering penalty, we chose not to make the length penalty reflexive. ## 6 Results As a baseline, we skip the SURe generation step, passing the full text of the paper as input to the generate a LaTeX document prompt, rather than the SURe. We maintain the same style parameters for both settings. Past work on the Paper-Poster dataset and the DOC2PPT dataset did not release their code or results, so we cannot directly compare to their work. LongSumm’s test set is a blind set that does not allow us to compare using our custom metric. We use gpt4-32k and gpt35-16k for our experiments. We truncated inputs that are too long for the input window and used a temperature of 0.0, based on hyper-parameter experiments described in §B. ### 6.1 Results of automatic evaluation We report the results of our automatic evaluation in Table 2, computed the TAE scores as described in §5. As we can see from the results, first generating the SURe results in performance gains for most settings. We see that largest performance gains in the gpt35-16k experiments, indicating that our method has the largest benefits for simpler models. This is likely because more simple models have more difficulty parsing long unstructured documents, and the SURe provides a structured, filtered representation of the input document. The only setting we don’t see performance gains or similar performance is in the gpt4-32k setting on the poster template. Upon closer inspection, the references in this dataset are very verbose, averaging 391 tokens total. Our method produces generally less verbose posters, averaging 265 total tokens compared to 345 tokens produced by the baseline. We hypothesize that by editing the style parameters to include information about verbosity and length, we can improve performance on posters and leave exploration of this to future work. #### 6.1.1 Importance of Structure Our method provides a template JSON to the LLM to generate the SURe, before passing the resulting JSON back to the LLM to generate the final document. A natural question is, how important is the JSON format? In other words, do we see performance gains as a result of the filtering of information, or is the structure provided by the JSON important as well? In order to test this question, we conduct an additional experiment in which we take the text within the SURe, discard the JSON structure, and pass the resulting body of text to the LLM to generate the final document. We randomly sample 100 documents each from LongSumm and Doc2PPT for the blog and poster generation tasks, respectively. We use the entirety of the Paper-Poster dataset, since it contains less than 100 examples. We use gpt35-16k for this experiment. The results of this experiment can be found in Table 3. As we can see from the results, passing the text of the SURe without the JSON structure decreases performance in most cases, with posters having the largest gap in performance, indicating that both the structure and content of the SURe are important for performance. Template | | SURe --- Format R-1 | R-L | | Bert --- Score slides | JSON | 7.7 | 7.3 | 35.1 Text | 7.9 | 7.1 | 34.6 [0.5pt/3pt] blog | JSON | 27.3 | 25.4 | 82.7 Text | 28.3 | 24.4 | 82.5 [0.5pt/3pt] poster | JSON | 14.5 | 13.5 | 53.5 Text | 11.5 | 10.5 | 46.3 Table 3: TAE scores comparing the use of the JSON representation of the SURe or passing the text generated in the SURe, using gpt35-16k. We see that in most cases, the JSON representation performs better, indicating the importantance of structure. Figure 4: Reasons annotators preferred each document. While annotators largely preferred documents generated with a SURe, the most common reasons for preference are better formatting and information content. We exclude the “Other” count as it was only selected once. ### 6.2 Human evaluation We additionally conduct a human evaluation to test both our method and how well our evaluation framework aligns with human preference. We sample 100 documents each from Doc2PPT and LongSumm, and use the entirety of the Paper- Poster dataset. We present the annotators with 2 versions of each document, one generated with the SURe and one without. Both versions use gpt4-32k. The annotators are provided with the original paper and the intended document type (blog, slide deck, or poster), and are asked the following questions: 1. 1. Which document do you prefer? 2. 2. On a scale of 1-3, to what degree do you prefer your selection? 3. 3. Why do you prefer your selection? For Question 3, the annotators are given a multi-select checklist of reasons why they might prefer one document over the other. The checklist included (1) the quality of the content, (2) the formatting, (3) the document style matching the intended document types, (4) the information represented in the document, and (5) other. The “other” option included a free text box. The full annotation instructions, including a description of the reasons provided and examples, can be found in §A. Each document was annotated by 3 different annotators. We employed 4 annotators from India, sourced via a third-party agency, to carry out the human evaluation of our task. A guideline document was provided to these evaluators, containing task-specific instructions, guidance, and several annotated examples. They were compensated at a rate of $11.98 USD per hour for the total time that they spent working on the task, including a training round of annotation. ##### Which method do humans prefer? The documents generated with a SURe were preferred by 82%, based on majority vote. 71% of the documents generated with a SURe were unanimously preferred by the annotators. We calculate a annotator agreement score of 0.51 with Krippendorff’s alpha, indicating that while this is a subjective and specialized task, even non-expert annotators agree to a moderate degree. A visualization of the reasons the annotators preferred their selection can be found in Figure 4. We can see from the results that while annotators largely preferred the documents generated with a SURe, the most common reasons for preference are better formatting and better information content. This indicates that the structure provided by the SURe makes it easier for the model to format the final document well. Additionally, the SURe only includes the most salient information from the original text, resulting in higher quality of information content. Finally, we see a fairly even distribution across the different templatic views for the reasons of preference, indicating humans prefer the documents generated with the SURe across different document types. Metric | PearsonR ---|--- TAE ROUGE-1 | 21.4 ROUGE-1 | 14.9 [0.5pt/3pt] TAE ROUGE-L | 19.7 ROUGE-L | 14.5 [0.5pt/3pt] TAE BERTScore | 5.4* BERTScore | 10.6* Table 4: Correlation of evaluation metrics with human judgement. We compare each metric computed using the TAE framework versus the standard computation. *Indicates the correlation is not statistically significant ($p>0.01$) ##### Which metric correlates better with human judgement? We use the human preference judgements to test if our metric, as described in §5, correlates more with human preference compared to prior evaluation metrics in the literature. For each annotation, given the degree of the preference $d$ we convert the model preference to a score $P$ as follows: $P(d)=\begin{cases}3,&d=\textrm{strong}\\\ 2,&d=\textrm{moderate}\\\ 1,&d=\textrm{slight}\end{cases}$ If the annotator prefers the document generated without a SURe, we multiply $P(d)$ by $-1$. This allows us to measure if the metric captures both directionality of preference and degree. Finally, we compute the automatic score for each metric, then calculate $S=m(\textrm{with SURe})-m(\textrm{skip SURe})$, where $m$ is the metric we are evaluating. If the annotator prefers the document generated without the SURe, we’d expect a good metric to assign a higher score to that document as well, resulting in both $S$ and $P$ being negative. Conversely, we’d expect instances where the opposite were true to result in positive scores for both $S$ and $P$. Using these intuitions we assign an affinity score of a metric with respect to human evaluation as the Pearson correlation Freedman et al. (2007) of $S$ and $P$. Since prior metrics are not designed to account for the structure of the document, we compute them by extracting only the text of both the generated document and reference documents. The correlations with human judgement for each metric, computed standard compared to TAE variants can be found in Table 4. As we can see from the results, computing each evaluation metric using our template agnostic evaluation method correlates more highly with human judgement, except in the case of BERTScore. However, BERTScore is the only metric in which the correlation is not statistically significant, as it is likely simply a poor metric for this task. We hypothesize that BERTScore does not perform well on scientific data, since it is trained primarily on out of domain text. ## 7 Conclusion In many domains, people choose to disseminate information across different modalities and formats, allowing for better communication of information to broader audiences. Past work has focused on developing methods to generate different templatic views of documents, tailoring the method to each template. In this paper, we introduced an LLM-powered method to unify the generation of templatic views of documents by first generating a Structured Unified Representation (SURe) of the input document, representing the underlying knowledge of the templatic views. We showed that our method results in improvements in performance, especially for a simpler model. We additionally introduced Template Agnostic Evaluation (TAE), a flexible precision-recall framework for automatic evaluation that is template agnostic, allowing for easy integration of existing evaluation metrics into a unified system. The framework is capable of jointly accounting for and measuring multiple facets of the output document including the quality of its content, its underlying structure and ordering, as well as its length. Finally, we conducted a human evaluation and showed that annotators prefer the documents generated using the SURe 82% of the time. We additionally showed that our framework of evaluation correlates more highly with human preference than standard evaluation metrics. The use of templatic views of documents exists in many domains (e.g. creating a cover letter and personal website based on a resume), and in future work we will consider other domains of documents, as well as more complex scenarios, such as many-to-many document generation. Our work is a step towards a larger goal of generalized document generation. ## Limitations Although our methods are not domain specific, we only evaluated our methods in the scientific domain, due to the availability of public data. Further research is required to evaluate the performance of our methods in other domains. Additionally, our method is limited to textual content. Future work should explore incorporating multi-modal models and content generation. Finally, we evaluated our methods on closed source models, which may affect the reproducibility of our results. ## References * Bornmann and Mutz (2014) Lutz Bornmann and Rüdiger Mutz. 2014. Growth rates of modern science: A bibliometric analysis based on the number of publications and cited references. _Journal of the Association for Information Science and Technology_ , 66. * Brown et al. 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In _Advances in Neural Information Processing Systems_. * Zhang* et al. (2020) Tianyi Zhang*, Varsha Kishore*, Felix Wu*, Kilian Q. Weinberger, and Yoav Artzi. 2020. Bertscore: Evaluating text generation with bert. In _International Conference on Learning Representations_. * Zhao et al. (2019) Wei Zhao, Maxime Peyrard, Fei Liu, Yang Gao, Christian M. Meyer, and Steffen Eger. 2019. Moverscore: Text generation evaluating with contextualized embeddings and earth mover distance. In _Conference on Empirical Methods in Natural Language Processing_. * Zhong et al. (2022) Ming Zhong, Yang Liu, Da Yin, Yuning Mao, Yizhu Jiao, Peng Liu, Chenguang Zhu, Heng Ji, and Jiawei Han. 2022. Towards a unified multi-dimensional evaluator for text generation. In _Conference on Empirical Methods in Natural Language Processing_. ## Appendix A Annotation Instructions ### A.1 Questions Question 1 – Which document do you prefer? In this question, you are asked to choose which document version you prefer. Some examples of qualities you may use to decide your preference include: * • The quality of the content – The text is grammatical and understandable. E.g. Document A contains major grammatical errors while Document B only contains minor errors. * • The formatting – The formatting is reasonable and matches the formatting of the intended document type. E.g. A poster contains panels and each panel contains a header and body text. * • The style – The document matches the style of the intended document type. E.g. Shorter, bulleted sentences in a slide deck. * • Information represented in the document – The document contains sufficient information to represent the input document. E.g. A blog post represents the most important sections from the input document. The above criteria are non-exhaustive. Not all criteria must be met, and you may use other relevant criteria to make your decision. You are not rating the document for factual correctness, and only need to refer to the corresponding scientific article if it will aid in making your preference. You can answer this question with either Document A or Document B. Question 2 – On a scale of 1-3, to what degree do you prefer your selection? In this question you will rate the degree to which you prefer your selection, on the following scale: 1. 1. Small preference – The documents are similar in quality and only contain minor differences that affect my preference. 2. 2. Moderate preference – I clearly prefer one document but the differences are not major. 3. 3. Strong preference – I have a strong preference for one document and the differences between the documents are major. Question 3 – Why do you prefer your selection? (You may select more than one property) * $\square$ Formatting * $\square$ Information * $\square$ Quality * $\square$ Style * $\square$ Other (free text) ### A.2 Edge cases For most edge cases, it is up to your discretion on how to best handle the case. However, below are a few examples of how you could consider certain edge cases: Example 1: Slides 1-5 of Document A are higher quality but slides 6-10 of Document B are higher quality. You could reason that the first slides represent the most important information, and choose Document A. However, since Document B contained higher quality slides for another portion of the document, you could rate your degree of preference as “Small preference.” Example 2: Document A more closely matches the style of the intended document type, but Document B contains more relevant information to the source document. You could consider if Document A contains sufficient information to represent the input document, such as representing the most important sections. If yes, then you could prefer Document A. If not, then you could reason that information content is more important than style, and prefer Document B. Example 3: Document A contains more relevant information than Document B, but also contains major formatting errors, such as text being cut off from the document. You could reason that although Document A contains more relevant information, the major formatting errors are significant enough to prefer Document B. Example 4: Neither document matches the style or formatting of the intended document type. Since neither document matches the style or formatting of the intended document type, you could consider other criteria, such as quality of content or the information represented. Template | Temp | R-1 | R-L | BertScore ---|---|---|---|--- slides | 0 | 7.7 | 7.3 | 35.1 0.25 | 7.8 | 7.2 | 35.4 0.5 | 7.6 | 7.0 | 36.4 0.75 | 7.5 | 7.0 | 35.5 1 | 8.0 | 7.4 | 35.8 [0.5pt/3pt] blog | 0 | 27.2 | 25.3 | 82.7 0.25 | 27.2 | 25.5 | 82.6 0.5 | 28.0 | 26.2 | 82.8 0.75 | 27.2 | 25.4 | 82.6 1 | 26.6 | 24.8 | 82.7 [0.5pt/3pt] poster | 0 | 14.5 | 13.5 | 53.5 0.25 | 14.2 | 13.0 | 53.1 0.5 | 13.6 | 12.5 | 52.2 0.75 | 13.2 | 12.0 | 50.8 1 | 12.6 | 11.6 | 50.3 Table 5: Results of the temperature hyperparameter experiments. There seems to be little consistency in performance as related to temperature across different templates. ## Appendix B Temperature Experiments We experiment with the temperature of the generations to see how temperature affects performance. Similar to the textual representation experiments, described in §6.1.1, we randomly sample 100 documents each from LongSumm and Doc2PPT for the blog and poster generation tasks, respectively. We use the entirety of the Paper-Poster dataset, since it contains less than 100 examples. We use gpt35-16k and experiment with the temperatures $[0.0,0.25,0.5,0.75,1.0]$. The results of this experiment can be found in Table 5. As we can see from the results, there seems to be little consistency across the different types in which temperature performs the best.
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Riqueza y distribución de las monocotiledóneas nativas del municipio de San Juan Colorado, Oaxaca, México
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Pátzcuaro, Michoacán, México. 6 pp. 49 ANEXO I Listado de monocotiledóneas presentes en el municipio de San Juan Colorado, Oaxaca, México, ordenadas alfabéticamente por familia y género de acuerdo con Dahlgren et al. (1985). En negritas aparecen las agencias municipales y en cursivas los nombres de los colectores y los números de colecta. 50 AGAVACEAE Manfreda pubescens (Regel &Ortgies) Verh.-Will. ex Piña Agua Fría: sobre el camino de San Juan Colorado a Agua Fría, 16° 26’ 20.2’’ N 97° 55’ 49.3’’ W. 588 m s.n.m., M. I. Mejía-Marín et al. 138 (UAMIZ); sobre el camino de San Juan Colorado a Agua Fría, 16° 26’ 15.8’’ N 97° 54’ 19.5’’ W. 586 m s.n.m., M. I. Mejía-Marín et. al. 172 (UAMIZ). San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 38.6’’ N 97° 55’ 38.7’’ W. 506 m s.n.m., M. I. Mejía-Marín et. al. 145 (UAMIZ). ALLIACEAE Bessera elegans Schult. f. Peñas Negras: en la cima de la Peña Negra, 16° 27’ 17.5’’ N 97° 53’ 58.5’’ N. 558 m s.n.m., M. I. Mejía-Marín et. al. 224 (UAMIZ). San Juan Colorado: sobre el camino del Cerro de la Ardilla al cerro de la Lluvia (Yucu Savi), 16° 27’ 28.6’’ N 97° 55’ 38.2’’ W. 524 m s.n.m., M. I. Mejía-Marín et. al. 243 (UAMIZ). ALSTROEMERIACEAE Bomarea edulis (Tussac) Herb. Santa María Nutío: río Pozo del cuate, carretera de Santa María Nutío a Nuevo Progreso, 16° 29’ 23.4’’ N 97° 54’ 19.5’’ W. 291 m s.n.m., M. I. Mejía-Marín et. al. 91 (UAMIZ). 51 AMARYLLIDACEAE Crinum erubescens L. f. ex Aiton San Juan Colorado: sobre el camino de San Juan Colorado al Cerro de la Ardilla, pasando el río del Zapote (Yuvi) 16° 27’ 43.2’’ N 97° 56’ 18.7’’ W. 379 m s.n.m., M. I. Mejía-Marín et. al. 163 (UAMIZ). Hymenocallis littoralis (Jacq.) Salisb. San Juan Colorado: a orillas del río del Zapote, sobre el camino de San Juan Colorado al cerro Yucu Savi, 16° 27’ 32.3’’ N 97° 56’ 41.8’’ W, 332 m s.n.m., M. I. Mejía-Marín et. al. 70 (UAMIZ); brecha al cerro Yucu Savi a partir del poblado de San Juan Colorado, antes del río del Zapote, 16° 27’ 30’’ N 97° 56’ 54’’ W. 339 m s.n.m. M. I. Mejía-Marín et. al. 109 (UAMIZ); sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, cerca del río del Cangrejo, 16° 26’ 43.7’’ N 97° 57’ 18.4’’ W. 402 m s.n.m., M. I. Mejía-Marín et. al. 179 (UAMIZ). ANTHERICACEAE Echeandia longipedicellata Cruden Agua Fría: sobre el camino al trapiche del Sr. Severiano Marín García, a partir del poblado de Agua Fría, 16° 26’ 18.5’’ N 97° 54’ 28.8’’ W. 614 m s.n.m., M. I. MejíaMarín et. al. 129 (UAMIZ); carretera de San Juan Colorado rumbo a Agua Fría, 16° 26’ 15.8’’ N 97° 55’ 48.5’’ W. 586 m s.n.m., M. I. Mejía-Marín et. al. 171 (UAMIZ). 52 Echeandia parviflora Baker Agua Fría: camino de San Juan Colorado rumbo a Agua Fría, 16° 26’ 16.1’’ N 97° 55’ 21’’ W. 604 m s.n.m., M. I. Mejía-Marín et. al. 267 (UAMIZ). San Juan Colorado: camino del Cerro de la Ardilla al cerro de la Lluvia, al sureste del poblado de San Juan Colorado, 16° 27’ 27.6’’ N 97° 55’ 25.4’’ W. 605 m s.n.m.. M. I. Mejía-Marín et. al. 246 (UAMIZ). ARACEAE Anthurium schlechtendalii Kunth subsp. jimenezii (Matuda) Croat Agua Fría: cerca de un riachuelo, sobre el camino de San Juan Colorado a Agua Fría, 16° 26’ 19.1’’ N 97° 55’ 34.3’’ W. 536 m s.n.m., M. I. Mejía-Marín et. al. 130 (UAMIZ). Philodendron hederaceum (Jacq.) Schott & Endl. var. oxycardium (Schott) Croat Agua Fría: sobre el camino al trapiche del Sr. Severiano Marín García, a partir del poblado de Agua Fría, 16° 26’ 18.5’’ N 97° 54’ 28.8’’ W. 614 m s.n.m., M. I. MejíaMarín et. al. 128 (UAMIZ). San Juan Colorado: llegando al Cerro de la Ardilla, a partir de San Juan Colorado, 16° 27’ 42’’ N 97° 55’ 53’’ W. 437 m s.n.m., M. I. MejíaMarín et. al. 6 (UAMIZ); sobre el camino al Cerro de la Ardilla a partir de San Juan Colorado, pasando el río del Zapote a 16° 27’ 43.2’’ N 97° 56’ 18.7’’ W. 379 m s.n.m., M. I. Mejía-Marín et. al. 162 (UAMIZ); sobre la carretera de San Juan Colorado a 53 Pinotepa de Don Luis, cerca del río del Cangrejo, 16° 26’ 43.7’’ N 97° 57’ 18.4’’ W. 402 m s.n.m., M. I. Mejía-Marín et. al. 183 (UAMIZ). Philodendron inaequilaterum Liebm. Agua Fría: cerca de un riachuelo, sobre el camino de San Juan Colorado a Agua Fría, 16° 26’ 18.6’’ N 97° 55’ 34.6’’ W. 525 m s.n.m., M. I. Mejía-Marín et. al. 266 (UAMIZ). Peñas Negras: camino sobre el sendero rumbo a la Peña Negra por el riachuelo, a partir del poblado, 16° 27’ 51’’ N 97° 53’ 40’’ W. 301 m s.n.m., M. I. Mejía-Marín et. al. 221 (UAMIZ). Philodendron sagittifolium Liebm. San Juan Colorado: sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, cerca del río del Cangrejo, 16° 26’ 43.7’’ N W 97° 57’ 18.4’’ W. 402 m s.n.m., M. I. Mejía-Marín et. al. 184 (UAMIZ). Spathiphyllum cochlearispathum (Liebm.) Engl. Agua Fría: cerca de un riachuelo, sobre el camino de San Juan Colorado a Agua Fría, 16° 26’ 18.6’’ N 97° 55’ 34.6’’ W. 525 m s.n.m., M. I. Mejía-Marín et. al. 265 (UAMIZ). Nuevo Progreso: cerca del arroyo llamado El de Enmedio, sobre el camino del poblado rumbo al cerro de las Bugambilias, 16° 31’ 46.7’’ N 97° 53’ 39.1’’ W. 503 m s.n.m., M. I. Mejía-Marín et. al. 203 (UAMIZ). Peñas Negras: arroyo en la base de la Peña Negra, sobre el camino de la Peña Negra al poblado, 16° 27’ 39’’ N 97° 53’ 58’’ W. 509 m s.n.m., M. I. Mejía-Marín et. al. 55 (UAMIZ); camino sobre sendero del río rumbo a la Peña Negra a partir del poblado, 16° 27’ 51’’ N 97° 53’ 40’’ W. 301 m 54 s.n.m., M. I. Mejía-Marín et. al. 220 (UAMIZ). San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 39’’ N 97° 55’ 47’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al. 15 (UAMIZ); sobre el camino de San Juan Colorado al Cerro de la Ardilla, cerca del río de El Zapote, 16° 27’ 17’’ N 97° 56’ 12’’ W. 377 m s.n.m., M. I. Mejía-Marín et. al. 16 (UAMIZ). Syngonium neglectum Schott Peñas Negras: sobre el camino a la Peña Negra a partir del poblado, pasando el ojo de agua 16° 27’ 48’’ N 97° 53’ 57’’ W. 534 m s.n.m., M. I. Mejía-Marín et. al. 44 (UAMIZ). San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 39’’ N 97° 55’ 47’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al 13 (UAMIZ); cerro Yuvi tusu’un, propiedad del Sr. Manuel Mejía Marín, al oeste del poblado de San Juan Colorado, 16° 27’ 35.4’’ N 97° 58’ 22’’ W. 444 m s.n.m., M. I. Mejía-Marín et. al. 201 (UAMIZ). Syngonium podophyllum Schott San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 35.4’ N’ 97° 55’ 31.9’’ W. 548 m s.n.m., M. I. Mejía-Marín et. al. 149 (UAMIZ). Xanthosoma pentaphyllum (Vell.) Engl. Peñas Negras: sobre el camino bajando de la Peña Negra al pueblo, 16° 27’ 45’’ N 97° 54’ 4’’ W. 576 m s.n.m., M. I. Mejía-Marín et. al. 226 (UAMIZ). 55 Xanthosoma robustum Schott Nuevo Progreso: cerca de arroyito en el cerro de las Bugambilias, a partir del poblado, 16° 32’ 50’’ N 97° 52’ 39’’ W. 850 m s.n.m., M. I. Mejía-Marín et. al. 32 (UAMIZ). San Juan Colorado: camino de San Juan Colorado al Cerro Yucu Savi, cerca de cuerpos de agua pasando el primer puente, 16° 27’ 30’’ N 97° 56’ 54’’ W. 339 m s.n.m., M. I. Mejía-Marín et. al. 107 (UAMIZ). ARECACEAE Acrocomia mexicana Karw. ex Mart. San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 42’’ N 97° 55’ 53’’ W. 437 m s.n.m., M. I. Mejía-Marín et. al. 8 (UAMIZ). BROMELIACEAE Bromelia karatas L. Nuevo Progreso: camino del poblado al Cerro de las Bugambilias, pasando el río del Mapache, 16° 32’ 30’’ N 97° 53’ 4’’ W. 642 m s.n.m., M. I. Mejía-Marín et. al. 40 (UAMIZ). San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 37.6’’ N 97° 55’ 39.7’’ W. 512 m s.n.m., M. I. Mejía-Marín et. al. 147 (UAMIZ). 56 Bromelia sp. San Juan Colorado: sobre la desviación de la carretera de San Juan Colorado a Pinotepa de Don Luis, hacia Agua Fría, 16° 27’ 3.3’’ N 97° 57’ 15.4’’ W. 425 m s.n.m., M. I. Mejía-Marín et. al. 271 (UAMIZ). Catopsis nutans (Sw.) Griseb. Nuevo Progreso: sobre la calle del palacio rumbo al panteón (salida del pueblo), 16° 31’ 17’’ N 97° 53’ 39’’ W. 531 m s.n.m., M. I. Mejía-Marín et. al. 39 (UAMIZ). San Pedro Siniyuvi: sobre la carretera San Pedro Siniyuvi - Santa María Nutío, saliendo del poblado, 16° 28’ 46.6’’ N 97° 55’ 1.8’’ W. 290 m s.n.m., M. I. Mejía-Marín et. al. 73 y 73 bis (UAMIZ). Pitcairnia wendlandii Baker San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 37.6’’ N 97° 55’ 39.7’’ W. 512 m s.n.m., M. I. Mejía-Marín et. al. 146 (UAMIZ). Pitcairnia sp. 1 Peñas negras: en la cima de la Peña Negra, 16° 27’ 48’’ N 97° 53’ 57’’ W. 577 m s.n.m., M. I. Mejía-Marín et. al. 45 (UAMIZ); en la cima de la Peña Negra, 16° 27’ 17.5’’ N 97° 53’ 58.5’’ W. 558 m s.n.m., M. I. Mejía-Marín et. al. 225 (UAMIZ). Pitcairnia sp. 2 57 Agua Fría: sobre una ladera del camino de la carretera de San Juan Colorado a Agua Fría, 16° 26’ 12.8’’ N 97° 55’ 15.3’’ W. 639 m s.n.m., M. I. Mejía-Marín et. al. 264 (UAMIZ). Tillandsia cucaensis Wittm. Nuevo Progreso: camino del poblado al cerro de las Bugambilias, por el río del Mapache, 16° 32’ 30’’ N 97° 53’ 4’’ W. 642 m s.n.m., M. I. Mejía-Marín et. al. 42 (UAMIZ). Tillandsia caput-medusae E. Morren Agua Fría: sobre la carretera de San Juan a Agua Fría, 16° 26’ 20.2’’ N 97° 55’ 49.3’’ W. 588 m s.n.m., M. I. Mejía-Marín et. al. 134 (UAMIZ). Nuevo Progreso: cerca del río Poza del Tayato, orillas del poblado, 16° 31’ 7.2’’ N 97° 53’ 28.8’’ W. 471 m s.n.m., M. I. Mejía-Marín et. al. 211 (UAMIZ). Peñas Negras: en la cima de la Peña Negra, 16° 27’ 48’’ N 97° 53’ 57’’ W. 577 m s.n.m., M. I. Mejía-Marín et. al. 47 (UAMIZ). San Juan Colorado: brecha al cerro Yucu Savi, a partir de San Juan Colorado, 16° 27’ 30’’ N 97° 56’ 54’’ W. 339 m s.n.m., M. I. Mejía-Marín et. al. 60 (UAMIZ); sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, orillas del río del Tigre 16° 27’ 10.6’’ N 97° 57’ 13’’ W. 386 m s.n.m., M. I. Mejía-Marín et. al. 193 (UAMIZ). Tillandsia schiedeana Steud. Nuevo Progreso: sobre el camino del poblado al cerro de las Bugambilias, antes del río del Mapache, 16° 32’ 30’’ N 97° 53’ 4’’ W. 642 m s.n.m., M. I. Mejía-Marín et. al. 23 (UAMIZ); camino del poblado al Cerro de las Bugambilias, pasando el río del 58 Mapache, 16° 32’ 42’’ N 97° 52’ 45’’ W. 858 m s.n.m., M. I. Mejía-Marín et. al. 27 (UAMIZ); orillas del poblado cerca del panteón, 16° 31’ 34.5’’ N 97° 53’ 27.2’’ W. 526 m s.n.m., M. I. Mejía-Marín et. al. 208 (UAMIZ). Peñas Negras: cerca de la cima de la Peña Negra, 16° 27’ 48’’ N 97° 53’ 57’’ W. 577 m s.n.m., M. I. Mejía-Marín et. al. 46 (UAMIZ); sobre la carretera Santa María Nutío – Peñas Negras, cerca del río llegando al pueblo, 16° 27’ 46.3’’ N 97° 53’ 16.1’’ W. 302 m s.n.m., M. I. Mejía-Marín et. al. 272 (UAMIZ). San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 39’’ N 97° 55’ 47’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al. 14 (UAMIZ); brecha al cerro Yucu Savi, a partir de San Juan Colorado, 16° 27’ 30’’ N 97° 56’ 54’’ W. 339 m s.n.m., M. I. Mejía-Marín et. al. 61 (UAMIZ); sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, orillas del río del Tigre, 16° 27’ 10.6’’ N 97° 57’ 13’’ W. 386 m s.n.m., M. I. Mejía-Marín et. al. 192 (UAMIZ). Tillandsia sp. 1 Nuevo Progreso: sobre el camino del poblado al cerro de las Bugambilias, cerca del río Junta de los ríos, 16° 32’ 3’’ N 97° 53’ 17’’ W. 556 m s.n.m., M. I. Mejía-Marín et. al. 38 (UAMIZ); orillas del pueblo cerca del panteón, 16° 31’ 34.5’’ N 97° 53’ 27.2’’ W. 525 m s.n.m., M. I. Mejía-Marín et. al. 207 (UAMIZ). Tillandsia sp. 2 San Juan Colorado: sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, orillas del río del Tigre, 16° 27’ 10.6’’ N 97° 57’ 13’’ W. 386 m s.n.m., M. I. MejíaMarín et. al. 196 (UAMIZ). 59 CANNACEAE Canna indica L. San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 39’’ N 97° 55’ 49’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al. 65 (UAMIZ); Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 32.7’’ N 97° 55’ 47.6’’ W. 499 m s.n.m., M. I. Mejía-Marín et. al. 144 (UAMIZ). COMMELINACEAE Commelina diffusa Burm. f. San Juan Colorado: camino al Cerro de la Ardilla a partir de San Juan Colorado (pasando Yuvi), 16° 27’ 43.2’’ N 97° 56’ 18.7’’ W. 379 m s.n.m., M. I. Mejía-Marín et. al. 4 (UAMIZ); sobre el camino de San Juan Colorado al Cerro de la Ardilla, pasando el río del Zapote, 16° 27’ 32.3’’ N 97° 56’ 41.8’’ W. 332 m s.n.m., M. I. Mejía-Marín et. al. 69 (UAMIZ). Commelina erecta L. San Juan Colorado: camino del poblado al Cerro de la Ardilla, pasando el río del Zapote, 16° 27’ 43.2’’ N 97° 56’ 18.7’’ W. 379 m s.n.m., M. I. Mejía-Marín et. al. 5 (UAMIZ); ladera sobre la brecha al cerro Yucu savi a partir de San Juan Colorado, 16° 27’ 39.5’’ N 97° 56’ 10.8’’ W. 417 m s.n.m., M. I. Mejía-Marín et. al. 63 (UAMIZ); 60 alrededor de la capilla del Cerro de La Lluvia (Yucu Savi), al sureste del poblado de San Juan Colorado, 16° 27’ 19.8’’ N 97° 54’ 59.4’’ W. 684 m s.n.m., M. I. Mejía-Marín et. al. 250 (UAMIZ). Santa María Nutío: carretera de Santa María Nutío a Nuevo Progreso a orillas del río Poza del Cuate, 16° 29’ 27.6’’ N 97° 54’ 19.9’’ W. 290 m s.n.m., M. I. Mejía-Marín et. al. 81 (UAMIZ). Commelina leiocarpa Benth. Agua Fría: sobre el camino al trapiche del Sr. Severiano Marín García, a partir del poblado de Agua Fría, 16° 26’ 18.5’’ N 97° 54’ 28.8’’ W. 614 m s.n.m., M. I. MejíaMarín et. al. 262 (UAMIZ). Peñas Negras: sobre el camino a la Peña Negra, en la desviación sobre la carretera Santa María Nutío - Peñas Negras, 16° 27’ 44.7’’ N 97° 53’ 22.7’’ W. 303 m s.n.m., M. I. Mejía-Marín et. al. 219 (UAMIZ). Commelina rufipes Seub. var. glabrata (D.R. Hunt) Fadden & D.R. Hunt Agua Fría: sobre el camino al trapiche del Sr. Severiano Marín García, a partir del poblado de Agua Fría, 16° 26’ 18.5’’ N 97° 54’ 28.8’’ W. 614 m s.n.m., M I. Mejía M. et. al. 123 (UAMIZ). Commelina rufipes Seub. var. rufipes Nuevo Progreso: sobre el camino del poblado al cerro de las Bugambilias, cerca del arroyo, 16° 32’ 50’’ N 97° 52’ 39’’ W. 850 m s.n.m., M. I. Mejía-Marín et. al. 29 (UAMIZ). Tinantia longipedunculata Standl. & Steyerm. 61 Peñas Negras: camino rumbo a la Peña Negra, en la desviación sobre la carretera Santa María Nutío – Peñas Negras, 16° 27’ 44.7’’ N 97° 53’ 22.7’’ W. 303 m s.n.m., M. I. Mejía-Marín et. al. 217 (UAMIZ). San Juan Colorado: brecha al Cerro de la Ardilla a partir del poblado de San Juan Colorado, 16° 27’ 19.5’’ N 97° 57’ 2.6’’ W. 400 m s.n.m., M. I. Mejía-Marín et. al. 67 (UAMIZ); camino del poblado al Cerro de la Ardilla pasando el primer puente, 16° 27’ 23.4’’ N 97° 57’ 3.1’’ W. 390 m s.n.m., M. I. Mejía-Marín et. al. 106 (UAMIZ). Tinantia parviflora Rohweder San Juan Colorado: sobre el camino al Cerro de la Ardilla a partir de San Juan Colorado, pasando el río del Zapote (Yuvi), 16° 27’ 43.2’’ N 97° 56’ 18.7’’ W. 379 m s.n.m., M. I. Mejía-Marín et. al. 166 (UAMIZ). Tradescantia zebrina Heynh. ex Bosse San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 39’’ N 97° 55’ 47’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al. 9 (UAMIZ); cerro Yuvi tusu’un, propiedad del Sr. Manuel Mejía Marín, al oeste del poblado de San Juan Colorado,16° 27’ 35.4’’ N 97° 58’ 22’’ W. 444 m s.n.m., M. I. Mejía-Marín et. al. 202 (UAMIZ); Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 37.8’’ N 97° 55’ 43.1’’ W. 473 m s.n.m., M. I. Mejía-Marín et. al. 212 (UAMIZ). Tripogandra serrulata (Vahl) Handlos 62 Peñas Negras: orillas del arroyo debajo de la Peña Negra, sobre sendero bajando de la Peña Negra hacia el poblado, 16° 27’ 39’’ N 97° 53’ 58’’ W. 509 m s.n.m., M. I. Mejía-Marín et. al. 51 (UAMIZ). San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 39’’ N 97° 55’ 47’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al. 12 (UAMIZ); sobre la carretera de San Juan a Pinotepa de Don Luis, orillas del río del Cangrejo, 16° 26’ 43.7’’ N 97° 57’ 18.4’’ W. 402 m s.n.m., M. I. Mejía-Marín et. al. 190 (UAMIZ); alrededor de la capilla del Cerro de La Lluvia (Yucu Savi), al sureste del poblado de San Juan Colorado, 16° 27’ 19.8’’ N 97° 54’ 59.4’’ W. 684 m s.n.m., M. I. Mejía-Marín et. al. 251 (UAMIZ). Santa María Nutío: sobre la carretera Santa María - Nuevo Progreso, a orillas del río Poza del Cuate, 16° 29’ 23.4’’ N 97° 54’ 19.5’’ W. 291 m s.n.m., M. I. Mejía-Marín et. al. 92 (UAMIZ). COSTACEAE Costus guanaiensis Rusby var. tarmmicus (Loes) Maas Nuevo Progreso: sobre el camino del poblado rumbo al cerro de las Bugambilias, 16° 32’ 50’’ N 97° 52’ 39’’ W. 850 m s.n.m., M. I. Mejía-Marín et. al. 30 (UAMIZ). CYPERACEAE Bulbostylis vestita (Kunth) C.B. Clarke 63 San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 35.4’’ N 97° 55’ 31.9’’ W. 548 m s.n.m., M. I. Mejía-Marín et. al. 152 (UAMIZ). Cyperus amabilis Vahl San Juan Colorado: sobre el camino del poblado rumbo al Cerro de la Ardilla antes del primer puente, 16° 27’ 19.5’’ N 97° 57’ 2.6’’ W. 400 m s.n.m., M. I. Mejía-Marín et. al. 257 (UAMIZ). Cyperus dentoniae G.C. Tucker San Juan Colorado: brecha al cerro Yucu Savi, a partir de San Juan Colorado, cerca de cuerpos de agua, 16° 27’ 30’’ N 97° 56’ 54’’ W. 339 m s.n.m., M. I. MejíaMarín et. al. 168 (UAMIZ). Cyperus eragrostis Lam. San Juan Colorado: sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, a orillas del río del Cangrejo, 16° 26’ 43.7’’ N 97° 57’ 18.4’’ W. 402 m s.n.m., M. I. Mejía-Marín et. al. 182 BIS (UAMIZ). Santa María Nutío: sobre la carretera Santa María Nutío - Nuevo Progreso, a orillas del rio Poza del Cuate, 16° 29’ 23.4’’ N 97° 54’ 19.5’’ W. 291 m s.n.m., M. I. Mejía-Marín et. al. 98 (UAMIZ). Cyperus esculentus L. Agua Fría: sobre el camino al trapiche del Sr. Severiano Marín García, a partir del poblado de Agua Fría, 16° 26’ 18.5’’ N 97° 54’ 28.8’’ W. 614 m s.n.m., M I. Mejía M. et. al. 120 (UAMIZ). 64 Cyperus hermaphroditus (Jacq.) Standl. San Juan Colorado: sobre el camino al Cerro de la Ardilla a partir de San Juan Colorado, pasando el río del Zapote (Yuvi), 16° 27’ 43.2’’ N 97° 56’ 18.7’’ W. 379 m s.n.m., M. I. Mejía-Marín et. al. 1 (UAMIZ); alrededor de la capilla del Cerro de La Lluvia (Yucu Savi), al sureste del poblado de San Juan Colorado, 16° 27’ 19.8’’ N 97° 54’ 59.4’’ W. 684 m s.n.m., M. I. Mejía-Marín et. al. 253 (UAMIZ). Cyperus humilis Kunth Peñas Negras: camino a la Peña Negra, en la desviación sobre la carretera Santa María Nutío - Peñas Negras, 16° 27’ 44.7’’ N 97° 53’ 22.7’’ W. 303 m s.n.m., M. I. Mejía-Marín et. al. 218 (UAMIZ). San Juan Colorado: sobre el camino al Cerro de la Ardilla a partir de San Juan Colorado, pasando el río del Zapote (Yuvi), 16° 27’ 43.2’’ N 97° 56’ 18.7’’ W. 379 m s.n.m., M. I. Mejía-Marín et. al. 3 (UAMIZ). Cyperus involucratus Rottb. San Juan Colorado: sobre el camino del poblado rumbo al Cerro de la Ardilla, orillas del río del Zapote, 16° 27’ 17’’ N 97° 56’ 12’’ W. 377 m s.n.m., M. I. Mejía-Marín et. al. 17 (UAMIZ). Cyperus regiomontanus Britton Agua Fría: sobre el camino al trapiche del Sr. Severiano Marín García, a partir del poblado de Agua Fría, 16° 26’ 18.5’’ N 97° 54’ 28.8’’ W. 614 m s.n.m., M I. Mejía M. et. al. 119 (UAMIZ). Peñas Negras: sobre la carretera Santa María Nutío - Peñas 65 Negras, a orillas del río llegando al pueblo, 16° 27’ 46.3’’ N 97° 53’ 16.1’’ W. 302 m s.n.m., M. I. Mejía-Marín et. al. 234 (UAMIZ). Cyperus seslerioides Kunth Santa María Nutío: sobre la carretera de San Pedro Siniyuvi a Santa María Nutío, 16° 28’ 52.1’’ N 97° 54’ 38.2’’ W. 285 m s.n.m., M. I. Mejía-Marín et. al. 102 (UAMIZ). Cyperus simplex Kunth Santa María Nutío: sobre ladera cerca del río Poza del Cuate, carretera de Santa María Nutío a Nuevo Progreso, 16° 29’ 27.6’’ N 97° 54’ 19.9’’ W. 290 m s.n.m., M. I. Mejía-Marín et. al. 86 (UAMIZ). Cyperus squarrosus L. San Juan Colorado: sobre el camino de San Juan Colorado rumbo al Cerro de la Ardilla, pasando el río del Zapote, 16° 27’ 45.4’’ N 97° 56’ 22.5’’ W. 355 m s.n.m., M. I. Mejía-Marín et. al. 241 (UAMIZ). Cyperus tenuis Sw. San Juan Colorado: sobre el camino al Cerro de la Ardilla a partir de San Juan Colorado, pasando el río del Zapote (Yuvi), 16° 27’ 40’’ N 97° 50’ 17’’ W. 375 m s.n.m., M. I. Mejía-Marín et. al. 2 BIS (UAMIZ); sobre el camino del poblado rumbo al Cerro de la Ardilla antes del primer puente, 16° 27’ 19.5’’ N 97° 57’ 2.6’’ W. 400 m s.n.m., M. I. Mejía-Marín et. al. 58 (UAMIZ); brecha al cerro Yucu Savi a partir de San Juan Colorado, 16° 27’ 30’’ N 97° 56’ 54’’ W. 339 m s.n.m., M. I. Mejía-Marín et. al. 169 (UAMIZ); Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste 66 del poblado de San Juan Colorado, 16° 27’ 37.8’’ N 97° 55’ 43.1’’ W. 473 m s.n.m., M. I. Mejía-Marín et. al. 214 (UAMIZ); sobre el camino de San Juan Colorado al Cerro de la Ardilla, pasando el río del Zapote (Yuvi), 16° 27’ 45.4’’ N 97° 56’ 22.5’’ W. 355 m s.n.m., M. I. Mejía-Marín et. al. 240 (UAMIZ); sobre el camino del poblado al Cerro de la Ardilla, iniciando la desviación a Yucu Savi, 16° 27’ 19.5’’ N 97° 57’ 2.6’’ W. 400 m s.n.m., M. I. Mejía-Marín et. al. 255 (UAMIZ). Cyperus virens Michx. Santa María Nutío: sobre la carretera Santa María - Nuevo Progreso, a orillas del río Poza del Cuate, 16° 29’ 23.4’’ N 97° 54’ 19.5’’ W. 291 m s.n.m., M. I. Mejía-Marín et. al. 99 (UAMIZ); sobre el camino de San Juan Colorado al Cerro de la Ardilla, pasando el río del Zapote, 16° 27’ 45.4’’ N 97° 56’ 22.5’’ W. 355 m s.n.m., M. I. MejíaMarín et. al. 247 (UAMIZ). Cyperus wilburii G.C. Tucker Nuevo Progreso: orillas del arroyo llamado El de Enmedio cerca del poblado, 16° 31’ 46.7’’ N 97° 53’ 39.1’’ W. 503 m s.n.m., M. I. Mejía-Marín et. al. 204 (UAMIZ). San Juan Colorado: sobre el camino al Cerro de la Ardilla a partir de San Juan Colorado, pasando el río del Zapote (Yuvi), 16° 27’ 40’’ N 97° 50’ 17’’ W. 375 m s.n.m., M. I. Mejía-Marín et. al. 2 (UAMIZ); camino del poblado al Cerro de la Ardilla antes del primer puente, 16° 27’ 19.5’’ N 97° 57’ 2.6’’ W. 400 m s.n.m., M. I. Mejía-Marín et. al. 57 (UAMIZ); sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, orilla del río del Cangrejo, 16° 26’ 43.7’’ N 97° 57’ 18.4’’ W. 402 m s.n.m., M. I. Mejía-Marín et. al. 180, 181 y 182 (UAMIZ); Cerro de la Ardilla, propiedad del Sr. Evencio Mejía 67 Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 37.8’’ N 97° 55’ 43.1’’ W. 473 m s.n.m., M. I. Mejía-Marín et. al. 213 (UAMIZ). Eleocharis elegans (Kunth) Roem. & Schult. Peñas Negras: sobre la carretera Santa María Nutío – Peñas Negras, orillas del río llegando al pueblo, 16° 27’ 46.3’’ N 97° 53’ 16.1’’ W. 302 m s.n.m., M. I. Mejía-Marín et. al. 231 (UAMIZ). Fimbristylis dichotoma (L.) Vahl San Juan Colorado: sobre el camino del poblado al Cerro de la Ardilla pasando el primer puente, 16° 27’ 23.4’’ N 97° 57’ 3.1’’ W. 390 m s.n.m., M. I. Mejía-Marín et. al. 110 (UAMIZ); sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, orillas del río del Cangrejo, 16° 26’ 38.8’’ N 97° 57’ 22.7’’ W. 441 m s.n.m., M. I. Mejía-Marín et. al. 186 (UAMIZ). Rhynchospora ciliata (G. Mey) Kük San Juan Colorado: sobre el camino del Cerro de la Ardilla cerro de la Lluvia (Yucu Savi) al sureste del poblado de San Juan Colorado, 16° 27’ 27.6’’ N 97° 55’ 25.4’’ W. 605 m s.n.m., M. I. Mejía-Marín et. al. 245 (UAMIZ); sobre el camino Cerro de la Ardilla -cerro de la Lluvia al sureste del poblado de San Juan Colorado, 16° 27’ 20.9’’ N 97° 55’ 3.8’’ W. 659 m s.n.m., M. I. Mejía-Marín et. al. 249 (UAMIZ). Rhynchospora puber (Vahl) Boeckeler subsp. parvula W.W. Thomas Agua Fría: sobre el camino al trapiche del Sr. Severiano Marín García, a partir del poblado de Agua Fría, 16° 26’ 19.5’’ N 97° 54’ 21.4’’ W. 609 m s.n.m., M. I. Mejía- 68 Marín et. al. 122 (UAMIZ). San Juan Colorado: sobre el camino del poblado al Cerro de la Ardilla pasando el primer puente, 16° 27’ 23.4’’ N 97° 57’ 3.1’’ W. 390 m s.n.m., M. I. Mejía-Marín et. al. 108 (UAMIZ); sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, orillas del río del Cangrejo, 16° 26’ 38.8’’ N 97° 57’ 22.7’’ W. 441 m s.n.m., M. I. Mejía-Marín et. al. 185 (UAMIZ). Scleria macrophylla J. Presl & C. Presl San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 35.8’’ N 97° 55’ 41’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al. 159 (UAMIZ). Scleria melaleuca Rchb. ex Schltdl. & Cham. Agua Fría: carretera de San Juan Colorado a Agua Fría, 16° 26’ 15.8’’ N 97° 55’ 48.5’’ W. 586 m s.n.m., M. I. Mejía-Marín et. al. 170 (UAMIZ). Peñas Negras: sobre la carretera de Santa María Nutío a Peñas Negras, orillas del río llegando al pueblo, 16° 27’ 46.3’’ N 97° 53’ 16.1’’ W. 302 m s.n.m., M. I. Mejía-Marín et. al. 235 (UAMIZ). San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 35.8’’ N 97° 55’ 41’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al. 157, 158 (UAMIZ); sobre la carretera de San Juan Colorado a Pinotepa de Don Luis, orillas del río del Cangrejo, 16° 26’ 38.8’’ N 97° 57’ 22.7’’ W. 441 m s.n.m., M. I. Mejía-Marín et. al. 187 (UAMIZ). Santa María Nutío: carretera del poblado a Nuevo Progreso, a orillas del río Poza del Cuate, 16° 29’ 27.6’’ N 97° 54’ 19.9’’ W. 290 m s.n.m., M. I. Mejía-Marín et. al. 80 (UAMIZ). 69 DIOSCOREACEAE Dioscorea bulbifera L. San Juan Colorado: sobre el camino al Cerro de la Ardilla a partir de San Juan Colorado, pasando Yuvi, 16° 27’ 45.4’’ N 97° 56’ 22.5’’ W. 355 m s.n.m., M. I. MejíaMarín et. al. 160 (UAMIZ). Dioscorea cymosula Hemsl. Peñas Negras: sobre sendero al pie de la Peña Negra, a partir del poblado de Peñas Negras, 16° 27’ 50’’ N 97° 53’ 55’’ W. 450 m s.n.m., M. I. Mejía-Marín et. al. 223 (UAMIZ); sobre la carretera Santa María Nutío – Peñas Negras, a orillas del río llegando al pueblo, 16° 27’ 46.3’’ N 97° 53’ 16.1’’ W. 302 m s.n.m., M. I. Mejía-Marín et. al. 233 BIS (UAMIZ). San Juan Colorado: sobre la carretera de San Juan Colorado a Agua Fría, 16° 26’ 29.4’’ N 97° 56’ 6’’ W. 576 m s.n.m., M. I. Mejía-Marín et. al. 116 (UAMIZ). Dioscorea hondurensis R. Knuth San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 35.4’’ N 97° 55’ 31.9’’ W. 548 m s.n.m., M. I. Mejía-Marín et. al. 151 (UAMIZ). HAEMODORACEAE Xiphidium caeruleum Aubl. 70 San Juan Colorado: sobre ladera del camino del poblado de San Juan Colorado al Cerro de la Ardilla, iniciando la desviación del cerro Yucu Savi, 16° 27’ 19.5’’ N 97° 57’ 2.6’’ W. 400 m s.n.m., M. I. Mejía-Marín et. al. 56 (UAMIZ). Santa María Nutío: sobre ladera a orillas del río Poza del Cuate, por la carretera Santa María Nutío Nuevo Progreso, 16° 29’ 27.6’’ N 97° 54’ 19.9’’ W. 290 m s.n.m., M. I. Mejía-Marín et. al. 84 (UAMIZ). HELICONIACEAE Heliconia collinsiana Griggs var. collinsiana Nuevo Progreso: sobre el camino del poblado de Nuevo Progreso al cerro de las Bugambilias, pasando el río del Mapache, 16° 32’ 30’’ N 97° 53’ 4’’ W. 642 m s.n.m., M. I. Mejía-Marín et. al. 41 (UAMIZ). Heliconia latispatha Benth. Peñas Negras: sobre el camino bajando de la Peña Negra, hacia el pueblo por los pastizales, 16° 27’ 37.7’’ N 97° 53’ 41.5’’ W. 342 m s.n.m., M. I. Mejía-Marín et. al. 229 (UAMIZ). San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 39’’ N 97° 55’ 47’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al. 199 (UAMIZ). HYPOXIDACEAE Curculigo scorzonerifolia (Lam.) Baker J. 71 Agua Fría: sobre la carretera de San Juan Colorado a Agua Fría, 16° 26’ 16.1’’ N 97° 55’ 21’’ W. 604 m s.n.m., M. I. Mejía-Marín et. al. 258 (UAMIZ). San Juan Colorado: sobre el camino del Cerro de la Ardilla al cerro de La Lluvia (Yucu Savi), al sureste del poblado de San Juan Colorado, 16° 27’ 28.6’’ N 97° 55’ 38.2’’ W. 524 m s.n.m., M. I. Mejía-Marín et. al. 244 (UAMIZ); sobre el camino del Cerro de la Ardilla al cerro de la Lluvia, al sureste del poblado de San Juan Colorado, 16° 27’ 20.9’’ N 97° 55’ 3.8’’ W. 659 m s.n.m., M. I. Mejía-Marín et. al. 252 (UAMIZ). IRIDACEAE Cipura paludosa Aubl. San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 37.6’’ N 97° 55’ 39.7’’ W. 512 m s.n.m., M. I. Mejía-Marín et. al. 148 (UAMIZ); Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 35.4’’ N 97° 55’ 31.9’’ W. 548 m s.n.m., M. I. Mejía-Marín et. al. 153 (UAMIZ). Tigridia sp. Agua Fría: sobre el camino de San Juan Colorado a Agua Fría, 16° 26’ 20.2’’ N 97° 55’ 49.3’’ W. 588 m s.n.m., M. I. Mejía-Marín et. al. 141 (UAMIZ). MARANTACEAE Calathea lutea (Aubl.) G. Mey. 72 San Juan Colorado: Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del poblado de San Juan Colorado, 16° 27’ 39’’ N 97° 55’ 47’’ W. 474 m s.n.m., M. I. Mejía-Marín et. al. 10 (UAMIZ); Cerro Yuvi tusu’un propiedad del Sr. Manuel Mejía Marín, al oeste del poblado de San Juan Colorado, 16° 27’ 35.4’’ N 97° 58’ 22’’ W. 444 m s.n.m., M. I. Mejía-Marín et. al. 200 (UAMIZ). Goeppertia macrosepala (K. Schum.) Borchs. & S. Suárez var. macrosepala Agua Fría: sobre la carretera de San Juan Colorado a Agua Fría, 16° 26’ 16.1’’ N 97° 55’ 21’’ W. 604 m s.n.m., M. I. Mejía-Marín et. al. 259 (UAMIZ). Peñas Negras: sobre el camino rumbo a la Peña Negra, en la desviación sobre la carretera Santa María Nutío - Peñas Negras, 16° 27’ 22.3’’ N 97° 53’ 16.1’’ W. 302 m s.n.m., M. I. MejíaMarín et. al. 216 (UAMIZ). San Juan Colorado: camino al Cerro de la Ardilla a partir de San Juan Colorado, antes de llegar a Yuvi, 16° 27’ 43.2’’ N 97° 56’ 18.7’’ W. 379 m s.n.m., M. I. Mejía-Marín et. al. 66 (UAMIZ). Goeppertia soconuscum (Matuda) Borchs. & S. Suárez San Pedro Siniyuvi: sobre la carretera San Pedro Siniyuvi - Santa María Nutío, a orillas del poblado, 16° 28’ 46.6’’ N 97° 55’ 1.8’’ W. 290 m s.n.m., M. I. Mejía-Marín et. al. 76 (UAMIZ). Maranta arundinacea L. San Juan Colorado: brecha al cerro Yucu Savi a partir de San Juan Colorado, cerca del río del Zapote, 16°27’ 30’’ N 97° 56’ 54’’ W. 339 m s.n.m. M. I. Mejía-Marín et. al. 62 (UAMIZ); Cerro de la Ardilla, propiedad del Sr. Evencio Mejía Marín, al sureste del 73 poblado de San Juan Colorado, 16° 27’ 35.8’’ N 97° 55’ 41’’ W. 474 m s.n.m., M. I.
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Rethinking our refugee crisis with Hannah Arendt
Helgard Mahrdt
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* Instituto de Pesquisa Educacional da Universidade de Oslo. biographic data_dados biográficos_ Rethinking our refugee crisis with Hannah Arendt Repensando nossa crise dos refugiados com Hannah Arendt Repensando nuestra crisis de los refugiados con Hannah Arendt Helgard Mahrdt* Abstract: Europe is facing a wave of refugees and migrants. To solve the many inherent problems is primarily a practical political task. However, there are existential experiences, democratic values, human attitudes, and political principles involved, and I am going to look particularly at the following three aspects of the refugee crisis, (1) the existential (I refer to the philosopher Martin Heidegger and to the political thinker Hannah Arendt), (2) the political (I turn to the EU’s steps for a common refugee policy), and (3) the legal (I refer to Immanuel Kant’s notion of hospitality and Seyla Benhabib’s notes on Human Rights). Finally, I will make a concluding remark on education’s task (I refer to Hannah Arendt’s and Aristotle’s notion of philia). Keywords: Europe; Refugees; Human rights; Space; Xenophobia; Hospitality Resumo: A Europa encara uma onda de refugiados e migrantes. Resolver os muitos problemas inerentes é principalmente uma tarefa política prática. No entanto, existem experiências existenciais, valores democráticos, atitudes humanas e princípios políticos envolvidos, e este artigo atenta particularmente para três aspectos da crise dos refugiados: (1) o existencial (refiro-me ao filósofo Martin Heidegger e à pensadora política Hannah Arendt), (2) o político (volto-me para os passos da UE em direção a uma política comum de refugiados) e (3) o legal (refiro-me à noção de hospitalidade de Immanuel Kant e às notas de Seyla Benhabib sobre Direitos Humanos). Finalmente, farei uma observação final sobre a tarefa da educação (refiro-me à noção de philia de Hannah Arendt e Aristóteles). Palavras-chave: Europa; Refugiados; Direitos humanos; Xenofobia; Hospitalidade. Resumen: Europa se enfrenta a una ola de refugiados y migrantes. Resolver los muchos problemas inherentes es principalmente una tarea política práctica. Sin embargo, hay experiencias existenciales, valores democráticos, actitudes humanos y principios políticos involucrados, y en este artículo atento sobre todo a tres aspectos de la crisis de refugiados: (1) el existencial (me refiero al filósofo Martin Heidegger y el pensador político Hannah Arendt) (2) político (me vuelvo a las medidas de la UE hacia una política común en materia de refugiados) y (3) legal (me refiero a la noción de hospitalidad Immanuel Kant y las notas de Benhabib de derechos Humanos). Por último, voy a hacer un comentario final sobre la tarea de la educación (Me refiero a la noción de philia, de Hannah Arendt y Aristóteles). Palabras clave: Europa; Refugiados; Derechos humanos; Xenofobia; Hospitalidad. Estudos Ibero-Americanos, Porto Alegre, v. 43, n. ESTUDOS IBERO-AMERICANOS ESTUDOS IBERO-AMERICANOS Amor Mundi – atualidade e recepção de Hannah Arendt http://dx doi org/10 15448/1980-864X 2017 3 26138 Amor Mundi – atualidade e recepção de Hannah Arendt http://dx.doi.org/10.15448/1980-864X.2017.3.26138 Rethinking our refugee crisis with Hannah Arendt Repensando nossa crise dos refugiados com Hannah Arendt Repensando nuestra crisis de los refugiados con Hannah Arendt 3, p. 535-547, set.-dez. 2017 536 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt happens or has happened, but also why it happens or has happened. We ask for the meaning of the events. These events take place in the world we share and have in common. According to Hannah Arendt the world discloses its variety in all its aspects only insofar as it is talked over in the presence of others, and so put into the public light. We need to hear the opinions of others because “no one can adequately grasp the objective world in its full reality all on his own, because the world always shows and reveals itself to him from only one perspective, which corresponds to his standpoint in the world and is determined by it” (ARENDT, 2005, p. 128). Additionally, the current migrant and refugee crisis is developing with such rapidity, that it is difficult to make lasting judgments. In late August 2015 Angela Merkel, the German Chancellor, made the important statement that the refugee crisis tests Europe's core ideals. Since then things have developed their own dynamic. In the beginning of September the Swedish Prime Minister met Mrs. Merkel in Berlin and his message was clear: Europe is able to take more refugees and Europe has a moral responsibility to do so (VESTBAKKE, 2015). Merkel is right about Europeans’ moral obligations, but not about their attitude: a poll in October 2014noted that “Europeans feel a duty to help refugees – but not in their own country” (NARDELLI, 2015). Introduction happens or has happened, but also why it happens or has happened. We ask for the meaning of the events. The current refugee crisis reminds us of the unpredictability inherent in action. No one can at this moment predict the outcome of hundreds of thousands of refugees and migrants coming to Europe. We are unable to foresee the magnitude of this event, the extent to which it is changing our world. It is just too early to come up with final answers. Some see the crisis as a challenge to our self- understanding. They observe that “we are writing history right now” and ask: “[…] do we want to be remembered […] as xenophobic, rich cowards hiding behind fences?” (KARRER, 2015). Others think that Angela Merkel’s “open-door” policy is deepening the refugee crisis in Europe (PATERSON, 2015). They fear the undermining of our legal and political institutions. True, we cannot predict the outcome of the current challenges; however, human beings need to understand what is happening. The article tries to make a contribution to this process of understanding. Underlying it are two presumptions: first, it is important how we think about questions related to refugees and migration, second, our thinking has to start from and stay related to experience. How we think depends on the special nature of our subject. If one wants to understand what is happening one cannot write in an “objective” manner because one then has renounced the human faculty to respond to what is actually happening. In other words, “the question of style is bound up with the problem of understanding” (ARENDT, 1994a, p. 404), as Hannah Arendt declared. She was convinced that “understanding is closely related to that faculty of imagination which Kant called “Einbildungskraft”. Imagination might prove to be the foundation of everything. H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt 271), however, he “must bitterly realize in the end that ‘on ne parvient pas deux fois’” (ARENDT, 2007, p. 274; AGAMBEN, 2000, p. 161). Today member states of the EU cannot act without assuming that refugees have rights. But this does not necessarily mean that states act according to legal obligations. Craig French for instance detects a violation of human rights in “the detention and deportation system” (FRENCH, 2015, p. 352).She argues these centers inflict harm on the asylum seekers and refugees. According to her, psychological and existential aspects of detention are neglected. To make visible “what kind of injustice” is done, she reconstructs Martin Heidegger’s thoughts on “the spatiality of being” (FRENCH, 2015, p. 356). Heidegger thought “that the prospects of successful being in the world depended, in important ways, on the proper constitution of the spaces and places in which individuals dwell” (FRENCH, 2015, p. 356). “If the place of being should collapse or be destroyed”, French argues, “[…] then the individual is thrown into a highly deficient mode of being that in Heideggerian terms we might characterize as anxiety, caused by the deprivation of a home in the world” (FRENCH, 2015, p. 356). What are we going to make of this? Refugees today have not lost all rights, so why should we turn to the experience described in 1943? There is good reason, I think, because Arendt turned the condition of homeless refugee – a condition that was her own – “upside down in order to present it as a paradigm of a new historical consciousness” (AGAMBEN, 2000, p. 161). The refugees who lost everything and who “no longer want to be assimilated at all cost to a new national identity” (AGAMBEN, 2000, p. 166) received a new insight which Arendt expresses in the following way: In 1951 Heidegger presented to the Darmstadt Symposium on Man and Space the lecture “Building Dwelling Thinking”. Here he developed the relation of “building” to “dwelling” and the way of thinking that derives from this relation. He recovered from “The Old High German word for building, buan” (HEIDEGGER, 2011, p. 244; FRENCH, 2015, p. 362) the original meaning of building is dwelling: “Where the word bauen still speaks in its original sense it also says how far the essence of dwelling reaches. H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt Seventy years later this analysis has not lost its relevance. However, there are profound differences. First of all, now the refugees “come from countries outside Europe. It is no longer an inner-European but a global phenomenon” (HEUER, 2007, p. 1169). Second, and possibly more relevant, contrary to the specific situation after World War I, the member states of the European Union “are aware of the importance of the right to have rights” (HEUER, 2007, p. 1161). Our contemporary experience is that sovereign power within liberal democracies is limited: “[…] liberal states are in fact constrained in their dealings with irregular migrants by constitutional law, international human rights treaties, and the political bargaining processes that unfold as states attempt to share the burden of migration and border control” (FRENCH, 2015, p. 356). In other words, the situation in Europe today differs from the situation after World War I when the “exclusively stateless people were declared ‘undesirable’” (HEUER, 2007, p. 1162). Bitter is the tone because Arendt herself belonged to the “we”, to these refugees who lost their “home, which means the familiarity of daily life”, their “occupation, which means the confidence that [they] are of some use in this world”, their “language, which means the naturalness of reactions, the simplicity of gestures, the unaffected expression of feelings”; they left their “relatives in the Polish ghettos and [their] best friends [who] have been killed in concentration camps” (ARENDT, 2007, p. 264). If this were not enough, the refugees feel “humiliated when they are rescued” and degraded when they are helped. They “fight like madmen for private existences with individual destinies”. “To give their new insecure existence some form of stability they refer to the marvelous existence they once had and lost” (HEUER, 2007, p. 1165). At the end of her article she described Mr. Cohn “who had always been a 150 percent German”, who in “1933 […] found refuge in Prague and very quickly became a convinced Czech patriot” (ARENDT, 2007, p. 271), who then, in 1937 went to Vienna where “a definite Austrian patriotism was required”, who was forced “out of that country” by the German invasion and who “arrived in Paris”, where he, “seriously convinced that he would spend his future life in France […] prepared his adjustment to the French nation” (ARENDT, 2007, p. What does it mean to be a refugee? Hannah Arendt can help to answer this question, since she by way of her own personal experience of being a refugee, began with an article entitled “We Refugees”, published in 1943 in the Menorah Journal, “her life-long meditation on the problems of human rights and statelessness” (PAREKH, 2008, p. 8). The article mirrors her experiences of being stateless, of being a refugee, a victim, a foreigner and “an enemy alien” (ARENDT, 2007, p. 266). It is written in an ironic and bitter tone; ironic in her “cartoonlike description of the refugees’ eager efforts to assimilate, to become indistinguishable, to forget the past and solve everything individually” (HEUER, 2007, p. 1164). The following passage speaks for itself: “We did the best to prove to other people that we were just ordinary immigrants. We declared that we had departed of our own free will to countries of our choice, and we denied that our situation had anything to do with ‘so-called Jewish problems” (ARENDT, 2007, p. 264). Additionally, understanding is, if we follow Arendt, closely related to the reflection on experiences. Understanding is based on knowledge, true under- standing transcends knowledge and thus makes it meaningful. True understanding, we may say, is a mode of thinking that “always returns to the judgments and prejudices which preceded and guided the strictly scientific inquiry” (ARENDT, 1994b, p. 311). During a conversation with friends Arendt asked: “What is the object of our thinking?” she answered as follows: “Experience! Nothing else than experience!” (ARENDT, 1979, p. 308). Of course, we all are able to follow the news on the Syrian refugee crisis. But we not only wish to know but also to understand; we not only wish to know what Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 537 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt That is bauen, History is no longer a closed book to them and politics is no longer the privilege of Gentiles. They know that the outlawing of the Jewish people of Europe has been followed closely by the outlawing of most European nations. Refugees driven from country to country represent the vanguard of their peoples – if they keep their identity (ARENDT, 2007, p. 274; AGAMBEN, 2000, p. 166). Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 538 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt structural features of being-in-the-world in its average everydayness, that is, the conditions that are necessary for the enjoyment of being in the normal course of things (FRENCH, 2015, p. 364). buan, bhu, beoare our word bin in the versions: ich bin, I am, du bist, you are, the imperative form bis, be” (HEIDEGGER, 2011, p. 245). Heidegger explained: “The way in which you are and I am, the manner in which we humans are on the earth, is buan, dwelling. To be a human being means to be on the earth as a mortal. It means to dwell” (HEIDEGGER, 2011, p. 245). True, “we do not merely dwell – that would be virtual inactivity – we practice a profession, we do business, we travel and find shelter on the way, now here, now there”, true, building can take on different forms, the form of constructing or the form of cultivating, but what we tend to forget is that the original meaning of the word building is dwelling. Dwelling, Heidegger argues, “remains for man’s everyday experience that which is from the outset ‘habitual’ – we inhabit it, as our language says so beautifully: it is the Gewohnte” (HEIDEGGER, 2011, p. 245). We find this idea of human being’s spatial existence in Hannah Arendt’s work. “Living beings, men and animals”, Arendt writes, “are not just in the world, they are of the world, and this is precisely because they are subjects and objects – perceiving and being perceived – at the same time” (ARENDT, 1981, p. 20). ( p ) Arendt appreciates Heidegger’s definition of the human being as being-in-the-world, thus “giving philosophic significance to structures of everyday life that are completely incomprehensible if man is not primarily understood as being together with others” (ARENDT, 1994c, p. 443). H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt But she doesn’t share his view that “there is no escape […] from the ‘incomprehensible triviality’ of the common everyday world except by withdrawal from it into that solitude which philosophers since Parmenides and Plato have opposed to the political realm” (ARENDT, 1968). Despite this difference, both thinkers, Heidegger and Arendt, are aware of the essential loss once human beings lose the space they exist in. If we follow Heidegger it will be impossible for them to dwell in the sense that he indicates is centrally important to the human experience. This loss leads to “what Heidegger called anxiety”. Anxiety is a “pathological state”, “If we listen to what language says in the word bauen,” Heidegger argues, “we hear three things: 1. Building is really dwelling. 2. Dwelling is the manner in which mortals are on the earth. 3. Building as dwelling unfolds into the building that cultivates growing things and the building that erects buildings” (HEIDEGGER, 2011, p. 245). Heidegger goes on, “To say that mortals are is to say that in dwelling they persist through spaces by virtue of their stay among things and locales” (HEIDEGGER, 2011, p. 251). The word Raum, space by its ancient meaning is “place that is freed for settlement and lodging. A space is something that has been made room for, something that has been freed; […] space is in essence that for which room has been made, […] that is gathered by virtue of a locale” (HEIDEGGER, 2011, p. 250). Such a locale is for instance the bridge, “[…] the bridge contains many places variously near or far from the bridge” (HEIDEGGER, 2011, p. 250). Consequently, “spaces, and with them space as such – ‘space – are always provided for already within the stay of mortals. Spaces open up by the fact that they are let into the dwelling of man” (HEIDEGGER, 2011, p. 251). For Heidegger Dasein is existential spatial; accordingly, it is a state in which one can no longer see oneself as a being with a potentiality projected into the future. […] When daseinis consumed by anxiety, it is no longer at home in the world as it should be. The world has become strange, hostile, inhospitable, and alien, no longer able to offer a framework of intelligibility of the sort that previously made being possible (FRENCH, 2015, p. 365). H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt Heidegger’s description of being’s spatial existence and his description of anxiety caused by the loss of a guaranteed place reveals the undermining experience refugees and immigrants are exposed to. And so does Hannah Arendt. However, she puts the emphasis on the right to belong to a political community. True, spatial existence, is important, however, being deprived of one’s place in the world includes losing “a framework where one is judged by one’s actions and opinions” (Arendt, [1951]/1994, p. 297). To be seen and heard by one’s fellowmen presupposes a political community. No longer being member of a community, this “entails Being-in-the-world means to live among things with which one is ordinarily and proximally familiar, to dwell in places that afford possibilities for being and involvement with others, to see one’s self thrown and projected (a potentiality to be), and to stay in a place that one cultivates by making space for things, projects, and beings and safeguarding them or showing care toward them.These are the Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 539 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt the loss of the relevance of speech” (ARENDT, [1951]/ 1994, p. 297). Since “man, since Aristotle, has been defined as a being commanding the power of speech and thought” (ARENDT, [1951]/1994, p. 297), the loss means that one loses “some of the most essential characteristics of human life” (ARENDT, [1951]/1994, p. 297). that means to live in a framework where one is judged by one’s actions and opinions) and the right to belong to some kind of organized community” (ARENDT, [1951]/1994, p. 296). Hannah Arendt anticipated that “refugees have become a major issue of our time – a test for the nation-states as well as for human rights” (FASSIN, 2011, p. 220). At first sight the above presentation of Heidegger’s emphasis of place for human beings and Arendt’s emphasis on speech may give the impression that a dwelling place and language are separated. However, neither for Heidegger nor for Arendt is there such a gap. For Heidegger, every human dwelling space is always linguistically and intelligibly and so humanly charged. Every human situation, Dasein, is from childhood on a hermeneutic situation. Human life itself lays itself out (legtsichaus), interprets itself, articulates itself. For Arendt, the disclosure of the “who”, “the unique and distinct identity of the agent” (ARENDT, [1958]/1998, p. H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt 180) through speech and action is possible only when he or she has a distinct place in the world. Late summer 2015, the picture of the three year old Syrian boy Aylan Kurdi who drowned in a failed attempt to sail to the Greek island of Kos, showed the tragic light of refugees. On September 2, a picture showed him wearing a red-T-shirt and shorts, washed up on a beach, lying face down in the surf not far from Turkey’s fashionable resort town of Bodrum; a second image shows a policeman carrying the tiny body away. Within hours this picture became the top trending picture on Twitter under the headline: “Humanity washed ashore” (SMITH, 2015). The image of the drowned Aylan Kurdi, I think, re-humanized the refugee crisis by turning from sheer numbers and giving the general disaster a face. Across the world it initiated a shift in the countries’ response to the refugee crisis. In her essay “On Humanity in Dark Times”, Hannah Arendt asks how humanity manifests itself. She argues that humanity manifests itself in brotherhood most frequently in “dark times”. She explains, “this kind of humanity actually becomes inevitable when the times become so extremely dark for certain groups of people that it is no longer up to them, their insight or choice, to withdraw from the world” (ARENDT, 1968, p. 13). In her view “modern times and antiquity agree on one point: both regard compassion as something totally natural, as inescapable to man as, say, fear” (ARENDT, 1968, p. 14). There is nothing wrong with compassion, but it is a kind of humaneness that, according to Arendt, is the great privilege of “pariah peoples, a privilege that is dearly bought (because) it is often accompanied by so radical a loss of the world […] that in extreme cases […] we can speak of real world lessness” (ARENDT, 1968, p. 13). There are limits of a natural creature affect when it comes to political action, because “compassion abolishes the distance, the worldly space between men where politics matters” (ARENDT, [1963]/1990, p. 86). The situation today: “Humanity washed ashore”? She was convinced that “the openness to others […] is the precondition for ‘humanity’ in every sense of this word” (ARENDT, 1968, p. 15). We might, therefore, assume compassion “as an ideal basis for a feeling that reaching out to all mankind would establish a society in which men might really become brothers” (ARENDT, 1968, p. 14). It is Arendt’s opinion that “humanitarianism of brotherhood” is valuable since “it makes insult and injury endurable” (ARENDT, 1968, p. 16); however, “in political terms it is absolutely irrelevant” (ARENDT, 1968, p. 17). It is irrelevant because compassion cannot “reach out farther than what is suffered by one person and still remain what it is supposed to be, co-suffering” (ARENDT, [1963]/1990, p. 85); further more compassion politicized becomes the sentiment of pity, and pity may even “be the perversion of compassion” (ARENDT, [1963]/1990, p. 88). If we follow Hannah Arendt, then, humanness is achieved “in the discourse of friendship” because this discourse manifests “a readiness to share the world with other men” (ARENDT, 1968, p. 24). When friends “become equal partners,” they learn, “how and in what specific articulateness the common world appears to the other, who as a person is forever unequal or different” (ARENDT, 1990, p. 83). What friends exercise is “seeing the world […] from the other fellow’s point of view”, at the same time they communicate “their opinions so that the common-ness of this world becomes apparent” (ARENDT, 1990, p. 84). The humaneness Arendt then has in mind is not the humanitarianism of the 18th century, warmth of human relationships at the cost of the world that lies between them, but a humaneness that contains an “openness to others” (ARENDT, 1968, p. 15). This openness, the “willing to risk the disclosure” (ARENDT, [1958]/1998, p. 180), to reveal oneself in deed or word is only possible “where people are with others and neither for nor against them, that is in sheer human togetherness” (ARENDT, [1958]/1998, p. 180). When Arendt spoke of humaneness or humanity she didn’t refer to its manifestation in humanitarianism or compassion but to the Roman understanding of humanitas. “In Rome,” she explained, “people of widely different ethnic origins and descent could acquire Roman citizenship and thus enter into the discourse among cultivated Romans, could discuss the world and life with them” (ARENDT, 1968, p. 25). The situation today: “Humanity washed ashore”? Back in Arendt’s time, refugees were deprived of rights. Their’ “freedom of movement”, Arendt wrote, “gives them no right to residence […], and their freedom of opinion is a fool’s freedom, for nothing they think matters anyhow” (ARENDT, [1951]/1994, p. 296). It was her opinion that something much more fundamental than freedom and justice, which are the rights of citizens, is at stake when belonging to the community into which one is born is no longer a matter of course and not belonging no longer a matter of choice. […] This extremity, and nothing else,” she stated, “is the situation of people deprived of human rights. They are deprived, not of the right to freedom, but of the right to action; not of the right to think whatever they please, but of the right to opinion (ARENDT, [1951]/1994, p. 296). In Arendt’s view, wherever “human beings come together” they generate “a space […] that simultaneously gathers them into it and separates them from one another” (ARENDT, 2005, p. 106). This space between men, which is the world, lies at the center of politics, and “it is within this world [of things] that human beings act and are themselves conditioned, and because they are conditioned by it, every catastrophe Following Aristotle, she argued that the loss of the relevance of speech and the loss of all human relationships is “the loss […] of some of the most essential characteristics of human life” (ARENDT, [1951]/1994, p. 297). Her conclusion therefore was that there is only one right, this is “a right to have rights (and Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 540 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt that occurs within it strikes back at them, affects them” (ARENDT, 2005, p. 107). “The world”, Hannah Arendt reminds us, “is not humane just because it is made by human beings, and it does not become humane just because the human voice sounds in it, but only when it has become the object of discourse” (ARENDT, 1968, p. 24). She emphasized the importance of communication for the process of becoming human and added: “We humanize what is going on in the world and in ourselves only by speaking of it, and in the course of speaking of it we learn to be human” (ARENDT, 1968, p. 25). The situation today: “Humanity washed ashore”? It is this “readiness to share the world with other men” (ARENDT, 1968, p. 25) that is expressed in Angela Merkel’s welcoming and open door policy. True, all started with citizens opening “the heart to the sufferings of others […]” (ARENDT, [1963]/1990, p. 81), however, it was Angela Merkel who turned the response to the refugee crisis into a political response in the best tradition of humaneness, a humaneness which the ancient Greeks called philantropia, ‘love of man’. So far I have presented Arendt’s description of what it means to be a refugee and her term of humaneness. In the following I view Angela Merkel’s open-door- policy in the light of Arendt’s humanitas. When the German chancellor decided on September 5, 2015 to accept thousands of refugees her decision was not as Judy Dempsey noticed, based on tactics. […] It was not based on strategy. Germany was not prepared for such an influx and was not ready to integrate so many tens of thousands of newcomers. She did not inform her EU partners. It was as unilateral a decision as her move to phase out nuclear power. Why? (DEMPSEY, 2015). There are different answers, one of them by Elmar Brok, a prominent Christian Democrat and chairman of the European Parliament’s foreign affairs committee, who thought Merkel did it out of compassion. However, keeping in mind, that in Arendtian terms compassion is in political terms absolutely irrelevant, I would argue that Merkel acted not in accordance with humanitarianism or compassion but in accordance with an Arendtian notion of humaneness. Politics and “mere life” Legal obligations and the need for political solidarity between the European member states as well as among the EU and countries outside the EU are one side of political action to be taken. However, Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 541 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt life” (BIRMINGHAM, 2006, p. 74). Angela Merkel, by taking the decision to welcome more refugees, expressed an understanding of the vulnerable ‘alien’ fleeing for her life. the refugee crisis confronts us with a further aspect, an aspect that Hannah Arendt characterized as “the dark background of mere givenness, the background formed by our unchangeable and unique nature […]” (ARENDT, [1951]/1994, p. 301). This dark background Besides, Germany and all the European member states have a legal obligation to help the refugees. It started with signing the Geneva Convention on the Status of Refugees of 1951 into which the principle of “non-refoulement” has been incorporated, followed by the “first meaningful step towards integration […] in the early 1990s after the Maastricht Treaty established a legal basis for adopting common approaches on asylum and immigration” (BOSWELL, 2000, p. 542). In the year 2011 the Refugee convention celebrated its 60th anniversary. True, its history is not one of linear progress; not only continue “‘physical insecurity, legal insecurity, socio-economic insecurity and environmental insecurity’ to be ‘commonplace’” (SYRING, 2012, p. 430), butthe Convention also has to be extended because there are persons such as ‘‘’internally displaced persons,’ ’environmental refugees’,’ or other people forced to migrate” who are “currently not covered by the definition of the beneficiaries of that Convention” (SYRING, 2012, p. 429). breaks into the political scene as the alien which in its all too obvious difference reminds us of the limitations of human activity – which are identical with the limitations of human equality. […] The ‘alien’ is a frightening symbol of the fact of difference as such, of individuality as such, and indicates those realms in which man cannot change and cannot act and in which, therefore, he has a distinct tendency to destroy (ARENDT, [1951]/ 1994, p. 301). A man “who by accidents of history is nothing but a man”, Arendt writes, “has lost the very qualities which make it possible for other people to treat him as a fellow-man”. Politics and “mere life” She goes on: The great danger arising from the existence of people forced to live outside the common world is that they are thrown back, in the midst of civilization, on their natural givenness, on their mere differentiation. They lack the tremendous equalizing of differences which comes from being citizens of some commonwealth and yet, since they are no longer allowed to partake in the human artifice, they begin to belong to the human race in much the same way as animals belong to a specific animal species. The paradox involved in the loss of human rights is that such a loss coincides with the instant when a person becomes a human being in general – without a profession, without a citizenship, without an opinion, without a deed by which to identify and specify himself – and different in general, representing nothing but his own absolutely unique individuality which, deprived of expression within and action upon a common world, loses all significance (ARENDT, [1951]/1994, p. 302). But, at least, the Convention contains the important principle of “non-refoulement” which “obliges signatory states not to forcibly return refugees and asylum seekers to their countries of origin if doing so would pose a clear danger to their lives and freedom” (BENHABIB, 2009, p. 34). In fact, this goes back to Immanuel Kant and his notion of “hospitality”. In the Third Article of perpetual peace, he notes that hospitality is not to be understood as a virtue of sociability, as the kindness and generosity one may show to strangers who come to one’s land or who become dependent upon one’s act of kindness through circumstances of nature or history; hospitality is a “right” that belongs to all human beings insofar as we view them as potential participants in a world republic (BENHABIB, 2009, p. 33; KANT, 1975, p. 213; BAKER, 2011, p. 1424). Arendt detects a deep Western resentment of the given, of mere life, that is relegated to the private realm, the realm of need and necessity. Politics and “mere life” When the media show the human beings in their status as a refugee, what becomes visible is “an ‘unqualified’ alien who is left with only her mere existence as a human being and who, as a consequence, must flee for her Here is not the place to look further into the debate about the term hospitality for international relations; I just want to mention Seyla Benhabib’s view that “the 1948 Universal Declaration of Human rights and the succeeding era of international rights declarations reflect the learning experiences not only of western humanity but of humanity at large” (BENHABIB, Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 542 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt 2009, p. 35). However, with Arendt’s statement in mind, that “nobody can be a citizen of the world as he is the citizen of his country” (ARENDT, 1968, p. 81), I would like to invite the reader to keep two things in mind, first, according to Arendt, “rights are not in the first instance a matter of philosophical or moral ideals, state guarantees or legal declarations, but are created from the bottom up, through practices of communication and interaction” (INGRAM, 2008, p. 410), second, rights need to be guaranteed by the state (government). A state, according to Arendt, is “an open society, ruling over a territory where its power protects and makes the law”; it is “a legal institution” which recognizes “citizens no matter of what nationality; its legal order is open to all who happen to live on its territory” (ARENDT, [1946]/1994, 208). A “state”, she adds, “far from being identical with the nation, is the supreme protector of a law which guarantees man his rights as man, his rights as citizen and his rights as a national” (ARENDT, [1946]/1994, 210). with them and we voted against them, Europe must not fall apart over solving the migrant crisis” (BBC NEWS, 2015). In the face of an ongoing tragedy that has claimed 2,500 lives in 2015, the German chancellor, Angela Merkel, put it bluntly: “If Europe fails on the question of refugees, its close connection with universal civil rights will be destroyed and it won’t be the Europe we want” (MERKEL, 2015). Politics and “mere life” In practice this meant that she revoked the return orders for Dublin transfers to other countries and changed the rule for Syrian refugees that asylum seekers must claim asylum in the first EU state they arrive in. This step caused critical commentaries: For instance, Professor Anthony Glees, a prominent commentator on European affairs, described Germany as “a hippie state, being led by its emotions” (GLEES, 2015). In his view, “the most serious humanitarian crisis that Europe had to deal with since the end of World War II can only be dealt with by essential policy making and above all by sticking to the rules”, that is, refugees must be taken at the first port of entry into the European Union states. “Let’s do it right”: Europe’s capacity to respond to the refugee crisis Refugees coming to Europe will hardly stop any time soon. Neither will immigrants. Consequently, we may ask, if neither refugees nor immigrants are a temporary phenomenon shouldn’t we then accept them as a reality? The EU, despite the efforts it has undertaken, does not share a common answer. While Germany welcomes refugees, Hungary closed its borders with non-EU Serbia in mid-September 2015, with non-Schengen Croatia the week before and “is not going to open any corridor for asylum seekers to enter the Schengen zone from the south” (KAVIC, 2015). “Slovenia, with a population of just two million, has already received over 20,000 migrants since Saturday; the Slovenian government has plans to ask the EU for help in dealing with financial and security concerns” (KAVIC, 2015). Poland has agreed to accept 5,000 refugees in addition to the 2,000 it has already made allowances for (FOREST, 2015). In Central Europe, and in particular in Slovakia, solidarity in sharing the burden equally is weak. Moreover, and perhaps worse, is that “Slovakia will only accept ‘Christian refugees’. It says Muslims would not feel at home there” (HALL, 2015). But not every central European member state shares this attitude, for instance the Prime Minister from the Czech Republic Bohuslav Sobotka: “Even though I don't like the use of the quotas, I don't agree Hospitality, terror, fear, and xenophobia However, after the terror attacks in Nice that killed 86 people, including 10 children and teenagers, and led president Hollande to extend France’s state of emergency, and a wave of terror in Germany, three in Bavaria and one in Baden-Wurttemberg, a specter of fear is haunting Europe. “What seems particularly unsettling with terrorism”, the Estonian philosopher Siobhan Kattago remarks, “is that we don’t detect a clear and present danger. Rather we are caught within the inclination to danger and continual war. We are surrounded by mistrust” (KATTAGO, 2015). She goes on, […] for the first time in history all peoples on earth have a common present: No event of any importance in the history of one country can remain a marginal accident in the history of any other. Every country has become the almost immediate neighbor of every other country, and every man feels the shock of events which take place on the other side of the globe (ARENDT, 1968, p. 83). The common factual present implies the task to guarantee every human being a place in the world. This is not at all an easy task, since, as Arendt remarked, our “common factual present is not based on a common past and does not in the least guarantee a common future” (ARENDT, 1968, p. 83). “Everything”, Arendt argues, “seems to depend upon the possibility of bringing the national pasts, in their original disparateness, into communication with each other” (ARENDT, 1968, p. 87). Terrorism seeks to destroy the social order. […] It is at this very moment when we feelthatour moral self is beginning to unravel, that the door is open to demagoguery, facile conflation of terrorist and refugee and the dangerous polarization of friend versus enemy, us versus them (KATTAGO, 2015). This is precisely what we observed after the attacks in Germany. The fact that three of the attackers arrived as refugees further sharpened the criticism of the German Chancellor’s politics. True, the authorities said the attacks in Bavaria and in Baden-Wuerttemberg were not linked; however the Isis-inspired killings fueled anti-migrant sentiment all over the country. Courageously, Chancellor Angela Merkel refused to change Germany’s refugee policy. “The asylum seekers responsible for the deadly attacks in Ansbach and Reutlingen”, she said, “had ‘shamed the country that welcomed them’, but those fleeing persecution and war had a right to be protected” (DEARDEN, 2016). The refugee crisis, globalization and the effect on political thinking Merkel also said that the refugee crisis is going to change Germany. Underlying is the understanding that refugees are not a temporary phenomenon and that we in Europe cannot in a short time return to “business as usual. Globalization is not a one-way traffic, from Europe out into the world, but it works in the other direction too, i.e., from the world into Europe”. Since the end of the Cold War the world is in motion. Several states have been left to their own devices, and without strong governmental structures some of them have turned into so-called ‘failed states’, i.e., “a political body that has disintegrated to a point where basic conditions and responsibilities of a sovereign government no longer function properly” (WIKIPEDIA, FAILED STATE, 2017), suffering from the erosion of legitimate authority and unable to provide public services. States in the Middle East have ‘artificial’ colonial boundaries, “drawn by statesmen with rulers on maps – statesmen who were not Arab, not Persian, not Turkish, but British or French or occasionally Italian” (LEWIS, 2004, p. 334). No one would have expected people from this region could cross the Mediterranean Sea to Europe in mass. These Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 543 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt diversity, the tolerance for customs and opinions one does not share and the refusal to treat all differences in terms of “friends” or “enemies”, good or evil” (LALL, 2015). events are changing our reality, including our terms when orienting ourselves in the world, as for instance in how we use words such as “close” and “distant”. Syria is no longer distant, the Syrian refugees are no longer strangers but changing into our neighbors. Half a century ago, Hannah Arendt reflected on the enormous difficulty which she related to the fact that we are living in One World, and this means, that Hospitality, terror, fear, and xenophobia displaced persons in Africa”, to “tackle the dramatic situation at the EU external borders and strengthen their control“ and “assist frontline member states in the establishment of hotspots, to ensure a correct identification of migrants and at the same time ensure relocation and returns. They also called for renewed diplomatic efforts to solve the crisis in Syria and ensure the formation of a government of national unity in Libya” (EUROPEAN COUNCIL, 2015). This led in March 2016 to the EU-Turkey Agreementaiming both at increasing the European Union’s external border protection and at stemming the traffickers’ activities and save human lives. Yet, experts argue that insofar as the agreement “relates to protecting refugees’ rights and providing safe passage, the E.U.-Turkey deal is fundamentally flawed and is not ‘working.’ The refugees who are now in Greece are trapped in a dreadful limbo. It is true that the flow of arrivals to Greece has slowed – of course it has – there is little point in fleeing to Greece to end up trapped” (ALFRED, 2016). In July the Hungarian government began a campaign of xenophobic disinformation “with messages including: ‘Did you know that since the beginning of the immigration crisis more than 300 people died as a result of terror attacks in Europe?’ and ‘Did you know that Brussels wants to settle a whole city’s worth of illegal immigrants in Hungary?’” (Gall, 2016). This campaign linked migration to increased terrorism, calling “asylum seekers and refugees […] ‘intruders’, and ‘potential terrorists’, bent on destroying Western civilization and Christianity. Hungarian Prime Minister Viktor Orban himself in July referred to migration as ‘poison’” (GALL, 2016). After the axe attack on a train in Würzburg, a mass shooting in Munich, a machete attack in Reutlingen and a suicide bomb attack in Ansbach people are worried about their personal safety. Chancellor Merkel noted in July 2016, “we are doing everything humanly possible to ensure security in Germany,” but she added, “anxiety and fear cannot guide our political decisions” (KERN, 2016). Speaking at an annual summer conference in Berlin on July 28, she insisted that there would be no change to her open-door-policy and concluded “For me it is clear: we stick to our principles. We will give those who are politically persecuted refuge and protection under the Geneva Convention” (KERN, 2016). Hospitality, terror, fear, and xenophobia Her reflections are part of her article “Karl Jaspers: Citizen of the World?” (1958). Here she made the statement that Karl Jaspers “agreed with the widespread feeling that our time somehow has come to an end” (ARENDT, 1968, p. 90). Arendt on her part joined in: “Our present is emphatically, and not merely logically, the suspense between a no-longer and a not- yet”. In Karl Jaspers’ words, “We live as though we stand knocking at doors which are still closed to us” (ARENDT, 1968, p. 90). Today those doors are open and what becomes visible is that a guaranteed place for everyone in this world is more urgent than ever. True, “a framework of universal mutual agreements, which eventually would lead into a world-wide federated structure” (ARENDT, 1968, p. 90) is still ahead, but Europe needs to find human solutions of the refugee crisis. Nothing indicates it will be an easy way to go, but there is some hope since “both in their laws and their rhetoric, many European politicians are categorically against exclusiveness and discriminatory practices” (LALL, 2015). Furthermore, “Europe today can draw from this history positive effect in the recognition of human But not everyone agrees with Merkel’s view on refugee policy: “German far-right activists have amplified their protests against incoming refugees from Syria, Iraq, and Afghanistan” (SCOTT, 2015). France struggles with xenophobia and we notice “xenophobic fears […] in the former-communist states – Slovakia, Poland, Romania and the Czech Republic”, not to mention the “Hungarian Prime Minister Viktor Orbán[who] has been particularly belligerent” (SCOTT, 2015). Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 544 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt After a huge number of refugees turned up on its borders in 2015, the Hungarians closed their borders in September 2015. Moreover, “the government refuses to participate in a binding EU agreement requiring member states to relocate asylum seekers equitably across the Union” (GALL, 2016). On October 2, 2016 Hungary called a national referendum. Hungarians were asked only one question: “Do you want the European Union to be entitled to prescribe the mandatory settlement of non-Hungarian citizens in Hungary without the consent of parliament”? (BARDI, 2016). Hospitality, terror, fear, and xenophobia Sixty years ago, in 1956, hundreds of thousands of Hungarians fleeing their country got refuge in other parts of Europe and in the United States. Today Nearly 98% of those who voted said ‘no’ to the EU plan (ROTHWELL, 2016). True, only 40.4% voted, which makes Hungary’s refugee referendum invalid. This might be a sign of hope, but the influence the government’s ideological campaign had on people’s minds is alarming. Even after the evening of the 19th of December, when a terrorist attack on a Christmas Market at the Breitscheidplatz in Berlin wounded multiple people and 12 people were killed, Merkel kept in her speech after the attack to her opinion that fear cannot guide political decisions. She called the attack a “very tough day”, she admitted that she did not have an easy answer to the question “how we can live with this”, and she insisted that we must not be “paralysed by fear”. Instead, she was convinced that “Germans will regain the strength to continue to live the life that we want in Germany: free, together, and open” (ROY VAN ZUIJDEWIJN, 2016). In her annual new year’s speech Merkel expressed her belief that “Where… Europe is challenged as a whole, Europe must also find answers as a whole – irrespective of how tedious and tough it is” (SCHUSTER-CRAIG, 2017). Sharing responsibility She “told the Bild newspaper, ‘it was not about opening the border for everyone – it was about not shutting it to those who had made their way to us from Hungary, on foot and in great need of help’” (SMALE, 2016). Hannah Arendt believed that human beings are able to build a world that will be humane for everybody. To approach this goal, a particular mode of thinking and acting would be needed. “Political philosophy”, she writes, “can hardly do more than describe and prescribe a new principle of political action” (ARENDT, 1968, p. 93). A new principle of political action would be one whose validity must comprehend the whole humanity. More than half a century ago, in 1958, Arendt remarked that “mankind […] has become something of an urgent reality” (ARENDT, 1968, p. 82). However, mankind has never really played a significant role in political thinking, and yet, we need to think mankind as a political notion if we want to make human rights real, that is, guarantee every single human being a place in this world (VOLK, 2009, p. 16). It seems, Angela Merkel has made an important move in this direction. The ancient Greeks had an understanding about the close connection between speech and politics; this is expressed in that they highly valued philia, i.e., “friendship among citizens” (ARENDT, 1968, p. 24). What, then, are the implications for education under the current refugee and migrant crisis? The answer can only be manifold and needs a further discussion. However, to indicate the direction in which the discussion might go, education should encourage young people to believe that they can make a change in the world. Therefore, it should strengthen students’ openness to different perspectives which reveal when friends talk together. Teachers should “engage students in understanding and taking into account the perspectives of others” (SCHUTZ & SANDY, 2015, p. 34), and this requires that we really listen to each other. Moreover, education should encourage and help students to “develop their own perspectives on the ‘world’” (SCHUTZ & SANDY, 2015, p. 34) and reveal it to others as in friendship. The opposite of this kind of communication is misanthropy, and “misanthropy means simply that the misanthrope finds no one with whom he cares to share the world, that he regards nobody as worthy of rejoicing with him in the world” (ARENDT, 1968, p. 25). References AGAMBEN, Giorgio. Means without End. Notes on Politics. Minneapolis/London: University of Minnesota Press. 2000. ALFRED, Charlotte. Expert Discussion: The Future of the E.U. – Turkey Refugee Deal. In: News Deeply, August 30, 2016. Available in: <https://www.newsdeeply.com/refugees/articles/2016/08/30/ expert-discussion-the-future-of-the-e-u-turkey-refugee-deal>. Access: Mar. 03, 2017. Sharing responsibility On the other hand, the German government’s handling of the refugee crisis has spurred support for the anti-immigration rightwing populist party AfD. Angela Merkel’s party, the Christian Democratic Union (CDU) has with 19% votes in regional elections in the German state of Mecklenburg-Vorpommern” its all- time lowest result in the eastern state” (OLTERMANN, 2016). The right wing populist party Alternative für Deutschland got 20.9% of the votes in Merkel’s home state, thus it is ahead of her center-right bloc. After the election Chancellor Angela Merkel defended her decision to abandon border controls a year ago. She “told the Bild newspaper, ‘it was not about opening the border for everyone – it was about not shutting it to those who had made their way to us from Hungary, on foot and in great need of help’” (SMALE, 2016). Sharing responsibility What, then, should a political response be? It needs to be a common response of European refugee policy shared by all EU member states. A first step in sharing the responsibility was made on September 23, 2015 when the EU leaders met in Brussels and agreed on a list of priorities which included to “assist Lebanon, Jordan, Turkey and other countries in dealing with the Syrian refugee crisis”, to expand financial support for the United Nations High Commissioner for Refugees and the World Food program”, to gain Turkey’s co-operation in stemming the flow of refugees, to “assist the countries of the Western Balkans in the management of refugee flows”, to increase funding to address the root causes of irregular migration and Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 545 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt Hannah Arendt believed that human beings are able to build a world that will be humane for everybody. To approach this goal, a particular mode of thinking and acting would be needed. “Political philosophy”, she writes, “can hardly do more than describe and prescribe a new principle of political action” (ARENDT, 1968, p. 93). A new principle of political action would be one whose validity must comprehend the whole humanity. More than half a century ago, in 1958, Arendt remarked that “mankind […] has become something of an urgent reality” (ARENDT, 1968, p. 82). However, mankind has never really played a significant role in political thinking, and yet, we need to think mankind as a political notion if we want to make human rights real, that is, guarantee every single human being a place in this world (VOLK, 2009, p. 16). It seems, Angela Merkel has made an important move in this direction. On the other hand, the German government’s handling of the refugee crisis has spurred support for the anti-immigration rightwing populist party AfD. Angela Merkel’s party, the Christian Democratic Union (CDU) has with 19% votes in regional elections in the German state of Mecklenburg-Vorpommern” its all- time lowest result in the eastern state” (OLTERMANN, 2016). The right wing populist party Alternative für Deutschland got 20.9% of the votes in Merkel’s home state, thus it is ahead of her center-right bloc. After the election Chancellor Angela Merkel defended her decision to abandon border controls a year ago. Education’s task Essays in Understanding 1930-54. New York: Schocken Books, 1994. p. 206-211. GLEES, Anthony. Germany a hippie state being led by its emotions. In: BBC World Service, Sept. 2015. Available in: <http://www.bbc. co.uk/programmes/p03200f8>. Access: 9 Sept. 2015. ARENDT, Hannah. Concern with Politics in Recent European Philosophical Thought. In: KOHN, Jerome (Org.). Essays in Understanding 1930-54. New York: Schocken Books, 1994c. p. 428-447. HALL, Melanie. Slovakia 'will only accept Christian refugees'. In: DW, Aug. 2015; Available in: <http://www.dw.com/en/slovakia- will-only-accept-christian-refugees/a-18659254>. Access in: 20 Aug. 2015. ARENDT, Hannah. Introduction into Politics. In: KOHN, Jerome (Org.). The Promise of Politics. New York: Schocken Books, 2005. p. 93-204. HEIDEGGER, Martin. Building Dwelling Thinking.In: FARRELL KRELL, David (Org.). Martin Heidegger. Basic Writings. London/ New York: Routledge, 2011. p. 239-255. ARENDT, Hannah. We Refugees. In: KOHN, Jerome; FELDMAN, Ron H. (Org.). The Jewish Writings. New York: Schocken Books, 2007. p. 264-274. HEUER, Wolfgang. Europe and Its Refugees: Arendt on the Politicization of Minorities. Social Research, v. 74, n. 4, Winter 2007. p. 1159-1172. BAKER, Gideon. Right of entry or right of refusal? Hospitality in the law of nature and nations. Review of International Studies, v. 37, n. 3, July 2011. p. 1423-1445. https://doi.org/10.1017/ S0260210510001269 INGRAM, James. What Is a “Right to Have Rights?” Three Images of the Politics of Human Rights. American Political Science Review, v. 102, n. 4, p. 401-416, Nov. 2008. https://doi.org/10.1017/ S0003055408080386 BARDI, Balint. Xenophobia running high before Hungary's migrant referendum. In: euobserver, July 2016. Available in: <https://euobserver.com/migration/134363>. Access: 9 Oct. 2016. KANT, Immanuel. Zum Ewigen Frieden – Ein philosophischer Entwurf. In: WEISCHEDEL, Wilhelm (Org.). Immanuel Kant Werke, Bd. 9, Darmstadt: Wissenschaftliche Buchgesellschaft, 1975. p. 194-251. BBC NEWS.Migrant crisis: EU splits exposed as talks take place. September 2015. Available in:<http://www.bbc.com/news/world- europe-34332759>. Access in: 23 Sept. 2015. BENHABIB, Seyla. Cosmopolitanism and Democracy: Affinities and Tensions. Hedgehog Review, Critical Reflections on Contemporary Culture, v. 11, n. 3, 2009. p. 30-41. KARRER, Sabine. We are writing History right now. In: Twitter, Sept. 2015. Available in: <https://twitter.com/fraukassandra/ status/645330685771780096>. Access in: 19 Sept. 2015. KATTAGO, Siobhan. The Specter of Fear – Europe after the Paris attacks. In: Public Seminar, Nov. 2015. Available in: <http://www. publicseminar.org/author/skattago/>. Access in: 23 Nov. 2016. BIRMINGHAM, Peg. Hannah Arendt and Human Rights. The Predicament of Common Responsibility. Bloomington & Indianapolis: Indiana University Press, 2006. KAVIC, Sasa.Hungary won't open ‘corridors’ for refugees on its southern borders. In: RT (Reuters), Oct. 2015. Available in: <https:// www.rt.com/news/319314-hungary-refugee-crisis-borders/>. Education’s task ARENDT, Hannah. The Human Condition. 2. ed. Introduction by Margaret Canovan, Chicago & London: The University of Chicago Press, [1958]/1998. In Arendt’s view the state is “a legal institution” which recognizes “citizens no matter of what nationality; its legal order is open to all who happen to live on its territory”. In Merkel’s view, political decisions and actions are guided by principles, also in times when refugee crisis and terrorism are challenging democracy. She remains true to the political task of securing every human being a place in the world. Rights guaranteed by the state are essential for sharing responsibility for the world. But they are not sufficient. They have to be practiced by citizens coming together and actively engaging. Education’s task is to prepare the young generation for being able to take the responsibility for the world. ARENDT, Hannah. The Origins of Totalitarianism. New York: Harcourt Brace, [1951]/1994. ARENDT, Hannah. Between Past and Future. Eight Exercises in Political Thought. New York: Penguin Books, [1961]/1993. ARENDT, Hannah. On Revolution. New York: Viking/London: Faber & Faber, [1963]/1990. ARENDT, Hannah. Men in Dark Times. Harcourt, New York: Brace & World, Inc., 1968. ARENDT, Hannah. On Hannah Arendt. In: HILL, Melvin A. (Org.). Hannah Arendt: the Recovery of the Public World. New York: St. Martin's, 1979. p. 301-339. ARENDT, Hannah. The Life of the Mind. One Volume Edition. Mary McCarthy (Org.). San Diego, New York, London: Harcourt, Inc., 1981. Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 546 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt ARENDT, Hannah. Philosophy and Politics. Social Research, v. 57, n. 1, p. 73-103, Spring 1990. FOREST, Danielle. Poland to accept 5,000 refugees: A summary of events. In: Krakow Post, Sept. 2015. Available in: <http:// www.krakowpost.com/10477/2015/09/poland-to-accept-5000- refugees>. Access in: 22 Oct. 2015. ARENDT, Hannah. A Reply to Eric Voegelin. In: KOHN, Jerome (Org.). Essays in Understanding 1930-54. New York: Schocken Books, 1994a. p. 401-408. FRENCH, Craig. To lose one's home in the world: The injustice of immigrant detention. Journal of International Political Theory, v. 11, n. 3, October 2015. p. 351-369. https://doi.org/ 10.1177/1755088215585026 ARENDT, Hannah. Understanding and Politics. In: KOHN, Jerome (Org.). Essays in Understanding 1930-54. New York: Schocken Books, 1994b. p. 307-327. GALL, Lydia. Pig-head propaganda: Hungary's war on refugees. In: euobserver, Aug. 2016. Available in: <https://euobserver.com/ opinion/134762>. Access in: 10 Oct. 2016. ARENDT, Hannah. The Nation. In: KOHN, Jerome (Org.). H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt NARDELLI, Alberto. Europeans feel a duty to help refugees – but not in their own countries. In: The Guardian, Oct. 2015. Available in: <http://www.theguardian.com/news/datablog/2015/oct/30/ european-attitudes-towards-refugees-poll-eu>. Access in: 30 Oct. 2015. SCHUTZ, Aaron; SANDY, Marie G. Friendship and the Public Stage: Revisiting Hannah Arendt's Resistance to, Political Education. Educational Theory, v. 65, n. 1, p. 21-38, Feb. 2015. https://doi.org/10.1111/edth.12093 SCOTT, Baily. Xenophobia Raises Its Ugly Head in the European Refugee Crisis. In: Sigma Iota Rho, Journal of International SCOTT, Baily. Xenophobia Raises Its Ugly Head in the European Refugee Crisis. In: Sigma Iota Rho, Journal of International Relations, Oct. 2015. Available in: <http://www.sirjournal.org/op- ed/2015/10/7/xenophobia-raises-its-ugly-head-in-the-european- refugee-crisis>. Access in: 10 Oct. 2016. OLTERMANN, Philip. Angela Merkel's party beaten by rightwing populists in German elections. In: The Guardian, Sept. 2016. Available in: <https://www.theguardian.com/world/2016/sep/04/ mecklenburg-vorpommern-german-anti-immigrant-party-strong- regional-election-exit-polls-merkel>. Access in: 9 Oct. 2016. OLTERMANN, Philip. Angela Merkel's party beaten by rightwing populists in German elections. In: The Guardian, Sept. 2016. Available in: <https://www.theguardian.com/world/2016/sep/04/ mecklenburg-vorpommern-german-anti-immigrant-party-strong- regional-election-exit-polls-merkel>. Access in: 9 Oct. 2016. SMALE, Alison. Far-right overtakes Angela Merkel's Bloc in Her Home State. In: The New York Times, Sept. 3, 2016. Available in: <http://www.nytimes.com/2016/09/05/world/europe/angela- merkel-germany-mecklenburg-vorpommern-elections-refugees. html>. Access in: 9 Oct. 2016. PAREKH, Serena. Hannah Arendt and the Challenge of Modernity. A Phenomenology of Human Rights. Oxford: Routledge 2008. PATERSON, Tony. Refugee crisis: German village Sumte shows reality behind open door policy – with 102 residents and 750 refugees. In: Independent, Nov. 2015. Available in: <http://www. independent.co.uk/news/world/europe/refugee-crisis-german- village-sumte-shows-the-reality-behind-angela-merkel-s-open- door-policy-with-a6724741.html>. Access in: 6 Nov. 2015. SMITH, Helena. Shocking images of drowned Syrian boy show tragic plight of refugees. In: The Guardian, Sept. 2015. Available in: <http://www.theguardian.com/world/2015/sep/02/shocking- image-of-drowned-syrian-boy-shows-tragic-plight-of-refugees>. Access in: 2 Sept. 2015. ROTHWELL, James; FOSTER, Peter; CSEKO, Balazs. Hungary referendum: 98 per cent of voters say 'no' to EU migrant quotas. In: The Telegraph, Oct. 2016. Available in: <http://www.telegraph. co.uk/news/2016/10/02/hungary-votes-no-to-migrant-quotas- polls-suggest---but-what- does/>. Access in: 9 Oct. 2016. SYRING, Tom. International Norm-Making on Forced Displacement: Challenges and Complexity (Introductory Remarks). Proceedings of the Annual Meeting (American Society of International Law), v. 106, n. 28, p. 429-430, Mar. 2012. VESTBAKKE, Anne. Marte Löfven: Europa harmoralskansvar. In: msn nyheter, Sept. 2015. Available in: <http://www.msn.com/ nb-no/nyheter/verden/l%C3%B6fven-europa-harmoralskansvar>. Access in: 07 Mar. 2017. ROY VAN ZUIJDEWIJN, Jeanine de. Responding to terrorism: Merkel's speech after the attack on the Christmas Market in Berlin. In: Universiteit Leiden. Leiden Safety and Security Blog, 2016. Available in: <http://www.leidensafetyandsecurityblog.nl/articles/ responding-to-terrorism-merkels-speech-after-the-attack-on-the- christmas-ma>. Access in: 07 Mar. 2017. VOLK, Christian. H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt Überlegungen zu einer freiheitlichen Weltordnung im Anschluss an Arendt und Montesquieu. Renovatio, v. 3-4, p. 11-20, 2009. SCHUSTER-CRAIG, Johanna. How the Berlin Christmas market terror attack affects Chancellor Merkel and Europe. In: The Conversation. Available in: <http://theconversation.com/how-the- berlin-christmas-market-terror-attack-affects-chancellor-merkel- and-europe-70753>. Access in: 20 Sept. 2017. SCHUSTER-CRAIG, Johanna. How the Berlin Christmas market terror attack affects Chancellor Merkel and Europe. In: The Conversation. Available in: <http://theconversation.com/how-the- berlin-christmas-market-terror-attack-affects-chancellor-merkel- and-europe-70753>. Access in: 20 Sept. 2017. Received: December 12, 2016 Accepted: January 23, 2017 Received: December 12, 2016 Accepted: January 23, 2017 Received: December 12, 2016 Accepted: January 23, 2017 Helgard Mahrdt helgard.mahrdt@iped.uio.no • Institute of Educational Research at the University of Oslo. Author of Öffentlichkeit, ‘Gender’ und Moral. Von der Aufklärung zu Ingeborg Bachmann (1998) and organizer, with Bernd Neumann and Martin Frank of “The Angel of Historyislooking back”. Hannah ArendtsWerkunterpolitischem, ästhetischemundhistorischemAspek (2001). ◦ Instituto de Pesquisa Educacional da Universidade de Oslo. Autora de Öffentlichkeit, ‘Gender’ und Moral. Von der Aufklärung zu Ingeborg Bachmann (1998) e organizadora, com Bernd Neumann e Martin Frank, de “The Angel of Historyislooking back”. Hannah ArendtsWerkunterpolitischem, ästhetischemundhistorischemAspek (2001). Education’s task Access in: 22 Oct. 2015. BOSWELL, Christina. European values and the asylum crisis, International Affairs, v. 76, n. 3, 2000, p. 537-557. https://doi.org/ 10.1111/1468-2346.00150 DEARDEN, Lizzie. Germany attacks. Merkel refuses to change refugee policy amid calls for crackdown after Isis-inspired killings. In: Independent, July 2016. Available in: <http://www.independent. co.uk/news/world/europe/germany-attacks-angela-merkel- refuses-to-change-refugee-policy-amid-calls-for-crackdown- following-a7159926.html>. Access in: 9 Oct. 2016. DEARDEN, Lizzie. Germany attacks. Merkel refuses to change refugee policy amid calls for crackdown after Isis-inspired killings. In: Independent, July 2016. Available in: <http://www.independent. KERN, Soeren. Germany: “No Change to Open-Door Migration Policy”. In: Gatestone Institute International Policy Council, 2016. KERN, Soeren. Germany: “No Change to Open-Door Migration Policy”. In: Gatestone Institute International Policy Council, 2016. Available in: <https://www.gatestoneinstitute.org/8591/germany- open-door-migration>. Access in: 07 Mar. 2017. co.uk/news/world/europe/germany-attacks-angela-merkel- refuses-to-change-refugee-policy-amid-calls-for-crackdown- following-a7159926.html>. Access in: 9 Oct. 2016. Available in: <https://www.gatestoneinstitute.org/8591/germany- open-door-migration>. Access in: 07 Mar. 2017. LALL, Rashmee Roshan. Europe's refugee policy is tainted by fear of the other. In: The National, Oct. 2015. Available in: <http:// www.thenational.ae/opinion/comment/europes-refugee-policy-is- tainted-by-fear-of-the-other>. Access in: 20 Oct. 2015. DEMPSEY, Judy. Merkel's Refugee Crisis. In: Carnegie Europe, Sept. 2015. EUROPEAN COUNCIL. Informal meeting of heads of state or government, 23/09/2015. In: European Commission Press Release, 5 Oct. 2015. LEWIS, Bernard. From Babel to Dragomans. Interpreting the Middle East. New York: Oxford University Press, 2004. MERKEL, Angela. Flüchtlingskrise wird Deutschland verändern. Sept. 2015. Available in: <http://de.euronews.com/2015/09/07/ merkel-fluechtlingskrise-wird-deutschland-veraendern>. Access in: 7 Sept. 2015. FASSIN, Didier. Policing Borders, Producing Boundaries.The Governmentality of Immigration in Dark Times. The Annual Review of Anthropology, v. 40, 2011. p. 213-26. https://doi. org/10.1146/annurev-anthro-081309-145847 Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017 547 H. Mahrdt | Rethinking our refugee crisis with Hannah Arendt Author/Autor: Estudos Ibero-Americanos, Porto Alegre, v. 43, n. 3, p. 535-547, set.-dez. 2017
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Uncertainty Quantification for Fatigue Life of Offshore Wind Turbine Structure. ASCE-ASME Journal of Risk and Uncertainty in Engineering Systems, Part B: Mechanical Engineering, 2021, 7, pp.040901. &#x27E8;10.1115/1.4051162&#x27E9;. &#x27E8;hal-03287896&#x27E9;
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Uncertainty Quantification for Fatigue Life of Offshore Wind Turbine Structure Abraham Nispel, Stephen Ekwaro-Osire, João Paulo Dias, Americo Cunha Jr To cite this version: Abraham Nispel, Stephen Ekwaro-Osire, João Paulo Dias, Americo Cunha Jr. Uncertainty Quantification for Fatigue Life of Offshore Wind Turbine Structure. ASCE-ASME Journal of Risk and Uncertainty in Engineering Systems, Part B: Mechanical Engineering, 2021, 7, pp.040901. �10.1115/1.4051162�. �hal-03287896� HAL Id: hal-03287896 https://hal.science/hal-03287896 Submitted on 16 Jul 2021 HAL is a multi-disciplinary open access L’archive ouverte pluridisciplinaire HAL, est archive for the deposit and dissemination of sci- destinée au dépôt et à la diffusion de documents entific research documents, whether they are pub- scientifiques de niveau recherche, publiés ou non, lished or not. The documents may come from émanant des établissements d’enseignement et de teaching and research institutions in France or recherche français ou étrangers, des laboratoires abroad, or from public or private research centers. publics ou privés. Copyright Abraham Nispel Mem. ASME Department of Mechanical Engineering, Texas Tech University, Lubbock, TX 79409 e-mail: abraham.nispel@ttu.edu Stephen Ekwaro-Osire1 Fellow ASME Department of Mechanical Engineering, Texas Tech University, Lubbock, TX 79409 e-mail: stephen.ekwaro-osire@ttu.edu Jo~ ao Paulo Dias Mem. ASME Department of Civil and Mechanical Engineering, Shippensburg University of Pennsylvania, Shippensburg, PA 17257 e-mail: jpdias@ship.edu Americo Cunha, Jr. Institute of Mathematics and Statistics, Rio de Janeiro State University, Rio de Janeiro, RJ 20550-900, Brazil e-mail: americo.cunha@uerj.br Uncertainty Quantification for Fatigue Life of Offshore Wind Turbine Structure This study aims to address the question: can the structural reliability of an offshore wind turbine (OWT) under fatigue loading conditions be predicted more consistently? To respond to that question this study addresses the following specific aims: (1) to obtain a systematic approach that takes into consideration the amount of information available for the uncertainty modeling of the model input parameters and (2) to determine the impact of the most sensitive input parameters on the structural reliability of the OWT through a surrogate model. First, a coupled model to determine the fatigue life of the support structure considering the soil-structure interaction under 15 different loading conditions was developed. Second, a sensitivity scheme using two global analyses was developed to consistently establish the most and least important input parameters of the model. Third, systematic uncertainty quantification (UQ) scheme was employed to model the uncertainties of model input parameters based on their available—data-driven and physics-informed—information. Finally, the impact of the proposed UQ framework on the OWT structural reliability was evaluated through the estimation of the probability of failure of the structure based on the fatigue limit state design criterion. The results show high sensitivity for the wind speed and moderate sensitivity for parameters usually considered as deterministic values in design standards. Additionally, it is shown that applying systematic UQ not only produces a more efficient and better approximation of the fatigue life under uncertainty, but also a more accurate estimation of the structural reliability of offshore wind turbine’s structure during conceptual design. Consequently, more reliable, and robust estimations of the structural designs for large offshore wind turbines with limited information may be achieved during the early stages of design. [DOI: 10.1115/1.4051162] Keywords: offshore wind turbines, uncertainty quantification, structural reliability, fatigue life, maximum entropy principle 1 Introduction Offshore wind energy is steadily growing due to (1) offshore wind speed is faster and less turbulent than onshore wind speed, (2) offshore wind farms have less space limitation and transport issues associated with the construction and erection of taller turbines in contrast to onshore farms, and (3) offshore wind power is a clean source of energy that contributes to reducing carbon emissions [1,2]. Nevertheless, the structure of offshore wind turbines (OWTs), i.e., tower and foundation, is highly sensitive to dynamic amplification and fatigue damage, as the excitation frequencies resulting from wind and wave loads approach the natural frequency of the structure [3–5]. Whilst Fatigue damage calculations involve several parameters, and also several combinations of environmental conditions to account for realistic operation scenarios, it is also paramount to account for the uncertainty in the models and parameters to ensure a service life of at least 20 years [4,6]. Albeit accounting for the variability of certain parameters, such as wind speed and wave height, is a common practice in the industry, other parameters are normally considered as constants, even though data has suggested that they may vary significantly [7,8]. Therefore, it is necessary to analyze the importance of those variables in terms of the structural response and reliability of the OWT. Sensitivity analysis (SA) has received a lot of attention in the field of offshore wind energy due to the need to identify the most significant parameters that affect the design of support structures. However, identifying such parameters is a rather challenging task 1 Corresponding author. Manuscript received August 31, 2020; final manuscript received May 10, 2021; published online July 12, 2021. Assoc. Editor: Vikram Pakrashi. since OWT structural design involves several elements: design criteria, complex nonlinear models, and a large number of inputmodel parameters, which altogether add a significant amount of uncertainty to the sensitivity results [9]. To account for the model uncertainties and nonlinearities in the sensitivity results, researchers across several disciplines suggest the use of global sensitivity analysis (GSA) [10]. GSA aims to assess the most relevant input-model parameters by analyzing the individual and combined effects that the uncertainty of each input parameter has on the total variance of the response. As a result, a complete exploration of design space considering interaction effects among input-model parameters can be analyzed giving more robust sensitivity indices [11]. Given the benefits of GSA, various authors have attempted to apply GSA in the field of OWT structural design. Nevertheless, due to the inconsistency in the selection of the initial set of input-model parameters, and the lack of clear convergence metrics on the results, no substantial conclusions regarding parameters that should be either discarded or maintained (which is also known as model reduction and prioritization) were observed [9,12]. To overcome this situation, the utilization of more than one GSA method has been proposed. For example, two efficient methods such as the Morris approach also called the elementary effects (EE) approach and rank regression was applied and showed good agreement in the results [10]. The application of the aforementioned methods, however, is limited due to their lack of robustness to identify the most important parameters, thereby reducing their utilization for model reduction, before using more sophisticated methods [11]. Analysis of variance approaches, i.e., Sobol indices, have been consistently applied in models with noncorrelated inputs, and are usually used as a benchmark for testing other sensitivity approaches [10]. That ASCE-ASME Journal of Risk and Uncertainty in Engineering Systems, C 2021 by ASME Part B: Mechanical Engineering Copyright V DECEMBER 2021, Vol. 7 / 040901-1 is explained by their capacity to accurately identify (1) noninfluential and influential parameters and (2) their interaction effects. Despite that, their accuracy heavily relies on the number of simulations performed to achieve convergence, thereby making them computationally expensive and prohibited for complex models with a large number of input parameters [13]. To improve the efficiency of the Sobol’ approach, new sampling techniques and metamodels (surrogate models) have been suggested; the use of metamodels, however, paired with Monte Carlo (MC) simulation has shown more accurate results than their sampling counterparts [10]. As far as reliability is concerned, uncertainties in the loading conditions, soil, and material properties highly influence the fatigue response, and thus the OWT reliability predictions. In most cases, ensuring a certain reliability value has been shown to drive the cost of the structure to around 30% of the entire OWT because conservative design approaches are often employed to make up for the model input-parameters uncertainties in the model response [5]. Several probabilistic analyses have been conducted using simplified methods to account for model inputparameters uncertainties in a more sophisticated fashion [1,6,15]. However, those analyses have failed to systematically account for uncertainties, leading eventually to underestimations or overestimations of the reliability [16]. The quality of probabilistic predictions, constructed with a stochastic model, is closely linked to its physical consistency, as well as its reliability with the known information about the system of interest. Low-quality probabilistic forecasts can be a strong indication that the used probabilistic model is physically inconsistent, either because it does not take into account known information about the system of interest, or possibly because it does not respect the basic physics of the problem. Therefore, there is still a need to develop a robust UQ scheme to assess the uncertainties in the main input parameters of the OWT models, which go in the direction of constructing probabilistic models which are more consistent with the physical constraints of the input parameters. Based on the above-mentioned issues regarding the selection of the input parameters, uncertainty modeling, and accurate reliability estimation, this study responds to the following question: can the structural reliability of an OWT under fatigue loading be predicted more consistently? The specific aims to address this question are: (1) to obtain a systematic approach that takes into consideration the amount of information available for the uncertainty modeling of the model input parameters and (2) to determine the impact of the most sensitive input parameters on the structural reliability of the OWT through a surrogate model. To achieve the two specific aims, a coupled model, which combines the simulation codes FAST and TurbSim, developed by the National Renewable Energy Laboratories (NREL), the Rainflow counting (RFC) technique, and the Palmgren-Miner rule, was developed to determine the fatigue life of the OWT structure. The probability density functions (PDFs) were determined by developing a systematic UQ scheme. The scheme models the uncertainties of the input parameters based on the type of information available at the moment of the analysis: (1) physics-based information and (2) data-driven information. The most and less sensitive input parameters of the OWT design under fatigue loading were established by conducting a global sensitivity analysis. Finally, the prediction of the structural reliability using a probabilistic model to establish the damage probability distribution under 30 years of service. The rest of the paper is organized as follows: methodology, results, and discussions of the main findings of this work, and finally, conclusions and recommendations for future research on this topic. 040901-2 / Vol. 7, DECEMBER 2021 2 Methodology In this study, a deterministic model and a UQ framework were developed to investigate the potential inconsistencies in the estimation of the reliability of a 5 MW OWT [17] with a monopile foundation under fatigue loading conditions. The overarching methodology is depicted in Fig. 1. The rest of this section is divided as follows: deterministic modeling, sensitivity analysis, probabilistic modeling, and specification of the analysis. 2.1 Deterministic Modeling. The deterministic model used in this paper is a combination of two models: the first model aims to establish the main characteristics of a monopile foundation accounting for the structural, geotechnical, and environmental complexities with a limited amount of data [18,19]. The second is the combination of FAST and TurbSim codes developed by NREL that aims to determine the dynamic response of a 5 MW OWT. The main benefits of using FAST and TurbSim are their capabilities: (1) to simulate realistic random turbulent time series; (2) to account for the rotational sampling effect, and the geometry of the blades by using the corrected blade momentum theory; and (3) to account for the effects of turbine control mechanisms in the below-rated and above-rated power conditions by using two independent control systems (i.e., a generator-torque controller and a full-span rotor-collective blade-pitch controller) [20]. A schematic diagram of the different submodels, i.e., environmental model, loading model, and fatigue model, that comprise the simplified model developed to compute the fatigue damage of the structure, is illustrated in Fig. 2. The details of each model and parameters used in each submodel are introduced in the following Secs. 2.1.1 and 2.1.2. 2.1.1 Environmental and Loading Models. In this section, the methods to simulate random time series for the turbulent wind speed, uH(t), and wave surface elevation, g(t), from their respective power spectral densities are explained. On the one hand, TurbSim was used to generate coherent stochastic turbulent 10minute time series that represent the full-field flow around the turbine rotor. The JONSWAP spectrum, Sg(t), on the other hand, was used for modeling the stochastic behavior of the waves [19,21,22]. After the stochastic time series were determined, they served as inputs to the loading model, wherein the loads exerted over the structure were assessed. The wind loads, i.e., force and moment, FU (t) and MU (t), at the tower base were determined through the FAST simulations, which not only accounts for the effects of the control system and rotational sampling but also the geometric effects of the blades in the structural response of the turbine. The hydrodynamic load, FW(t), which is the force exerted on the pile Fig. 1 Schematic representation of the general methodology of analysis employed to access the OWT system Transactions of the ASME provided for the area of Blyth—that is from the environmental conditions for the analysis were taken [23]. Despite the low probabilities of wind-wave misalignment for the area used in this study, this assumption may have significant impacts on the structural response of the OWT, in particular for large OWT [24]. As a result, albeit in this study the misalignment happened to be negligible, future studies may consider other locations to study this phenomenon in more detail. Finally, the main characteristics of a 5 MW OWT with a monopile foundation, such as geometrical properties, were summarized in Table 1 [17]. 2.1.2 Fatigue Model. The time-variant bending stress at the mudline is computed considering the following expression [25]: Sb ðtÞ ¼ Fig. 2 Schematic representation of the deterministic model for the OWT system due to the action of the drag and inertia of the waves, was modeled as a point load at the mean sea level (MSL), using Morison’s equation Fw ðtÞ ¼ Fwi ðtÞ þ Fwd ðtÞ (1) ð gðzÞ € ðz; tÞ dz 0:25qsw cm pDP 2 W (2) 0:5qsw cd DP jW_ ðz; tÞj W_ ðz; tÞdz (3) Fwi ðtÞ ¼ Fwd ðtÞ ¼ %dw ð gðzÞ %dw wherein Fwi and Fwd are inertial and drag components of the wave € ðz; tÞ, are the wave speed and acceleration comloads, W_ ðz; tÞ & W puted assuming the Airy wave theory [4–6]. A dynamic amplification factor, DAF, was multiplied to hydrodynamic load and its value was estimated as [22] 1 DAF ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð1 % f0 Þ2 þ ð2ff0 Þ2 (4) where the parameter n is the total damping which combines all forms of damping (i.e., aerodynamic, hydrodynamic, and structural), and f0 is the natural frequency of the structure. The natural frequency of the structure was determined based on the simplified dynamic soil-structure interaction model, which models the foundation stiffness as a set of nonlinear springs at the mudline based on information about the pile parameters, DP and tP, and Young modulus of the soil, ESO [18,19]. The mudline bending moment was calculated as Msb ðtÞ ¼ FU ðtÞ þ MU ðtÞ þ Fw ðtÞdw (5) where FU (t) and MU (t) are the resulting force and moment generated by the wind loads at the tower base calculated using FAST and TurbSim, dHUB is the hub height, and dW is the height from the mudline to the MSL (see Fig. 3). It is important to mention that the mudline bending moment was determined assuming that the wind-wave misalignment either from the onshore or offshore winds is negligible base on the data cMsb ðtÞ ICM (6) in which c is the horizontal distance from the neutral axis of the pile to point of analysis, ICM is the moment of inertia around the direction perpendicular to the neutral axis. While frequency domain and time domain methods are suitable to determine the midrange stresses, the time domain is preferable because it is proven to be more accurate than its frequency counterpart; consequently, the RFC method is applied in this study [4]. The RFC transforms the time-variant stress input into several blocks of loadings, DSi, also termed midrange stress, and counts the number of cycles, ni, that every block was applied to the structure. Thereafter, the total number of cycles to failure of every individual loading block, Ni, can be found using the bilinear S–N curve class E for circular welded joints [26] Ni ¼ 10 # t $k logðaÞ%mlogðDSi ðSCFÞÞ t p ref (7) wherein log(a) is the intercept with the log(N) axis, tp is the pile thickness, tref is reference thickness and SCF is the stress intensity factor. The cumulative damage due to the combination of all the stress conditions DSi can be assessed using the Palmgren–Miner rule [4,21,26]. In which the total life of the structure is expressed in terms of the damage, D, that is calculated as the ratio between ni and Ni, so when D is equal to one the structure fails Es X ni (8) D¼ N i¼1 i Finally, the 15-environmental states, ES, considered for fatigue life calculations extracted from the joint probability distribution of HS, TZ, and U10 in the area of Blyth [25] are shown in Table 2. 2.2 Sensitivity Analysis. In this work, a sensitivity scheme, combining three sensitivity analyses, i.e., two-dimensional (2D) scatter plots, EE, and Sobol’ indices, was developed to establish the least and most influential model input parameters (see Fig. 4). The 2D scatter plot displays the model response in terms of one of their input parameters to observe patterns that reveal a certain degree of correlation between the two variables. In this work, 2D scatter plots were used to visually identify the sensitive factors in the design based on potential shapes or patterns on the plotted data [11]. EE method, in contrast, aims to provide information about: (1) the influence of a certain input parameter in the response and (2) other indirect influences that the parameter may have in the model response due to nonlinear effects and interaction with other input parameters [10]. Scatter plots and EE can be classified as screening methods and are usually used simultaneously due to their efficiency, and simplicity to identify the lessinfluential parameters when complex models with a large number of parameters are analyzed. Nevertheless, they face some shortcomings associated with local sensitivity analysis, which undermine their capacity to identify the most influential factors [10]. ASCE-ASME Journal of Risk and Uncertainty in Engineering Systems, Part B: Mechanical Engineering DECEMBER 2021, Vol. 7 / 040901-3 Fig. 3 Schematic of the OWT loads: (a) turbine and monopile and (b) monopile Table 1 Main characteristics of the 5 MW OWT Parameter Grout thickness Transition piece thickness Soil Poisson’s ratio n Dt Db dHUB dw Rt DP log(a) m tp k SCF Rated speed Rotational speed Cut-in speed Cutout speed Value 0.05 m 0.1 m 0.2 6% 3.87 m 6m 90 m 9.3 m 63 m 6m (11.7–11.3) (3–5) 67 mm 0.25 1.13 11.4 m/s 12.1 RPM 3 m/s 25 m/s To overcome that situation, analysis of variance analyses are normally employed, in which the Sobol’ approach is one of the most used, and thereby considered as a benchmark for comparing other sensitivity approaches [10]. In this approach, the sensitivity indices are determined based on the variance decomposition of the output samples regarding the contribution of the inputs. There are two main outputs from the Sobol’ sensitivity scheme: the firstorder and the total Sobol’ indices, respectively. The first-order index accounts for the influence of an individual random variable 040901-4 / Vol. 7, DECEMBER 2021 (RV) on the total variance of the system, whereas the total Sobol’ indices account for the higher-order interactions between all the input parameters [11]. In this study, the information extracted from the total effects is usually used for model reduction alongside the screening methods. The information of the first effects and the variations between the first and total indices, instead, is used for model prioritization, which aims to identify the most influential parameters to draw suggestions of how their uncertainty can be reduced to minimize the variability of the response [11]. Table 2 Environmental states (ES) State HS (m) TZ (s) U10 (m/s) Pi (%) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 0.25 0.25 0.25 0.25 0.25 0.75 0.75 0.75 1.25 1.25 1.75 1.75 2.4 3.4 3.3 2.0 5.2 4.0 5.6 5.8 3.4 5.3 5.5 5.2 8.0 6.0 6.7 6.8 7.8 9.7 5.0 4.9 11.8 15.7 20.6 6.7 5.8 11.7 8.8 8.5 9.9 16.2 12.8 14.5 18.7 20.47 3.73 21.76 3.85 1.00 8.62 13.25 5.58 10.66 1.25 4.83 0.55 3.54 0.77 0.14 Transactions of the ASME Fig. 4 Schematic representation of the sensitivity analysis scheme for the OWT system 2.3 Uncertainty Quantification. The Uncertainty quantification scheme presented in this work is divided into three steps: probabilistic modeling, uncertainty propagation, and statistical certification (see Fig. 5). In the probabilistic modeling, a consistent probabilistic law is specified for the joint PDFs of the model parameters using the known information about them. Then, the uncertainty propagation step uses Monte Carlo simulation to access how this input PDF is modified by the model operator. Finally, the statistical certification step is devoted to the visualization of the results, in terms of their PDFs, and probability of failure, Pf. respect the laws of physics and their underlying constraints, e.g., support positivity, finite variance due to limited fluctuations, and smooth decaying in the tails. This information influences the form of the probability distribution to be chosen, as well as the choice of acceptable support, ignoring these restrictions can lead to a probabilistic model that violates the fundamental physics of the problem. Data-driven information, on the other hand, the latter information, obtained from experiments or field measurements datasets, guides the choice of plausible values for the hyperparameters of probabilistic distributions, as well as their statistics. Thus, joint PDF of the model input needs to be specified, mandatorily, with the aid of these two types of information, since, by neglecting the restrictions arising from physics, the probabilistic model will very likely be inconsistent, while when not considering reliable data, the nominal values of the hyperparameters and statistics can be very flawed so that the predictions are very different from the reality. In a scenario where a large dataset with information about the model parameters, and their mutual dependence, is available, classical inference techniques of nonparametric statistics (e.g., kernel density methods) may be used to construct the probabilistic model. However, when a small (i.e., sparse) set of observations is available or, in the limit, only theoretical information is given, this classical approach is unfeasible; thus, another strategy is necessary for robust inference. In this second context, the most consistent approach is to use an information-theoretic approach based on the maximum entropy principle (MaxEnt) which seeks to specify as the model input joint-distribution the maximum entropy probabilistic law that is compatible with the known physicsinformed or data-driven-information about the system parameters [31,32]. The idea behind this formalism is that the obtained probabilistic distribution is consistent because it is compatible with the constraints imposed by the physics and the known statistical information, as well as conservative since it is the most uncertain 2.3.1 Probabilistic Modeling. The probabilistic modeling step in the UQ scheme is schematically represented in Fig. 6, where the selected RVs (see Table 3) from the sensitivity analysis were classified in accordance to the type of information available: (1) physics-informed theoretical information and (2) data-driven information. Physics-informed theoretical information, on the one hand, is considered to ensure the consistency of the probability distributions used in the stochastic model, as it forces them to Fig. 5 Schematic representation of the uncertainty quantification framework Fig. 6 Schematic representation of the probabilistic modeling scheme ASCE-ASME Journal of Risk and Uncertainty in Engineering Systems, Part B: Mechanical Engineering DECEMBER 2021, Vol. To the best of the authors’ knowledge, a distribution obtained in this way is the most consistent one in a scenario with sparsely known statistical information or even when only theoretical information is available [32]. As far as correlated random variables are concerned, the most conservative approach is to assume them independent random variables, if there is no statistical information about the crosscorrelation of the parameters is available. The latter follows directly from MaxEnt formalism since assuming values of crosscorrelation would add bias to the analysis [31,32]. After the information concerning the selected RVs was sorted, the joint PDF of the input RVs was determined either using maximum MaxEnt or the kernel density estimator when a large dataset was available [16,34]. Finally, the inverse transform method was 040901-6 / Vol. 7, DECEMBER 2021 used to randomly draw samples from the input joint PDF, which later was employed in the processing step [16]. 2.3.2 Uncertainty Propagation. The uncertainty propagation scheme used in the proposed model is illustrated in Fig. 7. The uncertainty from the input parameters was propagated into the model to obtain samples of the model response parameter, i.e., D30, which later will be used to infer its statistical information (e.g., mean, standard deviation, and PDF). As it was discussed in Ref. [34], it is necessary to run several millions of scenarios, also known as MC simulation to obtain meaningful results from an OWT probabilistic analysis for ten RVs. Thus, in this study, an efficient surrogate was constructed to conduct the processing step due to the computational cost involved in the running of the complex deterministic model introduced previously. Transactions of the ASME Among the different surrogates available in the literature, the kriging approach was shown to produce more accurate results for the fatigue life estimations [35]. Hence, in this study, a generalized kriging metamodel with a linear trend and Mantern 3/2 correlation function was selected to replace the deterministic model shown in Fig. 2. To ensure accurate approximations of the surrogate, a dataset of 2250 points, a combination of 150 samples per environmental condition, was drawn from the deterministic model using the Latin hypercube sampling (LHS) approach, wherein the UQlab toolbox, free software for UQ in MATLAB, was used to obtain the LHS sample and kriging model [36]. In addition, to further improve the capabilities of the kriging surrogate, a natural log transformation was applied to the model response to improve the surrogate interpolation process by having a more sparse resolution of the results. After the surrogate was developed, the MC approach was utilized to generate more than 8 & 108 samples from the D30, to determine their statistical information. Lastly, to show the accuracy of estimators determined from the samples generated from MC, the mean square convergence criterion was conducted to ensure the convergence of the results for the selected number of samples in this study [33]. 2.3.3 Statistical Certification. In this stage, the samples obtained during processing were employed to (1) construct the PDF and cumulative density function (CDF) for the fatigue damage of the structure, and (2) to compute the structural probability of failure (Pf) during an operation life of at least 30 years. To verify the accuracy of the proposed UQ framework, the Kolmogorov–Smirnov (KS) goodness of fit test was carried out. The KS test aims to prove the hypothesis that the chosen probabilistic model, i.e., CDF, is a suitable representation of the physical behavior of the parameter of interest, with a certain significance level, aKS- that is, 0.1, 1, or 5%. In this study, 0.1% was used since it represents the better fit [29]. Regarding the structural reliability, this is typically represented by the Pf, which can also be defined as 1-ROWT, where ROWT is the reliability of the structure in percentage units. To determine the Pf, the limit state function Z was defined in terms of the fatigue limit state (FLS) design criterion, which is 1 for this study, and the calculated damage of the response for a service life of 30 years, D30 Z ¼ FLS % FD30 ðvÞ (9) Then, the Pf was calculated as the probability of Z being less or equal to zero, which was found by sampling NP samples from the distribution of D30. Finally, the error relative to the true target probability of failure, PfT, associated with the selected NP, as well as the variability of the Pf was given in terms of their relative error, epf, and coefficient of variation, dpf, respectively [29], sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð1 % PTf Þ ½%) ePf ¼ ð200Þ (10) ðNp ' PTf Þ dPf ¼ &sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð1 % Pf ÞPf 100 Pf Np ½%) (11) 2.4 Specific Analyses. The specific analyses for specific aim 1 and 2 are introduced in the Secs. 2.4.1 and 2.4.2, respectively. 2.4.1 Model Response Parameters That Impact Fatigue Life. To quantitatively assess the influence of input parameters in the design of OWT in terms of total damage accumulated on the structure for 30 years, D30, the overall analysis was divided as follows: model reduction, and model prioritization. On the one hand, in the model reduction analysis 12 input-model parameters were selected, e.g., TZ, U10, HS, qair, a, cd, SN, to be investigated to identify the less influential parameters and potentially fixed them—that is, transforming into deterministic quantities. The analysis was conducted using the efficient EE approach for four different environmental conditions (1) cut-in speed to rated-speed, (2) rated-speed, (3) rated-speed and cutout speed, and (4) extreme conditions (highest speed interval recorded of the environmental states). Furthermore, the 2D scatter plots of the variables were also computed to verify the results. In the model prioritization, on the other hand, part of the parameters that significantly contribute to the total variance was assessed by conducting the first and total Sobol’ global-sensitivity approach. Then, recommendations to improve the model robustness were provided based on reducing epistemic uncertainty of influential parameters. 2.4.2 Probability Distributions of the Model Response Parameters. The PDFs for the model input parameters were established following the procedure in section 2.3.1 and using the datadriven and physics-informed information displayed in Table 3. For example, the PDFs for qair, a, cd, SN was derived using datadriven information about the limits, the sample mean, E[X], and coefficient of variation, dX, as well as physical-informed information regarding their domain, support, finite variance, E[X-2] ¼ c for c < 1, and tail behavior, E[log(X)] ¼ d for d < 1, in which d < 1 represents a decaying right tail converging to zero at d. This information about the RVs is available in the literature, such as books and standards. The PDFs of Eso, and cm, instead, were derived based on information about their sample mean and limits only. From the aforementioned distributions, random samples were drawn and propagated into the deterministic model to generate samples of D30, i.e., synthetic data, with MC simulation; and then, an informational maximum entropy distribution was constructed to model the variability of synthetic data. Finally, the consistency of the synthetic data was verified using the mean square convergence criterion, whereas the suitability of the nonparametric fit is analyzed using the KS goodness of fit test with an aKS of 0.1%. 3 Fig. 7 Schematic representation of the propagation of uncertainties step % Results and Discussions In this section, the results obtained from the analyses for specific aims 1 and 2 are presented and discussed. To begin with, Fig. 8 and Table 4 depict the validation results of the developed generalized kriging metamodel for the environmental states 1, 8, 11, and 15 described in Table 2. From the statistics, it stands out the high levels of correlation between the surrogate model and the computational model, as well as low error values, which in turn show the high level of accuracy of the predicted values by the developed surrogate model. For example, the ASCE-ASME Journal of Risk and Uncertainty in Engineering Systems, Part B: Mechanical Engineering DECEMBER 2021, Vol. 7 / 040901-7 Fig. 8 Surrogate modeling validation: (a) environmental state #1; (b) environmental state #8; (c) environmental state #11; and (d) environmental state #15 training process—wherein the accuracy is presented in terms of the root-mean-square error (RMSE), and the leave-one-out error, eLOO—showed error values below 2 & 10%3 for the RMSE, and 0.15 for the eLOO. Similarly, the validation process—where the accuracy is assessed in terms of the correlation coefficient, R, and the empirical error, eemp—showed R values between the validation set and the surrogate prediction in the order of 99%, and eemp values below 1 & 10%3 for all the environmental states used in this analysis. As a result, the ratio of 10 samples per random variable selected for the analysis—which resulted in a dataset of 150 samples per environmental state, and thereby total dataset of 2250 samples—to train the Kriging surrogate model provided a fairly accurate approximation of the response of the deterministic model. The rest of the results of the paper: (1) sensitivity analysis of the model input parameters, (2) calculation of the probability distributions of model input parameters, and (3) analysis of the impact of the proposed UQ scheme on the OWT structural reliability is discussed in Secs. 3.1 through 3.3. 3.1 Sensitivity Analysis of the Model Input Parameters. The results of the influence of input parameters in the design of OWT using the sensitivity scheme for environmental states (ES) 6, 8, 11, and 15, which also represent four different loading conditions, are depicted in Figs. 9–11. As can be seen from the graphs, in particular Fig. 11, it is clear that U10 presented the higher sensitivities, followed by the air density, qair, particularly for the first three loading conditions, whereas HS had the third-largest contribution in the third and fourth conditions. The impact of U10 on the variance of the response can be explained by the fact that this parameter is directly proportional to wind pressure, which increases 040901-8 / Vol. 7, DECEMBER 2021 quadratically with the wind speed. As a result, small variations in U10 can significantly increase the thrust force and the mudline bending moment of the structure, which in turn, increases the accumulated structural damage during the OWT operational life. Parameters a and qair also presented slight contributions to the response in particular qair. Although a and qair also impact the wind loads, albeit, to a lesser degree than U10, it is normal to assume these parameters as constant values in OWT design standards [21,22]. However, recent studies, have shown that a and qair may vary considerably from the values suggested by design standards, thus impacting the wind loads [7,37]. The air density (qair), on the one hand, is typically determined as the expected value of the air density based on the long-term site environmental conditions—which are humidity, temperature, and pressure—and shows a low variability, i.e., dX ranging between 1 and 4% in most cases. Nevertheless, studies have shown some locations that present higher values [37]. This is a problematic fact, because changes in qair may produce around 15% variability in long-term average power production, and 26% in hourly power production. The wind and wave loading also change since qair is directly proportional to the wind pressure [37,38]. On the other hand, the parameter a is considered, for design purposes, an average value based on longterm conditions. In other words, the expected value of the shear Table 4 Surrogate model validation metrics State RMSE eLOO R eemp 1 8 11 15 1.23 & 10%10 1.23 & 10%10 1.23 & 10%10 1.23 & 10%10 0.106 0.106 0.106 0.107 0.99 0.99 0.99 0.99 3.5 & 10%3 1.4 & 10%3 1 & 10%3 6 & 10%3 Transactions of the ASME coefficient in terms of the long-term mean wind speed at different altitudes is recorded for a specific location. Since the wind speed has daily and seasonal variations, a also varies. For example, it was observed that the mean value of a can oscillate between 0.08 and 0.15 in coastal and offshore areas, and up to 0.35 in onshore areas [29]. Regarding the coefficient of variation of the parameter a, da, it has been reported that high wind speeds present small da values, around than 10%, whereas small wind speeds present large da values, more than 50% [7]. This in turn impacts the wind speed at the hub height. Whilst U10 was the input parameter of the wind load that consistently presented the higher index for each condition, the inputs parameters for the wave load, i.e., cd, cm TZ, and especially HS, showed a slight increase in the third and fourth loading condition in comparison with the previous ones. This can be explained due to the action of the pitch control, which reduces the influence of Fig. 9 Elementary effects sensitivity plots: (a) environmental state #6, (b) environmental state #8, (c) environmental state #11, and (d) environmental state #15 ASCE-ASME Journal of Risk and Uncertainty in Engineering Systems, Part B: Mechanical Engineering DECEMBER 2021, Vol. 7 / 040901-9 Fig. 10 Scatter plots for sensitivity analysis environmental state # 11 (rated power conditions) the wind load, thereby giving more importance to the wave loading in the fatigue calculations. Regarding the remaining RVs, such as E, SN, qst, as well as qwater, they only had a marginal contribution to the variance of the response. For example, the variability of E, qst, and SN arises from the material properties and welding quality of the tubular section of the pile. The variability of qwater is mainly due to measuring errors and variability of other parameters such as humidity, temperature, and salinity of the seawater employed to compute qwater. Although the aforementioned parameters may have a mild impact on the wind and wave loading, the overall contribution to the damage in terms of direct effects and nonlinear effects was not significant in this study in comparison with other model input parameters. In summary, considering that all model input parameters for this analysis do not behave equally at different environmental states, the selection of the most and less important input parameters should not only include the information from all the operation conditions, but also about the potential higher-order and nonlinear interactions with other parameters [11]. Regarding the less influential parameters (E, qst, and qwater) they consistently presented negligible effects in terms of the direct effects to the response, i.e., u* index in the EE method and first-order Sobol’ index. These parameters showed negligible nonlinear interactions with other input parameters based on the r index of the EE approach and total Sobol’ indices. As a result of that, their scatter plots in Fig. 10 do not show a clear pattern that implies correlations with the structural damage, and the input parameters E, qst, as well as qwater, can be transformed to deterministic quantities to improve efficiency and reduce the complexity of the problem since their contribution was proved to be negligible in all the analyses. The most influential parameters, in contrast, were found to be U10 and qair, so to reduce the variance of the response, it is recommended to collect more data and conduct more sophisticated simulations to reduce the uncertainty of those parameters. Finally, other environmental parameters, such as Eso, TZ, HS, and a, are not recommended to be discarded since they may significantly vary for other locations not considered in this study. Consequently, ignoring their variability may cause significant impacts on the fatigue damage, particularly large OWT that is more sensitive to dynamic amplification due to wave loading [34,39]. Fig. 11 Sobol’ sensitivity analysis: (a) environmental state #6, (b) environmental state #8, (c) environmental state #11, and (d) environmental state #15 040901-10 / Vol. 7, DECEMBER 2021 Transactions of the ASME Fig. 12 MaxEnt probability densities of input random variables: (a) inertia coefficient, (b) air density, (c) 10-min wind speed, (d) shear coefficient, (e) modulus of elasticity, and (f) soil modulus of elasticity 3.2 Probability Distributions of the Model Input Parameters. In this section, the model input PDFs determined using the systematic UQ scheme for the Blyth location, as well as the risks of using arbitrary distributions versus the UQ scheme are presented and discussed. To begin with, Fig. 12 shows the maximum entropy marginal PDFs, for 6 RV (i.e., cd, qair, U10, a, E, and ESO) of the total 12 RVs used for this study. Their PDFs were constructed using MaxEnt for a different set of constraints based on available data-driven and physics-informed information about the selected RVs and the model response (see Table 3) [31,32]. Figure 12(a) depicts the PDF for the inertia coefficient, cd, which was constructed considering three constraints that characterize the physics of this structural parameter: (1) the domain of cd is a strictly positive finite interval in the range of 0.7–1.2, (2) the expected value of cd must be the same that its mean value (E[cd] ¼ lcd), and (3) the geometric means of cd centered at the support limits must be finite (E[log(ct–a)] ¼ <1 and E[log(b–ct)] ¼ <1). From the set of constraints imposed on the problem, the result of the application of the MaxEnt yields the generalized beta distribution [31,32]. Structural parameters such as the elastic modulus, E, and the steel density, qst, and also to environmental parameters like, qwater and qair, and shear coefficient a, were also subjected to the same set of constraints except for E and qst whose domain is the set of positive real numbers, Rþ. Hence, the Gamma PDF was utilized for the aforementioned parameters, in which their PDFs can be seen in Figs. 12(a), 12(d), and 12(e). The 10-min wind instantaneous speed, U10, MaxEnt distribution (Fig. 12(c)) was found to be the lognormal distribution, whereas the significant wave height, HS, and the up-crossing wave period, TZ, were modeled as a gamma random variable. The soil stiffness, Eso, MaxEnt density, in contrast, was found to be the uniform distribution. This is because the estimation of soil parameters usually present high uncertainty (dX ranging from 30 to 50%) in the absence of reliable information provided by geotechnical surveys or experiments [6]. The parameter cm was also modeled as uniform distributions since only information ASCE-ASME Journal of Risk and Uncertainty in Engineering Systems, Part B: Mechanical Engineering DECEMBER 2021, Vol. 7 / 040901-11 Fig. 13 Convergence metrics: (a) convergence of relative error for two target probability of failures used in industry and (b) convergence of probability of failure for the reduced and default case about their ranges was available [28]. The hyperparameters and other statistics of the aforementioned probabilistic models used in this study, i.e., Gamma, beta, and log-normal, were found from literature as indicated in Table 3. Since the presented UQ scheme consistently models the randomness in input parameters based on the maximization of the uncertainty in terms of the type of available information, the need to make additional assumptions to determine the input distributions can be minimized. Therefore, considerably reducing the bias that can be potentially passed on to the next steps in the probabilistic modeling, i.e., processing and postprocessing, and ultimately providing more reliable approximations of the response [33]. 3.3 Impact of the Uncertainty Quantification Scheme on the Offshore Wind Turbine Structural Reliability. In this section, the results concerning (1) the effects on the reliability estimation due to inconsistencies in its calculation and (2) the impacts of the UQ scheme of the most sensitive input parameters on the structural damage of the OWT are presented and discussed.
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DISTRIBUCIÓN Y ESPECIACIÓN DE METALES PESADOS EN EL MATERIAL EN SUSPENSIÓN DE LAS AGUAS SUPERFICIALES DE LA PLUMA DEL RÍO MANZANARES, EDO. SUCRE, VENEZUELA
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6,965
12,774
Metales pesados en el río Manzanares Bol. Inst. Oceanogr. Venezuela, Univ. Oriente 44 (2): 75-87 (2005); 7 Figs., 3 Tabs. DISTRIBUCIÓN Y ESPECIACIÓN DE METALES PESADOS EN EL MATERIAL EN SUSPENSIÓN DE LAS AGUAS SUPERFICIALES DE LA PLUMA DEL RÍO MANZANARES, EDO. SUCRE, VENEZUELA GREGORIO MARTÍNEZ , WILLIAM SENIOR & ARÍSTIDE MÁRQUEZ Instituto Oceanográfico de Venezuela. Universidad de Oriente. Cumaná, Venezuela. gmartine@sucre.udo.edu.ve RESUMEN: Se estudió la especiación de los metales pesados (Fe, Mn, Ni, y Pb) en el material en suspensión de las aguas superficiales de la cuenca baja y pluma del río Manzanares, Edo. Sucre, Venezuela, durante el período julio 1996 y junio 1997, en veintidós (22) estaciones establecidas en la cuenca baja y pluma del río. El material en suspensión se incrementó en los meses de lluvia (julio a noviembre), alcanzando el máximo valor en septiembre (1075 mg/l). Los flujos de metales pesados se incrementaron durante el período de lluvia, debido a su asociación con el material en suspensión. Las concentraciones totales de los metales en el material en suspensión de las aguas del río Manzanares fueron: Fe: 0,54-558,80 μmol/l; Mn: 0,02-11,67 μmol/l; Ni: no detectado a 1,62 μmol/l, y de no detectado a 0,17 μmol/l para el Pb. En general, los metales evaluados presentaron un comportamiento no conservativo con remoción a bajas salinidades con desorción de los metales adsorbidos en la superficie de las partículas suspendidas y sedimentos, tanto orgánicas como inorgánicas, por intercambio con los iones Na+ y K+ más abundante en el agua de mar, además de observarse aportes a todo lo largo de la pluma debido a las actividades humanas que se desarrollan en la zona. De igual manera, se determinaron concentraciones elevadas de Mn y Pb adsorbidos en el material en suspensión, como carbonatos y/o oxihidróxido de Mn reactivo, los cuales pueden ser incorporados más fácilmente a la cadena trófica o liberarse para ser incorporados de nuevo al agua, mientras que el Fe y Ni están mayormente asociados a los minerales de arcilla (principalmente aluminosilicatos), lo cual revela que el primer grupo de metales puede tener su origen en las actividades antrópicas que se desarrollan en la región que conforma la cuenca baja del río y su desembocadura. Palabras clave: Metales pesados, especiación, río Manzanares. Abstract: This paper reports on the speciation of Fe, Mn, Ni, and Pb in the matter suspended in the superficial waters of the low basin and the surface trapped plume of the Manzanares river, in Cumaná, state of Sucre, Venezuela, by studying sediment and water samples taken at 22 stations deployed throughout this area of influence between July 1996 and June 1997. The suspended matter increased during the rainy season (July to November), reaching a maximum value in September, at 1075 mg/L. The heavy metal flow, in close association with the solid bodies in suspension, also increased during the rainy season, their total concentrations ranging from 0.54 to 558.80 ìmol/L, from 0.02 to 11.67 ìmol/L, from below detection to 1.62 ìmol/L, and from below detection to 0.17 ìmol/L for Fe, Mn, Ni, and Pb, respectively. Overall, the metals adsorbed to the surface of both organic and inorganic particles and sediments revealed a nonconservative behavior, evidencing wide removal at low salinities, namely, desorbing on account of the exchange with the most abundant ions in the sea wedge, Na+ and K+. Human activity in the area kept a sustained and continuous contribution of materials to the river plume. Elevated concentrations of Mn and Pb are adsorbed to the suspended matter in the form of carbonates and/or reactive manganese oxide hydroxide, which allows for a less constrained incorporation to the trophic chain or freedom to return to the water mass, and is suggestive of their origin in the anthropic activities carried out in and around the watershed. The Fe and Ni, on the other hand, are primarily associated to clay minerals mainly in the form of aluminosilicates. Key words: Heavy metals, speciation, Manzanares river. INTRODUCCIÓN Los ríos son el principal vehículo de transporte de elementos químicos hacia el medio marino, especialmente de metales pesados. Numerosos estudios sobre el comportamiento de estos elementos químicos en estuarios, muestran que los procesos físicos, químicos, biológicos e hidrodinámicos que allí tienen lugar, cumplen un papel fundamental y variable en relación con el flujo de metales desde el continente hacia el mar (ZHANG et al. 1992; YEATS, 1993). Igualmente, se ha reconocido que las descargas de los ríos influyen en la variabilidad espacial y temporal de los metales pesados (GIBBS, 1977; PALANQUES & DÍAZ, 1994). Por otra parte, los ríos contribuyen con aportes significativos de materia orgánica e inorgánica; los metales trazas que están asociados a la materia orgánica son liberados durante el proceso de degradación y lixiviación de los vertidos de materiales sólidos (M AGNUSSON & RASMUSSEN, 1982; VALETTE-SILVER,1993). 75 MARTÍNEZ ET AL. En las últimas dos décadas se ha producido un gran cambio en nuestra comprensión de la biogeoquímica de los metales pesados en los ecosistemas marinos. La especiación de los metales gobierna las interacciones con la materia particulada en suspensión y los sedimentos, determina la biodisponibilidad y/o toxicidad de los metales para los organismos acuáticos, además de tener influencia en el ciclo de los metales a través de los estuarios, al igual que en la interfase, en ambientes con diferentes condiciones redox (LEWIS & LANDING, 1992). El río Manzanares constituye un cuerpo de agua de vital importancia para la región suroccidental del Estado Sucre y en especial para los centros poblados ubicados en sus márgenes, los cuales realizan diferentes actividades agropecuarias, industriales, de esparcimiento y, de igual manera, aprovechan sus aguas para las labores domésticas. En los últimos años estas actividades se han visto incrementadas considerablemente. Sus aguas reciben los efluentes de todas esas actividades sin ningún tratamiento y con poco control de las autoridades respectivas. Se ha prestado una mayor atención al comportamiento de los metales pesados en dicho río, donde se han reportado concentraciones totales de Cd y Pb moderadamente altas, de origen antrópico, que pueden afectar a los organismos de este ecosistema, y se ha establecido una relación directa entre la concentración de los metales pesados, el volumen de agua descargado por el río y su material en suspensión (LEÓN et al. 1997). Por otra parte, MÁRQUEZ et al. (2000) estudiaron la distribución de algunos metales pesados en las aguas de este río, concluyendo que los metales en su mayoría se encuentran contenidos en el material en suspensión e igualmente asociados al gasto del río. De igual manera, M ARTÍNEZ & SENIOR (2001) observaron, durante el período de lluvia, concentraciones elevadas de Cd, Cu y Zn en el material en suspensión asociados a carbonatos y/u oxihidróxido de Mn mientras que el Cr está asociado principalmente a los minerales de arcilla (principalmente aluminosilicatos), lo cual puede indicar que el primer grupo de metales puede tener su origen en las actividades antrópicas que se desarrollan en la región que conforma la cuenca baja del río y su desembocadura. El presente estudio describe los procesos que gobiernan la distribución, especiación y comportamiento de los metales pesados (Fe, Mn, Ni y Pb) en el material en suspensión de las aguas superficiales de la cuenca baja y pluma del río Manzanares. AREAS DE ESTUDIO La cuenca del río Manzanares está ubicada en el Estado Sucre, Venezuela. Su vertiente está situada a 2.300 metros sobre el nivel del mar, en el macizo del Turimiquire y desemboca en la entrada del golfo de Cariaco donde ejerce gran influencia, sobre todo hacia el Oeste de la costa del golfo, cercana a la ciudad de Cumaná, entre los 10° 24' y 10° 30' Lat. N. y los 64° 10' y 64° 20' Long W. Su hoya hidrográfica cubre una extensión aproximada de 1.652 km2. Su aporte medio anual al mar es estimado en 558 x 106 m3 de agua, la cual se reparte entre la zona del aliviadero y su desembocadura (A GUILERA & R OJAS , 1976). El río Manzanares recibe las descargas de más de diez afluentes, donde el río Guasdua aporta el mayor número de contaminantes domésticos e industriales provenientes de los desechos de una central azucarera ubicada en la ciudad de Cumanacoa y los efluentes domésticos de los centros poblados de la región (AGUILERA & ROJAS, 1976). Las descargas del río Manzanares dan origen a una pluma laminar cuyos límites forman un sistema semejante a un frente. La pluma se dirige, generalmente, hacia el Sur-Oeste como consecuencia de la predominancia de los vientos alisios. Ocasionalmente, cuando la descarga del río es mayor y los vientos alisios se intensifican, se deja sentir la influencia de la pluma en la región de Puerto Escondido en la costa al este de la bahía de Mochima ubicada a una distancia aproximada de 20 km desde la desembocadura (SENIOR & GODOY, 1989). El presente estudio se llevó a cabo en el último tramo de la cuenca baja y en la pluma del río (Fig. 1), las cuales se encuentran fuertemente afectadas por diferentes actividades antropogénicas. MATERIALES Y MÉTODOS Se recolectaron muestras de aguas superficiales, de manera bimensual, entre los meses de julio de 1996 y junio de 1997 en 22 estaciones, siguiendo el gradiente halino aproximadamente desde 0,0 en el puente Raúl Leoni, sector Las Palomas, hasta alcanzar salinidades superiores a 36,0 unidades en su pluma en dirección Sur-Norte. Las salinidades in situ fueron estimadas utilizando un salinómetro portátil YSI modelo 33 y luego fueron corregidas en el laboratorio utilizando un salinómetro de inducción marca Kahlsico, modelo 118WC200, con una precisión de 0,001. Las muestras de agua se filtraron con membranas 76 Metales pesados en el río Manzanares El material en suspensión (MES) se determinó de acuerdo a la metodología utilizada por Senior (1987). El contenido de metales en el MES se estimó a partir de la relación lineal (y = mx + b) entre la concentración metal vs. el MES. La precisión de este método fue evaluada utilizando una muestra estándar certificada de sedimento de la Environmental Resource Associates (Cat. Nº 1-800-3720122). Los valores de la desviación estándar y los coeficientes de variación son muy bajos, y además comparables entre las diferentes determinaciones, como se muestra en la Tabla I. RESULTADOS Y DISCUSIÓN Las representaciones gráficas de la relación entre los metales pesados y la salinidad muestran, para cada punto en la escala de salinidad, las concentraciones de los diferentes metales en cada una de las tres fracciones que Fig. 1. Sector del río Manzanares y su desembocadura donde se llevó a cabo el estudio. Millipore de nitrocelulosa con aberturas de poro 0,45 μm previamente taradas, las membranas se secaron, repesaron y se sometieron a un procedimiento de extracción secuencial de tres pasos para la determinación de los metales pesados, de acuerdo a la metodología ideada por LANDING & LEWIS (1991) y LEWIS & LANDING (1992), la cual consiste de una extracción con ácido acético al 25 %, por 4 horas a temperatura ambiente (fracción F1), seguido por una mezcla de “agua regia” diluida (HCl 2 mol/l y HNO3 mol/l) por 4 horas a temperatura ambiente (fracción F2). El material refractario que quedó en el filtro después de las extracciones se sometió a digestión a 100 ºC con una mezcla de los ácidos HNO3, HCl y HClO4, en una proporción 3:2:1, respectivamente (fracción F3). La fracción F1 extrae los metales adsorbidos en la superficie de las partículas, asociados con los carbonatos y los oxihidróxidos de Mn reactivos, la fracción F2 extrae los oxihidróxidos de Fe más resistentes y sulfuros metálicos, mientras que la fracción F3 contiene los metales asociados a los minerales residuales refractarios y materia orgánica. TABLA I. Precisión para el método de análisis de los metales pesados en el MES de las aguas superficiales del río Manzanares y su pluma. La concentración está expresada en mg/L. Muestra Nº 1 2 3 4 5 Promedio DS. Ni Fe Mn 50,61 227,96 89,77 50,17 228,67 90,32 52,74 227,31 89,29 51,64 226,59 89,44 50,96 227,27 89,54 51,22 227,56 89,67 1,0027 0,7883 0,4017 Ext. HCl:HNO3 2M: 1M Muestra Nº Ni Fe Mn 1 9,34 359,69 12,08 2 9,23 359,66 11,85 3 9,30 360,12 12,03 4 9,17 362,98 12,02 5 9,19 360,75 11,67 Promedio 9,25 360,64 11,93 DS. 0,0722 1,3832 0,1662 Ext. Residuo (Mezcla de HNO3:HCl:HClO4 3:2:1) Muestra Nº Ni Fe Mn 1 0,00 11746,86 58,78 2 0,00 11709,90 60,49 3 0,00 12108,55 65,31 4 0,00 11896,79 61,68 5 0,00 11849,63 59,59 Promedio 0,00 11862,35 61,17 DS. 0,0000 156,9576 2,5521 Pb 64,12 64,75 65,97 65,66 64,58 65,02 0,7740 Pb 0,00 0,00 0,00 0,00 0,00 0,00 0,0000 Pb 20,76 21,50 19,13 18,62 19,85 19,97 1,1749 77 MARTÍNEZ ET AL. fueron extraídas del material en suspensión (MES) y la concentración total (suma de las áreas), dada por el contorno superior. Los cuatro primeros puntos corresponden a las estaciones ubicadas dentro del río Manzanares, el penúltimo al frente del río (interfase agua de río-mar) y el último al extremo marino (fuera del frente). Los puntos entre el extremo fluvial y el frente corresponden a la zona de mezcla. Hierro La Fig. 2, muestra la distribución del hierro contenido en el MES, en relación con la salinidad. Se presenta un comportamiento no conservativo con las mayores concentraciones en el extremo fluvial donde los aportes son altos en la zona mezcla del agua dulce con la marina en la pluma del río como consecuencia del aumento de la fuerza iónica y del pH, precipitando el hierro y el manganeso como oxihidróxidos (formación de fase sólida). De igual manera, las concentraciones de Fe en el MES fueron mayores durante el período de lluvia como resultado del aumento en el gasto del río y el material en suspensión, alcanzando valores en el mes de septiembre de 6,92 μmol/ l los biodisponibles (F1), 59,6 μmol/l para los oxihidróxidos de manganeso y sulfuros metálicos (F2) y 359,08 μmol/l para los materiales refractarios (F2), en el extremo fluvial, mientras que en el extremo marino las concentraciones tienden a cero. La relación entre las concentraciones del Fe en el MES y el material en suspensión mostró una correlación positiva altamente significativa (r = 0,975, p < 0,05) durante todo el todo el período de lluvia (Tabla II), mientras que en el período de sequía no se observó correlación, posiblemente debido al dragado de la región donde desemboca el río. De igual manera, las concentraciones asociadas al material residual que corresponden al Fe combinado con los cristales de los minerales y materia orgánica que conforman las partículas de sedimentos se presentaron en una proporción mayor del 50 % del total en todos los meses de muestreo, lo que evidencia el alto contenido de hierro en las arcillas y otros minerales presentes en corteza terrestre de la región que conforman la Hoya hidrográfica del río Manzanares. El comportamiento de Fe en el MES está de igual manera asociado al pH, lo que sugiere que los procesos de adsorción, floculación o formación de coloides tienen influencia en la precipitación de Fe como oxihidróxido a pH mayor de 8, puesto que a valores menores dicho elemento permanece en solución (Fig. 3). El mismo 78 Fig. 2. Relación entre el Hierro en el MES y la salinidad en las aguas superficiales del río Manzanares y su pluma durante el muestreo. TABLA II. Matriz de correlación de Pearson que muestra las correlaciones entre el material en suspensión, el pH y los metales pesados presente en las aguas superficiales de la cuenca baja y pluma del río Manzanares durante el mes de septiembre de 1996 (21 observaciones). pH MES Fe Mn Ni pH 1.000 MES 0.742 1.000 Fe 0.730 0.975 1.000 Mn 0.674 0.817 0.815 1.000 Ni 0.786 0.986 0.971 0.884 1.000 Pb 0.826 0.893 0.895 0.820 0.933 Pb 1.000 Metales pesados en el río Manzanares Fig. 3. Relación entre la concentraciones de los metales Fe, Mn, Ni y Pb con el pH en las aguas superficiales de la cuenca baja y pluma del río Manzanares durante el mes de septiembre de 1996. comportamiento observaron MARTÍNEZ & SENIOR (2001) para los metales Cd, Zn, Cu y Cr en las aguas del río Manzanares y su pluma para el mismo período de tiempo. Este fenómeno sucede en los primeros momentos de la mezcla del agua del río con las marinas, debido a los cambios en la fuerza iónica y pH de la solución, ocurriendo la floculación de los coloides y precipitación de los oxihidróxidos de hierro y manganeso. En otros escenarios, por ejemplo, en los río Jiulugjiang y Changjian (China) el Fe en el MES es removido a salinidades menores a 20, atribuyéndose esto a la floculación coloidal, manteniéndose conservativo a altas salinidades (ZHANG, 1995). Remociones entre 15 y 67 % en el período de lluvia y 12 a 53 % en sequía para el Fe en el MES fueron reportadas por MÁRQUEZ (1997) para el mismo río Manzanares, mientras que LEÓN (1995) y LEÓN et al. (1997) observaron remociones de Fe total menores de 40 % durante el período de lluvia y entre 60 y 70 % en la temporada de sequía. MARTIN & WINDOM (1990) mostraron incrementos del hierro en los revestimientos de las partículas de arcillas en el estuario Gironde (Francia), atribuyendo ésto a la turbidez máxima en el estuario y a la asociación del metal con compuestos orgánicos y partículas de arcilla que floculan a salinidades entre 6 y 8. COONLEY et al. (1971) encontraron remoción de Fe a bajas salinidades en el estuario del río Mullica y Bahía Great (Nueva Jersey EEUU) debidos a cambios en el pH e incremento de la salinidad. HART Y DAVIS (1981) determinaron pérdidas de hierro de 50 % a salinidades entre 0 y 2 en el río Yarrah (Australia) debido a que dicho elemento se encontraba ligado a complejos húmicos y al material en suspensión, produciéndose la floculación del mismo debido 79 MARTÍNEZ ET AL. a pequeños cambios del pH y a la fuerza iónica. De igual manera, MARTIN et al. (1993) indicaron que la remoción del hierro a bajas salinidades ocurre por la floculación y precipitación de los oxihidróxidos coloidales debida a los cambios en el pH y la fuerza iónica. No obstante, las cantidades de este elemento siempre fueron mayores en el extremo fluvial, lo que indica que el río Manzanares se constituye, con su drenaje, en la principal fuente de este metal al ecosistema estudiado. Manganeso Al igual que para los demás metales estudiados, el manganeso contenido en el MES se presenta en la Fig. 4, con un comportamiento no conservativo, con las mayores concentraciones en el extremo fluvial con remoción a salinidades bajas y algunos aportes a lo largo de la pluma. Además, las variaciones estacionales en las concentraciones de Mn del MES están muy relacionadas con el gasto de río y el material en suspensión (Tabla II), observándose los mayores valores durante el mes de septiembre (0,008-9,32 μmol/l para el Mn asociado a F1; 0,006-1,41 μmol/l para la F2; 0,003-0,94 μmol/l en la F3 y los menores en el mes de enero (0,09-0,144 μmol/l para el Mn en la F1 ; de no detectado a 0,027 μmol/l para F2; 0,017-0,068 μmol/l en la F3). En los meses de julio y septiembre se observó remoción del Mn del MES con aportes en algunos puntos de la pluma, mientras que en el mes de noviembre la concavidad de la curva se invierte indicando adición de Mn desde el MES a la pluma, posiblemente debido a desorción de Mn de la superficie de las partículas en suspensión. En enero, las concentraciones de dicho metal variaron poco a lo largo de la pluma como consecuencia del dragado en la desembocadura del río. En marzo y mayo se observan aportes entre 0 y 6 de salinidad debido a la penetración de la cuña salina dentro del río aumentando la formación de oxihidróxidos de Fe y Mn, donde se presentaronn fuertes vertidos de efluentes líquidos con un alto contenido de materia orgánica. En junio, se presentaron aportes en la zona de mezcla producto de la llegada de las primeras lluvias que lavan la corteza terrestre. Igualmente, se observó una mayor proporción de Mn biodisponible en el MES, superior al 60 % durante todos los muestreos, mientras que las fracciones asociadas a los oxihidróxidos de Fe resistentes, sulfuros metálicos y materiales refractarios presentaron las menores proporciones. Esto puede sugerir que el manganeso está siendo incorporado al sistema a partir de los vertidos de desechos industriales y 80 Fig. 4. Relación entre el Manganeso contenido en el MES y la salinidad en las aguas superficiales del río Manzanares y su pluma durante el presente estudio. Las magnitudes en la escala del eje y (μmol/l) cambian para el mes de septiembre. domésticos, muy ricos en materia orgánica, con poco o ningún tratamiento, fertilizantes utilizados en las actividades agrícolas y demás actividades antropogénicas desarrolladas en las márgenes del río Manzanares. Por otra parte, el Mn al estar adsorbido y revistiendo las partículas de arcilla que conforman el material en suspensión puede liberarse fácilmente cuando comienzan a mezclárse las aguas dulces con las marinas, intercambiándose por iones sodio, muy abundantes en el agua de mar. Esto produce procesos de desorción, floculación, formación de oxihidróxido de manganeso y precipitación de Mn (formación de fase sólida) a lo largo de la pluma del río. M ÁRQUEZ (1997) reportó un comportamiento no conservativo del Mn en el MES para este mismo río con remociones entre 26 y 55 % en el período de lluvia y 14-67 % Metales pesados en el río Manzanares en sequía con aportes que variaron entre 0,14 y 5,55 μmol/ l, con una correlación muy significativa con el material en suspensión transportado por el río. Resultados similares fueron encontrados por LEÓN (1995), quien reportó alta correlación en los meses de agosto y noviembre. Otras observaciones similares presentaron C ARPENTER et al. (1975) para la bahía de CHESAPEAKE (EEUU), y GIBBS (1977) en el río Amazonas. Mas aún, el comportamiento observado del manganeso del MES en este estudio es muy similar al del hierro del MES, principalmente en el período de mayor caudal del río, evidenciándose por la correlación muy significativa que existe entre estos dos elementos (Tabla II). GRAHAM et al. (1976) indicaron que el comportamiento del Mn está influenciado por las condiciones fisicoquímicas que prevalecen en cada estación del año, mientras que MORRIS & BALE (1979), señalaron que la adsorción y coprecipitación de este elemento con los oxihidróxidos de hierro están asociadas a la disminución del pH, aumento de las concentraciones de oxígeno e incremento de la fuerza iónica. El mismo resultado fue reportado por LEÓN (1995) para el manganeso total en esta misma zona de estudio. La disminución del pH a bajas salinidades observada en este estudio, puede estar influyendo en la desorción del Mn del material en suspensión, ya que de acuerdo con la Fig. 3, a valores de pH mayores a 8 unidades las concentraciones de Mn disminuyen. WOLLAST et al. (1979) señalaron que el manganeso se encuentra en forma de óxidos que experimentan reducción cuando disminuyen las concentraciones de oxígeno disuelto y decrece el pH. B ASKARAN & S ANTSCHI (1992) encontraron que la resuspensión de las partículas de sedimentos eran importantes en las concentraciones de este metal en la fracción particulada en la bahía de Galveston (Texas, EEUU), al igual que MORSE et al. (1993) encontraron grandes cantidades de este metal que los vientos resuspenden en los sedimentos de esta misma bahía. Níquel La distribuciones del Ni contenido en el MES en relación con la salinidad se indican en la Fig. 5. Los aportes mensuales del Ni por el río, durante el estudio oscilaron entre no detectado y 0,250 μmol/l para la fracción F1, no detectado-0,567 μmol/l para F2 y de no detectado-1,186 μmol/l para F3, con las mayores concentraciones durante el período de lluvia. Igualmente, se observó remoción del metal durante la mezcla de las aguas, con aportes en Fig. 5. Relación entre el Ni contenido en el MES y la salinidad en las aguas superficiales del río Manzanares y su pluma. La escala del eje y (conc. μmol/l) cambia de magnitud en el mes de septiembre. algunos puntos producto de los vertidos de efluentes líquidos y desechos sólidos a ambas márgenes del río y costa cercana a la desembocadura. La composición del MES, de igual manera, varió en cada uno de los muestreos, presentándose las tres fracciones durante la temporada lluviosa, mientras que durante la estación seca, la fracción perteneciente a oxihidróxidos de hierro y sulfuros metálicos es la única que se detectó en todos los meses a excepción de marzo que no se encontró Ni en el material en suspensión transportado por el río. Este comportamiento del Ni en el MES puede estar indicando que dicho metal está mayormente asociado con dicha fracción. Por otra parte, durante los meses de enero y mayo se observaron aportes de Ni asociados a los oxihidróxidos de hierro y sulfuros metálicos por encima de los 13,00 de salinidad, así como de Ni biodisponible en mayo, producto del dragado de la zona y de aportes provenientes de los astilleros, muelles y puertos establecidos cerca de la desembocadura. 81 MARTÍNEZ ET AL. MÁRQUEZ (1997) reportó remociones de Ni en el MES en esta misma área de estudio en un rango de 11-58 % en el período de sequía y de 10-79 % en el de lluvia, mientras que LEÓN (1995) reportó remociones de Ni total en un rango de 25-86 % y 50-86 % en cada período. En este trabajo, las remociones estuvieron entre 0 y 55 % durante todo el estudio. Las remociones pueden ser debidas a la coprecipitación del Ni con los oxihidróxidos de Fe y Mn coloidales que se forman durante la mezcla de las aguas. ZHANG (1995) señaló que el Ni manifiesta remoción desde el particulado, desorción desde la fase sólida en suspensión y desde los sedimentos del fondo, debido a los procesos geoquímicos. En este estudio, puede apreciarse la alta correlación del Ni con el MES durante el período de lluvia (Tabla II). MORSE et al. (1993) también reportaron correlación del Ni particulado con los óxidos de hierro en la bahía de Galveston. El comportamiento anormal del níquel es bastante complejo en muchos estuarios, debido a que participa en los procesos biogeoquímicos. En este estudio presentó un comportamiento no conservativo; sin embargo, M Á R Q U E Z (1997) reportó una aparente conservatividad en algunos meses para la pluma del río Manzanares, al igual que M ARTIN et al. (1993) para el estuario del río Lena (Rusia). El comportamiento no conservativo del Ni ha sido reportado en el estuario de Delaware (EEUU), debido a floculación geoquímica y a procesos de desorción desde el sedimento a salinidades entre 0 y 15 (SHARP et al. 1982; A PTE et al. 1990). Z HANG (1995) indicó que las concentraciones de Ni en el estuario Jiulungjiang eran más bajas en agua dulce que en la de mar y que la distribución presentó una desviación relativa de la línea de dilución teórica, hallándose decrecimiento en la concentración del metal en los sedimentos suspendidos en la zona de mezcla de las aguas dulces con las marinas, debido a los procesos de desorción de la superficie de las partículas de sedimentos. Estudios más recientes señalan que el Ni puede ser liberado desde los sedimentos a la columna de agua, teniendo asociaciones y perfiles semejantes a los nutrientes especialmente fosfatos y silicatos (YEATS et al., 1995). Así mismo, un comportamiento conservativo debido a la desorción desde la superficie de los sólidos ha sido señalado para el níquel por E LBAZPOULICHET et al. (1996) en el estuario del río Rhöne (Francia). 82 Plomo Los resultados para el plomo en el MES se muestran en la Fig. 6. Al igual que para los demás metales estudiados, el Pb particulado presentó un comportamiento no conservativo con las mayores concentraciones durante el período de lluvia con correlación altamente significativa entre la concentración total de Pb y el material en suspensión (Tabla II). En el mes de julio se presentaron las tres fracciones en el extremo fluvial (salinidades entre 0 y 1,65), con aportes del metal que van desde no detectado en el puente Raúl Leoni hasta 0,052 μmol/l para el Pb biodisponible (F1), desde no detectado hasta 0,097 μmol/ l para el Pb asociado a F2 y 0,030-0,042 para el Pb asociado a F3, el cual desapareció rápidamente del material en suspensión en la zona de mezcla y hacia la región marina. En septiembre la composición del Pb en el MES cambió, desapareciendo la fracción perteneciente al material refractario, evidenciando en este mes un comportamiento casi conservativo con aportes y remociones en la zona de mezcla, mientras que los niveles de plomo estuvieron en el rango de 0,011 a 0,082 μmol/l para la fracción F1 y entre 0,003 y 0,097 μmol/l para la F2. En noviembre no se presentaron aportes de Pb desde el río, observándose adición del metal en la F2 a todo lo largo de la región de mezcla de las aguas del río y de mar. Las posibles fuentes del plomo al sistema son los productos de la combustión de la gasolina debido al intenso tráfico de embarcaciones tipo peñero que constantemente transitan por la zona, la presencia de una estación de gasolina y diesel en la desembocadura del río, muelles pesqueros donde atracan los barcos atuneros, arrastreros y ferrys para el transporte de vehículos y personas a la Isla de Margarita y Península de Araya, así como de los colectores cloacales y canales de drenaje que vierten sus aguas en esta zona, llegando a la no detección del metal en la región netamente marina. Durante el período de sequía, el Pb se presentó únicamente durante el mes de enero y en la fracción F1 con concentraciones entre 0,012 y 0,019 μmol/l con fuertes aportes en la zona de mezcla y a salinidades superiores a 30, que pueden deberse al dragado de la zona que resuspende los sedimentos del fondo con la posible liberación del Pb adsorbido en la superficie de las partículas a la columna de agua. En marzo y mayo no se detectó Pb en ninguna de las fracciones separadas del material en suspensión. En junio, se presentaron aportes de Pb particulado biodisponible desde el río y de esta fracción y asociado a F2 en la zona de mezcla, el cual refleja el inicio Metales pesados en el río Manzanares Fig. 6. Relación entre el Plomo en el MES y la salinidad en las aguas superficiales del río Manzanares y su pluma durante el presente estudio. de la temporada de lluvia para el río de 1997, la cual produce el lavado de la corteza terrestre, vertiendo hacia el río y la costa todos los desechos acumulados en la superficie terrestre, lagunas y quebradas de la región. El pH y la fuerza iónica del agua de mar pueden ser las causas principales de la incorporación del plomo en el material en suspensión transportado por el río. En efecto , a medida que aumenta el pH, disminuyen las concentraciones de plomo (Fig. 3). Otra posible causa de la adición del plomo al material en suspensión, es la participación de los oxihidróxidos de hierro y manganeso a través de sus coloides de carga negativa que se forman durante la mezcla del agua dulce y marinas. Según S ADIQ (1991), el Pb suele ser adsorbido en la superficie de las partículas sólidas de Fe y Mn, las cuales, en la interfase agua de ríomar, tienden a precipitar debido a los cambios de pH y de la fuerza iónica. Esto parece ser confirmado por la correlaciones positivas muy significativas entre el Pb con el Fe y con el Mn durante los meses de julio y septiembre (Fig. 7 y Tabla II). Fig. 7.- Relación entre el Pb y los metales Fe y Mn en las aguas superficiales de la cuenca baja y pluma del río Manzanares durante el mes de Julio de 1996. Por otra parte, la presencia de plomo solamente en las fracciones biodisponible y potencialmente biodisponible (oxihidróxido de Fe y sulfuros metálicos), nos está indicando, que el contenido de Pb en los minerales que componen la corteza terrestre en la cuenca hidrográfica del río Manzanares es casi despreciable y el enriquecimiento de dicho metal en el material en suspensión, puede ser una consecuencia directa de todas las actividades antropogénicas que se realizan en la región y evidencia el impacto que producen los desechos de la ciudad de Cumaná en este ecosistema. RIEDEL & SANDERS (1998) también observaron un enriquecimiento de Pb en el material en suspensión (seston) en el río Delaware y su estuario, estableciendo una escala de biodisponibilidad potencial (Cd> Zn> Pb > Cu> Ni > AS> Cr> Se). HART & DAVIS (1981) señalaron que en el estuario del río Yarrah (Australia) una parte del 45% del plomo total es transportado en el MES. En este estudio, el Pb introducido al sistema estuarino del río Manzanares parece estar 83 MARTÍNEZ ET AL. reflejando las observaciones hechas por estos autores, ya que este metal fue detectado en mayor proporción en forma particulada, presentando gran correlación con el MES (Tabla II). De igual manera, SALINAS et al. (1995) reportaron elevadas concentraciones de plomo debido a la corrosión de las tuberías de las aguas urbanas. SONG & MÚLLER (1995) indicaron que gran cantidad del plomo encontrado en el río Neckar (Alemania) se debió a la descomposición de la biomasa, mientras que PEREIRA et al. (1995) señalaron que valores de 2,27 y 2,36 μmol/l se hallaron en el agua del río Basin (Portugal), debido a la resuspensión de los sedimentos contaminados debido a los bajos valores de pH. Las estimaciones de los metales pesados Fe, Mn, Ni y Pb contenidos en el MES a partir de las correlaciones metal total vs MES, para el mes de septiembre se presentan en la Tabla III. Grandes cantidades de Pb y Ni están siendo transportadas desde el extremo superior de la cuenca baja hacia el mar, que pueden afectar la biota marina de toda la región costera aledaña a la ciudad de Cumaná. Por otra parte, las aguas de la cuenca baja del río son utilizadas para fines domésticos, agropecuarios e industriales. La población marginal ubicada en sus riberas utiliza sus aguas para el aseo personal y la preparación de alimentos, incorporando estos metales en su dieta con el correspondiente peligro para su salud. Al comparar las concentraciones totales de los metales pesados determinados en el río Manzanares con los valores establecidos en las normativas del Ministerio del Ambiente y de los Recursos Naturales (M.A.R.N). para las aguas clasificadas como Tipo 4 (aguas destinadas a balnearios, deportes acuáticos, pesca deportiva, comercial y de subsistencia), en los subgrupos 4A (aguas para el contacto humano parcial) y 4B (aguas para el contacto humano total), los cuales indican que no deben detectarse metales pesados en estos cuerpos de agua, se encuentra que dicho río supera abiertamente estos valores. Durante el período de lluvia, el aumento en las concentraciones del material en suspensión supone problemas de erosión de suelos debido a tala, quemas, prácticas agrícolas y pecuarias inadecuadas y a la extracción indiscriminada de arenas del lecho del río, que con la intensificación de las lluvias ocasiona el arrastre de una mayor carga sedimentaria, con la consiguiente afectación de otros sectores cercanos al ecosistema estudiado. Tal es el caso de blanqueamientos de corales en la región de bahía de Mochima del Parque Nacional 84 TABLA III. Contenido de metales pesados en el MES estimados a partir de las correlaciones metal total vs MES ( y = mx + b, donde y es la concentración del metal, x es la concentración del MES y b el corte con el eje y), para el mes de septiembre. METAL CONCENTRACIÓN (mg/kg) Fe 29.042,0 Mn 412,0 Ni 93,0 Pb 207,0 Mochima, posiblemente debido a la deposición del material en suspensión transportado por el río Manzanares y que puede llegar hasta esta región. Es importante conocer el efecto de la dinámica del río Manzanares sobre el ecosistema marino costero, mediante el establecimiento de radiales direccionales de acuerdo al flujo laminar de la pluma del río. Se debe muestrear diferentes estratos para estudiar la hidrogeoquímica de la mezcla vertical, igual que conocer el alcance direccional de la cuña salina. Lo último debe hacerse lo antes posible debido a los problemas de blanqueamiento de corales en la región de la bahía de Mochima, los cuales pueden ser producto del aumento de las concentraciones del material en suspensión como consecuencia de la erosión por la deforestación de su cuenca. CONCLUSIONES Los flujos de metales pesados desde el río Manzanares hacia la región costera bajo su influencia se incrementan durante el período de lluvia, lo que indica que dichos elementos están principalmente asociados al material en suspensión y en consecuencia con el gasto del río. El proceso de remoción que experimentaron los metales pesados a bajas salinidades es debido a la floculación (principalmente formación de oxihidróxidos de Fe y Mn) y rápida precipitación como consecuencia de los cambios en el pH y de fuerza iónica, que tiene lugar durante la mezcla de los dos tipos de agua y que desestabiliza la solución de agua dulce. El material en suspensión presenta una alta proporción de metales que pueden estar adsorbidos o como carbonatos y oxihidróxidos de manganeso muy reactivos (Mn y Pb), Metales pesados en el río Manzanares los cuales pueden estar biodisponibles debido a que pueden ser liberados muy fácilmente de las partículas en suspensión por los organismos superiores y por las bacterias. Por otra parte, el Fe y Ni están mayormente asociados a los minerales de arcilla (aluminosilicatos), los cuales revelan un origen litogénico y en el caso del Ni, es más difícil su incorporación en la cadena trófica del ecosistema. Existe una influencia directa entre la pluviosidad y el gasto del río en los aportes de metales al ecosistema. Esto puede constatarse con las relaciones lineales significativas entre los metales con el material en suspensión. La remoción del Pb en el material en suspensión presenta una relación lineal positiva muy signicativa con los metales Fe y Mn, indicando una coprecipitación con los oxihidróxidos de Fe y Mn que se forman por floculación en los primeros momentos de la mezcla de las aguas, debido a los cambios de pH y fuerza iónica. AGRADECIMIENTO USA. p. 188-214. COONLEY, L., E. BAKER & H. HOLLAND. 1971. Iron in the Mullica River and in Great Bay. New Jersey. Chem. Geol. 7: 51-63. ELBAZ-POULICHET, F., J. GARNIER, D. M. GUAN, J. M. MARTIN & A. J. THOMAS. 1996. The conservative behaviour of trace metals (Cd, Cu, Ni and Pb) and As in the surface plume of stratified estuaries: Example of the Rhône River (France). Estuar. Coast. Shelf Sci. 42: 289-310. GIBBS, R. 1977. Transport phases of transition metals in the Amazon and Yukon rivers. Geol. Soc. Amer. Bul. 88 (5-8): 829-843. G RAHAM , W., M. B ARDER & G. K LINKHAMMER . 1976. Manganese in Nagarranset Bay. Limnol. Oceanogr. 21 (1-6): 665-683. HART, B. & S. DAVIS. 1981. Trace metals speciation in the freshwater and estuarine regions of Yarrah River (Victoria). Estuar. Coast. Shelf. Sci. 12 (4): 353-374. Al personal técnico del Departamento de Oceanografía del Instituto Oceanográfico de Venezuela por su valiosa contribución en la obtención de la data. Este trabajo fue financiado por el Programa de Estudio Ambiental del río Manzanares del Departamento de Oceanografía. LANDING, W.M. & B. L. LEWIS, 1991. Collection, processing and analysis of marine particulate and colloidal material for transition metals. In: Marine Particles: Analysis and characterization. D. C. Hurd & D. W. Spencer (Eds.). American Geophysical Union. Washington D.C. USA. pp. 263-272. REFERENCIAS L EÓN , I. 1995. Distribución y comportamiento de los metales pesados (Fe, Mn, Ni, Cr, Cu, Cd, Pb y Zn) en la cuenca baja y pluma del río Manzanares, Cumaná- Venezuela, durante el período comprendido entre Marzo y Noviembre de 1994. Trab. Grad. M. Sc. Ciencias Marinas, Univ. Oriente, Cumaná, Venezuela, 214 pp. AGUILERA, L. & J. ROJAS. 1976. La ictiofauna del complejo hidrográfico del río Manzanares. Lagena 37-38: 2335. APTE, S., M. GADNER, A. GUNN, J. RAVENSCROFT & J. VALE. 1990. Trace metals in the Severn estuary: A reappraisal. Mar. Poll. Bull. 21 (8): 393-396. BASKARAN, M. & P. SANTSCHI. 1992. The role of particles and colloids in transport of radionuclides in coastal environment of Texas. Mar. Chem. 26: 67-79. _______, W. SENIOR & G. MARTÍNEZ. 1997. Comportamiento el hierro, cromo, cadmio y plomo total en las aguas superficiales del río Manzanares. Venezuela, durante los períodos de sequia y lluvia en el año 1994. Caribb. J. Sci. 33 (1):105-107. CARPENTER, J., W. BRADFORD & V. GRAND. 1975. Processes affecting the composition of estuarine waters (H2CO3, Fe, Mn, Cu, Ni, Cr y Co). En: Estuar. Res. Cronin. L. (Ed.), Vol. I. Academic. Press. New York, LEWIS, B. L. & W. M. LANDING. 1992. The investigation of dissolved and suspended-particulate trace metal fractionation in the Black Sea. Mar. Chem. 40: 105141. 85 MARTÍNEZ ET AL. MAGNUSSON, B. & L. RASMUSSEU. 1982. Trace metal levels in coastal sea water. Mar. Poll. Bull. 13 (3): 81-84. from an ancient cupriferous pyrite mine (Portugal). Mar. Freshwater Res. 46: 145-151. M ÁRQUEZ, A. 1997. Comportamiento y distribución de algunos metales pesados en fracciones disueltas y particuladas en aguas superficiales del río Manzanares, Estado Sucre, Venezuela. Trabajo de grado Lic. en Química. Esc. de Ciencias. Univ. Oriente. 141 pp. RIEDEL, G. & J. SANDERS. 1998. Trace element speciation and behavior in the tidal Delaware River. Estuaries 21 (1): 78-90. ________, W. SENIOR & G. MARTÍNEZ. 2000. Concentraciones y comportamiento de metales pesados en una zona estuarina de Venezuela. Interciencia 25 (6): 284291. MARTIN, J. & H. WINDOM. 1990. Present and future rol of ocean margin in regulation marine biochemical cycle of trace elements. Mar. Chem. 36: 15-67.
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A new method for Rayleigh wave inversion by geological unit merging
Shu Wang
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2 Rayleigh wave inversion The phase velocity of Rayleigh wave can be expressed by a nonlinear implicit function of stratum characteristic parameters[16]: p ( ) , , , , , =0 j j F f R S P V V V ρ H (1) where, jf is the j th frequency element( 1 2 j m = ); V is the phase velocity at ( ) , , , , , =0 j j F f R S P V V V ρ H (1) j is the j th frequency ( ) , , , , , =0 j j F f R S P V V V ρ H (1) where, jf is the j th frequency element( 1,2, , j m = ); j R V is the phase velocity at the frequency jf ; ( ) 1 2 , , , s s sn V V V  = s V , ( ) 1 2 , , , p p pn V V V  = P V , ( ) 1 2 = , , , n    ρ and ( ) 1 2 = , , , n H H H  H are the vectors respectively represented the S-wave velocity, the P-wave velocity, the density and the thickness about the n layers of l i l d l ( ) , , , , , =0 j j F f R S P V V V ρ H (1) where, jf is the j th frequency element( 1,2, , j m = ); j R V is the phase velocity at the frequency f ; ( ) V V V  = V (1) where, the frequency jf ; ( ) 1 2 , , , s s sn V V V  = s V , ( ) 1 2 , , , p p pn V V V  = P V , ( ) 1 2 = , , , n    ρ and There are several methods to calculate the dispersion curve of surface wave in horizontal layered media quickly and accurately, like Thomson Haskell algorithm[7-8], Knopoff algorithm[9-10], Abo-Zena algorithm[11], reflection and transmission matrix algorithm[12-14], which promoted surface wave exploration. During the exploration, the strata over the target layer must be divided into many thin layers according to the finite element method for simulating calculation[15]. A new method for Rayleigh wave inversion by geological unit merging Shu Wang1,2, and Dengke He1,2,* Shu Wang1,2, and Dengke He1,2,* 1College of Geoscience and Surveying Engineering,China University of Mining and Technology, Beijing, P. R. China 2China State Key Laboratory of Coal Resources and Safe Mining, China University of Mining and Technology, Beijing, P. R. China 1College of Geoscience and Surveying Engineering,China University of Mining and Technology, Beijing, P. R. China 2China State Key Laboratory of Coal Resources and Safe Mining, China University of Mining and Technology, Beijing, P. R. China Abstract. Rayleigh wave exploration is widely used in engineering investigation due to the advantages of speediness, small attenuation, and strong anti-interference ability. However, it is difficult to get accurate results since the Rayleigh wave inversion is a multi-parameter and high nonlinear problem. During the inversion, the strata over the target layer must be divided into many thin layers. The more thin layers are divided, the more parameters are needed to invert. Usually, the number of parameters is much larger than the actual data points, which makes the inversion an under-determined equation. Actually, the several adjacent thin layers will be the parts of a same geological unit. The paper therefore proposed a new method for Rayleigh wave inverting based on geological unit merging into a super unit. Simultaneously, the Bayesian estimation was introduced to determine if the adjacent thin layers could be merged into larger ones. The synthetic model testing demonstrated that the new method is feasible and can effectively improve the accuracy of the inversion. estimation. estimation. © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0 (http://creativecommons.org/licenses/by/4.0/). Corresponding author: he_dengke@126.com © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0 (http://creativecommons.org/licenses/by/4.0/). E3S Web of Conferences 165, 03008 (2020) CAES 2020 E3S Web of Conferences 165, 03008 (2020) CAES 2020 https://doi.org/10.1051/e3sconf/202016503008 2 Rayleigh wave inversion The Rayleigh wave is formed by the interference from P-wave and S-wave near the free surface and has the characteristics of strong energy and weak amplitude attenuation. There will occur an especial dispersion phenomenon when it propagates in the layered media[1-3]. Consequently, the especial dispersion is an important inversion tool of geophysical prospecting, which is widely used in the research of near surface structure, continental internal structure, subgrade quality detection, etc[4-6]. * Corresponding author: he_dengke@126.com © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0 (http://creativecommons.org/licenses/by/4.0/). © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the License 4.0 (http://creativecommons.org/licenses/by/4.0/). open access article distributed under the terms of the Creative Commons Attribution * Corresponding author: he_dengke@126.com 2 Rayleigh wave inversion The extensive thin layers will lead to large amount of unknown parameters to be calculated, which will usually make the objective function into an under-determined equation. In order to solve the problem, this paper proposes a new method based on geological unit merging. The several adjacent thin layers can be merged into a larger one when their geophysical parameters belong to the predetermined threshold based on Bayesian The P-wave velocity and density can be represented by S-wave velocity according to Poisson's ratio and Gardner[17] since the dispersion equation is not sensitive to them. The total thickness over the target layer can be divided into enough number of thin layers with equal thickness according to the finite element method. Finally, the unknown parameter in the Eq.(1) can be simplified as only S-wave velocity, and Eq.(1) can be abbreviated as ( ) = , j j F f R S V V (2) (2) * Corresponding author: he_dengke@126.com E3S Web of Conferences 165, 03008 (2020) CAES 2020 https://doi.org/10.1051/e3sconf/202016503008 The Rayleigh wave inversion based on the dispersion curve can be implemented by the Eq.(2) above. Where, G is the stiffness matrix, R -1 V C is the covariance matrix of the data represented , which is the noise level. The posterior distribution of noise represented as chi square distribution can determine if merging under the given threshold. 4 Numerical simulation testing How to divide the whole geological structure over the deepest target layer is a significant problem in the current Rayleigh wave inversion. The more thin layers the strata are divided into, the better depiction the wave impedance interfaces are described by, however, the more unknown parameters are needed to invert and more than the number of acquired seismic traces. The inversion may fall into local extremum just for getting a better solution in accordance with the objective function, thus reducing the inversion accuracy. A 4-layer geological model with a stiff layer sandwiched between two soft layers was chosen to test the new method here. This model could simulate shallow engineering investigations. Because the density and P-wave velocity are not sensitive to the inversion of Rayleigh wave, the density was uniformly set as 1.8g/cm3, and the velocity of P-wave was calculated according to Poisson's ratio (as shown in Table 1). Simultaneously, 10% noise was added into the dispersion curve for testing Bayesian estimation. Fig. 1a and Fig. 1b show the S-wave velocity structure and the basic mode of dispersion curve obtained by forward modeling, respectively. In order to solve this problem, the paper proposes a new method based on geological unit merging through analyzing the parameters’ iterating tendencies in the inverted process, in which the parameters and their iterating tendencies of the adjacent thin layers are similar when these thin layers are split from the same stratum. Consequently, the adjacent thin layers can be emerged to a larger one, which will decrease the total number of the parameters needed to invert and improve the inversion accuracy. p y Table 1. 4-layer model parameters Layer number Vs velocity (m/s) Vp velocity (m/s) Density (g/cm3) Thickness (m) 1 120 323 1.8 10 2 250 612 1.8 5 3 200 663 1.8 10 4 400 980 1.8  (Half space) Fig. 1. The 4-layer model. (a) S-wave velocity structure; (b) the dispersion curve p y Table 1. 4-layer model parameters Layer number Vs velocity (m/s) Vp velocity (m/s) Density (g/cm3) Thickness (m) 1 120 323 1.8 10 2 250 612 1.8 5 3 200 663 1.8 10 4 400 980 1.8  (Half space) After the k th iteration, if the shear wave velocities of the two adjacent layers are similar, they will have the same geological parameters, represented by Eq.(3). Fig. 1. The 4-layer model. 4 Numerical simulation testing (a) S-wave velocity structure; (b) the dispersion curve ( ) 1 1 1 1 1 2 k k k k l l l l + + + + = = + S S S S V V V V (3) The layers noted by lth and l+1th will update together in the later iteration. The algorithm is feasible under the theoretical noiseless hypothesis, however, the inverted results would be disturbed by random noises of the actual data acquired in industrial exploration. The new method adopts Bayesian theory to estimate the probability whether the adjacent thin layers can be emerged according to the prior probability calculated by the background noise. ( ) ( ) ( ) ( ) P P P P = S R S S R R V V V V V V (4) ( ) 2 2 1 n i i i i i   = =  R 2 Τ -1 R S V V - G V r C r = (5) (4) (5) Fig. 1. The 4-layer model. (a) S-wave velocity structure; (b) the dispersion curve 2 2 https://doi.org/10.1051/e3sconf/202016503008 E3S Web of Conferences 165, 03008 (2020) CAES 2020 E3S Web of Conferences 165, 03008 (2020) Fig. 2. The merging process during the inversion of the new method. (a) the 5th iteration; (b) the 10th iteration;(c) the 15th iteration; (d) the 20th iteration and the result inverted without merging. Fig. 2. The merging process during the inversion of the new method. (a) the 5th iteration; (b) the 10th iteration;(c) the 15th iteration; (d) the 20th iteration and the result inverted without merging ing process during the inversion of the new method. (a) the 5th iteration; (b) the 10th iteration;(c) the 15th iteration; (d) the 20th iteration and the result inverted without merging. Fig. 2. The merging process during the inversion of the new method. (a) the 5th iteration; (b) the 10th iteration;(c) th (d) the 20th iteration and the result inverted without merging. The initial model was divided as 25 layers with 1m thickness. The differences between the results about the first few iterations and the true model was obvious, since the noise aggravates the instability of inversion. Therefore, to estimate and merge the geological thin layers was begun from the stable time about the inversion tendency, like the 5th iteration here shown in the Fig. 2a. Acknowledgment The authors thank these following projects for financial supporting this research, including the Fundamental Research Funds for the Central Universities (Grant No. 2011QD04), and Yue Qi Distinguished Scholar Project, China University of Mining & Technology, Beijing (2019JCA01). 4 Numerical simulation testing After the 10th iteration shown as the Fig 2b, the model was merged into a 13-layer model. After the 15th iteration, the shallow layer was basically merged, but there was still a large error in the deep part. Finally, when it was the 20th iteration, the inverted results were almost the same as the actual model, and the relative difference was about 1.46%. By contrast, the relative error from the conventional inversion was 13.99%, and the stratification boundary was not clear enough shown as the Fig. 2d. The inversion test above demonstrates the new method can be feasible and improve the prospecting accuracy. and high non-linearity. There is an under-determined problem in the common inversion by the finite element method. To focus on its inversion accuracy and stability, this paper proposed a new method based geological unit merging. The initial model can be divided as enough thin layers according to prospecting demand. When the inversion tendency is stable, the new method will estimate the adjacent thin layers if they should from the same geological stratum based on the Bayesian probability theory. The total number of thin layers will decrease largely after merging the adjacent thin layers, therefore the inverted results will be more stable and accurate. The theoretical inversion testing of the paper demonstrates that the new method is not only feasible but also can effectively improve the inversion accuracy. 5 Conclusion Rayleigh wave dispersion curve inversion is a geophysical inversion problem with multi-parameters, 3 https://doi.org/10.1051/e3sconf/202016503008 E3S Web of Conferences 165, 03008 (2020) CAES 2020 10. F.A. Schwab, L. Knopoff, B. Seismol. Soc. Am., 60, (1970) Reference 1. L. Rayleigh, P. Lond. Math. Soc. 17, (1887) 2. C.B. Park, R.D. Miller, J. Xia, Geophysics, 64, (1999) 3. J. Xia, R.D. Miller, C.B. Park, Geophysics, 64, 4. J.T. Pan, Y.H. Li, Q.J. Wu, et al, Chin. J. Geophys., 57, (2014) 5. Z.X. Huang, H.Y. Li, Y. Xu, Chin. J. Geophys., 57, (2014) 6. J.P. Liu, Y.H. Luo, W.B. He, Chin. J. Geotech. Eng., 31, (2009) 7. W.T. Thomson, J. Appl. Phys., 21, (1950) 8. N.A. Haskell, B. Seismol. Soc. Am., 43, (1953) 9. L. Knopoff, B. Seismol. Soc. Am.,54, (1964) 1. L. Rayleigh, P. Lond. Math. Soc. 17, (1887) 11. A. Abo-Zena, Geophysical Journal of the Royal Astronomical Society, 58, (1979) 2. C.B. Park, R.D. Miller, J. Xia, Geophysics, 64, (1999) 3. J. Xia, R.D. Miller, C.B. Park, Geophysics, 64, 12. B.L. Kennett, B. Seismol. Soc. Am., 64, (1974) 4. J.T. Pan, Y.H. Li, Q.J. Wu, et al, Chin. J. Geophys., 57, (2014) 13. X. Chen, Geophys. J. Int., 115, (1993) 14. Y.F. He, W.T. Chen, X.F. Chen, Chin. J. Geophys., 49, (2006) 5. Z.X. Huang, H.Y. Li, Y. Xu, Chin. J. Geophys., 57, (2014) 15. G.Z. Shao, Q.C. Li, J. Earth Sci. Environ., 33, (2011) 6. J.P. Liu, Y.H. Luo, W.B. He, Chin. J. Geotech. Eng., 31, (2009) 16. S. Nazarian, Ph.D. Dissertation, University of Texas, Austin. (1984) 7. W.T. Thomson, J. Appl. Phys., 21, (1950) 17. G.H.F. Gardner, L.W. Gardner, and A.R. Gregory, Geophysics, 39, (1974) 8. N.A. Haskell, B. Seismol. Soc. Am., 43, (1953) 9. L. Knopoff, B. Seismol. Soc. Am.,54, (1964) 4 4
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SCIENCE is not, however, the one noted by Coquillet ( I . c.) but an entirely new species. is not, however, the one noted by Coquillet ( I . c.) but an entirely new species. missioner of Education attended part of the meetings and evinced a helpful interest in the problems before the association. A reception was given by the president and faculty of George Washington University. CARLETON R. BALL, Agronomist in S o r g h u m Investigations U. S. DEPARTMENT AGRICULTURE, OF WASHINGTON, D. G. Agronomist in S o r g h u m Investigations U. S. DEPARTMENT AGRICULTURE, OF WASHINGTON, D. G. WASHINGTON, D. G. The relation of state universities to the edu- cational interests of each state, the efficiency of the organization and its representative character make the American Association of State Universities a llatural leader in discus- sing some of the many problems of higher education which are pressing for solution. TWELFTH ANNUAL MEETING OP THB NATIONAL ASSOCIATION OF STATE UNIVERBITIEB TWELFTH ANNUAL MEETING OP THB NATIONAL ASSOCIATION OF STATE UNIVERBITIEB THE twelfth annual meeting of the National Association of State Universities was held in Washington, D. C., on November 18 and 19, 1907. I n this association upward of forty universities are entitled to membership and thirty-nine are active members; thirty-five universities were represented at the meeting. I t was one of the most important meetings of the association ever held in point of attend- ance, bearing of the topics discussed, business transacted, and investigations ordered. JAMESBAKER 1%. President of t h e Association for 1907 UNIVERSITY COLORADO OF President of t h e Association for 1907 UNIVERSITY COLORADO OF President-M. A. Carleton. First Vice-president-C. P. Bull. Second Vice-presidmt-J. I!. Duggar. Secretary-T. L. Lyon. Treasurer-E. G. Montgomery. Treasurer-E. G. Montgomery. THE WORK 0117 THE MAGNETIC BURVEP YACHT " GALIIJEE" IN TBE PAC'IPIC OCEAN DUBINGL I907 THE early part of the year found the Galilee on her way to the Marquesas Islands, having left San Diego, California, on December 22, 1906, with the following scientific personnel on board: W. J. Peters, commander; Messrs. J. C. Pearson and D. C. Sowers, magnetic observers, and Dr. G. Peterson, surgeon and recorder. Captain J. T. I-Iayes, as heretofore, was the sailing master. I t is expected that she will leave the last named port about January 15 for Callao, Peru, where she is due to arrive early in March. From thence she will return to her home port, San Francisco, about May 1. The aggregate leag-th of the cruises of the Galilee since Au- gust 1,1905, will then have amounted to about 65,000 miles, embracing the Pacific Ocean from the American coast to the Asiatic coast, and from the Aleutian Islands down to New Zealand. From the AEarquesas Islands, the route fol- lowed to Shanghai, touched at Tahiti (So- ciety Islands), Apia (Samoan Islands) and Yap (Caroline Islands) ; Shanghai was reached on May 8. At all of the ports visited special examinations with regard to the dis- tribution of the magnetic elements mere made and comparisons secured, whenever possible, between the Galilee magnetic instruments and magnetic observatory standards. I n addition, magnetic observations were made at sea when- ever conditions permitted. A complete determination of the three magnetic elements (magnetic declination, tnagnetic inclination, and intensity of mag- netic force) has been secured at sea, on the average, about every 200 or 250 miles along the entire route, besides nun~erous magnetic results having been secured at ports and islands visited. Leaving Shanghai on May 31 course was set for Sitka, Alaslra, where the vessel arrived on July 15. Here she mas inspected by Dr. L. A. Bauer, and some instrumental changes decided upon in consultation with the com- mander, Mr. Peters. At this port Mr. J. 0. Pearson, mho had been continuously on sea duty for a year and a half, was relieved and assigned to important magnetic work in the Yukon territory. I n his place on board ship was assigned AEr. P. I-I. Dike, who in addition to taking part in the regular magnetic observa- tions will likewise attempt special experi- mental work in atmospheric electricity. Owing to the high efficiency reached by Mr. THE AMERIOAN BOCIETY OF AGRONOMY Here again shore magmetic ob- servations were made and instruments were tested and compared at the Coast and Geo- detic Survey hfagnetic Observatory near Honolulu. Time and place of meeting and form of publication are to be decided later. T. L. LYON, Secretary T. L. LYON, Secretary T. L. LYON Secretary ITIIACA,K.Y., January 10, 1908 ITIIACA,K.Y., January 10, 1908 Leaving Honolulu on September 26, the Galilee was sighted off Midway Island on Oc- tober 6 on her way to Jaluit, of the Marshall Islands, and she finally arrived at Lyttleton, near Christchurch, New Zealand, on December 24, having been delayed somewhat in her progress by calms. THE AMERIOAN BOCIETY OF AGRONOMY THE American Society of Agronomy was organized'in Chicago on December 31, 1901. According to the constitution, the object of the society shall be the increase and dissemina- tion of knowledge concerning soils and crops and the conditions affecting them. The president's address, "Some Problems of American Universities," gave a compre- hensive view of the field of higher education in. America and suggested many vital topics for possible future investigation. The ques- tion of a "National University " was again to the front and a definite scheme was en- dorsed for a non-degree-conferring institution that should add to research opportunities sev- eral unique practical functions. A cornmit- tee of the association in conjunction with a committee of the National Educational Asso- ciation is charged with the duty of presenting the plan to Congress. A committee met the trustees of the Carnegie Foundation and fur- ther discussed the claim of the state universi- ties to the benefits of the retirement fund. At this writing the question is still open. Moreover, a committee on "standardizing " American universities was appointed. This question involves the vital and difficult prob- lems of reorganization of higher education and the action of the association may be of far-reaching importance. It is expected that the membership will be composed largely of scientific workers in agronomy. A strong feeling has been preva- lent for some time that an opportunity is greatly needed for college and station men to meet and discuss methods of experimentation and instruction in agronomy. Provision has been made for including as charter members all who join the society before July 1, 1908. Arrangements were also made by which local sections may be established in any part of the country on application of three members of the society. The agricultural colleges may thus have local organizations for discussion of agronomic subjects. By resolution the society expressed its desire to assist the Society for Promotion of Agri- cultural Science in bringing about affiliation of all the scientific agricultural organizations. The officers for the present year are as follows: Among the many other questions discussed were "Development of Graduate Schools in State Universities " and "Preparation of High School Teachers." The Secretary of the Interior and the Com- The Secretary of the Interior and the Com- SCIENCE [N. S. VOL.XXVII. NO.681 [N. S. VOL.XXVII. NO.681 on August 10 she arrived at Honolulu oa August 28. THE WORK 0117 THE MAGNETIC BURVEP YACHT " GALIIJEE" IN TBE PAC'IPIC OCEAN DUBINGL I907 Peters's party and because of the promptness with which the records of observations are transmitted, the complete reduction of the work can be kept almost apace with the obser- vational work. I t is confidently hoped that all the results obtained can be put in published form shortly after the termination of the work at San Francisco next Nay. To say nothing of the interesting and im- portant scientific results growing out of this work, mention may be made at present of but one result-one of great practical importance to navigational interests. With the aid of the data furnished the United States Rydro- graphic Office by the Carnegie Institution of Washington, it was possible to issue last spring a new chart of the "Lines of Equal Magnetic After having completed the required shore operations at Sitka, the Galilee set out once more, under the command of Mr. Peters, for a cruise extending this time over both the North and the South Paciifio Ocean. Leaving Sitka
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DOI: http://dx.doi.org/10.22516/25007440.228 Trabajos originales Cirugía para enfermedad colorrectal vía laparoscópica por el servicio de coloproctología del Hospital Militar Central (2005-2015) Laparoscopic Surgery for Colorectal Disease by the Coloproctology Service of the Hospital Militar Central (2005-2015) Luis Alfonso Sánchez Gallego,1 Carlos Edmundo Martínez Jaramillo,2 Anwar Medellín Abueta,1 Alexánder Obando Rodallega,1 Rónel Barbosa,1 Nairo Senejoa,3 Lina Mateus,3 Heinz Ibáñez.3 Cirujano general, estudiante fellow en coloproctología, Universidad Militar Nueva Granada. Bogotá D. C., Colombia. 2 Cirujano general, coloproctólogo, coordinador académico del programa de Coloproctología de la Universidad Militar Nueva Granada, Hospital Militar Central. Bogotá D. C., Colombia. 3 Cirujano general, coloproctólogo, Hospital Militar Central. Bogotá D. C., Colombia. 1 ......................................... Fecha recibido: 30-08-17 Fecha aceptado: 22-01-18 Resumen Introducción: para el tratamiento quirúrgico de la enfermedad colorrectal se han establecido diferentes abordajes. En los últimos 30 años, la evidencia ha demostrado mayores beneficios en las técnicas laparoscópicas (frente a laparotomía), que dependen directamente del entrenamiento continuo y del criterio práctico de los cirujanos coloproctólogos. Objetivo: caracterizar clínica y quirúrgicamente pacientes sometidos a cirugía laparoscópica colorrectal por el servicio de coloproctología del Hospital Militar Central de la ciudad de Bogotá entre los años 2005 y 2015. Metodología: estudio de corte transversal retrospectivo. Resultados: las características demográficas (clínicas y prequirúrgicas) de los pacientes y sus enfermedades, tiempos, tasas de conversión, complicaciones y perfil de recuperación presentes en los pacientes intervenidos en este lapso por el servicio de coloproctología del Hospital Militar Central de la ciudad de Bogotá fueron similares a los reportados por los servicios coloproctológicos de mayor recorrido a nivel mundial. Conclusiones: aunque el desempeño de nuestro equipo de trabajo solo recoge información relacionada con los últimos 10 años quirúrgicos, los mismos nos ponen al nivel de centros de excelencia en el manejo de la enfermedad colorrectal a nivel mundial. Palabras clave Laparoscopia, colorrectal, cáncer, conversión. Abstract Introduction: Various surgical approaches have been established to treat colorectal disease, but in the last 30 years the evidence has shown that laparoscopic techniques produce greater benefits than do laparotomies. This depends directly on continuous training and the practical criteria of colorectal surgeons. Objective: This study clinically and surgically characterized patients undergoing colorectal laparoscopic surgery by the Coloproctology Service of the Hospital Militar Central in Bogotá between 2005 and 2015. Methodology: This is a retrospective, cross-sectional study. Results: Patients’ demographic characteristics (clinical and pre-surgery), diseases, times, conversion rates, complications and recovery profiles during the study period were recorded by the Coloproctology service and were similar to those reported elsewhere in the world. Conclusions: Although we only collected information related to the last ten years of surgery, this data puts us at the level of centers of excellence in the management of colorectal disease worldwide. Keywords Laparoscopy, colorectal, cancer, conversion. 8 © 2018 Asociaciones Colombianas de Gastroenterología, Endoscopia digestiva, Coloproctología y Hepatología INTRODUCCIÓN METODOLOGÍA La enfermedad colorrectal es bastante heterogénea y combina distintos pronósticos y terapias. Desde esta perspectiva, los cirujanos que afrontan la selección de una técnica quirúrgica se ven enfrentados a la evolución de las estrategias de intervención, por ejemplo, de amplios márgenes de resección a través de accesos mínimamente invasivos en el caso del cáncer e, incluso, delegar la precisión de sus cortes a las ciencias robóticas; en esta última es de resaltar el trabajo publicado por Hyuk y colaboradores (11), en su estudio al comparar la resección anterior baja robóticamente asistida (Da Vinci) y la resección anterior baja estándar. Aunque la evolución de la laparoscopia es un tema que se está desarrollando desde los años 80, la producción científica en países latinoamericanos había sido escasa hasta inicios del siglo XXI (1, 2, 3). Nuestro país no es la excepción, dado a que ensayos relativos a una técnica evolucionada que tenga en cuenta múltiples variables socio-demográficas, clínicas y quirúrgicas son escasos. Debido a lo anterior, el desconocimiento y el escaso análisis de las características poblacionales asociadas con la enfermedad colorrectal en Colombia y su tratamiento quirúrgico, y las pocas publicaciones acerca de la técnica laparoscópica que se emplea ofrecen magníficos escenarios de investigación siendo necesario comentar la publicación de Reis Nieto (9) en Colombia (2000), y la de Gustavo Rossi (10) en Argentina (2013). De hecho, la cirugía laparoscópica colorrectal, a pesar del paso de los años, es una línea investigativa en exploración para países en vías de desarrollo como el nuestro. Esta afirmación se justifica en la escasa oferta sanitaria de médicos supraespecialistas, a la exigua oferta de servicios y a una cobertura médica reducida para un país en constante crecimiento. Debido a la poca información relevante obtenida en Colombia en referencia a esta temática, al desconocido efecto de generar inferencias desde la población extranjera y a la falta de investigación de las características propias de las intervenciones realizadas en nuestra institución, sugerimos que antes de generar nodos investigativos específicos para el avance de las terapias quirúrgicas en el campo coloproctológico laparoscópico, es importante determinar en pacientes intervenidos por enfermedad colorrectal, mediante técnicas laparoscópicas, las características demográficas, clínicas, quirúrgicas y postoperatorias (descritas en la tabla de variables); y mediante dicho ejercicio poder responder la siguiente pregunta de investigación: ¿cuáles son las características demográficas, clínicas, quirúrgicas y postoperatorias de los pacientes que fueron sometidos a cirugía colorrectal por el servicio de coloproctología del Hospital Militar Central entre los años 2005 y 2015? Estudio observacional, analítico con un diseño de investigación de corte transversal, realizado en el servicio de coloproctología del Hospital Militar Central. Se tomaron registros clínicos de historias clínicas de pacientes llevados a cirugía laparoscópica con indicación principal de tratamiento de enfermedad colorrectal entre el 2005 y el 2015. Por protocolo, se estableció excluir solamente a aquellos pacientes que presentaran registros incompletos en la historia clínica. Para el análisis demográfico de los pacientes, en primer lugar, se generó una base de datos secundaria en una hoja de cálculo Excel; y, en segundo lugar, las variables cualitativas se describieron mediante frecuencias y porcentajes absolutos y las variables cuantitativas, previo análisis de su distribución (prueba de Kolmogorov-Smirnov), se describieron con estadísticas de tendencia central (medias o medianas) y dispersión (desviaciones estándar o rangos intercuartílicos). Los datos se agruparon en tablas y luego se presentaron en este informe. La incidencia de conversión se calculó con base en el número de procedimientos que se requirió desde la cirugía laparoscópica (en el numerador) y el total de procedimientos en el período (en el denominador), y se especificaron sus principales causas. Se analizaron las conversiones según el año y algunos lapsos. Los tiempos quirúrgicos se establecieron por procedimientos y, luego, se compararon entre años. De ser necesario, se realizaron contrastes de hipótesis para determinar diferencias estadísticamente significativas, que se estandarizaron a partir de un valor de probabilidad inferior al 5% (para todas las comparaciones). Se determinó el efecto de la presencia de cicatrices (abordajes peritoneales previos) sobre la tasa de conversión y reoperación, dejando como numerador al número total de casos convertidos o reoperados con antecedente de abordaje peritoneal y como denominador al número absoluto de casos convertidos o reoperados. Se realizó un análisis bivariado adicional en modo exploratorio, en el que las apreciaciones de las hipótesis dependieron de la naturaleza de las variables involucradas, X2 o prueba exacta de Fisher, prueba student o U-Mann Whitney; además de emplear análisis binomial o lineal como prueba exploratoria de las indagaciones de nuevas hipótesis de investigación. RESULTADOS Previa aprobación del comité de ética del Hospital Militar Central y de la Universidad Militar Nueva Granada, se revisaron y recolectaron 351 registros de pacientes sometidos a procedimientos laparoscópicos por el servicio de coloproctología del Hospital Militar Central por enfermedad Cirugía para enfermedad colorrectal vía laparoscópica por el servicio de coloproctología del Hospital Militar Central (2005-2015) 9 colorrectal, que se realizaron en el período 2005-2015. De los anteriores, solamente un 60% de los registros cumplió con los criterios de selección (Tabla 1). Al corte de individuos se les realizó una colonoscopia. En la Tabla 2 se describen las indicaciones empleadas para su realización y la localización de las lesiones halladas por esta vía endoscópica. Los procedimientos quirúrgicos más frecuentes se presentan en la Tabla 3 junto con la descripción de su tiempo promedio y el volumen hemorrágico. Edad (años) Género (masculino)/(femenino) Peso (kg) Talla (cm) IMC <25 m2/kg 25-30 m2/kg >30 m2/kg ASA* I y II III y IV Comorbilidades HTA DM Enfermedad pulmonar Enfermedad coronaria Múltiples (más de 2 simultáneas) Otra Frecuencia (%) o promedio (dispersión) (n = 210) 65 (+/-78) 120 (57,1%)/90 (42,9%) 70,89 (+/-10,57) 166 (+/-8,9) 83 (39,5%) 105 (50%) 22 (10,5%) 81,4% 18,6% 48,6% 28,4% 9,8% 6,9% 5,9% 28,4% 16,7% *Clasificación del estado físico de la Sociedad Americana de Anestesiología (ASA). DM: diabetes mellitus; HTA: hipertensión arterial; IMC: índice de masa corporal. El estudio patológico concordó con benignidad (30,9%), y malignidad (69,1%). Los tumores benignos más frecuentemente encontrados fueron los adenomas (52,94%), lipomas (17,65%), poliposis adenomatosa familiar (17,65%) y colitis ulcerativa (11,76%). La localización de los tumores malignos fue principalmente en el colon sigmoide (51%) o de múltiples localizaciones (en el colon) en el 12,2% de los casos. Las causas benignas de enfermedad colorrectal y los tumores benignos habitualmente se localizaron, en otras palabras, nunca múltiple (100%) a excepción de poliposis adenomatosa familiar, y en el 25,4% de los casos correspondió a ubicación sigmoidea, o del colon ascendente, transverso o descendente (14,5%, 10,9% y 4,3%, respectivamente). Los márgenes de resección en todos los casos tumorales presentaron las siguientes medidas promedio: margen proxi10 Indicación Localización Tabla 1. Datos demográficos Variable Tabla 2. Colonoscopia: indicación y localización de los hallazgos Rev Colomb Gastroenterol / 33 (1) 2018 Variable Hematoquecia Cambios de hábito Anemia Dolor abdominal Tamizaje Enfermedad diverticular Otros Recto Superior Medio Inferior Colon sigmoides Colon ascendente Ciego y apéndice Colon transverso Pancolónico Colon descendente Frecuencia (%) 32,8 20,7 12,1 8,1 7,1 6,6 23,7 32,8 38,72 23,78 37,50 31,4 13,7 7,9 7,8 3,4 2,9 Tabla 3. Variables quirúrgicas (tipo de cirugía laparoscópica, tiempo quirúrgico, volumen de hemorragia transoperatoria) Procedimiento Frecuencia Tiempo Hemorragia (%) quirúrgico (min) (mL) Colectomía derecha 16,7 127,5 (+/-190) Entre 1 y 200 (97,1%) Colectomía derecha 8,1 180 (+/-290) Entre 1 y 200 ampliada (+) (88,2%) Colectomía 3,3 200 (+/-170) Entre 100 y izquierda 500 (100%) Colectomía 1,9 225 (+/-60) Entre 1 y 500 izquierda ampliada (100%) Resección anterior 23,8 205 (+/-275) Entre 1 y 500 alta (98%) Resección anterior 12,9 220 (+/-180) Entre 1 y 500 baja (100%) Resección ultrabaja 9,0 270 (+/-360) Entre 1 y 500 (+) (88,2%) Sigmoidectomía 5,2 100 (+/-120) Entre 1 y 100 (100%) Cirugía de Miles (+) 4,8 300 (+/-300) Entre 1 y 500 (77,7%) Cierre de colostomía 2,4 180 (+/-150) >500 (22,1%) (Hartmann) (+) Colectomía total (+) 2,4 210 (+/-90) Entre 1 y 500 (100%) Otros (rectopexia, 9,5 –– Entre 1 y 500 colectomía del (80%) transverso, proctocolectomía) (+) La tasa de transfusión de GRE fue del 8,6%, siendo considerablemente mayor en los procedimientos señalados con (+) (p = 0,003). GRE: glóbulos rojos empaquetados. Trabajos originales mal de 15 cm, margen distal de 8 cm y margen circunferencial de 3 cm. Del total, solo al 4,5% de los pacientes se les diagnosticó presencia de metástasis intraoperatorias. El promedio de ganglios resecados fue superior a 11 en el 49,7% de los casos y fue inferior a 8 en el 15,9% de los casos. Existió compromiso de un ganglio en el 10,9% de los casos, de 2 a 3 ganglios en el 12,9% de los casos y 10,9% de 4 o más. El 3,3% de los pacientes presentó recaída tumoral, de los cuales un tercio de los casos fue de localización múltiple y otro tercio fue ubicación hepática o en el sitio quirúrgico. En el 85,7% de los casos, la recurrencia aconteció en los primeros 5 años. El 28,8% de los pacientes tratados por malignidad recibió neoadyuvancia y el 35,5% adyuvancia. La tasa de conversión global fue del 11,4% (24 de 210); las principales causas de conversión son la dificultad técnica (37,5%), presencia de adherencias (20,8%), infiltración a otras estructuras y hemorragia (16,7%, cada una). La tasa de reintervención fue del 8,42%; la laparotomía fue el abordaje más frecuentemente utilizado (88,2%). Las cirugías que presentaron la mayor tasa de conversión fueron la cirugía de Miles (30%), la colectomía izquierda ampliada (25%) y la rectopexia (25%) (p <0,001); mientras que no existió una localización quirúrgica con mayor asociación con conversión para esta serie de pacientes. (p = 0,9). Las principales causas de reintervención fueron la dehiscencia de anastomosis (35,3%) y la peritonitis residual (29,4%). El 25,4% de los pacientes presentó abordaje abdominal previo. El más frecuente fue el abordaje mediano infraum- bilical (42,9%), seguido del abordaje por laparotomía mediana supra e infraumbilical (18,4%), Pfannenstiel (12,2%), Rockey-Davis (10,2%) y mediana supraumbilical (10,2%). Los pacientes que presentaron cicatrices prequirúrgicas abdominales (abordaje previo) tuvieron una mayor incidencia de conversión (20,4% frente a 8,3%, p = 0,038). A su vez, los pacientes que presentaron cicatriz previa abdominal tuvieron una mayor incidencia de reintervención (10,2% frente a 7,6%, p <0,001). El 12,9% de la muestra presentó íleo postoperatorio. El tiempo mediano de inicio de la vía oral fue de 2 días (las varianzas de estas medianas promediaron un rango máximo de 11 días según la severidad del procedimiento). El 58,97% de los pacientes no presentó efectos adversos relacionados con la cirugía. El 54,68% de los pacientes que se clasificaron con Clavien-Dindo (Tabla 4) se asignó a niveles entre I y II, un 26,56% al nivel III y un 15,63% al nivel IV. Se reportaron 6 complicaciones urogenitales, entre disfunción eréctil (#2) (una en una cirugía de rectopexia y otra en resección anterior baja) y eyaculación retrógrada (#4) (una posterior a resección anterior baja, 2 luego de resección ultrabaja y una más durante el seguimiento de cirugía de Miles). La mortalidad global fue del 2,9%, del cual el 57,14% de las veces fue en pacientes con malignidad y recurrencia tumoral. La mortalidad fue inferior en aquellos que recibieron neoadyuvancia (2,2% frente a 3,6%, p = 0,018). El tiempo promedio de hospitalización fue de 5 días y el tiempo de seguimiento promedio fue de 29,28 meses (+/-25). Tabla 4. Clasificación de Clavien-Dindo Grado Definición I Cualquier desviación del postoperatorio normal que no requiera reintervención a cielo abierto ni endoscópica. II Se requiere tratamiento farmacológico diferente a los anteriores. Uso de transfusiones sanguíneas o de hemoderivados y nutrición parenteral. III Requiere intervención quirúrgica o endoscópica. a Sin anestesia general b Con anestesia general a Complicaciones que amenazan la vida, y requieren cuidado intermedio o intensivo. Disfunción orgánica única (incluye diálisis) b Disfunción orgánica múltiple IV V Ejemplo Infección del sitio operatorio, arritmia cardíaca, atelectasia, diarrea no infecciosa, émesis, íleo postoperatorio. Diarreas infecciosas, infección de vías urinarias, neumonías, íleo postoperatorio refractario, sangrado digestivo. Porcentaje 54,68 26,56 Drenaje de colecciones, corrección de dehiscencia de piel, sangrado digestivo. Peritonitis generalizada, fuga o dehiscencia de anastomosis, sangrado digestivo severo, hernia interna. 15,63 Edema agudo de pulmón, fallo respiratorio que requiere intubación orotraqueal, insuficiencia renal aguda. Fallo cardíaco asociado con falla renal, fallo respiratorio asociado con falla renal, choque séptico. Muerte del paciente Cirugía para enfermedad colorrectal vía laparoscópica por el servicio de coloproctología del Hospital Militar Central (2005-2015) 11 DISCUSIÓN En curso del mandato Hipocrático de no hacer más daño, y del objetivo critico de maximizar el beneficio a un menor costo operacional y de baja carga financiera estatal, el colectivo científico bajo una visión moderna y de base tecnológica ha promovido sistemas y dispositivos de avanzada en pos de suministrar a la población global mejores tratamientos en términos de eficiencia e inocuidad. Bajo el anterior planteamiento, la laparoscopia (como desarrollo técnico y tecnológico) ha permitido que en nuestro campo de acción coloproctológico se optimicen tanto los abordajes quirúrgicos como la atención intra y posquirúrgica. Largas series a partir de los años 80 han demostrado el modo en que, luego de una adecuada curva de aprendizaje-entrenamiento en laparoscopia, los resultados en intervenciones de carácter oncológico y no oncológico se han mantenido al nivel de los alcanzados después de procedimientos practicados mediante laparotomía (4, 6, 12-17). En este sentido, el presente análisis y reporte expone la experiencia médica de un centro subespecializado, formador de talento humano para la región andina y eje por sus resultados asistenciales y académicos en la materia. Aunque la intención fue detallar cada uno de los procedimientos realizados en un rango de 10 años, es necesario aclarar 2 puntos principales: en primer lugar, nuestros análisis son producto de una selección rigurosa y bastante estricta de los casos, en los que solamente se incluyeron registros completos y reproducibles, por esto se debe resaltar una exclusión superior a los 140 casos; y en segundo lugar, a pesar de contar con una población flotante debido al no obligatorio seguimiento por una sola entidad en nuestro país, más de 200 pacientes en esta corte prefirieron no solamente ser intervenidos por nuestro equipo, sino también completaron o han mantenido un completo seguimiento. Considerando la aún controvertida afirmación de que cada población presenta condiciones únicas y, por ende, que las características demográficas solo inciden en la constitución de pueblos de similares condiciones socio-culturales y económicas (8), se presentan en los resultados una corte de sujetos sin predominio de género, de la tercera edad y hasta en la mitad de los casos en sobrepeso, la gran mayoría considerados según la escala de la American Society of Anesthesiologists (ASA) en nivel I o II (81,4%) y cerca de la mitad con al menos una comorbilidad (múltiple para el 28,4%). Dichas estadísticas concuerdan con las publicadas por Sánchez y colaboradores (12), quien luego de analizar 763 sujetos españoles por 10 años (2003 a 2013) halló una edad media de 58,07 años y un IMC medio de 27,9 kg/m2 (sobrepeso). Estos datos son similares a los de Barros Lima y colaboradores (13) quienes, luego de analizar 90 registros hospitalarios de pacientes intervenidos por el grupo de 12 Rev Colomb Gastroenterol / 33 (1) 2018 coloproctología de Santa Casa de Belo Horizonte (Brasil) en un lapso de 12 meses, hallaron que cerca del 53,3% de los pacientes se ubicaron en entre los 51 y 70 años, y ninguna predominancia de género (57,8% mujeres frente a 42,4% hombres). Los anteriores resultados no fueron disímiles a los reportados por Jiménez-Bobadilla y colaboradores (4) en México, quienes registraron un promedio de 60,3 años en sus pacientes y ningún género preponderante. El 53,5% de nuestros estudios se asoció con hematoquecia o cambio del hábito como síntoma primario, lo que se considera secundario no solo a lo inespecífico de los cuadros clínicos, sino también a la enfermedad hallada (70% de los casos se realizaron en pacientes con estudio patológico maligno-adenocarcinoma de colon o recto). Aunque estudios similares al presente no han reportado este dato, considerándose no indispensable su publicación, sugerimos que dicho reporte da un valor clínico importante, al presentar al lector algunas asociaciones entre la descripción semiológica y el subtipo celular de la neoplasia maligna; e incluso, al detallar poca modificación de la historia natural de la enfermedad colorrectal a pesar del paso del tiempo, lo que no solo se erige como un testimonio adicional de la validez de los datos evaluados, sino también como argumento de integralidad del análisis suministrado. A todos los pacientes se les practicó colonoscopia y se encontró que el 64,2% de las enfermedades quirúrgicas se localizaron en el recto o colon sigmoideo y tan solo el 13,7% en el colon ascendente. Para efectos clínicos, consideramos que dichos datos no solo son sesgados al servicio quirúrgico consultado, sino que pierden relevancia cuando agrupamos datos provenientes de atención médica subespecializada. Si el objetivo era determinar la localización preferente de las lesiones quirúrgicas tratadas en nuestra corte de pacientes, se puede afirmar con seguridad que nuestro servicio de laparoscopia en el 79,9% de los casos trató enfermedades localizadas en el colon ascendente, colon sigmoideo o recto; pero no se puede inferir que la población hospitalaria tratada por enfermedad colorrectal en nuestra institución localizó sus afecciones en dichas regiones anatómicas; se deben conjugar las estadísticas institucionales de otros tratantes para hacer un análisis en nuestra institución prestadora de servicios de salud. También es pertinente considerar un sesgo de selección importante, dado que a nuestros manejos se han derivado de casos de mayor complejidad y enfermedades confinadas a regiones anatómicas que demandaron de una mayor experticia para su estudio y tratamiento. Por ende, la única capacidad inferencial palpable de lo aquí presentado puede proyectarse a servicios subespecializados de coloproctología a nivel orbital. En el 69,1% de los casos, el procedimiento quirúrgico derivó del tratamiento de cáncer colorrectal, dato que conTrabajos originales cuerda con lo reportado por Barros Lima y colaboradores (13), quienes en su artículo describieron cómo (aproximadamente) el 66,7% de los casos se derivó de cáncer colorrectal. Lo anterior puede considerarse secundario a que, en servicios de este nivel, la intención del reporte se deriva principalmente de procedimientos abdominales o intestinales mayores, y no de enfermedades comunes tratadas por un gremio no necesariamente tan específico como el nuestro. El 50,7% de los pacientes con cáncer se clasificó como T3 y el 72,2% entre T2 y T3. El 40% de los T3 presentó compromiso ganglionar, mientras que el 2,38% de los mismos presentó metástasis. En cerca de la mitad de los casos (49,7%) se resecaron 12 o más ganglios, mientras que solo en un 15,9% de las intervenciones la resección ganglionar fue inferior a los 8 ganglios. A pesar de que no existe un estándar mínimo por servicio quirúrgico y la única referencia considera que se deben obtener al menos 12 ganglios para considerarse un procedimiento quirúrgico de técnica exitosa, llama la atención que a menos de una sexta parte de los pacientes se les resecó menos de 8 ganglios, lo cual puede estar relacionado con una técnica depurada y avanzada. De la misma manera, aunque los márgenes proximales, distales y circunferenciales cumplieron con la distancia macroscópica exigida, no se consiguió asociarlos con la presencia o ausencia de márgenes positivos. Para un próximo análisis, consideramos ideal incluir dicha medida mediante un íntegro análisis histopatológico de la pieza de estudio. Los tiempos quirúrgicos son similares por tipo de cirugía a los manifestados por otros grupos a nivel mundial (brasileros, españoles y mexicanos) (4, 12, 13); estos no difieren de tiempos empleados bajo técnica abierta. Lo anterior sugiere que, a pesar de que muchos consideraron que la diferencia entre los tiempos utilizados por laparoscopia frente a laparotomía era amplia, en la actualidad, en manos de expertos coloproctólogos, este tiempo no debe ser diferente (5). Al analizar la evolución de los tiempos quirúrgicos, se calculan para los 3 procedimientos moda de esta corte los tiempos entre los empleados durante el lapso de 2005 a 2010 y, por separado, los tiempos gastados entre 2011 y 2015. De esta forma, no se encontraron diferencias estadísticas ni clínicas en el tiempo empleado para la resección anterior alta: primer período: 210 min (+/-120 min) frente al segundo período: 200 min (+/-275 min); p = 0,846. Con respecto a la colectomía derecha, tampoco se hallaron diferencias estadísticamente significativas: 150 min (+/-180 min) frente a 120 min (+/-130 min); p = 0,137; y tampoco se hallaron diferencias estadísticas o clínicas en los tiempos empleados para resección anterior baja: 200 min (+/-90) frente a 225 min +/-180 min; p = 0,543. Se sugiere que, a pesar de que la técnica se ha depurado y las tasas globales de conversión posiblemente han bajado, la prolongación de los objetivos a alcanzar no ha permitido una considerable disminución de los tiempos de sala y, al contrario, han impuesto un manejo más agresivo y cuidadoso de la resección tumoral. Las tasas de hemorragia fueron concordantes con otras series. En nuestra corte, aproximadamente el 6,4% de los pacientes presentó una hemorragia >500 mL y solamente el 8,6% de los pacientes requirió transfusión de GRE, siendo la cirugía de Miles la única en evidenciar un volumen >500 mL en el 22,1% de los casos. Dichos hallazgos son similares a los hallados por Jiménez y colaboradores (4), quienes refieren promedios de hemorragia entre 200 y 310 mL. Nuestros reportes hallaron una relación lineal entre el tiempo quirúrgico y el volumen de hemorragia (p <0,001), y excluyeron una relación logarítmica entre tiempos utilizados en el procedimiento y la necesidad de transfusión (p = 0,192). Simultáneamente con otros estudios realizados en subgrupos tratados por nuestro equipo de trabajo, se halló una tasa de conversión del 11,4%, lo cual es similar y acorde con otros grupos asistenciales en Hispanoamérica: 13,2% en los datos expuestos por Barros y colaboradores (13), y de 12,5% en datos suministrados por Niño y colaboradores en Bogotá, Colombia (14). Dicha conversión se debió principalmente a dificultad técnica en el 58,3% de los casos de conversión. Acorde a los datos suministrados por Barros (4) en los que se refiere en el 75% de los casos ser producto de fallos o dificultad técnica para la disección o exploración laparoscópica, y reproducción de los datos analizados por Niño (14). Adicionalmente, presentamos una tasa baja de reintervención (8,42%) la cual es poco diferenciable a la reportada en otras enfermedades tratadas por vía laparoscópica. Es importante aclarar que las cirugías severas (por invasividad) como la cirugía de Miles y la colectomía izquierda ampliada cargaron con la mayor parte de este indicador; y de hecho, se diferenciaron clínica y estadísticamente de los otros grupos quirúrgicos (p <0,001). Al realizar una descripción estratificada de las tasas de conversión dependiendo de si los procedimientos quirúrgicos se realizaron antes del 2011 o después, se encontró que aunque la incidencia promedio de conversión fue menor en el grupo más reciente (11% frente al 12,2%), no existieron diferencias estadísticamente significativas entre estas estadísticas (p = 0,565). Al comparar solo los índices iniciales (años 2005 y 2006), que presentaron una conversión del 25% y del 21,4%, y los índices más recientes, se considera que dichos valores fueron bastante superiores a los calculados para los últimos 3 años (2013 = 9,7%, 2014 = 5,3% y 2015 = 5,9%). Lo anterior fue respaldado por diferencias estadísticamente significativas (p = 0,047). Estos datos concuerdan con que los equipos quirúrgicos establecidos, más entrenados y actuando bajo protocolos quirúrgicos sólidos presentan menores tasas de conversión, y es similar a lo presentado por reconocidos grupos a nivel mundial, Cirugía para enfermedad colorrectal vía laparoscópica por el servicio de coloproctología del Hospital Militar Central (2005-2015) 13 como el de Marusch y colaboradores (5.2%) (18), Tekkis y colaboradores (3%) (7), Köckerling y colaboradores (7%) (16) o Yamamoto y colaboradores (7,3%) (19). La tasa de conversión en diversos artículos (como el de Martínez y colaboradores) (20) está sujeta a la pericia y a la curva de aprendizaje lograda por el centro quirúrgico. En su escrito, mediante un diseño retrospectivo, se calcularon y analizaron procedimientos laparoscópicos para el tratamiento del cáncer colorrectal por un lapso de 17 años. Al final de su discernimiento, se concluyó que las tasas de conversión decrecieron notablemente luego de que el equipo había realizado un mínimo de 50 procedimientos laparoscópicos al año (de un 17% el primer año a un 4% en el último año analizado). En nuestro estudio, se sugiere que la caída de la tasa de conversión en aproximadamente 20 puntos puede obedecer a que se consiguió un volumen estable de procedimientos, y una curva establece de entrenamiento en nuestros especialistas, de acuerdo con centros referentes en cirugía laparoscópica colorrectal. A diferencia de muchos otros estudios en los que no se mide el impacto de la presencia de abordajes previos sobre la presencia de conversión, en este fue posible deducir clínica y estadísticamente los pacientes con abordajes peritoneales previos que presentaron una mayor tasa de conversión (20,4% frente a 8,3%, p = 0,038 y odds ratio [OR] = 2,99) e, incluso, la tasa de reintervención en este subgrupo de pacientes fue mayor bajo la exposición previamente citada (10,2% frente a 7,6%, p <0,001). Del anterior análisis se concluye que los pacientes con accesos peritoneales previos pueden presentar una tasa mayor de conversión y reoperación y, por ende, una mayor frecuencia de complicaciones. Por último, tanto el íleo postoperatorio como otras complicaciones esperadas en el postquirúrgico no difirieron entre centros y, a pesar de la severidad de las técnicas empleadas, sus valores tampoco revistieron mayor relevancia. Inclusive, estas no modificaron el inicio y la tolerancia a la vía oral. CONCLUSIONES La experiencia referenciada en el presente escrito no solo evidencia la práctica avanzada del grupo de coloproctología del Hospital Militar Central, también expresa una importante evolución de la técnica quirúrgica y de los principales desenlaces producto de dichos procedimientos abdominales mayores. No es nuestra intención sugerir a este abordaje como innovador, puesto que su presencia ya se considera como habitual, sino abonar en el campo elementos primordiales de estudio que no solo sirvan para su continua evolución sino también para la postulación de hipótesis de invención. 14 Rev Colomb Gastroenterol / 33 (1) 2018 Creemos que es importante dar continuidad a los registros investigativos intrahospitalarios en los que se deben completar a cabalidad las mediciones prospectivas que permitan concluir detalladamente las bondades de la terapia y, asimismo, hacer inferencias basadas en nuestros conocimientos hacia la población mundial. Agradecimientos Agradecemos al servicio de coloproctología del Hospital Militar Central, a la Universidad Militar Nueva Granada, a los asesores y a nuestros pacientes. Declaración de conflicto de intereses y financiación Declaramos que no tenemos ningún conflicto de intereses y los recursos fueron aportados por los investigadores principales. REFERENCIAS 1. Bruch HP, Schiedeck TH, Schwandner O. Laparoscopic colorectal surgery: A five-year experience. Dig Surg. 1999;16(1):45-54. https://doi.org/10.1159/000018693. 2. COLOR Study Group. COLOR: a randomized clinical trial comparing laparoscopic and open resection for colon cancer. Dig Surg. 2000;17(6):617-22. https://doi. org/10.1159/000051971. 3. Mavrantonis C, Wexner SD, Nogueras JJ, et al. Current attitudes in laparoscopic colorectal surgery. Surg Endosc. 2002;16(8):11527. https://doi.org/10.1007/s004640080072. 4. Jiménez-Bobadilla B, Villanueva-Herrero JA, CharruaGuindic L, et al. Cirugía laparoscópica de colon y recto. 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Impact of conversion on surgical outcomes after laparoscopic operation for rectal carcinoma: a retrospective study of 1,073 patients. J Am Coll Surg. 2009;208(3):383-9. https://doi. org/10.1016/j.jamcollsurg.2008.12.002. 20. Martínez MA, Torres R, Barreras J, et al. Índice de conversión en las resecciones laparoscópicas de colon y recto. Revista Cubana de Cirugía. 2015;54(1):9-17. Cirugía para enfermedad colorrectal vía laparoscópica por el servicio de coloproctología del Hospital Militar Central (2005-2015) 15.
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BALANCE Labor del Tribunal en relación con los derechos fundamentales y con el Estado autonómico No hay comentarista que no elogie, en términos generales, la labor delTribunal Constitucional en relación con los derechos fundamentales. Se ha sumado a la posición garantista de la Constitución e incluso la ha incrementado con su antiformalismo procesal, que ha cambiado, a su vez, los modos de la Administración de Justicia. Ha hecho del artículo 24 de la Constitución (tutela judicial efectiva de los derechos) el filtro por el que debe pasar el examen de toda limitación y presunta vulneración de los mismos. Y ha construido con el artículo 23.1 un macroderecho, en el que, partiendo del derecho de participación política directamente o por medio de representantes, ha dado entrada al ejercicio que éstos hacen de su función representativa, en contra, a veces, de disposiciones de los órganos en que se integran (Ayuntamientos, Diputaciones, Parlamentos autonómicos. Congreso y Senado). Incluso ha dado entrada entre los derechos amparables a alguno de la sección 2.^ del capítulo II del título I, como ha sucedido con los del artículo 37 (derecho a la negociación colectiva laboral y a adoptar medidas de conflicto colectivo), los cuales se han visto (a mi entender, muy correctamente) conectados con el derecho a la libertad y a la acción sindical, que reconoce el artículo 28 y sí goza de la garantía del amparo. No faltan lagunas en su quehacer, como las sentencias recaídas sobre el decreto-ley de expropiación de RUMASA, sobre la ley despenalizadora de ciertos supuestos de interrupción del embarazo o sobre la preferencia del varón sobre la mujer en la sucesión de los títulos nobiliarios, por poner sólo unos ejemplos. Pero el recurso de amparo se ha manifestado como una auténtica revolución en la eficacia inmediata de los derechos y en la vinculación de los poderes públicos a ellos. Su influencia en el tratamiento de los mismos por parte de estos poderes, y específicamente por parte del Poder Judicial, ha sido enorme y positiva. Más ingente aún ha sido su tarea de poner orden en el caos del título VIII de la Constitución que pone las bases del Estado autonómico. Este título, técnicamente muy complicado, ha sido analizado y reor© UNED. Revista de Derecho Político, núms. 58-59 (2003-2004) 801 ANTONIOTORRES DEL MORAL denado por el Tribunal a través de una muy paciente jurisprudencia, en la que pueden detectarse, sí, unas etapas más centralistas y otras más autonomistas, pero que, en general, ha hecho legible nuestra organización territorial. Por eso, algún autor, como M. Aragón, ha calificado muy oportunamente nuestro modelo territorial como Estado jurisprudencialmente autonómico. En fin, en su jurisprudencia electoral, garantista, como no podía ser menos, pueden percibirse deficiencias técnicas, acaso debidas a la precipitación, en las que la doctrina no ha reparado suficientemente^^. 9.2. Composición del Tribunal Respecto de las cautelas que el constituyente tomó a la hora de diseñar su composición, hay que reconocer que no impiden que una fuerza política que tenga mayoría absoluta en las Cámaras y, por tanto, esté en el ejercicio del Gobierno, y dado que, además, tal fuerza tiene la llave de la composición del Consejo General del Poder Judicial (órgano designante de dos magistrados del Tribunal) tenga amplias bazas para conformar una mayoría en éste. De ahí que se estableciera otro elemento más en el estatus de sus miembros, a saber, su mandato de nueve años (mandato superior incluso a dos legislaturas) y su renovación por terceras partes cada tres. Pero la mencionada renovación periódica parcial permite que el Gobierno y la fuerza política que lo apoya vaya conformando la composición delTribunal, sobre todo si, como hasta ahora ha sucedido, repite su mayoría parlamentaria al menos en dos legislaturas. Se ha visto claramente en diversas ocasiones y se verá en marzo próximo cuando corresponda al Gobierno designar dos magistrados y al Consejo General del Poder Judicial a otros dos; el pronóstico es el de que, al menos, tres magistrados serán nombrados a gusto de la fuerza política mayoritaria y uno por la oposición. No es ése el mejor camino para conseguir unTribunal que responda efectivamente a las corrientes de opinión, en plural, de la ciudadanía española Esto ha determinado una cierta deriva política delTribunal, principalmente detectable en los periodos en los que los Gobiernos tenían •13 Cfr. el trabajo «Jurisprudencia del Tribunal Constitucional en materia electoral. Acotaciones críticas», que publiqué con Alvaro LÓPEZ MIRA en el número 41 de esta Revista (Madrid, 1996), en el que mostramos algunas discrepancias de bulto. 802 © U N E D . Revista de Derecho Político, n ú m s . 58-59 (2003-2004) VEINTITRÉS ANOS DETRIBUNAL CONSTITUCIONAL O tienen mayoría absoluta, con lo que su prestigio y auctoritas ha sufrido algún altibajo, coincidiendo con sentencias políticamente delicadas y en las que elTribunal parece que ha sido receptivo de las posiciones gubernamentales o ha asumido una función política más allá de lo que le permiten la Constitución y su Ley Orgánica, función ni siquiera homologable a sentencias interpretativas. 9.3. Diferencias entre las salas La organización interna delTribunal, y de su trabajo, descrita en un epígrafe anterior, es funcional, pero, sobre no haber podido solucionar el problema del atasco de los asuntos que le llegan y, por tanto, el de la rapidez de su solución, presenta otro inconveniente, a saber, el de las posibles —y de vez en cuando reales— diferencias de criterio entre las dos salas o entre las cuatro secciones (por no hablar de las que puedan presentarse entre los doce magistrados cuando dictan providencias de inadmisión). Por eso, algún autor, como J. Arozamena, ha sostenido que no sería desacertado establecer una fórmula de coordinación entre ellas, elevando sus diferencias a un órgano superior (las secciones, a su Sala; las salas, al Pleno), para que éste resuelva decidiendo el criterio a seguir. 9.4. Control de constitucionalidad de los proyectos de reforma constitucional He aquí un asunto prácticamente inédito, salvo la Declaración de 1-VII-1992 sobre el Tratado de Maastricht, pero que en el futuro habrá que abordar porque alguna vez tendrá que reformarse nuestro texto fundamental. La generalidad de la doctrina se muestra proclive a admitir la impugnabilidad de tales reformas por catalogarlas como leyes de reforma. Mi parecer es contrario: antes de ser aprobadas, son meros proyectos o proposiciones de reformas constitucionales (y así se la ha llamado en la única ocasión en que ha tenido lugar; y, una vez aprobadas, son Constitución, y, por tanto, elTribunal no puede pronunciarse sobre ella, sino sólo acatarla. Estamos, pues, ante una laguna importante, que debería ser colmada (dicho sea como propuesta de lege ferenda) mediante el establecimiento de un control previo de los proyectos y proposiciones de reforma constitucional, similar al que existe sobre los tratados internacionales. I UNED. Revista de Derecho Político, núms. 58-59 (2003-2004) 803.
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Influence of benzalkonium chloride on tear film lipid layer stability: a molecular level view by employing in silico modeling
Kamila Riedlová
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Influence of benzalkonium chloride on tear film lipid layer stability: a molecular level view by employing in silico modeling Kamila Riedlova1, Adela Melcrova1, Agnieszka Olzynska1, Philippe Daull2, Jean- Sebastien Garrigue2, Lukasz Cwiklik1 1J. Heyrovsky Institute of Physical Chemistry, Czech Academy of Sciences, Prague, Czech Republic; 2Novagali Innovation Center, Santen SAS, Evry, France 1J. Heyrovsky Institute of Physical Chemistry, Czech Academy of Sciences, Prague, Czech Republic; 2Novagali Innovation Center, Santen SAS, Evry, France Keywords: dry eye disease (DED), molecular dynamics, molecular simulations, tear film, tear film lipid layer © Journal for Modeling in Ophthalmology 2019; 3:36-42 Meeting highlights article: ARVO 2018 Correspondence: Lukasz Cwiklik, J. Heyrovsky Institute of Physical Chemistry CAS, Dolejskova 2155/3, 18223 Prague, Czech Republic. E-mail: lukasz.cwiklik@jh-inst.cas.cz Influence of BAK on TFLL stability by in silico modeling 37 1. Background and purpose Benzalkonium chloride (BAK) is a mixture of aliphatic C12 and C14 quaternary ammoniums. These molecules are traditionally used to preserve eye drops because of their bactericidal and bacteriostatic properties.1,2 The compounds of BAK have an amphiphilic character, hence it can be assumed that on the ocular surface they can interact and alter the properties of the tear film lipid layer (TFLL). Indeed, BAK was demonstrated to decrease the breakup time in patients, which is a hallmark of TFLL destabilization.3-6 The amphiphilic and water-soluble C12 and C14 BAK molecules are expected to act predominantly at the aqueous-lipid interface that, as we have demonstrated earlier, is populated mostly by polar lipids.7,8 Notably, these BAK species are short-chain analogues of cetalkonium chloride (CKC) that, as we have shown previously, interact with the TFLL model, improving its stability.9 We hypothesize that by influencing polar lipids, BAK (C12 and C14) can alter the details of molecular-level interactions between individual species of TFLL and indirectly influence the macroscopic behavior of the film, in particular its organization and stability. 2. Methods In order to assess molecular-level properties of TFLL models, we employed in silico molecular dynamics (MD) simulations. This technique, widespread in biophysics, is unique in providing molecular-level information regarding the organization of molecular species, particularly at interfaces. In MD simulations, we considered lipid films at the water-air interface by employing coarse grain MARTINI model.10 This approach was proven to realistically model the biophysical properties of tear film (TF) and TFLL in our earlier studies.7,11,12 In the model, the lipid composition of TFLL was approximated by using main lipid classes found in human tears in lipidomics studies.13 More specifically, 1-palmitoyl-2-oleoyl-phosphatidylcholine (POPC); 1-palmitoyl-2-oleoyl-phosphatidylethanolamine (POPE); N-palmitoyl-d-eryth- rosphingosine (PPCE); and N-palmitoyl-d- erythro-sphingosylphosphorylcho- line (PPCS) were used as polar lipids employing the ratio found in the lipidome of human TF.13 Nonpolar lipid fraction was modeled by equimolar mixture of glycerine trioleate (TO) and cholesteryl oleate (CO). In order to address the issue of BAK inter- actions with deficient TFLL, here we used our previous TFLL in silico model7 with 20% of polar lipids removed. The polar lipids-deficient system was chosen in order to facilitate incorporation of BAK in the polar sublayer. Furthermore, such a system is a practical model of TFLL with decreased structural stability. Molecules of BAK, In order to assess molecular-level properties of TFLL models, we employed in silico molecular dynamics (MD) simulations. This technique, widespread in biophysics, is unique in providing molecular-level information regarding the organization of molecular species, particularly at interfaces. In MD simulations, we considered lipid films at the water-air interface by employing coarse grain MARTINI model.10 This approach was proven to realistically model the biophysical properties of tear film (TF) and TFLL in our earlier studies.7,11,12 In the model, the lipid composition of TFLL Fig. 1. Number of water-nonpolar lipid contacts (defined employing 08 nm cutoff ) per interfacial unit area in the system with full polar sublayer and the systems with 20% reduction of polar lipids. Influence of BC8, BC12, and CKC on polar lipids-deficient TFLL model is shown. Fig. 1. Number of water-nonpolar lipid contacts (defined employing 08 nm cutoff ) per interfacial unit area in the system with full polar sublayer and the systems with 20% reduction of polar lipids. Influence of BC8, BC12, and CKC on polar lipids-deficient TFLL model is shown. Fig. 1. 2. Methods Number of water-nonpolar lipid contacts (defined employing 08 nm cutoff ) per interfacial unit area in the system with full polar sublayer and the systems with 20% reduction of polar lipids. Influence of BC8, BC12, and CKC on polar lipids-deficient TFLL model is shown. 38 Riedlova et al. namely, benzalkonium cations with either a C8 or C12 lipid chain (designated as BC8 and BC12) were added to the polar lipids-deficient TFLL model. Additionally, we considered C16 BAK analog, i.e., CKC. All three types of molecules were param- eterized in-house using a standard MARTINI approach. In MARTINI representation, roughly four-to-one coarse graining is used for heavy atoms. Hence, for instance, POPC acyl chains containing 16 and 18 carbon atoms are represented, correspond- ingly, by 4 and 5 coarse grain beads that model hydrocarbon groups. Accordingly, the molecules of BC8, BC12, and CKC have two, three and four hydrocarbon beads in their nonpolar chain. The simulation box typically consisted of 6000-25,000 lipids and 90,000-350,000 water beads. A lateral size of 34 x 34 nm2 was considered, corresponding to a laterally relaxed TFLL model.7 MD trajectories of ~2 μs duration were simulated under equilibrium conditions. A lipid film completely covering the water surface was equilibrated at the water-air interface and its properties were analyzed. 3. Results In our previous study, we identified a reduction of polar lipids in the TFLL model as a major factor leading to lipid film destabilization.9 A reduced number of polar lipids results in enhanced water-nonpolar lipid contacts, the latter being an unfavorable factor reducing TFLL stability. The number of these contacts in the TFLL model (100% polar) as well as in the polar lipid-deficient system (80% polar) are shown for comparison in Figure 1. In the case of supplementation by BC8, BC12, and CKC, these unfavorable contacts are clearly reduced. The extent of this reduction can be ordered as BC8 < BC12 < CKC. It proves that all three considered surfactants interact with the TFLL model. Moreover, it can be indirectly concluded that their presence would enhance model stability. The details of molecular-level interaction between the system components can be analyzed using density profiles, as shown in Figure 2. In the case of all three considered surfactants, the supplemented molecules are localized in the polar sublayer of the considered TFLL model. Their polar headgroups (red dashed lines) are located somehow closer to the nonpolar layer than the headgroups of phospho- lipids, while their tail terminals (red solid lines) penetrate into the nonpolar layer. A separation between the headgroup-tail terminal increases in a row BC8 < BC12 < CKC. Overall, all three surfactants accommodate into the polar sublayer, in between other polar lipids, somewhat sealing the interface and hence, reducing water-non- polar lipids contacts as discussed beforehand. p p Further insight into localization of BAK and CKC in the polar layer can be obtained from an analysis of their orientation with respect to other lipids. In Figure 3, the tilt angles of BC8, BC12, and CKC are compared with those of sn-2 (oleoyl) chains of POPC phospholipids in the corresponding systems as well as in the TFLL system Influence of BAK on TFLL stability by in silico modeling Influence of BAK on TFLL stability by in silico modeling 39 Fig. 2. Density profiles (number of molecules as a function of a distance from the simulation box center) of selected atoms/groups of the molecules present at the water air interface. The profiles of the polar headgroups of the considered phospholipids (POPC NC3, POPE NH3, PPCS NC3, PPCE OH1) are shown together with the glycerol backbone of TO molecule (TO GLY), C2 carbon of CO, and water. Profiles of polar headgroup (SC2) and nonpolar chain terminals of the supplementing surfactants (BC8 C2, BC12 C3, and CKC C4) are also depicted. Fig. 2. Density profiles (number of molecules as a function of a distance from the simulation box center) of selected atoms/groups of the molecules present at the water air interface. The profiles of the polar headgroups of the considered phospholipids (POPC NC3, POPE NH3, PPCS NC3, PPCE OH1) are shown together with the glycerol backbone of TO molecule (TO GLY), C2 carbon of CO, and water. Profiles of polar headgroup (SC2) and nonpolar chain terminals of the supplementing surfactants (BC8 C2, BC12 C3, and CKC C4) are also depicted. Fig. 3. Tilt angle distributions of selected chains. The tilt angle is defined as the angle between the vector formed between the initial and terminal carbon atom of a chain and the interface normal. The angle of 180° corresponds to a chain oriented perpendicular to the water-air interfaced and directed toward the nonpolar lipids phase. The angle of 90°(marked in the plot with dashed line) corresponds to a chain parallel to the interface. The angle of 0° describes a chain oriented perpendicular to the interface and directed toward the water phase. Fig. 3. Tilt angle distributions of selected chains. The tilt angle is defined as the angle between the vector formed between the initial and terminal carbon atom of a chain and the interface normal. The angle of 180° corresponds to a chain oriented perpendicular to the water-air interfaced and directed toward the nonpolar lipids phase. The angle of 90°(marked in the plot with dashed line) corresponds to a chain parallel to the interface. The angle of 0° describes a chain oriented perpendicular to the interface and directed toward the water phase. 40 Riedlova et al. Fig. 4. A cartoon representation of tilt angles and orientation of CKC, BC12, and BC8 molecules in the TFLL model. Estimates of the most populated tilt angle values from Figure 3 are given. Fig. 4. Influence of BAK on TFLL stability by in silico modeling A cartoon representation of tilt angles and orientation of CKC, BC12, and BC8 molecules in the TFLL model. Estimates of the most populated tilt angle values from Figure 3 are given. without polar lipids deficiency. First, the sn-2 chains in all considered cases attain orientations parallel to the water-air interface, pointing toward the nonpolar lipids phase. Such an orientation was observed also in our previous studies of relaxed TFLL models.7,14 Second, all three surfactants have reduced values of tilt angles with respect to sn-2 of POPC. This eff ect is weak in the case of CKC, more pronounced in BC12, and the most significant in BC8. It demonstrates that the hydrophobic chains of the added surfactants do not fully match orientation of their phospholipid coun- terparts in the polar sublayer of TFLL model. Notably, the chains of BC8 and BC12 have non-negligible angle populations below 90° C, which means that the nonpolar tails of these molecules reorient toward the water phases. In Figure 4, a schematic representation of the calculated tilt angles and orientation of the surfactants is shown. This representation also corresponds to typical snapshots observed during MD simulations (not shown). It can be seen that orientation of CKC molecules is close to that of other polar lipids, while in the case of BC12 and BC8 it is less ordered. In particular, BC8 is able to significantly reorient while being in the polar sublayer, forming defects in the polar lipids structure. 4. Conclusions and future perspectives According to MD simulations, all three considered surfactants, BC8, BC12, and CKC, incorporate into the polar sublayer of the TFLL model. As they populate the water-lipid interface, they reduce water-nonpolar lipids contacts. The details of their orientation in the lipid film diff er. CKC, which is the longest from the considered surfactants molecules, behaves similarly to the phospholipids that form the polar sublayer; it is predominantly located parallel to the phospholipid acyl chains, with its headgroup pointing toward the aqueous subphase. On the other hand, both BC8 and BC12 attain a more flexible orientation, with their hydrophobic chains being Influence of BAK on TFLL stability by in silico modeling 41 able to reorient. This reorientation is particularly significant for the shortest BC8 with its tail often pointing toward the aqueous subphase. Overall, the obtained molecular-level picture allows to conclude that CKC stabilizes the TFLL (as seen in patients and in vitro),15-17 while the shorter BAK molecules may have a destabilizing effect, similar to that observed experimentally.3,18,19 References 1. Kurup TR, Wan L, Chan L. Preservative requirements in emulsions. Pharm Acta Helv. 1992;67(7):204- 208. 1. Kurup TR, Wan L, Chan L. Preservative requirements in emulsions. Pharm Acta Helv. 1992;67(7):204- 208. 1. Kurup TR, Wan L, Chan L. Preservative requirements in emulsions. Pharm Acta Helv. 1992;67(7):204- 208. 2. Campanac C, Pineau L, Payard A, Baziard-Mouysset G, Roques C. Interactions between biocide cationic agents and bacterial biofilms. Antimicrob Agents Chemother. 2002;46(5):1469-1474. doi: 10.1128/AAC.46.5.1469-1474.2002. 2. Campanac C, Pineau L, Payard A, Baziard-Mouysset G, Roques C. Interactions between biocide cationic agents and bacterial biofilms. Antimicrob Agents Chemother. 2002;46(5):1469-1474. doi: 10.1128/AAC.46.5.1469-1474.2002. 3. Baudouin C, Labbé A, Liang H, Pauly A, Brignole-Baudouin F. Preservatives in eyedrops: the good, the bad and the ugly. Prog Retin Eye Res. 2010;29(4):312-334. doi: 10.1016/j.preteyeres.2010.03.001.f 3. Baudouin C, Labbé A, Liang H, Pauly A, Brignole-Baudouin F. Preservatives in eyedrops: the good, the bad and the ugly. Prog Retin Eye Res. 2010;29(4):312-334. doi: 10.1016/j.preteyeres.2010.03.001.f 3. Baudouin C, Labbé A, Liang H, Pauly A, Brignole-Baudouin F. Preservatives in eyedrops: the good, the bad and the ugly. Prog Retin Eye Res. 2010;29(4):312-334. doi: 10.1016/j.preteyeres.2010.03.001.f 4. Wilson W, Duncan A, Jay J. Effect of benzalkonium chloride on the stability of the precorneal tear film in rabbit and man. Br J Ophthalmol. 1975;59(11):667-669. doi: 10.1136/bjo.59.11.667. 4. Wilson W, Duncan A, Jay J. Effect of benzalkonium chloride on the stability of the precorneal tear film in rabbit and man. Br J Ophthalmol. 1975;59(11):667-669. doi: 10.1136/bjo.59.11.667. 4. Wilson W, Duncan A, Jay J. Effect of benzalkonium chloride on the stability of the precorneal tear film in rabbit and man. Br J Ophthalmol. 1975;59(11):667-669. doi: 10.1136/bjo.59.11.667. 5. Campagna P, Macri A, Rolando M, Calabria G. Chronic topical eye preservative‐free beta‐blocker therapy effect on the ocular surface in glaucomatous patients. Acta Ophthalmol Scand Suppl. 1997;75(S224):53. doi: 10.1111/j.1600-0420.1997.tb00480.x 6. Herreras JM, Pastor JC, Calonge M, Asensio VM. Ocular surface alteration after long-term treat- ment with an antiglaucomatous drug. Ophthalmology. 1992;99(7):1082-1088. doi: 10.1016/S0161- 6420(92)31847-0. 6. Herreras JM, Pastor JC, Calonge M, Asensio VM. Ocular surface alteration after long-term treat- ment with an antiglaucomatous drug. Ophthalmology. 1992;99(7):1082-1088. doi: 10.1016/S0161- 6420(92)31847-0. 7. Wizert A, Iskander DR, Cwiklik L. Organization of lipids in the tear film: a molecular-level view. PLoS One. 2014;9(3). doi: 10.1371/journal.pone.0092461. PubMed PMID: WOS:000333352800111. 7. Wizert A, Iskander DR, Cwiklik L. Organization of lipids in the tear film: a molecular-level view. PLoS One. 2014;9(3). doi: 10.1371/journal.pone.0092461. PubMed PMID: WOS:000333352800111. 8. Acknowledgements This work was supported by grant 18-26751S from the Czech Science Foundation. Adela Melcrova was supported by grant SVV 2017 No. 260 443 and by the Martina Roeselová foundation. Agnieszka Olzynska and Lukasz Cwiklik are in commercial relationship with Santen SAS. References Cwiklik L. Tear film lipid layer: A molecular level view. Biochim Biophys Acta. 2016;(10):2421-2430. doi: 10.1016/j.bbamem.2016.02.020. 9. Nencheva Y, Olzynska A, Melcrova A, et al. Improving stability of tear film lipid layer via concert- ed action of two drug molecules: a biophysical view. Biophys J. 2018;114(3):104a. doi: 10.1016/j. bpj.2017.11.609. 10. Marrink SJ, Risselada HJ, Yefimov S, Tieleman DP, de Vries AH. The MARTINI force field: coarse grained model for biomolecular simulations. J Phys Chem B. 2007;111(27):7812-7824. doi: 10.1021/ jp071097f. PubMed PMID: 17569554. 10. Marrink SJ, Risselada HJ, Yefimov S, Tieleman DP, de Vries AH. The MARTINI force field: coarse grained model for biomolecular simulations. J Phys Chem B. 2007;111(27):7812-7824. doi: 10.1021/ jp071097f. PubMed PMID: 17569554. 11. Olżyńska A, Cwiklik L. Behavior of sphingomyelin and ceramide in a tear film lipid layer model. Ann Anat. 2017;210:128-134. doi: 10.1016/j.aanat.2016.10.005. 12. Wizert A, Iskander DR, Cwiklik L. Interaction of lysozyme with a tear film lipid layer model: A mo- lecular dynamics simulation study. Biochim Biophys Acta. 2017;1859(12):2289-2296. doi: 10.1016/j. bbamem.2017.08.015. PubMed PMID: WOS:000415770900002. 42 Riedlova et al. 13. Rantamaki AH, Seppanen-Laakso T, Oresic M, Jauhiainen M, Holopainen JM. Human tear fluid lipidome: from composition to function. PLoS One. 2011;6(5):e19553. doi: 10.1371/journal. pone.0019553. PubMed PMID: 21573170; PubMed Central PMCID: PMC3088682. 13. Rantamaki AH, Seppanen-Laakso T, Oresic M, Jauhiainen M, Holopainen JM. Human tear fluid lipidome: from composition to function. PLoS One. 2011;6(5):e19553. doi: 10.1371/journal. pone.0019553. PubMed PMID: 21573170; PubMed Central PMCID: PMC3088682. 14. Olzynska A, Cwiklik L. Behavior of sphingomyelin and ceramide in a tear film lipid layer model. Ann Anat. 2017;210:128-134. doi: 10.1016/j.aanat.2016.10.005. PubMed PMID: WOS:000395610600016.f 14. Olzynska A, Cwiklik L. Behavior of sphingomyelin and ceramide in a tear film lipid layer model. Ann Anat. 2017;210:128-134. doi: 10.1016/j.aanat.2016.10.005. PubMed PMID: WOS:000395610600016.f 15. Robert P-Y, Cochener B, Amrane M, et al. Efficacy and safety of a cationic emulsion in the treat- ment of moderate to severe dry eye disease: a randomized controlled study. Eur J Ophthalmol. 2016;26(6):546-555. doi: 10.5301/ejo.5000830. 16. Georgiev GA, Yokoi N, Nencheva Y, Peev N, Daull P. Surface chemistry interactions of cationorm with films by human meibum and tear film compounds. Int J Mol Sci. 2017;18(7):1558. doi: 10.3390/ ijms18071558. 16. Georgiev GA, Yokoi N, Nencheva Y, Peev N, Daull P. Surface chemistry interactions of cationorm with films by human meibum and tear film compounds. Int J Mol Sci. 2017;18(7):1558. doi: 10.3390/ ijms18071558. 16. References Georgiev GA, Yokoi N, Nencheva Y, Peev N, Daull P. Surface chemistry interactions of cationorm with films by human meibum and tear film compounds. Int J Mol Sci. 2017;18(7):1558. doi: 10.3390/ ijms18071558. 17. Amrane M, Creuzot-Garcher C, Robert P-Y, et al. Ocular tolerability and efficacy of a cationic emulsion in patients with mild to moderate dry eye disease–A randomised comparative study. J Fr Ophthal- mol. 2014;37(8):589-598. doi: 10.1016/j.jfo.2014.05.001. 17. Amrane M, Creuzot-Garcher C, Robert P-Y, et al. Ocular tolerability and efficacy of a cationic emulsion in patients with mild to moderate dry eye disease–A randomised comparative study. J Fr Ophthal- mol. 2014;37(8):589-598. doi: 10.1016/j.jfo.2014.05.001. 18. Baudouin C, de Lunardo C. Short term comparative study of topical 2% carteolol with and without benzalkonium chloride in healthy volunteers. Br J Ophthalmol. 1998;82(1):39-42. doi: 10.1136/ bjo.82.1.39. 18. Baudouin C, de Lunardo C. Short term comparative study of topical 2% carteolol with and without benzalkonium chloride in healthy volunteers. Br J Ophthalmol. 1998;82(1):39-42. doi: 10.1136/ bjo.82.1.39. 18. Baudouin C, de Lunardo C. Short term comparative study of topical 2% carteolol with and without benzalkonium chloride in healthy volunteers. Br J Ophthalmol. 1998;82(1):39-42. doi: 10.1136/ bjo.82.1.39.f j 19. Ishibashi T, Yokoi N, Kinoshita S. Comparison of the short-term effects on the human corneal surface of topical timolol maleate with and without benzalkonium chloride. J Glaucoma. 2003;12(6):486-90. 19. Ishibashi T, Yokoi N, Kinoshita S. Comparison of the short-term effects on the human corneal surface of topical timolol maleate with and without benzalkonium chloride. J Glaucoma. 2003;12(6):486-90. 19. Ishibashi T, Yokoi N, Kinoshita S. Comparison of the short-term effects on the human corneal surface of topical timolol maleate with and without benzalkonium chloride. J Glaucoma. 2003;12(6):486-90.
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hal-03622642-nutrients-14-00046.txt_2
French-Science-Pile
Open Science
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Online Consumer Survey Comparing Different Front-of-Pack Labels in Greece. Nutrients, 2022, 14 (1), pp.46. &#x27E8;10.3390/nu14010046&#x27E9;. &#x27E8;hal-03622642&#x27E9;
None
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5. Conclusions The findings of the study of Greek consumers provide data on the effectiveness of front-of-pack nutrition labels. The Nutri-Score seems to help Greek consumers better rank foods according to their nutritional value. We consider our study to be of crucial importance because policy makers will be facilitated in their procedure of making informed decisions regarding the food industry. This will lead to the reformulation of the ingredients of food Nutrients 2022, 14, 46 14 of 16 products towards ensuring public health. In the future, more studies should be carried out to investigate the effect of labels only on low and medium socio-economic levels in Greece, as well as in adolescents, and, in the end, in a real buying environment. Public awareness campaigns are needed for Greek consumers to understand the label so that they can improve their food choices. Author Contributions: Conceptualization, L.K., G.K. and C.J.; data curation, L.K., G.K.; investigation, L.K., G.K., I.V.P., E.C.F., F.M., D.P. and D.M.; methodology, C.J., M.F., L.K. and G.K.; visualization, C.J., M.F., L.K. and G.K.; writing—original draft, L.K., G.K., I.V.P., E.C.F., F.M., D.P. and D.M.; supervision, K.I.G.; review & editing, C.J., M.F. and K.I.G. All authors have read and agreed to the published version of the manuscript. Funding: The present study did not receive funding. Institutional Review Board Statement: The study was conducted in accordance with the Declaration of Helsinki, and approved by the Ethics Committee of of the University of Thessaly (protocol code 24 and date of approval: 15 April 2021). Informed Consent Statement: Informed consent was obtained from all subjects involved in the . Acknowledgments: The authors would like to thank Simone Pettigrew and Zenobia Talati for their contributions. Conflicts of Interest: The authors declare no conflict of interest. References 1. 2. 3. 4. 5. 6. 7. 8. 9. 16. European Commission. The State of Health in the EU HELLAS Health Profile. 2019. Available online: https://ec.europa.eu/ health/sites/default/files/state/docs/2019_chp_gr_english.pdf (accessed on 15 April 2021). Rosiek, A.; Maciejewska, N.F.; Leksowski, K.; Rosiek-Kryszewska, A.; Leksowski, Ł. Effect of Television on Obesity and Excess of Weight and Consequences of Health. Int. J. Environ. Res. Public Health 2015, 12, 9408–9426. [CrossRef] [PubMed] WHO; Regional Office for Europe. High Rates of Childhood Obesity Alarming Given Anticipated Impact of COVID-19 Pandemic. Available online: https://www.euro.who.int/en/media-centre/sections/pressreleases/2021/high-rates-of-childhood-obesityalarming-given-anticipated-impact-of-covid-19-pandemic (accessed on 4 September 2021). Arroyo-Johnson, C.; Mincey, K.D. Obesity Epidemiology Trends by Race/Ethnicity, Gender, and Education. Gastroenterol. Clin. N. Am. 2016, 45, 571–579. [CrossRef] Bombak, A. Obesity, Health at Every Size, and Public Health Policy. Am. J. Public Health 2014, 104, 60–67. [CrossRef] [PubMed] WHO. Obesity and Overweight. Available online: https://www.who.int/news-room/fact-sheets/detail/obesity-andoverweight (accessed on 30 June 2021). WHO. Noncommunicable Diseases. Available online: https://www.who.int/news-room/fact-sheets/detail/noncommunicablediseases (accessed on 19 April 2021). Jones, A.; Neal, B.; Reeve, B.; Ni Mhurchu, C.; Thow, A.M. Front-of-pack nutrition labelling to promote healthier diets: Current practice and opportunities to strengthen regulation worldwide. BMJ Glob. Health 2019, 4, 1–16. [CrossRef] WHO; Regional Office for Europe. Manual to Develop and Implement Front-of-Pack Nutrition Label . WHO/EURO 2020, 1569-41320-56234. Available online: https://apps.who.int/iris/handle/10665/336989 (accessed on 22 September 2021). WHO. Available online: https://www.who.int/health-topics/obesity#tab=tab_3 (accessed on 19 March 2021). Vandevijvere, S.; Vermote, M.; Egnell, M.; Galan, P.; Talati, Z.; Pettigrew, S.; Hercberg, S.; Julia, C. Consumers’ food choices, understanding and perceptions in response to different front-of-pack nutrition labelling systems in Belgium: Results from an online experimental study. Arch. Public Health 2020, 78, 1–9. [CrossRef] [PubMed] Crockett, R.A.; King, S.E.; Marteau, T.M.; Prevost, A.T.; Bignardi, G.; Roberts, N.W.; Stubbs, B.; Hollands, G.J.; Jebb, S.A. Nutritional labelling for healthier food or non-alcoholic drink purchasing and consumption. Cochrane Database Syst. Rev. 2018. [CrossRef] El-Abbadi, N.H.; Taylor, S.F.; Micha, R.; Blumberg, J.B. Nutrient Profiling Systems, Front of Pack Labeling, and Consumer Behavior. Curr. Atheroscler Rep. 2020, 22, 1–10. [CrossRef] Kanter, R.; Vanderlee, L.; Vandevijvere, S. Front-of-package nutrition labelling policy: Global progress and future directions. Public Health Nutr. 2018, 21, 1399–1408. [CrossRef] Press Release. Ministry of Rural Development and Food. An Advisory Team of Scientists is Set Up by Sp. Libanos for the Promotion of the “Greek Diet” and Prevention of the Nutriscore System. Athens, 14 April 2021. Available online: http: //www.minagric.gr/index.php/el/the-ministry2/grafeiotypou/deltiatypou/11253-dt140421 (accessed on 10 September 2021). Ducrot, P.; Méjean, C.; Julia, C.; Kesse-Guyot, E.; Touvier, M.; Fezeu, L.; Hercberg, S.; Péneau, S. Effectiveness of Front-Of-Pack Nutrition Labels in French Adults: Results from the NutriNet-Santé Cohort Study. PLoS ONE 2015, 10, e0140898. Nutrients 2022, 14, 46 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. . Grunert, K.G.; Wills, J.M. A Review of European Research on Consumer Response to Nutrition Information on Food Labels. J. Public Health 2007, 15, 385–399. [CrossRef] Grunert, K.G.; Fernández-Celemín, L.; Wills, J.M.; Storcksdieck Genannt Bonsmann, S.; Nureeva, L. Use and Understanding of Nutrition Information on Food Labels in Six European Countries. Z Gesundh Wiss 2010, 18, 261–277. [CrossRef] European Commission; Joint Research Centre. Front-of-Pack Nutrition Labelling Schemes: A Comprehensive Review; Publications Office of the European Union: Luxembourg, 2020. Egnell, M.; Talati, Z.; Hercberg, S.; Pettigrew, S.; Julia, C. Objective Understanding of Front-of-Package Nutrition Labels: An International Comparative Experimental Study across 12 Countries. Nutrients 2018, 10, 1542. [CrossRef] Mejean, C.; Macouillard, P.; Péneau, S.; Hercberg, S.; Castetbon, K. Consumer Acceptability and Understanding of Front-of-Pack Nutrition Labels. J. Hum. Nutr. Diet. 2013, 26, 494–503. [CrossRef] [PubMed] Mejean, C.; Macouillard, P.; Peneau, S.; Hercberg, S.; Castetbon, K. Perception of Front-of-Pack Labels According to Social Characteristics, Nutritional Knowledge and Food Purchasing Habits. Public Health Nutr. 2013, 16, 392–402. [CrossRef] Ducrot, P.; Méjean, C.; Julia, C.; Kesse-Guyot, E.; Touvier, M.; Fezeu, L.K.; Hercberg, S.; Péneau, S. Objective Understanding of Front-of-Package Nutrition Labels among Nutritionally At-Risk Individuals. Nutrients 2015, 7, 7106–7125. [CrossRef] [PubMed] Press Release. Greek Statistical Authority. Economic Inequality. Income and Living Conditions Survey of Households: Year 2020 (Income Reporting Period: Year 2019) Piraeus, 22 June 2021. Available online: https://www.statistics.gr/documents/20181/afaf2 4ea-2210-3272-8f295506242319c4 (accessed on 20 August 2021). Vargas-Meza, J.; Jáuregui, A.; Pacheco-Miranda, S.; Contreras-Manzano, A.; Barquera, S. Front-of-pack nutritional labels: Understanding by low- And middle-income Mexican consumers. PLoS ONE 2019, 14, 1–16. [CrossRef] [PubMed] Packer, J.; Russell, S.J.; Ridout, D.; Hope, S.; Conolly, A.; Jessop, C.; Robinson, O.J.; Stoffel, S.T.; Viner, R.M.; Croker, H. Assessing the Effectiveness of Front of Pack Labels: Findings from an Online Randomised-Controlled Experiment in a Representative British Sample. Nutrients 2021, 13, 900. [CrossRef] Egnell, M.; Galan, P.; Farpour-Lambert, N.J.; Talati, Z.; Pettigrew, S.; Hercberg, S.; Julia, C. Compared to other front-of-pack nutrition labels, the Nutri-Score emerged as the most efficient to inform Swiss consumers on the nutritional quality of food products. PLoS ONE 2020, 15, 1–18. [CrossRef] Egnell, M.; Talati, Z.; Gombaud, M.; Galan, P.; Hercberg, S.; Pettigrew, S.; Julia, C. Consumers’ Responses to Front-of-Pack Nutrition Labelling: Results from a Sample from The Netherlands. Nutrients 2019, 11, 1817. [CrossRef] Egnell, M.; Talati, Z.; Pettigrew, S.; Galan, P.; Hercberg, S.; Julia, C. Vergleich von Front-of-Pack-Kennzeichnungen zur Aufklärung deutscher VerbraucherInnen über den Nährwert von Lebensmitteln: Farbkodierte Kennzeichnungen übertreffen alle anderen Systeme. Ernahrungs Umschau. 2019, 66, 76–84. Buyuktuncer, Z.; Ayaz, A.; Dedebayraktar, D.; Inan-Eroglu, E.; Ellahi, B.; Besler, H.T. Promoting a Healthy Diet in Young Adults: The of Nutrition Labelling. Nutrients 2018, 10, 1335. [CrossRef] [PubMed] Talati, Z.; Egnell, M.; Hercberg, S.; Julia, C.; Pettigrew, S. Consumers’ perceptions of five front-of-package nutrition labels: An experimental study across 12 countries. Nutrients 2019, 11, 1934. [CrossRef] Jáuregui, A.; Vargas-Meza, J.; Nieto, C.; Contreras-Manzano, A.; Alejandro, N.Z.; Tolentino-Mayo, L.; Hall, M.G.; Barquera, S. Impact of front-of-pack nutrition labels on consumer purchasing intentions: A randomized experiment in low- And middleincome Mexican adults. BMC Public Health 2020, 20, 1–13. [CrossRef] [PubMed] Dubois, P.; Albuquerque, P.; Allais, O.; Bonnet, C.; Bertail, P.; Combris, P.; Lahlou, S.; Rigal, N.; Ruffieux, B.; Chandon, P. Effects of front-of-pack labels on the nutritional quality of supermarket food purchases: Evidence from a large-scale randomized controlled trial. J. Acad. Mark. Sci. 2021, 49, 119–138. [CrossRef] Crosetto, P.; Lacroix, A.; Muller, L.; Ruffieux, B. Nutritional and Economic Impact of 5 Alternative Front-of-Pack Nutritional Labels: Experimental Evidence. HAL Id: Hal-01805431. 2018. Available online: https://hal.archives-ouvertes.fr/hal-01805431/document (accessed on 20 August 2021). Van Den Akker, K.; Bartelet, D.; Brouwer, L.; Luijpers, S.; Nap, T.; Havermans, R. The impact of the nutri-score on food choice: A choice experiment in a Dutch supermarket. Appetite 2021, 168, 105664. [CrossRef] Cecchini, M.; Warin, L. Impact of food labelling systems on food choices and eating behaviours: A systematic review and meta-analysis of randomized studies. Obes. Rev. 2016, 17, 201–210. [CrossRef] [PubMed] Shangguan, S.; Afshin, A.; Shulkin, M.; Ma, W.; Marsden, D.; Smith, J.; Saheb-Kashaf, M.; Shi, P.; Micha, R.; Imamura, F.; et al. Food PRICE (Policy Review and Intervention Cost-Effectiveness) Project. A Meta-Analysis of Food Labeling Effects on Consumer Diet Behaviors and Industry Practices. Am. J. Prev. Med. 2019, 56, 300–314. [CrossRef] Al-Jawaldeh, A.; Rayner, M.; Julia, C.; Elmadfa, I.; Hammerich, A.; McColl, K. Improving nutrition information in the eastern mediterranean region: Implementation of front-of-pack nutrition labelling. Nutrients 2020, 12, 330. [CrossRef] Aguenaou, H.; El Ammari, L.; Bigdeli, M.; El Hajjab, A.; Lahmam, H.; Labzizi, S.; Gamih, H.; Talouizte, A.; Serbouti, C.; El Kari, K.; et al. Comparison of appropriateness of Nutri-Score and other front-of-pack nutrition labels across a group of Moroccan consumers: Awareness, understanding and food choices. Arch. Public Health 2021, 79, 1–13. [CrossRef] Egnell, M.; Galan, P.; Fialon, M.; Touvier, M.; Péneau, S.; Kesse-Guyot, E.; Hercberg, S.; Julia, C. The impact of the NutriScore front-of-pack nutrition label on purchasing intentions of unprocessed and processed foods: Post-hoc analyses from three randomized controlled trials. Int. J. Behav. Nutr. Phys. Act. 2021, 18, 1–12. [CrossRef] Nutrients 2022, 14, 46 41. 42. Egnell, M.; Talati, Z.; Galan, P.; Andreeva, V.A.; Vandevijvere, S.; Gombaud, M.; Dréano-Trécant, L.; Hercberg, S.; Pettigrew, S.; Julia, C. Objective understanding of the Nutri-score front-of-pack label by European consumers and its effect on food choices: An online experimental study. Int. J. Behav. Nutr. Phys. Act. 2020, 17, 1–14. [CrossRef] [PubMed] alon, M.; Egnell, M.; Talati, Z.; Galan, P.; Dréano-Trécant, L.; Touvier, M.; Pettigrew, S.; Hercberg, S.; Julia, C. Effectiveness of Different Front-of-Pack Nutrition Labels among Italian Consumers: Results from an Online Randomized Controlled Trial. Nutrients 2020, 12, 2307. [CrossRef] [PubMed].
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https://openalex.org/W2781526527
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The chemical armament of reef-building corals: inter- and intra-specific variation and the identification of an unusual actinoporin in Stylophora pistilata
Hanit Ben-Ari
English
Spoken
11,580
21,943
The chemical armament of reef-building corals: inter- and intra-specific variation and the identification of an unusual actinoporin in Stylophora pistilata Received: 6 June 2017 Accepted: 4 December 2017 Published: xx xx xxxx Hanit Ben-Ari1,2, Moran Paz1 & Daniel Sher1 Hanit Ben-Ari1,2, Moran Paz1 & Daniel Sher1 Corals, like other cnidarians, are venomous animals that rely on stinging cells (nematocytes) and their toxins to catch prey and defend themselves against predators. However, little is known about the chemical arsenal employed by stony corals, despite their ecological importance. Here, we show large differences in the density of nematocysts and whole-body hemolytic activity between different species of reef-building corals. In the branched coral Stylophora pistillata, the tips of the branches exhibited a greater hemolytic activity than the bases. Hemolytic activity and nematocyst density were significantly lower in Stylophora that were maintained for close to a year in captivity compared to corals collected from the wild. A cysteine-containing actinoporin was identified in Stylophora following partial purification and tandem mass spectrometry. This toxin, named Δ-Pocilopotoxin-Spi1 (Δ-PCTX-Spi1) is the first hemolytic toxin to be partially isolated and characterized in true reef-building corals. Loss of hemolytic activity during chromatography suggests that this actinoporin is only one of potentially several hemolytic molecules. These results suggest that the capacity to employ offensive and defensive chemicals by corals is a dynamic trait within and between coral species, and provide a first step towards identifying the molecular components of the coral chemical armament. Coral reefs are the largest biogenic structures on Earth: they reach sizes of >1000 km, form extreme “hotspots” of biodiversity, and provide numerous ecosystem, community and economic resources. As their name attests, the physical structure of most coral reefs is composed of hermatypic (reef-building) stony corals. As a result of anthropogenic stress and global climate change, hermatypic corals are increasingly facing challenges such as loss of zooxanthellae due to bleaching1,2, increased microbial loads3–8, competition with macroalgae9, and the poten- tial for nutrient limitation and loss of exoskeleton due to ocean acidification10. Under each of these scenarios, reef-building corals may need to rely even more on offensive or defensive chemicals to survive in a changing world2,11.i Stony corals belong to the phylum cnidaria, which also includes sea anemones, jellyfish, and hydrozoans. Cnidarians are soft-bodied, morphologically simple organisms, and many of them (e.g. corals) are either sessile or have only limited mobility. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Received: 6 June 2017 Accepted: 4 December 2017 Published: xx xx xxxx The chemical armament of reef-building corals: inter- and intra-specific variation and the identification of an unusual actinoporin in Stylophora pistilata Nevertheless, most cnidarians are predators2,12, and they use a combination of a sophisticated delivery system (the stinging cells, nematocytes13–15) and complex and potent venom to catch prey such as zooplankton, larger crustaceans and even fish16,17. In addition, cnidarians use allomonal chemistry to protect themselves against predators, microbial pathogens and fouling organisms5,6,18,19, as well as to compete for space with other reef organisms9,20,21. Finally, toxin-like compounds may be involved in endogenous physiological roles such as neural and endocrine signaling, development and prey digestion (e.g.22,23). Thus, cnidarians depend to a large extent on their impressive chemical arsenal for survival.h The toxic and bioactive arsenal of cnidarians has been intensively studied for over 30 years24, with most studies focused on two main groups of cnidarians and their associated chemical armament: the venom of sea anemones 1Department of Marine Biology, Leon H. Charney School of Marine Sciences, University of Haifa, Haifa, Israel. 2The Interuniversity Institute for Marine Sciences, Eilat, Israel. Hanit Ben-Ari and Moran Paz contributed equally to this work. Correspondence and requests for materials should be addressed to D.S. (email: dsher@univ.haifa.ac.il) SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 1 www.nature.com/scientificreports/ Figure 1. Inter-species variability in hemolytic activity and nematocyst density. (a) Schematic phylogeny of the seven studied reef-building corals77,78. The images are not shown to scale. (b) Hemolytic activity in tissue extracts of the seven corals, normalized to surface area. HU-Hemolytic Unit, defined as the amount of hemolytic activity causing 50% hemolysis of human red blood cells in a standard, 500 μl reaction (see materials and methods). (c) Nematocyst density in the tissue, normalized to surface area. Data in panels C and D are the mean ± SE of one fragment (branch tip) each from 5 different colonies. Figure 1. Inter-species variability in hemolytic activity and nematocyst density. (a) Schematic phylogeny of the seven studied reef-building corals77,78. The images are not shown to scale. (b) Hemolytic activity in tissue extracts of the seven corals, normalized to surface area. HU-Hemolytic Unit, defined as the amount of hemolytic activity causing 50% hemolysis of human red blood cells in a standard, 500 μl reaction (see materials and methods). (c) Nematocyst density in the tissue, normalized to surface area. Data in panels C and D are the mean ± SE of one fragment (branch tip) each from 5 different colonies. and the defensive compounds of soft corals and gorgonians25. The chemical armament of reef-building corals: inter- and intra-specific variation and the identification of an unusual actinoporin in Stylophora pistilata Anthozoan venom is comprised mostly of pro- teins and peptides, many of which are short neurotoxins affecting ion conductance26–28, hemolysins29 and phos- pholipase A2s30,31. Most of the compounds derived from soft corals can be defined as “secondary metabolites” (rather than proteins or peptides), and are often sterols and terpenes32,33. Octocorals are a rich source of antimi- crobial, antifouling and cytotoxic compounds likely involved in defense, allelopathy or predator deterrence32,33. Importantly, studies on the diverse chemical arsenal of cnidarians have resulted in novel compounds for medical, agricultural or biotechnological uses34–36. g g Perhaps surprisingly, very little is known about the chemical arsenal employed by stony corals for survival despite their sheer numerical abundance, biomass, and ecological importance as keystone organisms in coral reefs. The lack of studies of coral toxins may be due to the apparent lack of toxicity of most corals or to the diffi- culty in obtaining sufficient biomass for biochemical work from these often-protected organisms. With the excep- tion of a phospholipase A2 toxin from the “fire coral” Millepora37,38 (which is a hydrozoan, and thus not a true scleractinian coral) and small cysteine-rich peptide toxins from Acropora millepora recombinantly expressed in bacteria39 to date no toxins have been isolated or characterized from reef building corals. Nevertheless, early stud- ies described widespread, albeit highly variable, toxicity in corals40,41, and these organisms catch prey2,12,42, defend themselves from predators43, resist microbial infections5,6,44 and are involved in fierce chemically-mediated com- petition for space20,45,46. p p To better understand venom diversity and activity in reef-building corals, we compared two manifestations of this armament, namely the abundance of nematocysts and the hemolytic activity contained in the coral tis- sue, among abundant reef-building corals in the Gulf of Aqaba. After identifying consistent differences between hermatypic corals, we focused further studies on Stylophora pistillata, one of the most abundant corals in the Indo-Pacific and a commonly used model for studying various aspects of coral physiology, genetics and ecol- ogy (e.g.47–53). In particular, we assessed to what extent the number of nematocysts and hemolytic activity differ within colonies of this branching coral. Finally, using bioassay-guided column chromatography and mass spec- trometry, we identify a new group of coral-derived hemolysins belonging to the actinoporin family. Results C l Coral species differ widely in nematocyst density and tissue hemolytic activity. To assess the extent to which reef-building corals produce and deliver toxins, we collected fragments from seven abundant reef-building organisms (six anthozoan corals and the hydrozoan “fire coral” Millepora sp) from the Gulf of Aquaba (N 29° 30.211′ E 34° 55.068), at the northern tip of the Red Sea. For clarity, we refer to all these organisms, including Millepora sp, as “corals”, using the genus name throughput the manuscript. As shown in Fig. 1, large differences were seen in the hemolytic activity and the nematocyst numbers (normalized to coral surface area) between the different corals, and these differences may be related to their phylogeny (Fig. 1a). The highest hemo- lytic activity was found in Stylophora (2818.55 + 693.95 HU/cm2), seven-fold higher than the organism with the second highest activity, the closely related Pocillopora sp. (407.07 + 141.38 HU/cm2, Fig. 1b). The highly-hemo- lytic Stylophora contained more than 600-fold higher hemolytic activity than the coral with the lowest activity, Montipora (4.64 + 2.55 HU/cm2). Examination of total nematocyst density in the sample tissue revealed a some- what different pattern. The branching corals (Pocilloporidaee and Acroporidae) had far more nematocysts per surface area than the robust corals (the latter belonging to the family Favidae), with the tissue of Pocillopora con- taining ~350-fold more nematocysts than that of Favites (30.966 + 6.83 104/cm2 vs 0.093 + 0.03 104/cm2, respec- tively). Despite using an intense tissue extraction protocol (air-brushing the coral followed by homogenization), SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 2 www.nature.com/scientificreports/ Figure 2. Intra-colonial differences in toxicity in Stylophora. (a) A skeleton of Stylophora, schematically illustrating the location of the inner (white) and outer (grey) branches, as well as the difference between branch base and tip. (b,c) Comparison of the hemolytic activity, normalized to surface area, between fragments from different locations in the two Stylophora colonies. (d,e) same as (b), but for number of nematocysts. Numbers below the bars represent number of replicates, error bars indicate mean ± SE. Asterisks indicate significant differences (p = 0.0003 for colony 1 and p = 0.0293 for colony two, using Tukey-Kramer HSD test). Figure 2. Intra-colonial differences in toxicity in Stylophora. (a) A skeleton of Stylophora, schematically illustrating the location of the inner (white) and outer (grey) branches, as well as the difference between branch base and tip. Results C l Figure 3. Lower hemolytic activity in Stylophora fragments acclimated to laboratory water tables. A comparison is shown between the numbers of hemolytic units (HU) found in the tissue (a) and the number of nematocysts (b), both normalized to the sample surface area of wild and acclimated fragments. N = 5. Error bars indicate standard error about the mean with 95% confidence limits attached. Asterisks indicate that significantly difference (P < 0.05, using Tukey-Kramer HSD test). experimental manipulations (e.g.51,57). Aiming to perform controlled experiments to assess how the chemical armament of Stylophora changes in response to environmental conditions, we collected several colonies from the wild, divided them into fragments and maintained the fragments for close to a year in open water tables to acclimate them to the experimental conditions. However, the hemolytic activity and nematocyst densities in the fragments maintained in the water tables were significantly lower than those of fragments collected from wild animals (20–100 fold, Fig. 3, the “wild” fragments are those shown in Fig. 1). The fragments maintained in the water tables looked healthy to the naked eye (e.g. extended polyps could be observed), and were able to catch and feed on Artemia salina nauplii44. An actinoporin hemolysin from Stylophora. We next sought to isolate and characterize the hemolytic substance(s) in the Stylophora extract using bioassay-guided fractionation. Initial tests, aimed to select the appro- priate method for fractionation using column chromatography, revealed that in all tested methods (gel filtration, anion exchange and hydrophobic interaction chromatography) the hemolytic activity partitioned into at least two distinct peaks, differing by their molecular mass, charge or hydrophobicity (not shown). While each of the chro- matography methods was able to separate at least part of the hemolytic activity from the majority of the protein content of the extract, most of the hemolytic activity (>80% in all cases) was lost upon chromatography, regard- less of the method used. This was not due to changes in salinity, as the hemolytic activity of the crude extract was not strongly affected by changes in salinity (0.2–1.4 M NaCl). The loss of activity during chromatography (>80%) was higher than that occurring when the crude extract was incubated for 6-8 hours at 4 °C (~50%), conditions similar to those used for the chromatography. Results C l (b,c) Comparison of the hemolytic activity, normalized to surface area, between fragments from different locations in the two Stylophora colonies. (d,e) same as (b), but for number of nematocysts. Numbers below the bars represent number of replicates, error bars indicate mean ± SE. Asterisks indicate significant differences (p = 0.0003 for colony 1 and p = 0.0293 for colony two, using Tukey-Kramer HSD test). most of the nematocysts visible by microscope were not discharged (Fig. 1c). This raises the question of whether the hemolytic activity of the tissue homogenate originates from the nematocysts (e.g.54). Given that the highest levels of hemolysis were found in Stylophora, we focused on this coral for subsequent analyses. Intra-colonial variation in hemolytic toxicity of Stylophora. Coral colonies are composed of indi- vidual polyps, each of which may be exposed to different conditions such as light intensity, water flow and acces- sibility to prey or predators (e.g.55,56). It is thus conceivable that the chemical armament of the coral will also be differentially distributed within the colony. To test this hypothesis, two Stylophora colonies (colony 1 and 2) were divided into fragments differing in their physical location within the colony (Fig. 2a), and the nematocyst density and hemolytic activity were measured for each fragment. In general, colony 2 demonstrated higher hemolytic activity and slightly higher nematocyst density than colony 1 (Fig. 2b and c). Within each colony, the same pattern was observed: similar levels of hemolytic activity and nematocyst densities were found between outer and inner branches but the branch tips exhibited significantly higher hemolytic activity than the branch bases (p = 0.0003 for colony 1 and p = 0.0293 for colony two, One-Way ANOVA). y p y , y ) Many studies aiming to understand the response of corals to changing conditions include a preliminary stage where corals are collected from the field, acclimated to laboratory conditions, and only then subjected to SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 3 www.nature.com/scientificreports/ Figure 3. Lower hemolytic activity in Stylophora fragments acclimated to laboratory water tables. A comparison is shown between the numbers of hemolytic units (HU) found in the tissue (a) and the number of nematocysts (b), both normalized to the sample surface area of wild and acclimated fragments. N = 5. Error bars indicate standard error about the mean with 95% confidence limits attached. Asterisks indicate that significantly difference (P < 0.05, using Tukey-Kramer HSD test). Results C l g y Based on these preliminary tests, we decided to use two stages of chromatography, anion exchange followed by hydrophobic interactions, to isolate and identify the major hemolytic compound(s) in the Stylophora crude extract. As shown in Fig. 4a, a broad and irregular peak in hemolytic activity was observed following separa- tion by anion exchange, again suggesting the presence of several hemolytic compounds. The combined hemo- lytic yield of the major hemolytic fractions, Q-1 to Q-5, represented 22% of the total hemolytic activity in the crude extract loaded on the column. The fractions corresponding to hemolytic peak Q-2 were pooled and sub- jected to hydrophobic interactions chromatography (HIC), resulting in at least three distinct hemolytic peaks (Fig. 4b). The combined hemolytic yield of peaks HIC-1 to HIC-3 was <1% of what was loaded on the column. The fractions comprising each of these three hemolytic peaks were pooled and analyzed by tandem mass spec- trometry (MSMS), resulting in the identification of 5-12 proteins in each pool (Table 1). Thus, at this stage, the putative hemolysin was not completely purified. Nevertheless, the most abundant protein in each of these pools (comprising 48-90% of the total ion current) was identified as an actinoporin with high identity (60%) to the hemolytic toxin Sticholysin-2 from the sea anemone Stichodactyla helianthus58 (see below). There was no other protein shared among all three pools. These results strongly suggest that the actinoporin is the hemolysin responsible for the majority of the hemolytic activity in these pools. We thus propose the rational nomenclature of Δ-Pocilopotoxin-Spi1 (Δ-PCTX-Spi1) for this hemolysin, the first hemolytic toxin to be partially isolated and characterized in true reef-building corals59. Actinoporins have been intensively studied to understand their hemolytic mode of action and as models for protein-membrane interactions. The structures of three actinoporins have been elucidated, and the roles of many amino acid residues are known (recently reviewed by60–62). As shown in Fig. 5, the Stylophora acti- noporin, Δ-Pocilopotoxin-Spi1, shares many functional features with the model actinoporins equinatoxin II (Eqt-II)63,64, sticholysin II (Stn-II)58 and Fra-C65 (from the sea anemones Actinia equina and Stichodactyla helian- thus, and Actinia fragacea respectively). First, the coral actinoporin is predicted to have two α-helices, one at the N-terminus (involved in pore formation) and one at the C-terminus, similar to sea anemone actinoporins61. SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 4 www.nature.com/scientificreports/ Figure 4. Results C l Separation and partial purification of an actinoporin-like hemolysin from Stylophora. In the chromatograms, the shaded areas represent active fractions that were pooled and submitted either to re- chromatography (after anion exchange) or two tandem mass spectrometry (after hydrophobic interactions chromatography). The straight grey lines represent the gradient of salt used for chromatography. (a) Separation of Stylophora crude extract by anion exchange chromatography on a Q- sepharose FF 18.5 ml column. (b) Separation of pool Q-2 from panel A, above, on a Hydrophobic Interactions Phenyl- Sepharose HP 7.8 ml column. Figure 4. Separation and partial purification of an actinoporin-like hemolysin from Stylophora. In the chromatograms, the shaded areas represent active fractions that were pooled and submitted either to re- chromatography (after anion exchange) or two tandem mass spectrometry (after hydrophobic interactions chromatography). The straight grey lines represent the gradient of salt used for chromatography. (a) Separation of Stylophora crude extract by anion exchange chromatography on a Q- sepharose FF 18.5 ml column. (b) Separation of pool Q-2 from panel A, above, on a Hydrophobic Interactions Phenyl- Sepharose HP 7.8 ml column. Many of the residues previously shown to be involved in membrane recognition and hemolysis are conserved in Δ-Pocilopotoxin-Spi1 (Fig. 5 58,66–69). Interestingly, Trp112 in Eqt-II, which was shown to be critical for sphin- gonmyelin recognition and hemolytic activity69, is replaced in Δ-Pocilopotoxin-Spi1 by phenylalanine, which is also hydrophobic. This important residue is replaced in other actinoporins, for example by leucine in HALT-1 from Hydra magnipappilata70–72. A notable difference between the anemone and coral actinoporins is that Δ-Pocilopotoxin-Spi1 has a single Cysteine residue (marked with a blue triangle in Fig. 5). Most actinoporins lack cysteines with the exception of HALT Toxins and some actinoporins from Heteractis magnifica71,73. These results support the identification of Δ-Pocilopotoxin-Spi1 as the protein responsible for the hemolysis in the active fractions after chromatography. Many of the residues previously shown to be involved in membrane recognition and hemolysis are conserved in Δ-Pocilopotoxin-Spi1 (Fig. 5 58,66–69). Interestingly, Trp112 in Eqt-II, which was shown to be critical for sphin- gonmyelin recognition and hemolytic activity69, is replaced in Δ-Pocilopotoxin-Spi1 by phenylalanine, which is also hydrophobic. This important residue is replaced in other actinoporins, for example by leucine in HALT-1 from Hydra magnipappilata70–72. A notable difference between the anemone and coral actinoporins is that Δ-Pocilopotoxin-Spi1 has a single Cysteine residue (marked with a blue triangle in Fig. 5). Results C l Proteins identified in the three hemolytic fractions after HIC using shotgun tandem mass spectrometry, ordered by the peak area in each fraction (a semi-quantitative estimate of protein abundan The actinoporin is shown in bold. Table 1. Proteins identified in the three hemolytic fractions after HIC using shotgun tandem mass spectrometry, ordered by the peak area in each fraction (a semi-quantitative estimate of protein abundance). The actinoporin is shown in bold. be related to the relative importance of this armament in the biology (life history) of the producing organisms (e.g.81). In this study, we provide the first quantitative measurements of two aspects of the chemical armament of reef-building corals, namely the density of the nematocysts (the venom delivery systems) and the hemolytic activ- ity of the coral tissue. Neither of these measures is related exclusively to the chemical armament of the organism: besides venom delivery, nematocysts can also entangle prey23,82, possibly assist digestion83,84 and, in Hydra, facil- itate locomotion82. Similarly, while hemolysins are commonly found in venoms, including those of cnidarians, similar proteins may be involved in prey digestion, immunity and development22,23. In the following discussion, we assume that the nematocysts and hemolytic activity are traits related to the chemical armament of the corals, noting that additional experiments are necessary to test this assumption.hf g p y p The six reef-building corals and the hermatypic hydrozoan (Millepora) studied here clearly differed in both aspects of their chemical armament, with the Pocilloporid corals (Stylophora and Pocillopora) having the highest hemolytic activity and among the highest nematocyst counts per unit surface area. Previous studies have docu- mented high variability in the toxicity of different stony corals, however no systematic trends were observed40,41. This may be due to the less quantitative nature of the toxicity methods previously employed (e.g. hemolysis was not quantified in terms of hemolytic units per fragment size). The same quantitative approach enabled us to iden- tify intra-colonial differences in hemolytic activity between the tips of the branches and their bases. The branch tips of stony corals have previously been shown to have slightly different transcriptome patterns compared to branch bases, including differences in the expression of genes involved in nematocyst differentiation56. It is tempt- ing to speculate that the differences in hemolytic activity between the branch tips and bases are related to their exposure to the external environment, including prey and predators and competitors. Results C l Venoms and toxins, as well as their delivery systems, are often considered to be under strong selective pressure (e.g.39,79,80), and it is thus reasonable to hypothesize that differences in the potency of the chemical armament may SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 5 www.nature.com/scientificreports/ Protein name Pool number Peak Area Function Identity Query Cover E- value Organism m.2523 1 1.764E8 Sticholysin 2 60% 88% 2E-70 Stichodactyla helianthus m.1230 1 3.952E7 Hypothetical Protein (Myosin 10 like) 27% 50% 2E-17 Nematostella vectensis m.7445 1 2.023E7 uracil-DNA glycosylase 38% 78% 2E-40 m.2226 1 1.998E7 golgi-associated plant pathogenesis-related protein 1-like 42% 70% 7E-17 Cynoglossus semilaevis m.12035 1 1.046E7 hypothetical protein (Polysaccharide deacetylase-like protein) 43% 74% 8E-102 Nematostella vectensis m.24455 1 8.602E6 gelsolin 63% 97% 9E-46 Suberites domuncula m.6423 1 7.527E6 Hypothetical protein (serine hydroxymethyltransferase, mitochondrial) 77% 88% 0.0 Xenopus (Silurana) tropicalis m.2128 1 4.522E6 protein disulfide-isomerase A6 63% 96% 0.0 Strongylocentrotus purpuratus m.1877 1 4.345E6 iron/zinc purple acid phosphatase-like protein 62% 97% 2E-157 Chrysemys picta bellii m.1271 1 4.388E6 caspase 3-like protein 99% 100% 0.0 Stylophora pistillata m.20013 1 transmembrane protease serine 6-like 42% 47% 3E-64 Thamnophis sirtalis m.21014 1 beta-catenin 71% 98% 0.0 Chaetopterus variopedatus m.2523 2 3.490E8 Sticholysin 2 60% 88% 2E-70 Stichodactyla helianthus m.2226 2 2.132E7 golgi-associated plant pathogenesis-related protein 1-like 42% 70% 7E-17 Cynoglossus semilaevis m.1027 2 9.580E6 annexin A6-like 36% 100% 2E-129 Biomphalaria glabrata m.1230 2 6.079E6 Hypothetical Protein (Myosin 10 like) 27% 50% 2E-17 Nematostella vectensis m.6423 2 2.112E6 Hypothetical protein (serine hydroxymethyltransferase, mitochondrial) 77% 88% 0.0 Xenopus (Silurana) tropicalis m.7409 2 5.158E5 predicted protein (glutamate dehydrogenase) 71% 98% 0.0 Sunxiuqinia dokdonensis m.11815 2 hypothetical protein (peroxiredoxin-1) 86% 71% 2E-36 Branchiostoma floridae m.2523 3 7.349E7 Sticholysin 2 60% 88% 2E-70 Stichodactyla helianthus m.3179 3 5.966E7 nuclear receptor coactivator 5-like 39% 50% 1E-53 Saccoglossus kowalevskii m.1594 3 1.277E7 predicted protein (glutamate dehydrogenase) 71% 99% 0.0 Nematostella vectensis m.11815 3 3.320E6 hypothetical protein (peroxiredoxin-1) 86% 71% 2E-36 Branchiostoma floridae m.24936 3 3.307E6 predicted protein (Glucosamine-6-phosphate isomerase 1) 74% 90% 6E-158 Nematostella vectensis m.4166 3 4.704E5 predicted protein (catenin alpha-2-like isoform X4) 61% 735 0.0 Nematostella vectensis Table 1. Proteins identified in the three hemolytic fractions after HIC using shotgun tandem mass spectrometry, ordered by the peak area in each fraction (a semi-quantitative estimate of protein abundance). The actinoporin is shown in bold. Table 1. Results C l Most actinoporins lack cysteines with the exception of HALT Toxins and some actinoporins from Heteractis magnifica71,73. These results support the identification of Δ-Pocilopotoxin-Spi1 as the protein responsible for the hemolysis in the active fractions after chromatography. Actinoporins are common in corals. Actinoporins are common in sea anemones and Hydra, yet are missing from the transcriptome of at least one scyphozoan jellyfish16,72. Similar proteins are found also in other non-cnidarian organisms, with the role of most of these non-cnidarian actinoporins currently not known72,74,75. Recently, a database containing the genomes and/or transcriptomes of 20 coral species has been assembled76, allowing the presence of genes encoding this family of hemolysins to be mapped across coral diversity. We could identify genes or transcripts encoding actinoporins in all but one of the coral datasets (Acropora hyacinthus was the exception), with 1-6 different sequences identified per transcriptome (Supplementary Table 1). As shown in Fig. 6, the phylogeny of actinoporins was generally congruent with that of the organisms themselves, with Hydra, sea anemones and corals each found mostly as a different monophyletic group on the phylogenetic tree. This sug- gests that a single actinoporin-like gene was present in ancestral cnidarians (before the split between Hydrozoans and Anthozoans) that was may have been lost in some lineages and duplicated in others. Actinoporins from two coral families, Pocilloporidae and Poritidae, mostly cluster separately, in agreement with phylogenetic analyses using other molecular markers which suggest that these two lineages separated over 200 million years ago (Ma), in the Triassic era77,78. In contrast, some actinoporins from the Platygyra and Acropora clustered together, despite these two lineages belonging to distinct families (Faviidae and Acropopridae) that also separated ~200 Ma. In addition, an actinoporin from Astreopora sp. (also an acroporid coral) clearly clustered with those from the Porites lineage, and one from Pseudodiploria strigosa clustered with the sea anemone proteins. This suggests that the gene duplication and diversification may have occurred at several different times during cnidarian evolution. Differences between corals in aspects of their chemical armament. The use of chemical armament (toxins, either secreted or injected as venom) is considered critical to the survival of the producing organism. SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 Results C l p g p y p p Are the nematocysts and hemolytic toxins used for prey capture, predator deterrence or territorial competi- tion? It is unlikely that either the nematocysts or the hemolytic activity assayed here function in territorial com- petition, since Stylophora and Pocillopora, the corals with the highest hemolytic activity and nematocyst density, are considered weaker than Favia in the hierarchy of coral aggressiveness when competing for space on the reef45. Given the limited number of organisms and physiological conditions assayed here, it is difficult to clearly state whether the hemolysin and nematocysts are correlated with the predatory capacity of the different corals, or to their level of exposure to potential predators. Stylophora and Pocillopora have relatively high predation rates85, and heterotrophy can support a significant part of their metabolism (e.g.11,12,42,51), suggesting a role for the nemat- ocysts and hemolytic activity in feeding. However, the predation rate of Acropora has been shown to be much SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 6 www.nature.com/scientificreports/ Figure 5. Multiple alignment of the Stylophora actinoporin and three well studied sea anemone actinoporins: equinatoxin II (EqT-II, Actinia equina), stycholysin II (Stn-II, Stichodactyla helianthus) and fragaceatoxin C (Fra-C, Actinia fragacea). The regions highlighted in red are the C and N- terminal α- helixes, the red triangles point out residues that have shown to be important for membrane attachment61,69, the blue arrow shows the RGD motif involved in oligomerization105 and the green stars represent residues that have shown to be important for sphingomyelin recognition58,61. The blue region shows the conservation of the P-[W/Y/F]-D membrane binding motif106,107. Figure 5. Multiple alignment of the Stylophora actinoporin and three well studied sea anemone actinoporins equinatoxin II (EqT-II, Actinia equina), stycholysin II (Stn-II, Stichodactyla helianthus) and fragaceatoxin C (Fra-C, Actinia fragacea). The regions highlighted in red are the C and N- terminal α- helixes, the red triangle point out residues that have shown to be important for membrane attachment61,69, the blue arrow shows the RGD motif involved in oligomerization105 and the green stars represent residues that have shown to be important for sphingomyelin recognition58,61. The blue region shows the conservation of the P-[W/Y/F]-D membrane binding motif106,107 Figure 5. Multiple alignment of the Stylophora actinoporin and three well studied sea anemone actinoporins: equinatoxin II (EqT-II, Actinia equina), stycholysin II (Stn-II, Stichodactyla helianthus) and fragaceatoxin C (Fra-C, Actinia fragacea). Results C l The regions highlighted in red are the C and N- terminal α- helixes, the red triangles point out residues that have shown to be important for membrane attachment61,69, the blue arrow shows the RGD motif involved in oligomerization105 and the green stars represent residues that have shown to be important for sphingomyelin recognition58,61. The blue region shows the conservation of the P-[W/Y/F]-D membrane binding motif106,107. lower than that of Stylophora and Pocillopora85, and while the hemolytic activity of Acropora is also much lower, the nematocyst density in these three corals is similar (Fig. 1). Another factor that seems to broadly differenti- ate between the corals with high and low nematocyst densities is that the polyps of Stylophora, Pocillopora and Acropora in the Gulf of Aqaba are expanded almost all the time, whereas the polyps of Favia and Favites expand only during the night86. Thus, Favia and Favites may be exposed both to lower predation pressure and to lower prey densities. Finally, the Stylophora that were reared in the water tables were not exposed to any predation, and prey densities are also likely lower than on the reef. Taken together, these results support the notion that the hemolytic toxicity and nematocyst density in corals are both dynamic traits related to the defensive and/or offen- sive (predatory) capability of these organisms. (p y) p y g It is worth noting that, in our study, the Hydrozoan Millepora sp. did not emerge as one of the organisms with the highest toxicity, although its nematocyst density was relatively high and a relatively high percent of the nematocysts were discharged during our extraction procedure (Fig. 1). Millepora sp. are known to cause painful stings when touched, leading to their common name, “Fire Corals”. Previous studies have shown that fire corals produce phospholipase A2 toxins (PLA2s)37,38, and one might expect that these membrane-disrupting enzymes would cause hemolysis. However, while several publications describe the purification or partial purification of PLA2s from cnidarians, none of these proteins have been shown to be hemolytic87,88. Our own experiments with commercially-available bee venom PLA2 revealed high phospholipase activity but no hemolysis (not shown). We therefore propose that the Millepora PLA2s are not hemolytic, and that, similar to jellyfish and some sea anem- ones16, Millepora have lost the ability to produce active hemolysins, with the venom evolving to comprise other toxins with paralytic and/or pain-causing functions. Results C l Actinoporins and the potential for synergism contributing to the hemolytic activity. Aiming to identify the molecular components responsible for the hemolytic toxicity of the Stylophora coral extract, we used bioassay (hemolysis)-guided fractionation of the crude coral extract, observing at least two hemolytic peaks differing in retention times. Since multiple peaks were observed using three different chromatography methods SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 7 www.nature.com/scientificreports/ Figure 6. Phylogeny of actinoporins and actinoporin-like proteins in cnidarians. A Bayesian tree is shown, with numbers on the nodes representing posterior probabilities and Maximum Likelihood bootstrap values (when above 50%). Schematic images represent (from top to bottom) gorgonians, sea anemones, molluscs and hydra. All of the sequences not originating from these animals are from scleractinian corals, and are colored based on the clades/families mentioned in the text (*represents sequences from Acroporidae and Mussidae that do not cluster with the other sequences from this group, as described in the text). The sequences for the proteins in this tree can be found in the Supplementary fasta file. Figure 6. Phylogeny of actinoporins and actinoporin-like proteins in cnidarians. A Bayesian tree is shown, with numbers on the nodes representing posterior probabilities and Maximum Likelihood bootstrap values (when above 50%). Schematic images represent (from top to bottom) gorgonians, sea anemones, molluscs and hydra. All of the sequences not originating from these animals are from scleractinian corals, and are colored based on the clades/families mentioned in the text (*represents sequences from Acroporidae and Mussidae that do not cluster with the other sequences from this group, as described in the text). The sequences for the proteins in this tree can be found in the Supplementary fasta file. (based on molecular mass, charge and hydrophobicity), these peaks likely represent different hemolysins. An alternative option is that the multiple peaks correspond to different aggregation levels of the actinoporin we eventually identified, or association of the actinoporin with other proteins. We also observed that the majority of the hemolytic activity (>80%) was lost upon column chromatography, regardless of the method used, and that this loss was not due to the time it took to perform the fractionation or to the pH or salinity used. We thus speculate that the hemolytic activity in the coral tissue is due to two or more compounds working in synergism, one of them likely the actinoporin we identified, Δ-Pocilopotoxin-Spi1. Results C l Indeed, a transcript encoding part of a second putative actinoporin was identified in the Stylophora transcriptome (Supplementary Table 1). Synergistic activity has previously been observed between non-covalently bonded venom constituents in spiders and cone snails89–91, involving in some cases also cytolytic peptides92. Recently, synergism has been demonstrated between Sticholysins I and II, two actinoporin isoforms isolated from the same sea anemone, Stichodactyla helianthus, which form hetero-pores on the target membranes93. The initial studies of Equinatoxins, in which these proteins were isolated and identified using bioassay-guided fractionation, do not report on the fraction of the total hemo- lytic activity represented by the isolated toxins, and thus it is currently unclear whether the same phenomenon, namely loss of activity during purification, also occurs in sea anemones94,95. Given the complexity of most animal venoms (which contain tens to thousands of different molecules), the potential for synergistic activity between venom constituents (or constituents of defensive chemical cocktails) is an exciting field of research. This also highlights the importance of quantitative analysis of the activity eluted during chromatography to identify such potential cases of synergism. (based on molecular mass, charge and hydrophobicity), these peaks likely represent different hemolysins. An alternative option is that the multiple peaks correspond to different aggregation levels of the actinoporin we eventually identified, or association of the actinoporin with other proteins. We also observed that the majority of the hemolytic activity (>80%) was lost upon column chromatography, regardless of the method used, and that this loss was not due to the time it took to perform the fractionation or to the pH or salinity used. We thus speculate that the hemolytic activity in the coral tissue is due to two or more compounds working in synergism, one of them likely the actinoporin we identified, Δ-Pocilopotoxin-Spi1. Indeed, a transcript encoding part of a second putative actinoporin was identified in the Stylophora transcriptome (Supplementary Table 1). Synergistic activity has previously been observed between non-covalently bonded venom constituents in spiders and cone snails89–91, involving in some cases also cytolytic peptides92. Recently, synergism has been demonstrated between Sticholysins I and II, two actinoporin isoforms isolated from the same sea anemone, Stichodactyla helianthus, which form hetero-pores on the target membranes93. Results C l The initial studies of Equinatoxins, in which these proteins were isolated and identified using bioassay-guided fractionation, do not report on the fraction of the total hemo- lytic activity represented by the isolated toxins, and thus it is currently unclear whether the same phenomenon, namely loss of activity during purification, also occurs in sea anemones94,95. Given the complexity of most animal venoms (which contain tens to thousands of different molecules), the potential for synergistic activity between venom constituents (or constituents of defensive chemical cocktails) is an exciting field of research. This also highlights the importance of quantitative analysis of the activity eluted during chromatography to identify such potential cases of synergism. What are the roles of actinoporins in corals? Actinporins have been identified in the nematocysts of sea anemones, Hydra and corals16,96–98, and thus some of these proteins at least seem to be ancient bona-fide components of cnidarian venom. In some cnidarians, most notably sea anemones and Hydra, actinoporins are observed as gene families that underwent gene duplication and diversification (Fig. 6 60,72). Unlike many toxins from cone snails and scorpions, which are under strong positive/diversifying selection, most of the residues in actinoporins are under strong negative/purifying selection, although some might be affected by episodic diver- sifying selection39,60,80. Our analysis reveals multiple different actinoporin transcripts, likely resulting from gene diversification events, in some stony corals such as Porites australiensis, Porites lobata, Platygyra carnosus and Seriatopoa sp, but not in others (Fig. 6, Supplementary Table 1 and fasta file). Given the fragmented state of most of the cnidarian genomes and transcriptomes, including those we used for this analysis76, and the fact that many genome or transcriptome assembly algorithms collapse closely-related gene variants99, we cannot rule out similar diversification in the other stony corals shown in Fig. 6. The limited gene duplication and diversification observed SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 8 www.nature.com/scientificreports/ in Stylophora (only two sequences, one of which is partial, Supplementary Table 1), a trait often suggested to be driven by a “predator-prey arms race” (e.g.80,100), together with the relatively low number of nematocysts dis- charged during the homogenization process (Fig. 1), lead us to speculate that Δ-Pocilopotoxin-Spi1 may be a non-nematocystic protein primarily used for defense against predators. Concluding remarks - the flexibility and potential ecological importance of the chemical arma- ment of corals. Material and Methods Coral collection and maintenance. All coral colonies and coral fragments were collected from an in situ coral nursery near the Interuniversity Institute for Marine Sciences (IUI N 29° 30.211′ E 34° 55.068) at a 5–12 m depth located at the Gulf of Eilat, a northeastern extension of the Red Sea (Fig. 1). The use of corals for this research was approved by the Israel Nature and Parks Authority (authorizations 2012/38770, 2014/40464 and 2015/40869). ) For the comparison of hemolytic toxicity and nematocyst density between different organisms, five similarly sized coral fragments were collected by SCUBA diving during July 5 2015, maintained during the dive in plastic bags filled with ambient seawater, and immediately transferred to a −80 °C freezer (within several minutes) until use. Each fragment was collected from a different colony. No release of hemolytic activity into the water was observed in preliminary tests where Stylophora corals were fragmented under controlled conditions, suggest- ing that any changes in hemolytic activity are not due to stress during sampling. Fragments from the following organisms were collected: Stylophora pistillata (mean surface area of each collected fragment (SA) of 23 ± 4 cm2), Montipora meandrina (SA of 27 ± 6 cm2), Acropora sp. (SA of ∼18 ± 5 cm2), Favia favus (SA of ∼4 ± 6 cm2), Favites sp. (SA of ∼75 cm2), Pocillopora sp. (SA of 15 ± 9 cm2) and Millepora sp. (SA 21 ± 7 cm2).f p p p p p In order to test whether different parts of the colony exhibit similar levels of hemolytic activity, two Stylophora colonies were randomly selected and collected on July 2, 2015. The dimensions for Colony 1 were approximately 16 × 14 × 7 cm and for colony 2 were 11 × 9 × 7 cm (length-width-height). The colonies were gently transferred to the IUI wet lab (within several minutes) and cut into fragments using a custom-made small electric saw. Each fragment was given an ID number to identify the fragments’ mother colony and its’ location within the colony (see below) and immediately transferred to a 80 °C freezer until use. In order to test whether acclimation in water table facility change the hemolytic activity or nematocyst counts, five similarly sized coral fragments of Stylophora were collected in September 15, 2014 as described above, and kept for approximately 11 months in an outdoor water table with running natural seawater. Results C l In this study, we focused on two aspects of the chemical armament of cnidarians, the density of the nematocysts in the tissue (the nematocysts being the delivery system for many toxins) and the tissue hemo- lytic activity. We propose that these can be considered as quantitative functional traits related to prey capture or defense from predators. Our results reveal large and consistent differences in these two traits, both between stony coral species and within colonies of Stylophora. Furthermore, these traits are dynamic over time, as seen in the reduction in both traits in Stylophora colonies maintained in water tables compared to colonies from the wild, and we propose that these changes are related to predation pressure. Notably, previous studies have suggested such a possibility; for example, Gochfeld43 showed that the Hawaiian coral Porites compressa responded to grazing by butterflyfishes by increasing the density of nematocysts, and that these changes were associated with reductions in palatability and subsequent predation rates on the damaged corals. p y q p g In some cases, toxins (including hemolysins) can also be secreted101. Recently, chemical cues released by healthy corals have been shown to attract the larvae of both fish and corals, whereas degraded corals did not release such cues, or released non-attractive cues102, suggesting that such chemical cues are critical for the main- tenance of a healthy, reproducing reef. It is not unlikely that the toxins produced by corals may be part of the chemical “bouquet” released by corals and conveying information on the species composition or health of the reef. Further studies of the chemical armament of corals may not only help understand the physiology and ecol- ogy of these organisms but may also provide biomarkers of reef health. Material and Methods Positive control (100% hemolysis) and negative control (0% hemolysis) were also determined by incubating erythrocytes with DDW and PBS alone, respectively. In this study, the amount of homogenate lyses 50% of human erythrocytes in 0.5 ml after incubation at 37 °C for 30 min was defined as 1 hemolytic unit. Bioassay-guided column chromatography and mass spectrometry. The Stylophora hemolysin was partially purified using a combination of Ion Exchange Chromatography (IEX) followed by Hydrophobic Interaction Chromatography (HIC). IEX chromatography was carried out using a 18 ml Q- sepharose FF column equilibrated with 50 mM Tris- HCl, PH = 7.8, and eluted with 50 mM Tris-HCl + 1 M NaCl, PH = 7.8. The sample volume loaded on the IEX column was 3 ml and the flow rate was 12 ml/min. 1 ml fractions were collected, sub- jected to the hemolysis assay described above, and the active fractions were pooled as described in the results sec- tion, below. One active fraction was then adjusted to 3 M NaCl and applied to a 7.5 ml Phenyl- sepharose HP HIC column, equilibrated with 50 mM + 3 M NaCl, PH = 7.8, and eluted with 50 mM Tris-HCl, PH = 7.8. The sample volume loaded on the HIC column was 10 ml and the flow rate was 3 ml/min. The fractionation volume of the elution was 2 ml at 0%- 50% B and 5 ml at 50%-100% B. The active fractions were stored at -80◦C between each chromatography step. Proteins in the fractions after HIC were identified using Tandem MS/MS, performed at the Smoler Center for Proteomics at the Technion. Protein samples were digested by trypsin, analyzed by LC-MS/ MS on a Q-Exactive tandem mass spectrometer (Thermo) and identified using the Discoverer software against all predicted proteins from the transcriptome of Stylophora pistillata76. Bioinformatic analyses. Sea anemone actinoporins and Gastropod actinoporin- like sequences were retrieved from the NCBI database using BLASTp with the Stylophora hemolysin and Equinatoxin-II (EqT-II) as queries. Hydra- Actinoporin- like sequences (HALS) are those described in Glasser et al.71. Sequences of reef building organisms were retrieved similarly from the reef genome “comparative genomics” website at http:// comparative.reefgenomics.org/blast/# 76. A second round of BLAST was performed using all of the sequences identified as discussed above against the reef genomes website, the Nematostella vectensis genome and the ncbi Transcriptome Shotgun Assembly (TSA) database to verify the completeness of the sequence database. Material and Methods The corals experi- enced natural dark/light regimes and were shaded with a 30% black mesh. The corals were suspended in the water using fine nylon threads to avoid contact with the container walls. On August 9, 2015 the tissue was removed, the hemolytic toxicity and nematocyst density were measured as described below and the results compared to those of the fragments collected during July 2015. Tissue extraction, surface area measurement and nematocyst counts. Frozen coral fragments were removed from the −80 °C freezer, the tissue was immediately removed from the skeleton using an air brush and filtered sea water, and the volume of the tissue-water slurry was recorded. The tissue-water slurry was further homogenized using an electrical homogenizer (mrc,HOG-160-1/2) for 10 seconds. 100 μl of the homogenate were then used for nematocysts counting using a hemocytometer (five arbitrarily selected fields per fragment) and the rest was centrifuged at 12,000 rpm for 3 min. The supernatant of this aqueous crude extract was used for the hemolysis assay described below. The remaining skeleton was dried and its surface areas was measured using the nextEngine’s 3D Scanner and ScanStudio™ software (NextEngine, Inc. Santa Monica, California). Hemolysis assay. The hemolytic activity of the tissue homogenates was determined as described previ- ously103 using human blood type B+ blood obtained from the Eilat Blood Bank. In brief, to obtain a pure suspen- sion of erythrocytes, 5 mL of whole blood was brought to 50 ml using phosphate buffered saline (PBS, pH 7.4), and centrifuged at 2500 g for 5 min at 4 °C. The supernatant was removed by gentle aspiration, and the washing was repeated until the supernatant was clear. The washed erythrocytes were finally resuspended in PBS to a final concentration of 4% (v/v). For each hemolysis assay, 400 μl of the crude extract, the chromatographic fractions SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 9 www.nature.com/scientificreports/ or their serial dilutions in PBS were incubated with 100  μl of the erythrocyte suspension at 37 °C for 30 min in a water bath, 1 ml of PBS was added, and the assays were centrifuged at 2500 g for 5 min at 4 °C. The supernatants were transferred to 96-well microplates and the absorbance at 540 nm was determined by using a spectrophoto- metric microplate reader (BioTek Synergy™ HTX for the analyses of the inter- and intra-colony variation and Perkin-Elmer EnSpire for the analyses of the chromatographic separations). Material and Methods Sequences with internal stop codons were removed and the sequences were aligned in using MAFFT version 7 at http:// mafft.cbrc.jp/alignment/server/ 104 with the default parameters. The alignment was clipped at the start and end to correspond to the protein coding region of Equinatoxin-II (Fig. 5), and sequences that had low coverage (<20%) of this region, or whose alignment over this region was of extremely low quality, were removed. A full list of the actinoporins identified in the search, as well as their sequences, can be found in the Supplementary fasta file. The most appropriate model (WAG + G) was selected using ProtTest 3.2 (Darriba et al., 2011), a Maximum Likelihood tree was constructed in MEGA 6 with 1000 bootstrap pseudoreplicates, and a Bayesian tree was com- puted using MrBayes with the analysis stopped when the split frequencies were below 0.01 (~2,000,000 gen- erations). 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Brodie, E. D. III Toxins and venoms. Curr. Biol. 19, R931–R935 (2009).h 79. Brodie, E. D. III Toxins and venoms. Curr. Biol. 19, R931–R935 (2009).h 80. Sunagar, K. & Moran, Y. The Rise and Fall of an Evolutionary Innovation: Contrasting Strategies of Venom Evolution in Ancient and Young Animals. PLoS Genet. 11, e1005596 (2015).i g 81. Li, M., Fry, B. G. & Kini, R. M. Eggs-Only Diet: Its Implications for the Toxin Profile Changes and Ecology of the Marble Snake (Aipysurus eydouxii). J. Mol. Evol. 60, 81–89 (2005). References Rapid Hydrogen Peroxide release from the coral Stylophora pistillata during feeding and in response to chemical and physical stimuli. Scientific Reports 6, 21000 (2016). 58. Mancheño, J. M., Martin-Benito, J., Martinez-Ripoll, M., Gavilanes, J. G. & Hermoso, J. A. Crystal and electron microscopy structures of sticholysin II actinoporin reveal insights into the mechanism of membrane pore formation. Structure (Camb) 11, 1319–1328 (2003). 59. Oliveira, J. S., Fuentes-Silva, D. & King, G. F. Development of a rational nomenclature for naming peptide and protein toxins from sea anemones. Toxicon 60, 539–550 (2012).h 60. Valle, A. et al. The multigene families of actinoporins (part I): Isoforms and genetic structure. Toxicon 103, 176–187 (2015). k ll k d l h f b l f h 61. Rojko, N., Dalla Serra, M., Maček, P. & Anderluh, G. Pore formation by actinoporins, cytolysins from sea anemones. Biochimica et Biophysica Acta (BBA) - Biomembranes 1858, 446–456 (2016).h p y 62. Valle, A. et al. The multigene families of actinoporins (part II): Strategies for heterologous production in Escherichia coli. Toxicon 118, 64–81 (2016). SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 11 www.nature.com/scientificreports/ SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 www.nature.com/scientificreports/ Maček, P. & Lebez, D. Isolation and characterization of three lethal and hemolytic toxins from the sea anemone Actinia equina L Toxicon 26, 441–451 (1988).i ( ) 96. Gacesa, R. et al. Gene duplications are extensive and contribute significantly to the toxic proteome of nematocysts isolated from Acropora digitifera (Cnidaria: Anthozoa: Scleractinia). BMC Genomics 16, 774 (2015).i g 97. Basulto, A. et al. Immunohistochemical targeting of sea anemone cytolysins on tentacles, mesenteric filaments and isolated nematocysts of Stichodactyla helianthus. Journal of Experimental Zoology Part a-Comparative Experimental Biology 305A, 253–258 (2006). 98. Balasubramanian, P. G. et al. Proteome of Hydra nematocyst. J. Biol. Chem. 287 (2012). 99. Macrander, J., Broe, M. & Daly, M. Multi-copy venom genes hidden in de novo transcriptome assemblies, a cautionary tale with the snakelocks sea anemone Anemonia sulcata (Pennant, 1977). Toxicon 108, 184–188 (2015). 100. Moran, Y. et al. Neurotoxin localization to ectodermal gland cells uncovers an alternative mechanism of venom delivery in sea anemones. Proceedings of the Royal Society B: Biological Sciences (2011). g nemones. Proceedings of the Royal Society B: Biological Sciences (201 101. Zhang, S., Gao, B. & Zhu, S. Target-Driven Evolution of Scorpion. Toxins. 5, 14973 (2015). 102. Gunthorpe, L. & Cameron, A. M. Toxic exudate from the hard coral Goniopora tenuidens. Toxicon 28, 1347–1350 (1990).i 103. Dixson, D. L., Abrego, D. & Hay, M. E. Chemically mediated behavior of recruiting corals and fishes: A tipping point that may reef recovery. Science 345, 892–897 (2014). y 104. Sher, D. et al. Hydralysins, a new category of beta-pore-forming toxins in cnidaria. J. Biol. Chem. 280, 22847–22855 (2005). 105. Katoh, K., Rozewicki, J. & Yamada, K. D. MAFFT online service: multiple sequence alignment, interactive sequence choice and visualization. Brief. Bioinform. bbx108 (2017).h 106. García-Linares, S. et al. The sea anemone actinoporin (Arg-Gly-Asp) conserved motif is involved in maintaining the competent oligomerization state of these pore-forming toxins. FEBS J. 281, 1465–1478 (2014). g p g 07. Kristan, K. C., Viero, G., Dalla Serra, M., Macek, P. & Anderluh, G. Molecular mechanism of pore formation by actinoporins Toxicon 54, 1125–1134 (2009). SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 SCIEnTIfIC REPOrTS | (2018) 8:251 | DOI:10.1038/s41598-017-18355-1 12 www.nature.com/scientificreports/ Acknowledgements g We thank D. Aharonovich for assistance with the bioinformatics, D. Morgenstern for help with the proteomic analysis and T. Mass for the use of the photographs in Figure. 1. We thank the Inter-university Institute for Marine Sciences in Eilat for logistic and financial support to HBA. We also thank the many students of the course on “Marine Venoms and Defense Systems”, held at the IUI, whose course lab-work laid the foundations for this study. This work was supported by grant 1994/13 from the Israel Science Foundation to DS Author Contributions H.B.A., M.P. and D.S. conceived the study, performed the experiments, analyzed the data and wrote the manuscript. Additional Information Supplementary information accompanies this paper at https://doi.org/10.1038/s41598-017-18355-1. Competing Interests: The authors declare that they have no competing interests. Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. 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) 8:251 | DOI:10.1038/s41598-017-18355-1 13
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Refugiados urbanos: política, polícia e resistência nas fronteiras da cidade
André Zuzarte
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Sistema de Informação Científica Redalyc Rede de Revistas Científicas da América Latina e do Caribe, Espanha e Portugal Sem fins lucrativos acadêmica projeto, desenvolvido no âmbito da iniciativa acesso aberto Sistema de Informação Científica Redalyc Rede de Revistas Científicas da América Latina e do Caribe, Espanha e Portugal Sem fins lucrativos acadêmica projeto, desenvolvido no âmbito da iniciativa acesso aberto Como citar este artigo Número completo Mais informações do artigo Site da revista em redalyc.org * Doutorando do Programa de Pós-Graduação em Relações Internacionais da PUC-Rio. Rio de Janeiro, RJ, Brasil. * Professora e Coordenadora do Programa de Pós-Graduação em Relações Internacionais, Instituto de Relações Internacionais, PUC-Rio. Rio de Janeiro, RJ, Brasil. REMHU: Revista Interdisciplinar da Mobilidade Humana ISSN: 1980-8585 ISSN: 2237-9843 Centro Scalabriniano de Estudos Migratórios REMHU: Revista Interdisciplinar da Mobilidade Humana ISSN: 1980-8585 ISSN: 2237-9843 Centro Scalabriniano de Estudos Migratórios DOI: 10.1590/1980-85852503880005314 Disponível em: http://www.redalyc.org/articulo.oa?id=407056528014 Como citar este artigo Número completo Mais informações do artigo Site da revista em redalyc.org REFUGIADOS URBANOS: POLÍTICA, POLÍCIA E RESISTÊNCIA NAS FRONTEIRAS DA CIDADE André Zuzarte* 1 Carolina Moulin** 2 Resumo. Mais da metade dos refugiados no mundo encontra-se nas cidades. Como os debates críticos sobre a questão urbana dialogam com as temáticas recorrentes do campo de estudos sobre refúgio? Esse artigo busca promover um movimento preliminar de mapeamento de duas leituras prevalentes da questão dos refugiados urbanos, notadamente atreladas aos temas de proteção e às práticas de fronteirização e de resistência. De um lado, discute-se a cidade e o refúgio como experiências fortemente controladas e disciplinadas por aparatos institucionais, entendidas assim como dinâmicas de ‘policiamento’. De outro, lê-se o urbano e a experiência do refúgio como espaços de transformação e de afirmação subjetiva da liberdade, delimitadas por processos de politização. A partir de exemplos, o artigo denota as possibilidades abertas pela inserção do urbano como dimensão central da condição refugiada contemporânea. Palavras-chave: refugiados urbanos; política; resistência; cidade. Abstract. More than half of the world’s refugees now live in cities. How do critical urban studies dialogue with current debates in refugee studies? This paper advances a preliminary mapping of two recurring readings of the question of urban refugees, notably related to themes of protection, bordering practices and strategies of resistance. On one hand, we discuss the city and asylum as experiences controlled and disciplined by institutional apparatuses and framed as policing dynamics. On the other, we highlight narratives of the junction of the urban and of refugee populations as spaces of transformation and experiences of subjective affirmation of freedom, framed as practices of politicization. Based on examples, the paper explores the possibilities opened up by the insertion of the urban as a central dimension of the refugee condition today. Keywords: urban refugees; politics; resistance; city. 219 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 Refugiados urbanos: política, polícia e resistência nas fronteiras da cidade A emergência da questão urbana para o tema do refúgio e da proteção às populações refugiadas ganhou proeminência significativa somente nas duas últimas décadas. Tradicionalmente pensados sob a lógica do ‘campo’ e da assistência humanitária em áreas rurais e sob ótica temporária (Ferris, 2011), refugiados urbanos foram vistos historicamente como exceção, a despeito do forte processo de urbanização experimentado globalmente desde a década de 1950. 2 Os campos, em geral, garantem maior capacidade de administração sobre a população refugiada ao confiná-la em um mesmo espaço e submetê-la a um rígido controle, restringindo parcialmente ou integralmente sua liberdade de movimento. As cidades, em contrapartida, são espaços mais dinâmicos, onde não é possível exercer um controle tão rígido sobre essa população. Em sua política de 2009, o ACNUR reafirma as facilidades que os campos oferecem em comparação ao meio urbano ao sublinhar que “nos campos de refugiados, o ACNUR e seus parceiros têm acesso mais fácil às pessoas assistidas, concentradas em espaços que, em alguns aspectos, são destinados a facilitar o fornecimento de proteção, soluções e assistência. Esse não é o caso em relação às áreas urbanas” (ibidem, p. 13). 1 De acordo com o ACNUR, 58% da população total de refugiados no mundo vive atualmente em áreas urbanas. Para saber mais: ACNUR, 2018. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 REFUGIADOS URBANOS: POLÍTICA, POLÍCIA E RESISTÊNCIA NAS FRONTEIRAS DA CIDADE De fato, o Alto Comissariado das Nações Unidas para Refugiados (ACNUR), organismo internacional responsável pela promoção e proteção dos direitos das populações refugiadas, somente reconheceu a prioridade do tema dos refugiados urbanos em 2009, quando da reformulação de sua política para proteção e soluções para refugiados urbanos (ACNUR, 2009). Estima-se que hoje, mais da metade das pessoas refugiadas no mundo vive em contextos urbanos – seja nas próprias cidades ou em suas cercanias1. Essa dinâmica apresenta enormes dificuldades para a assistência e acolhida. A dispersão territorial, a invisibilidade social, a heterogeneidade das dinâmicas sociais, espaciais e econômicas do urbano contemporâneo, acopladas à própria difusão, e por vezes sobreposição, das estruturas de governança e autoridade tornam a cidade um lócus particularmente desafiador aos atores que trabalham junto à população refugiada2. Mas cidades também mobilizam aberturas e potencialidades ao permitir (re)conexões sócio-espaciais, particularmente, a possibilidade de maior interação com a sociedade de acolhida e melhores oportunidades de inserção econômica e laboral, mesmo que em contextos de crescente precariedade. Acessos a serviços básicos e, inclusive, à própria estrutura burocrática do processo de solicitação de refúgio e de documentação são facilitados em contextos urbanos. No caso brasileiro, há relatos de refugiados em áreas rurais que acabaram migrando para cidades de grande e médio porte por incapacidade econômica e material de acesso ao sistema de elegibilidade (Facundo, 2017). Por vezes, cidades se tornam refúgios inescapáveis. Esse contexto de emergência da questão dos refugiados urbanos e de sua saliência para o contexto brasileiro, haja vista que a grande maioria dos solicitantes de refúgio e refugiados estão concentrados nas áreas urbanas (ACNUR, 2017), convida a uma reflexão sobre como pensar o urbano sob REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 220 André Zuzarte, Carolina Moulin a ótica do deslocamento forçado e vice-versa. Ou seja, como fazer dialogar os debates críticos sobre a questão urbana com as temáticas recorrentes do campo de estudos sobre refúgio (refugee studies), notadamente atreladas às questões de proteção, às políticas de fronteirização e às práticas de resistência? Este artigo busca promover um movimento preliminar de mapeamento de duas leituras recorrentes da questão dos refugiados urbanos, ancoradas elas próprias em interpretações específicas sobre o papel social da cidade e sobre a natureza do fenômeno do refúgio. REFUGIADOS URBANOS: POLÍTICA, POLÍCIA E RESISTÊNCIA NAS FRONTEIRAS DA CIDADE De um lado, discute-se a cidade (enquanto espaço de governança territorial e social) e o refúgio (enquanto instituto de reterritorialização e estabilização de corpos em movimento) como instâncias fortemente controladas e disciplinadas por aparatos institucionais, entendidas assim enquanto dinâmicas de ‘policiamento’ (Rancière, 1999). De outro, lê-se o urbano e a experiência do refúgio como espaços de transformação e expressão de resistência e de afirmação subjetiva da liberdade (Mezzadra, 2004), delimitadas aqui em uma interpretação do refúgio e do urbano como processos de politização e não como meros produtos da política governamental. Embora organizadas para fins heurísticos como dois polos do debate, entendemos que se trata de leituras sobrepostas e interrelacionadas na prática, articuladas na junção da cidade como espaço concebido – planejado, articulado e estrategicamente produzido – e espaço vivido – habitado, reconfigurado e ressignificado por práticas sociais (Zhang, 2006) – e da condição refugiada como categoria burocrático-jurídica e vida biográfica (Fassin, 2007). Na primeira parte, revisitamos parte da literatura que pensa as cidades como espaços de (re)produção da autoridade soberana estatal, nos quais a população refugiada está submetida a diferentes estratégias de controle e regulação. Desse grupo, recuperaremos os trabalhos que refletem sobre a ressonância das políticas estatais de refúgio sobre a vida cotidiana desses indivíduos e, na sequência, aqueles que iluminam os processos de fronteirização que acontecem nas cidades. Na segunda parte, resgatamos autores que exemplificam mecanismos de ressignificação do urbano por populações refugiadas para refletir sobre o potencial de transformação e contestação contido nas cidades, realçando-se as práticas de apropriação e reconstituição simbólico-material em contextos urbanos. À guisa de conclusão, ponderamos sobre o potencial que a interlocução entre estudos urbanos e estudos de migração forçada podem trazer para a reflexão sobre a condição refugiada e as políticas de pertencimento contemporâneas. 2 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 3 Essa conclusão parece comum tanto aos críticos que procuram resgatar o liberalismo político e/ou a democracia representativa a partir de sua transformação e/ou radicalização (Benhabib, 2001; Habermas, 1997; Rawls, 1999) quanto àqueles que denunciam a sua imbricação com formas contemporâneas de exclusão e produção de injustiça sistêmica (Agamben, 2000; Wacquant, 2008). A cidade policial e o refugiado policiado Importante conclusão emanada dos debates sobre os limites das democracias contemporâneas encontra-se no reconhecimento do esgotamento das formas liberais de fazer política com a respectiva conversão dos espaços, 221 221 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 Refugiados urbanos: política, polícia e resistência nas fronteiras da cidade formas e procedimentos decisórios em mecanismos de reprodução de poder e domínio3. Rancière argumenta que a política foi hoje convertida em ‘polícia’, i.e., o gerenciamento e gestão de (dis)posições de poder que tomam como dada uma certa repartição do sensível (Rancière, 1999). Entende-se assim, por exemplo, que, na visão da política como polícia, a distinção entre cidadãos e estrangeiros, entre aqueles que podem participar da comunidade e aqueles que dela são excluídos, é tomada como natural e consensual, e cumpre ao poder soberano garantir que essa repartição de direitos e atribuições seja mantida e ordenada. A democracia existe assim como mecanismo de produção de um consenso mínimo sobre as fronteiras que separam aqueles que fazem parte e que ‘contam’ em relação aos demais. A política propriamente dita, para Rancière, refere-se ao rompimento radical dessa ‘ordem natural’ das coisas por meio, sobretudo, do dissenso. A política é definida pela dinâmica de contestação dos processos que constituem as partes do jogo político e pelas disputas que seus significados engendram. É justamente essa irredutibilidade da disputa a uma lógica unívoca, singular e universal que constitui a essência do político. Não se trata apenas de uma reação dos sujeitos (subordinados) aos seus soberanos, mas da própria noção de que essas categorias são dotadas de sentido e de que a elas se atribuem determinadas posições no jogo social. Refere-se assim ao político como a dinâmica produzida por aqueles que não têm (fazem) parte. O político, no limite, trata da própria reinvenção da política, dos seus limites espaciais, temporais e subjetivos. Essa distinção nos parece particularmente importante para situar a discussão sobre a relação entre a cidade e o refúgio, como categorias analíticas e sociais. Conforme esclarece Darling (2016), a subsunção da cidade e do refúgio e, por conseguinte, da questão dos refugiados urbanos sob a ótica da polícia tem prevalecido em grande parte da literatura. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 A cidade policial e o refugiado policiado A leitura policial remete às práticas e políticas – tecnológicas e organizacionais – voltadas para monitorar e controlar a população: para tornar os não-contáveis (uncountable) em contáveis (countable) e, assim, dar forma ao que surge como ininteligível (e ameaçador) à ordem concebida (Rancière, 1999). Os trabalhos nesta linha iluminam as práticas de governança e disciplinarização que atravessam o processo de inserção dos refugiados na cidade (El-Kayed, Hamann, 2018; Grabska, 2006; Lebuhn, 2013). Revelam, assim, as diferentes formas pelas REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 222 André Zuzarte, Carolina Moulin quais o Estado e seu aparato administrativo se materializam na vida cotidiana desses indivíduos. As cidades surgem como ponto de apoio fundamental às preocupações estatais com a preservação da ordem nacional das coisas (Malkki, 1995). Seus espaços são geridos pela compreensão convencional do direito a habitar e pertencer, atrelado ao reconhecimento formal, expresso, em última instância, pela posse da cidadania. Como consequência, a presença de refugiados e solicitantes consolida-se como um problema ou um excedente, nos termos de Rancière. Em resposta, desenvolve-se um aparato governamental disposto a organizar e conformar esse excedente à ordem vigente. É nessas estratégias e tecnologias pensadas para controlar, conter ou expulsar os sujeitos que se expressa a dimensão policial das cidades (Darling, 2016). De particular interesse são os estudos dedicados a refletir sobre o impacto do aparato burocrático-administrativo atrelado ao refúgio sobre a vivência de solicitantes e refugiados no meio urbano, nos quais a construção da política urbana aparece sob a esteira de uma cidade policial que está articulada à conversão e reprodução da condição e do corpo refugiado como lócus de seu controle4. Nesse sentido, a condição urbana se acopla à condição refugiada para a produção e reprodução de fronteiras territoriais (por exemplo, na contenção espacial de refugiados em guetos e áreas designadas) e simbólicas (de preconceitos raciais, étnicos, nacionais, de gênero que se materializam na interação com esses grupos). Assim, para além das práticas de controle comuns a todos os habitantes das cidades, refugiados e solicitantes estão submetidos a uma série de procedimentos burocrático-administrativos que moldam suas experiências cotidianas. 4 Interessante notar que, historicamente, a figura do estrangeiro mobilizou tanto a xenofobia, quanto a xenofilia. Se em determinados momentos, prevaleceu a percepção do estrangeiro como estranho e ameaçador à sociedade de acolhida; em outros, foram convidados a adentrar a nação e para ela contribuir. Esse foi o caso, por exemplo, de refugiados do Leste para países ocidentais durante a primeira fase da Guerra Fria, interpretados e mobilizados como defensores dos direitos civis, da liberdade política e dos valores liberais. O que não significa que seu processo de integração e sua presença tenham sido geridos e recebidos univocamente de forma pacífica e desejada. Essa ambivalência é explorada em diversos estudos históricos como: Marrus, 1985; Honig, 2002; Sassen, 1999. 5 Por exemplo, em alguns países, solicitantes são proibidos de residir em determinadas zonas urbanas e/ou de circular fora de determinados territórios. No Brasil, refugiados devem solicitar autorização ao governo para saída do país e devem comunicar à Polícia Federal qualquer mudança de endereço, sob as penas da lei, inclusive sob pena de perder o estatuto. 4 Interessante notar que, historicamente, a figura do estrangeiro mobilizou tanto a xenofobia, quanto a xenofilia. Se em determinados momentos, prevaleceu a percepção do estrangeiro como estranho e ameaçador à sociedade de acolhida; em outros, foram convidados a adentrar a nação e para ela contribuir. Esse foi o caso, por exemplo, de refugiados do Leste para países ocidentais durante a primeira fase da Guerra Fria, interpretados e mobilizados como defensores dos direitos civis, da liberdade política e dos valores liberais. O que não significa que seu processo de integração e sua presença tenham sido geridos e recebidos univocamente de forma pacífica e desejada. Essa ambivalência é explorada em diversos estudos históricos como: Marrus, 1985; Honig, 2002; Sassen, 1999. 5 Por exemplo, em alguns países, solicitantes são proibidos de residir em determinadas zonas urbanas e/ou de circular fora de determinados territórios. No Brasil, refugiados devem solicitar autorização ao governo para saída do país e devem comunicar à Polícia Federal qualquer mudança de endereço, sob as penas da lei, inclusive sob pena de perder o estatuto. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 6 Segundo dados do Comitê Nacional para os Refugiados (CONARE), existem hoje mais de 85 mil solicitações de refúgio aguardando resposta – o que torna o Brasil o 6º país em número de solicitações acumuladas. Para saber mais: Mello, 2018. 7 Como nos aponta Facundo (2017, p. 113), “Às pessoas que consigam ativar a solicitação de refúgio lhes é entregue um ‘protocolo’ que funciona como documento de identidade e que dá acesso ao SUS, à rede de ensino público e permite tramitar outros documentos importantes para a vida empregatícia e civil brasileira como o CPF e a carteira de trabalho”. A cidade policial e o refugiado policiado A exigência de ter de esclarecer a todo momento sua condição; de comprovar seu estatuto migratório para atos cotidianos, como reportar um crime à autoridade policial ou receber atendimento médico, além da existência de normas específicas a regular sua permanência e circulação5 são só algumas das instâncias que revelam a penetração estatal na esfera do vivido. Embora as 223 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 Refugiados urbanos: política, polícia e resistência nas fronteiras da cidade normas do refúgio não determinem univocamente os fatos sociais atrelados à vida biográfica de refugiados, criam um espaço epistêmico de interação social que influencia e condiciona as possibilidades de apropriação e participação desses indivíduos no espaço urbano. A vida burocrática do refúgio, como define Young, pode limitar o acesso a serviços e espaços da cidade (Young, 2011). Entre os elementos que apontam para as práticas de controle específicas sobre refugiados, Young destaca o caso de jovens solicitantes de refúgio em uma escola pública canadense. Apesar de ocultarem seu estatuto migratório com o intuito de não serem vistos como diferentes, atividades escolares cotidianas expunham sua condição migratória recorrentemente e evidenciavam as barreiras invisíveis a separar esses jovens dos demais alunos (ibidem). A participação em atividades externas, por exemplo, era condicionada à apresentação de um cartão que comprovasse a cobertura por um seguro de saúde, do qual, como solicitantes de refúgio, não dispunham. A ausência do documento tornava a negociação para viabilizar sua participação mais burocratizada e a subordinava à apresentação de um ofício nos quais os pais assumiam integralmente a responsabilidade por qualquer dano que pudesse acontecer a seus filhos. A demanda documental, atrelada a uma política de suposta inclusão universal ao sistema de ensino, criava barreiras ‘informais’ ao acesso ao direito, gerava atritos na relação entre pais, alunos solicitantes e a escola e dificultava o processo de integração. No caso em questão, a ausência do documento estava diretamente atrelada à demora na resposta estatal aos pedidos de reconhecimento do estatuto. Além de marcar diferenças no acesso à participação das atividades escolares, a indefinição sobre a solicitação de refúgio dificultava a construção de um sentimento de pertencimento por parte desses jovens ao ambiente escolar, ao passo em que a iminência de ter que deixar tudo para trás caso tivessem seu pedido indeferido os assombrava e reforçava seu sentimento de exclusão. A cidade policial e o refugiado policiado No Brasil, o longo tempo para se julgar os pedidos de refúgio geram problemas semelhantes6. O protocolo provisório, que funciona como documento de identificação enquanto o pedido aguarda julgamento, é comumente rejeitado por órgãos públicos e privados por não ser reconhecido como um documento de identificação convencional7. Além disso, a incerteza REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 224 André Zuzarte, Carolina Moulin sobre o futuro mantém a vida desses solicitantes de refúgio em permanente estado de suspensão (e suspeição), gerando dificuldades práticas para sua inserção à sociedade brasileira. Como relatam Lacerda e Gama (2016) uma solicitante teve sua possibilidade de emprego negada sob a justificativa de seu empregador de que “não contrataria alguém que poderia ser obrigada a ir embora no dia seguinte do país” (ibidem, p. 72). A história da solicitante anônima ilustra como as barreiras burocráticas atreladas aos processos de elegibilidade se materializam na vida cotidiana dessas pessoas, assim como o enorme desconhecimento por parte da sociedade de acolhida de suas especificidades. A proliferação dessas barreiras remonta ao aumento dos deslocamentos de países do Sul em direção ao Norte, especialmente na década de 90. Para frear esses fluxos e impedir seu acesso ao refúgio, os processos de elegibilidade se transformaram em verdadeiros labirintos burocráticos. A proteção da pessoa cedeu lugar à regulação estrita do instituto jurídico e à concomitante criminalização dos solicitantes (Scheel, Squire, 2014). De um lado, a categoria de refugiados foi fracionada em múltiplas categorias de quase-refugiados, que oferecem formas de proteção paliativas em detrimento da proteção internacional e dos direitos previstos pela Convenção de 1951 (Zetter, 2007). De outro, foram estabelecidos critérios formais e processuais restritivos que tornaram o reconhecimento legal uma possibilidade cada vez mais remota e inacessível. Foi nesse contexto que ganharam força expressões de cunho pejorativo como refugiados econômicos, refugiados ilegais e bogus asylum seeker – todas reforçando a ideia de mobilização indevida do sistema de refúgio por migrantes econômicos que alegariam razões de perseguição como meio de conseguir proteção. Em resposta, a mobilidade passou a ser regida por um complexo aparato governamental. Externamente, mais recursos e financiamento foram direcionados para agentes e atividades de fiscalização, para a construção de infraestruturas avançadas de regulação e vigilância, assim como para implementação de tecnologias biométricas na gestão das fronteiras e dos corpos em movimento. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 A cidade policial e o refugiado policiado Na esteira do crescente policiamento sobre as fronteiras externas, as cidades passaram a desenvolver e praticar seus próprios modos de vigilância e regulação que traduzem e, por vezes, ressignificam as políticas nacionais para os contextos urbanos específicos. As cidades garantem a capilarização das estratégias de policiamento por uma rede ampliada de atores, serviços e espaços. Como frisa Walsh (2014), não se trata do deslocamento do poder estatal, mas de sua difusão. As agências governamentais ainda detêm a prerrogativa do controle migratório. Este, no entanto, tem sido cada vez mais compartilhado, formal e informalmente, entre outros agentes – o que indica que essa difusão é menos um indício de retrocesso 225 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 Refugiados urbanos: política, polícia e resistência nas fronteiras da cidade do Estado e mais um sinal do reforço desse aparato. Como consequência, o controle excede o aparato formal estatal e se espalha por práticas, relações e interações cotidianas. Assim, “espaços públicos, serviços urbanos, locais de trabalho se tornam locais nos quais o alcance punitivo do policiamento fronteiriço pode se materializar a qualquer momento, muitas vezes pelas mãos daqueles intitulados cidadãos responsáveis” (Darling, 2016, p. 184). Suas ações buscam recuperar os sistemas tradicionais de pertencimento e identidade frente a um Estado que enxergam como incapaz de performar com eficácia suas funções (Walsh, 2014). Fazem-no regulando a presença do “outro”, percebido como ameaçador e menos merecedor – o que tem consequências perniciosas para as vidas diárias de refugiados e solicitantes. A ressonância dos regimes estatais de policiamento das fronteiras no espaço urbano permite atentar para a indissociabilidade do (inter)nacional e do local. As cidades revelam-se, assim, um enclave fundamental para transmissão e também intensificação dos discursos e práticas estatais. No entanto, o olhar sobre sua dimensão policial ainda fornece um quadro incompleto. Como nos lembra Lefebvre, as cidades também trazem consigo o potencial para transformação e emancipação. É sobre este potencial que trataremos a seguir. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 8 Em 2002, o Canadá suspendeu a moratória aprovada em 1997 que, reconhecendo a violência existente no país africano, proibira a deportação de argelinos que haviam solicitado refúgio no país ao longo da década de 90 e cujos pedidos haviam sido negados. A decisão expôs milhares de argelinos ao risco de deportação e resultou na eclosão de protestos levados a cabo pelos próprios solicitantes que visavam sensibilizar a opinião pública sobre sua situação e exigir uma resposta político-legal. As agências migratórias canadenses foram o alvo preferencial de seus protestos. O político urbano e o direito ao refúgio na cidade Se o urbano é o espaço das coações, Lefebvre nos lembra que repousa nele igualmente as sementes da revolução (1999). Das ações cotidianas e espaços de sociabilidade espontâneas, argumenta, surgem novas práticas e possibilidades de apropriação e transformação da cidade em completo desacordo e desafio à ordem hegemônica. Para enxergá-las, porém, é necessário superar os campos cegos, despojando-se de velhos conceitos e percebendo as sementes das mudanças plantadas por novos atores, práticas e lugares (Lefebvre, 2001). Parte desse campo cego se constitui pela questão dos refugiados urbanos. Se as estratégias de policiamento são uma dimensão essencial das vivências de solicitantes de refúgio e refugiados no meio urbano, resumi-las a essa dimensão é fornecer um quadro incompleto. Não se trata de relativizar os efeitos do aparato estatal na vida desses indivíduos – reais e concretos, como evidenciamos na seção anterior. Mas iluminar como os espaços da cidade têm funcionado como plataforma para processos que não apenas os de regulação, administração e controle. Como sugerem Uitermark e Nicholls (2014), o urbano é constituído pela tensão inexorável entre o papel de policiamento das cidades e seu potencial para politização – entendido como a possibilidade de subversão e transformação da ordem hegemônica. A compreensão dessa REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 226 André Zuzarte, Carolina Moulin André Zuzarte, Carolina Moulin ambivalência permite avançar uma leitura mais nuançada do processo de inserção de refugiados e solicitantes no meio urbano: leitura que reconhece que as cidades ao mesmo tempo em que ressoam e aprofundam compreensões estadocêntricas sobre direitos e pertencimento, também abrigam processos que as desafiam. Sob essa perspectiva, destacamos os trabalhos que ilustram como a apropriação de diferentes espaços das cidades em manifestações e protestos de solicitantes de refúgio e refugiados foi fundamental para redefinir os limites do espaço político. Analisando os movimentos de solicitantes argelinos contra o governo canadense, em 2002, que tomaram os espaços públicos de Montreal8, Nyers (2011) mostra como ao transformar espaços públicos em locais de ocupação e deliberação para suas plataformas reivindicatórias, o grupo de solicitantes argelinos subverteu o papel tradicional dos solicitantes urbanos como objetos passivos de assistência – definidos por uma política de ausência e falta – em prol de sua afirmação como sujeitos de direitos. O político urbano e o direito ao refúgio na cidade Retomaram, assim, por uma política de presença, a centralidade do contexto urbano para a produção do político como dissenso e da cidade como território de experimentação democrática. No caso brasileiro, foi emblemático o protesto de solicitantes de refúgio palestinos por meio da ocupação das calçadas em frente ao ACNUR e, posteriormente, dos gramados frontais do Palácio Itamaraty, sede da diplomacia brasileira, em 2007. Reassentados no país após o fechamento do campo de refugiados em que moravam, na fronteira com a Jordânia, foram incluídos em um programa de assistência desenhado por organizações da sociedade civil, ACNUR e governos. O programa tinha como objetivo prover os meios necessários para sua plena integração à sociedade brasileira. Meses após a chegada, insatisfeitos com uma série de deficiências do programa, os solicitantes de refúgio rumaram à Brasília onde acamparam em frente à sede do ACNUR para protestar. Em um dos bairros mais nobres da capital, ocuparam as calçadas com seus pertences pessoais e lá ficaram por mais de um ano (Moulin, 2011). A esses protestos se somaram outros tantos ocorridos na primeira década do século XXI em cidades como Nova Déli, Nairóbi e Kampala (Marfleet, 2007). Constituíram uma reação ao endurecimento das políticas contra a presença de solicitantes de refúgio no meio urbano, traduzido em detenções 227 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 Refugiados urbanos: política, polícia e resistência nas fronteiras da cidade arbitrárias, abusos por parte de autoridades locais e até mesmo deportação forçada. O contexto hostil obrigou uma maior articulação coletiva entre eles, que ocuparam os espaços públicos para protestar por melhores condições de vida. Em 2002, centenas de solicitantes birmaneses cercaram o escritório do ACNUR em Nova Déli para exigir que suas solicitações fossem processadas mais rapidamente e que aquelas que haviam sido negadas fossem revistas. Seguravam cartazes com frases como “Vítimas do ACNUR – Assassino Silencioso” (ibidem, p. 42). Em setembro de 2005, um grupo de solicitantes e refugiados sudaneses deu início a um protesto na praça Mustapha Mahmoud, no Cairo, que se prolongou por três meses. Demandavam principalmente participação nas decisões sobre os termos de sua proteção e assistência. Foram duramente reprimidos por forças polícias egípcias com um grau de violência que chocou testemunhas e resultou em várias mortes – incluindo de crianças (Grabska, 2006). 9 Sobre a política de presença e ocupação de não-nacionais em movimentos urbanos no Brasil, ver: Thomaz, 2018. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 10 Aprovada pela Câmara dos Deputados em 16 de dezembro de 2005, a HR4437, conhecida como Lei de Proteção das Fronteiras, Antiterrorismo e Controle da Imigração Ilegal continha um conjunto de medidas que visava aprofundar o controle do Estado sobre a imigração denominada “ilegal”, incluindo a criminalização de todos os imigrantes sem documentos e de qualquer indivíduo ou instituição que lhes fornecesse auxílio. Devido à grande resistência e críticas que sofreu, foi derrotada no Senado. O político urbano e o direito ao refúgio na cidade Demandas específicas à parte, todas essas manifestações reiveindicavam o direito de ter voz sobre os rumos de seu processo de inserção nas sociedades de recepção. Como resume De Genova (2015, p. 48), tais rupturas críticas: confrontam (e afrontam) regimes políticos baseados na suposta “impossibilidade” de que, oficialmente, os não-cidadãos, sem direitos, possam assumir a bandeira da quase-cidadania, outorgando-se a autorização de falar, reconfigurando o espaço do público e reivindicando direitos. Em uma perspectiva lefebvriana, ao tomarem os espaços públicos – a rua é entendida aqui como marco de uma política ativa, de demanda dirigida, de protesto – e reafirmarem sua presença, refugiados e solicitantes reivindicam seu direito à cidade, ou seja, o direito de participar e transformar a vida urbana em função de suas necessidades e desejos e em detrimento dos constrangimentos legais existentes. Se a ordem administrativa nega aos não-cidadãos a agência política para avançarem suas demandas, ao reafirmarem sua presença coletivamente nos espaços da cidade avançam uma concepção pragmática de cidadania, onde o direito de usufruir plenamente da vida urbana deixa de ser delimitado pelo estatuto legal e passa a englobar todos que a habitam (citadins). Estar na cidade torna-se a condição para viver a cidade9. A apropriação coletiva de símbolos e espaços por solicitantes de refúgio e refugiados encontra-se articulada na cidade ao que Darling chama de ‘política de presença’. Trata-se de reconhecer que a permanência e ocupação dos espaços urbanos por essas pessoas constitui-se numa forma de afirmar e assegurar que fazem parte da comunidade, mesmo em contextos em que REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 228 André Zuzarte, Carolina Moulin seu estatuto migratório permaneça indefinido (Ferris, 2011). Nesse sentido, o slogan: “Nós aqui estamos e não vamos sair” – entoado por imigrantes, solicitantes de refúgio e refugiados nas manifestações que tomaram as ruas de várias cidades norte-americanas em protesto à HR 443710, nos fala muito sobre as políticas de presença (De Genova, 2015). Obviamente as práticas reivindicatórias e afirmativas da presença não se resumem ao espaço urbano. Como nos lembra Young (2011, p. 238), habitantes de locais não urbanos, como campos de refugiados, podem avançar reivindicações sobre tais espaços e negociar seu pertencimento em bases diárias. No entanto, as cidades ocupam um lugar central na lógica de funcionamento estatal. O político urbano e o direito ao refúgio na cidade Como vimos, nelas se encontra um conjunto de autoridades governamentais que operam as compreensões excludentes de pertencimento e de política. Além disso, segundo Mitchell (2003): [...] o direito à cidade é um grito, uma demanda (...) que tem força apenas na medida em que existe um espaço a partir do qual e dentro do qual esse grito e essa demanda são visíveis. No espaço público (...) as organizações políticas podem representar a si mesmas para uma população maior e, através dessa representação, imprimir alguma força a seus gritos e demandas. Ao reclamar o espaço em público, ao criar espaços públicos, os próprios grupos sociais tornam-se públicos. Sendo assim, as cidades apresentam potencial de ressonância das políticas de contestação e produção de solidariedades transversais. A apropriação de espaços simbólicos e/ou marcados por forte segregação potencializam seus efeitos disruptivos e conferem visibilidade para suas demandas. Charles Tilly fala da “geografia simbólica” da ocupação desses lugares representativos do poder. Segundo ele, a geográfica simbólica inclui o uso de “monumentos emblemáticos, locais ou edifícios em dramatização de demandas, e a luta pelo controle de espaços públicos cruciais na validação de reivindicações de poder político” (Tilly, 2000, p. 137, tradução dos autores). Nesse sentido, a presença de argelinos nos escritórios de imigração canadense ou dos palestinos ocupando o gramado frontal do Palácio Itamaraty em Brasília constituem uma presença abjeta, uma anomalia preocupante para a ordem soberana (De Genova, 2015, p. 48). Para além da dimensão simbólica, a apropriação de locais estratégicos permite uma maior interação e troca com atores diversos, o que potencializa REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 229 Refugiados urbanos: política, polícia e resistência nas fronteiras da cidade a repercussão das demandas do grupo. O encontro das diferentes escalas nas cidades permite que o alcance dessas pautas extrapole as fronteiras nacionais e ganhe repercussão mundial. No caso dos palestinos, a solidariedade dos habitantes de Mogi das Cruzes, uma das cidades onde foram reassentados, à sua causa resultou na criação de um blog com o objetivo de ajudar os palestinos a conquistar os direitos que lhes foram prometidos e expor as dificuldades pelas quais passavam (Moulin, 2011). Além disso, a imprensa internacional passou a veicular notícias sobre o caso – o que elevou o alcance da manifestação a uma audiência global (ibidem). É neste sentido que Sassen (1998, p. O político urbano e o direito ao refúgio na cidade 17) afirma que, a “cidade é um sítio estratégico para os atores em desvantagem porque lhes permite ganhar presença para poder emergir como sujeitos, ainda quando não ganhem poder de maneira direta”. A ocupação das ruas, praças e demais espaços da cidade por indivíduos em situação de refúgio e seus corpos a partir de manifestações e protestos trata-se, no limite, de um exercício de cidadania que se constitui não como discurso jurídico-político, mas, essencialmente, como prática – que aponta em direção a novas formas de inclusão e pertencimento. Ao viabilizar o encontro, a reunião, a convivência, o espaço público torna possível a ação em conjunto a partir da qual são avançadas práticas de resistência e/ou subversão à ordem hegemônica e às suas contradições que se materializam na vida cotidiana. O espaço público recupera, assim, sua essência democrática no que tange à possibilidade da participação e discussão coletiva sobre os rumos das decisões que afetam suas vidas. Nessa perspectiva, as práticas reivindicatórias e contestatórias que se concretizam nos espaços das cidades podem ser lidas como meios capazes de afetar não apenas o imaginário urbano como também o imaginário (inter) nacional. Ao ser encarada como lócus de práticas que desafiam a lógica governamental a vincular o direito de pertencer e de gozar de direitos à posse da cidadania, as cidades assumem importância estratégica como plataforma de combate a regimes políticos que excluem e segregam aqueles que “não tem parte”. Notas finais Neste artigo, buscou-se analisar os constrangimentos, assim como as potencialidades que o espaço urbano oferece a populações refugiadas. Dentro do debate crítico sobre a questão urbana, mobilizamos especialmente as reflexões avançadas por Lefebvre para pensar o refúgio urbano. Das muitas vias que se abrem a partir desse diálogo, priorizamos a que nos permite pensar o urbano a partir da dialética entre o controle e a resistência ou, como definimos, entre o policiamento e a politização. A vivência do refúgio na cidade surge assim atravessada, por um lado, pelas regulamentações e práticas 230 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 André Zuzarte, Carolina Moulin André Zuzarte, Carolina Moulin estatais de controle de fronteira e, por outro, por estratégias de contestação e subversão à ordem ‘nacional’ das coisas. Nos espaços da cidade, as ideias prevalentes sobre pertencimento, refúgio e soberania implícitas nas políticas e práticas estatais se materializam e permeiam a vida cotidiana de solicitantes de refúgio e refugiados. O (crescente) controle sobre as fronteiras externas se traduz, em nível local, na multiplicação de fronteiras sociais que delimitam os termos e as possibilidades do refúgio. Neste sentido, enfocamos especialmente as exigências colocadas aos solicitantes pelo complexo aparato burocrático estatal. Como Young (2011, p. 555) coloca, “o poder do Estado não é ilimitado mas é particularmente insistente nas situações de refugiados aguardando uma decisão sobre seu caso”. A indefinição acerca de seu pedido os coloca em uma posição de permanente transitoriedade na qual sua integração é prejudicada tanto pelas exigências documentais que não atendem como solicitantes, quanto pelo risco iminente de deportação no caso de serem recusados. O espraiamento dos aparatos de controle por diferentes espaços, atores e instituições aprofunda ainda mais as experiências de marginalização e exclusão, e revela que, mais do que espaços de ressonância, as cidades podem criar suas próprias barreiras ao refúgio. Como nos lembra Harvey (2014, p. 12), porém, “há no urbano uma multiplicidade de práticas prestes a transbordar de possibilidades alternativas”. A teoria urbana crítica, ao iluminar a vida cotidiana como lugar de resistência e da elaboração de estratégias de luta, permite pensar o refúgio urbano a partir de outra chave: a da politização. Buscamos evidenciar como, a despeito dos constrangimentos impostos por regulamentações e políticas de controle, solicitantes de refúgio e refugiados se apropriam coletivamente do espaço público como meio para avançar suas reivindicações. Notas finais Ao se fazerem visíveis, fazem-se ouvidos. Redefinem, assim, os limites do político, moldado por concepções estadocêntricas de pertencimento que negam aos não-cidadãos o direito de participação e decisão. Ao usarem as ruas como plataformas para suas lutas e demandas, recuperam e atualizam a experiência da democracia direta, reivindicando o direito de definir os termos e conteúdo do refúgio. Se tais iniciativas não são capazes de transformar a ordem hegemônica, podem ao menos tensioná-la, trazendo à tona aberturas para construção de outros modos de solidariedade e articulação comunitária. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 Referências bibliográficas ACNUR (Alto Comissariado das Nações Unidas para Refugiados). Global trends forced displacement in 2016. 2017. Disponível em: <http://www.unhcr.org/ statistics/unhcrstats/576408cd7/unhcr-global-trends-2016.html>. Acesso em: 15.06.2018. ACNUR (Alto Comissariado das Nações Unidas para Refugiados). Global trends forced displacement in 2016. 2017. Disponível em: <http://www.unhcr.org/ statistics/unhcrstats/576408cd7/unhcr-global-trends-2016.html>. Acesso em: 15.06.2018. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 231 Refugiados urbanos: política, polícia e resistência nas fronteiras da cidade ACNUR (Alto Comissariado das Nações Unidas para Refugiados). Global trends: forced displacement in 2017. 2018. Disponível em: <http://www.unhcr.org/ statistics/unhcrstats/5b27be547/unhcr-global-trends-2017.html>. Acesso em: 15.06.2018. ACNUR (Alto Comissariado das Nações Unidas para Refugiados). UNHCR policy on refugee protection and solutions in urban areas. 2009. Disponível em: <http:// www.refworld.org/docid/4ab8e7f72.html>. Acesso em: 15.06.2018. AGAMBEN, Giorgio. Means Without End: Notes on Politics. Minneapolis: Univ. of Minnesota Press, 2000. BENHABIB, Seyla. Transformations of Citizenship: Dilemmas of the Nation State in the Era of Globalization. Amsterdã: Koninklijke Van Gorcum, 2001. DARLING, Jonathan. Forced migration and the city: Irregularity, informality, and the politics of presence. Progress in Human Geography, v. 41, n. 2, p. 1-21, 2016. DE GENOVA, Nicholas. As políticas queer de migração: reflexões sobre “ilegalidade” e incorrigibilidade. REMHU, Revista Interdisciplinar da Mobilidade Humana, v. 23, n. 45, p. 43-75, 2015. EL-KAYED, Nihad; HAMANN, Ulrike. Refugees’ Access to Housing and Residency in German Cities: Internal Border Regimes and Their Local Variations. Social Inclusion, v. 6, n. 1, p. 135-146, 2018. FACUNDO, Ângela. Êxodos, Refúgios, Exílios: refugiados colombianos no Sudeste do Brasil. Rio de Janeiro: Papéis Selvagens, 2017. FASSIN, Didier. Humanitarianism as a Politics of Life. Public Culture, v. 19, n. 3, p. 499-520, 2007. FERRIS, Elizabeth. The Politics of Protection: the limits of humanitarian action. Nova Iorque: Brookings Institution Press, 2011. GRABSKA, Katarzyna. Marginalization in urban spaces of the Global South: Urban refugees in Cairo. Journal of Refugee Studies, v. 19, p. 287-307, 2006. HABERMAS, Jügen. Direito e democracia: entre facticidade e norma. Rio de Janeiro: Tempo Brasileiro, 1997. HARVEY, David. Cidades rebeldes: do direito à cidade à revolução urbana. São Paulo: Martins Fontes, 2014. HONIG, Bonnie. Democracy and the Foreigner. Princeton: Princeton University Press, 2002. LACERDA, Ana Luiza; GAMA, Carlos Frederico. O Solicitante de refúgio e a soberania moderna: a identidade na diferença. Lua Nova, São Paulo, n. 97, p. 53-80, 2016. LEBUHN, Henrik. Local border practices and urban citizenship in Europe: Exploring urban borderlands. City, v. 17, p. 37-51, 2013. LEFEBVRE, Henri. A revolução urbana. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 Referências bibliográficas Belo Horizonte: Editora UFMG, 1999 LEFEBVRE, Henri. O direito à cidade. São Paulo: Centauro, 2001. 232 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 André Zuzarte, Carolina Moulin MALKKI, Liisa. Purity and Exile: Violence, Memory, and National Cosmology among Hutu Refugees in Tanzania. Chicago: University of Chicago Press, 1995. MARFLEET, Philip. ‘Forgotten’, ‘hidden’: Predicaments of the Urban Refugee. Refuge, v. 24, n. 1, p. 36-45, 2007. MARRUS, Michael. The Unwanted: European Refugees in the Twentieh Century. Oxford: Oxford University Press, 1985. MELLO, Patrícia. Brasil é o sexto país com maior número de pedidos de refúgio acumulados. Folha de São Paulo, 2018. Disponível em: <https://www1.folha. uol.com.br/mundo/2018/06/brasil-e-o-sexto-pais-com-maior-numero-de- pedidos-de-refugio-acumulados.shtml>. Acesso em: 15.06.2018. MEZZADRA, Sandro. The right to escape. Ephemera: theory & politics in organization, v. 4, n. 3, p. 267-275, 2004. MITCHELL, Don. The Right to the City. Minneapolis: University Press, 2003. MOULIN, Carolina. Os direitos humanos dos humanos sem direitos: refugiados e a política do protesto. Revista Brasileira de Ciências Sociais, v. 26, n. 76, p. 145- 155, 2011. NYERS, Peter. No one is illegal between city and nation. Studies in Social Justice, v. 4, n. 2, p. 127-143, 2011. RANCIÈRE, Jacques. Dis-agreement: Politics and Philosophy. Minneapolis: University of Minnesota Press, 1999. RAWLS, John. Collected papers. Ed. Samuel Freeman. Cambridge, Mass.; London, UK: Harvard University Press, 1999. SASSEN, Saskia. Guests and Aliens. Nova Iorque: New Press, 1999. SASSEN, Saskia. Los espectros de la globalización. Buenos Aires: Fondo de Cultura Econômica, 1998. SCHEEL, Stephen; SQUIRE, Vicki. Forced Migrant as “Illegal” Migrants. In: FIDDIAN-QASMIYEH, Elena; LOESCHER, Gil; LONG, Katy; SIGONA, Nando (eds.). The Oxford Handbook of Refugee & Forced Migration Studies. Oxford: Oxford University Press, 2014. TILLY, Charles. Spaces of Contention. Mobilization: An International Journal, v. 5, n. 2, p. 135-159, 2000. THOMAZ, Diana. Uma cidade que transforma migrantes em sem-teto. Le Monde Diplomatique, 2018. Disponível em: <https://diplomatique.org.br/uma-cidade- que-transforma-migrantes-em-sem-teto/>. Acesso em: 15.06.2018. UITERMARK, Justus; NICHOLLS, Walter. From politicization to policing: The rise and decline of new social movements in Amsterdam and Paris. Antipode, v. 46, n. 3, p. 970-991, 2014. WACQUANT, Loïc. The Militarization of Urban Marginality: Lessons from the Brazilian Metropolis. International Political Sociology, v. 2, n. 1, p. 56-74, 2008. WALSH, James. Watchful citizens: Immigration control, surveillance and societal participation. Social and Legal Studies, v. 23, n. 2, p. 237-259, 2014. REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. This is an open-access article distributed under the terms of the Creative Commons Attribution License REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 Referências bibliográficas 219-234 233 Refugiados urbanos: política, polícia e resistência nas fronteiras da cidade YOUNG, Julie. ‘A new politics of the city’: Locating the limit of hospitality and practicing the city-as refuge. Acme, v. 10, n. 3, p. 534-563, 2011. YOUNG, Julie. ‘A new politics of the city’: Locating the limit of hospitality and practicing the city-as refuge. Acme, v. 10, n. 3, p. 534-563, 2011. ZETTER, Roger. More Labels, Fewer Refugees: Remaking the Refugee Label in an Era of Globalization. Journal of Refugee Studies, v. 20, n. 2, p. 172-192, 2007. ZETTER, Roger. More Labels, Fewer Refugees: Remaking the Refugee Label in an Era of Globalization. Journal of Refugee Studies, v. 20, n. 2, p. 172-192, 2007. ZHANG, Zhongyuan. What is lived space? Ephemera: theory & politics in organization, v. 6, n. 2, p. 219-223, 2006. ZHANG, Zhongyuan. What is lived space? Ephemera: theory & politics in organization, v. 6, n. 2, p. 219-223, 2006. ZHANG, Zhongyuan. What is lived space? Ephemera: theory & politics in organization, v. 6, n. 2, p. 219-223, 2006. ISSN impresso 1980-8585 ISSN eletrônico 2237-9843 http://dx.doi.org/10.1590/1980-85852503880005314 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 234
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4) Déroulement des entretiens avec les patients A) Délai Le délai moyen entre la CAI et l’entretien avec le PT a été de 17.01 jours (écart-type 13.23 ; minimum 3 ; 1er quartile 10 ; médiane 13 ; 3e quartile 18 ; maximum 67 ; mode 11). La majorité des entretiens se sont déroulés soit entre 6 et 15 jours après la CAI (68%), soit entre 16 et 22 jours après la CAI (16%). Le seul entretien réalisé moins de 6 jours après la CAI, a été fait avant que le PT ne reparte sur une île éloignée pour une longue période. Les entretiens réalisés au-delà de 22 jours après la CAI, ont été faits : - après la période de confinement liée au COVID (cinq entretiens) ; - lorsque cela a pu être organisé sur Tahiti avec le PT et son entourage (trois entretiens) ; - lorsque le PT est revenu des îles (un entretien) ; - lorsque le PT (reparti dans les îles) et sa personne de confiance (présente lors de la CAI) ont pu être joignables ensemble par téléphone (deux entretiens). B) Lieu Tableau 1 : Lieu d’entretien avec les patients (n = 75) Lieu d’entretien avec les patients Domicile du patient Hôtel pour les patients des îles En ville (banc public et café) Lieu de travail Chambre d’hospitalisation Hôpital hors chambre: bureau de consultation; self; hall Dispensaire aux Marquises Par téléphone n 37 2 2 1 24 5 1 3 % 49.33 02.67 02.67 01.33 32.00 06.67 01.33 04.00 3 entretiens ont été réalisés par téléphone, uniquement pour des PT ayant reçu le carnet au cours de la CAI et résidant sur une île éloignée. C) Accompagnement du patient Au cours de ces entretiens, le PT était accompagné dans 68% des cas, majoritairement par au moins une personne soutien ayant assisté à la CAI. Le PT était seul dans 32% des cas. D) Investigateur Sur ces 75 entretiens, 68 ont été réalisés par l’investigateur. Pour des raisons de faisabilité, un entretien a été mené par un IDE aux Marquises, cinq par un interne et un par un praticien du service de pneumologie du CHPF (notamment en période de confinement). 25 5) Questionnaires de satisfaction A) Appréciation globale de la CAI (AGC) entre 0 et 10 a. Moyenne de l’AGC Tableau 2 : Moyenne de l’appréciation globale de la consultation d’annonce Moyenne de l’AGC* Patients Médecins Infirmiers PS ǂ Globale 75 CAI § 7.45 7.16 8.01 7.58 7.54 7.08 7.98 7.53 85 CAI ǁ *Appréciation globale de la consultation d’annonce entre 0 et 10 ǂ Professionnels de santé : médecins et infirmiers regroupés 75 CAI § : 75 consultations d’annonce évaluées par les patients et les PS 85 AI ǁ : 85 consultations d’annonce évaluées par les PS b. Comparaison entre les CAI sans carnet et les CAI avec carnet Tableau 3 : Comparaison de la moyenne de l’appréciation globale de la consultation d’annonce entre les consultations sans carnet et celles avec carnet Moyenne de l’AGC* CAI ǂ sans carnet CAI ǂ avec carnet 75 CAI ǂ (n= 37) (n = 38) 7.33 Patients 7.57 7.11 Médecins 7.21 7.88 Infirmiers 8.13 85 CAI ǂ (n = 41) (n = 44) 7.07 7.09 Médecins 8.10 7.87 Infirmiers *Appréciation globale de la consultation d’annonce entre 0 et 10 ǂ Consultation d’annonce initiale p-value 0.64 0.77 0.39 0.95 0.43 Il s’agissait de notre critère de jugement principal. Il n’y a pas eu de différence significative de la moyenne de l’AGC entre les CAI sans carnet et les CAI avec carnet, que ce soit pour les PT, pour les médecins, ou pour les IDE. La moyenne de l’AGC était légèrement plus élevée pour les CAI sans carnet pour les PT et pour les IDE. A l’inverse, pour les médecins elle était légèrement plus élevé pour les CAI avec carnet. 26 Tableau 4 : Comparaison des regroupements de valeurs de l’appréciation globale de la CAI* (0-5 ; 6-8 ; 9-10) entre les CAI* sans et avec carnet CAI* sans carnet CAI* avec carnet (n = 37) (n = 38) AGC ǂ n % N % p-value Patients 0-5 7 18.92 11 28.95 6-8 16 43.24 14 36.84 0.59 9-10 14 37.84 13 34.21 Médecins 0-5 5 13.51 7 18.42 6-8 31 83.78 24 63.16 (0.057)§ 9-10 1 02.70 7 18.42 Infirmiers 0-5 0 00.00 4 10.53 6-8 22 59.46 19 50.00 (0.12)§ 9-10 15 40.54 15 39.47 *Consultation d’annonce initiale ǂ Appréciation globale de la consultation d’annonce initiale entre 0 et 10 § Une valeur attendue est < 5, le test du Chi2 pourrait ne pas être valide. Il n’y avait pas de différence significative des regroupements de valeurs de l’AGC (0-5 ; 6-8 ; 9-10) entre les CAI sans carnet et les CAI avec carnet pour les PT. Les tests statistiques manquaient de puissance pour les médecins et pour les IDE. Nous avons cependant constaté pour les CAI avec carnet : - pour les PT et les IDE : une proportion plus élevée des AGC entre 0 et 5 (de 10%) ; - pour les médecins : une proportion moins élevée des AGC entre 6 et 8 (de 20.62%) et une proportion plus élevée des AGC entre 9 et 10 (de 15.72%). c. Comparaison entre PT, médecins et IDE pour les 75 CAI : Tableau 5 : Comparaison de la moyenne de l’appréciation globale de la consultation d’annonce entre patients, médecins et infirmiers (n = 75) Moyenne de l’ AGC* Patients Médecins Infirmiers p-value 7.45 7.16 8.01 0.005 7.45 7.16 7.45 7.16 0.22 8.01 0.22 8.01 0.0003 *Appréciation globale de la consultation d’annonce initiale entre 0 et 10 La moyenne de l’AGC pour les 75 CAI des médecins à 7.16/10 significativement plus basse que celle des IDE à 8.01/10 (p=0.0003). 27 était Tableau 6 : Comparaison des regroupements de valeurs de l’appréciation global e de la consultation d’annonce (0-5 ; 6-8 ; 9-10) entre patients, médecins et infirmiers Total Patients Médecins Infirmiers (n = 75) (n = 225) AGC* n 18 30 27 % n 12 55 8 % n 4 41 30 % p-value 05.33 0-5 24.00 16.00 40.00 54.67 6-8 73.33 0 10.67 9-10 36.00 40.00 *Appréciation globale de la consultation d’annonce entre 0 et 10 n 34 126 65 % 15.11 56.00 28.89 Ces regroupements de valeurs de l’AGC étaient différents de manière significative que ce soit entre PT et médecins (p=0.0001), entre PT et IDE (p=0.004), ou entre médecins et IDE (p=0.0001). Tableau 7 : Répartition des regroupements de valeurs de l’appréciation globale de la consultation d’annonce entre patients, médecins et infirmiers 0-5 6-8 9-10 AGC* (n = 34) (n = 126) (n = 65) n % n % n 18 30 23.81 27 Patients 52.94 12 35.29 55 43.65 8 Médecins 4 11.77 41 32.54 30 Infirmiers *Appréciation globale de la consultation d’annonce entre 0 et 10 28 % 41.54 12.31 4 6.15 B) Autres réponses aux questionnaires pour les 75 CAI L’ensemble détaillé des réponses des parties 1, 2 et 3 des questionnaires, le plus souvent regroupées en deux variables : Oui (« Oui plutôt » et « Oui tout à fait ») et Non (« Non plutôt pas » et « Non pas du tout ») est présenté sous forme de tableaux en annexe (Annexe 14). Nous avons fait ici la synthèse de ces résultats. Hors comparaisons, les pourcentages indiqués tiennent compte des « Ne sait pas » (NSP), mais pas des données manquantes (DM). Les comparaisons statistiques ont été faites majoritairement en regroupant les réponses en deux variables : Oui (« Oui plutôt » et « Oui tout à fait ») et Non (« Non plutôt pas » et « Non pas du tout ») ou encore Bien (« Plutôt bien », « Bien » et « Très bien ») et Mal (« Plutôt mal », « Mal » et « Très mal ») et en ne tenant compte ni des NSP ni des DM. Ces résultats comparatifs sont présentés sous forme de tableaux en annexes. Ils concernent de façon distincte : les comparaisons entre CAI sans carnet et CAI avec carnet, au sein de chaque groupe : PT, médecins et IDE pour la partie 1 (Annexe 15) ; et les comparaisons entre PT, médecins et IDE pour les 75 inclusions complètes (Annexe 16). Nous avons cité ici les différences significatives retrouvées dans chaque partie. De plus, nous avons fait une synthèse des résultats concernant la réception du carnet par les PT (parties 2 et 3). a. PARTIE 1 : LA CAI - Environnement, contexte Les CAI ont majoritairement eu lieu dans un bureau médical soit de consultation (64%) soit du service de pneumologie (11%), ou en chambre d’hospitalisation (24%). Ce lieu était approprié pour 96% des PT. En plus du médecin et du PT, un IDE était présent dans 100% des cas. Le PT était accompagné dans 87% des CAI, majoritairement par un ou plusieurs membres de sa famille (83%), notamment par au moins un de ses enfants (37%) et/ou son époux/se (35%). Ce soutien se constituait de plus d’une personne dans 28% des cas (entre 2 et 5 accompagnateurs). La présence de ses proches était bénéfique pour le PT (98.7%) notamment pour le soutenir (73%), pour l’aider à comprendre (40%) et/ou pour traduire (27%). La CAI s’est déroulée principalement en langue française dans 100% des cas, et de façon secondaire en Tahitien ou dans une autre langue polynésienne dans 41% des cas d’après le PT, 32% des cas d’après le médecin, 27% des cas d’après l’IDE. Le PT nous a dit avoir bénéficié d’un interprète dans 40% des CAI (16% d’après le médecin, 27% d’après l’IDE). La CAI aurait duré en moyenne 31.8 minutes (35 minutes en moyenne pour les PT, 29.8 minutes pour les médecins, 30.6 minutes pour les IDE). La durée de la CAI a été adaptée pour 83% des PT, 96% des médecins et 100% des IDE. Pour 11% des PT la CAI a été trop courte et pour 6% d’entre eux trop longue. 29 - Annonce du diagnostic De manière générale, l’annonce du diagnostic s’est bien déroulée pour 82.67% des PT (Plutôt bien 21.33% ; Bien 34.67% ; Très bien 26.67%) et à l’inverse elle s’est mal déroulée pour 17.33% d’entre eux (Très mal 5.33% ; Mal 1.33% ; Plutôt mal 10.67%). Pour les PS l’annonce s’est bien déroulée de manière générale (Plutôt bien, Bien ou Très bien) dans 100% des cas. Tableau 8 : Réponses à la question : Comment le diagnostic a-t-il été délivré, qui l’a prononcé? Patients Médecins Qui a prononcé (n = 75) (n = 75) le diagnostic? n % N % Infirmiers (n = 73) n % Le médecin 64 85.33 45 60.00 50 68.49 Le patient 4 05.33 15 20.00 15 20.55 L’entourage 3 04.00 11 14.67 3 04.11 Le médecin et l’entourage 1 01.33 2 02.67 3 04.11 Le médecin et le patient 3 04.00 0 0 1 01.37 Le patient et l’entourage 0 0 1 01.33 0 0 Ne sait pas 0 0 1 01.33 1 01.37 Le médecin a su trouvé les mots justes pour annoncer sa maladie au PT d’après 90.66% des PT, 96% des médecins et 98.67% des IDE. Tableau 9 : Réponses sur la façon dont le patient a reçu l’annonce du diagnostic (n = 75) Patients Médecins Infirmiers Réception de l’annonce par le patient n % n % n % Ne s’y attendait pas 44 58.67 12 16.00 11 14.67 A été surpris 40 53.33 7 09.33 3 4.00 S’y attendait 22 29.33 25 33.33 16 21.33 Etait préparé 12 16.00 13. 17.33 8 10.67 Etait sous le choc 47 62.67 3 4.00 4 05.33 Etait triste 48 64.00 25 33.33 14 18.67 Etait inquiet 55 73.33 32 42.67 18 24.00 Rien ressenti 1 01.33 7 09.33 9 12.00 30 - Communication Le médecin a invité le PT à s’exprimer d’après 84% des PT, 96% des médecins, 98.67% des IDE. Le médecin a répondu aux questions du PT d’après 90.67% des PT, 90.67% des médecins et 96% des IDE. Le médecin a su faire preuve de suffisamment d’écoute et d’attention envers le PT d’après 93.33% des PT, 100% des médecins, 98.67% des IDE. Le médecin a su apporter aide et soutien au PT d’après 92% des PT, 89.33% des médecins, 98.65% des IDE. - Compréhension Le PT a compris l’essentiel de la consultation d’après 89.33% des PT, 94.67% des médecins, 96% des IDE. Le PT a compris le diagnostic, sa maladie d’après 92% des PT, 96% des médecins, 96% des IDE. Le PT a compris le pronostic, la gravité de sa maladie d’après 86.67% des PT, 89.33% des médecins, 82.67% des IDE. Le PT a compris la PEC envisagée d’après 88% des PT, 84% des médecins, 92% des IDE. Le PT a compris qui allait l’accompagner médicalement d’après 88% des PT, 88% des médecins, 87.84% des IDE. Le médecin a utilisé des documents : supports papiers, imagerie (en dehors du carnet) d’après 48% des PT, 34.25% des médecins, 37.33% des IDE. Il s’agissait d’imagerie dans 91.43% des cas d’après les PT, 72% des cas d’après les médecins, 70.37% des cas d’après les IDE. Cela a aidé le PT à comprendre dans 91.43 % des cas. - Situation sociale, familiale ; projet La situation sociale, familiale et économique du PT a été prise en compte d’après 84% des PT, 95.95% des médecins, 98.65% des IDE. Le PT a évoqué un projet de vie suite à l’annonce de sa maladie dans 33.79% des CAI. 31 - Culture 86.66% des PT se sont sentis reconnus dans leur personnalité, leur identité et leur culture au cours de la CAI. Tableau 10 : Réponses autour de la Culture Patients - - - - Parlé de culture Oui* Non ǂ Ne sait pas → SI OUI : - Qui a introduit le sujet Médecin Entourage Patient Ne sait pas Médecins n % (n = 75) 42 56.00 33 44.00 0 0 N % (n = 74) 44 59.46 30 40.40 0 0 (n =38) 32 84.21 3 07.89 3 07.89 0 0 (n = 44) 39 88.64 4 09.09 1 02.27 0 0 (n = 42) (n = 44) - Important Oui* 40 95.24 40 90.91 Non ǂ 2 04.76 4 09.09 Ne sait pas 0 0 0 0 - Utile Oui* 40 95.24 40 90.91 Non ǂ 2 04.76 3 06.82 Ne sait pas 0 0 1 02.27 → SI NON : - Aurait paru important (n = 31) Oui* 10 32.26 Non ǂ 19 61.29 Ne sait pas 2 06.45 *Oui : « Oui plutôt » et « Oui tout à fait » regroupés ǂ Non : « Non plutôt pas » et « Non pas du tout » regroupés Infirmiers n % (n = 75) 44 58.67 30 40.00 1 01.33 (n = 41) 34 82.92 4 09.76 2 04.88 1 02.44 (n = 42) 39 1 2 92.86 02.38 04.76 40 1 1 95.24 02.38 02.38 Une analyse particulière a montré qu’au fur et à mesure de l’avancement de l’étude, on a parlé de plus en plus de Culture au cours des CAI. En effet, sur les six premiers mois c’était le cas dans 50% des CAI et sur les six derniers mois dans 61,5% des CAI, sans que l’utilisation ou pas du carnet ne soit déterminante dans cette évolution. 32 - Confiance, adhésion ; médecine traditionnelle Le PT était en confiance pour la suite de la PEC d’après 90.67% des PT, 86.67% des médecins, 96% des IDE. Le PT avait confiance dans l’équipe médicale et paramédicale qui allait s’occuper de lui pour la suite de la PEC d’après 96% des PT, 94.67% des médecins, 100% des IDE. Le PT allait avoir recours à la médecine traditionnelle (ra’au tahiti) dans 73.33% des cas (Oui avec l’accord des médecins 53.33% ; Oui même sans l’accord des médecins 20%) et à l’inverse il n’allait pas avoir recours à la médecine traditionnelle dans 25.33% des cas (Non je ne pense pas 13.33% ; Non il n’en est pas question 12%). - - Prochaines consultations Pour leur prochaine consultation avec le médecin : 61.33% des PT était vraiment confiants, 28% plutôt confiants, 6.67% peu confiants et 4% pas du tout confiants ; 61.64% des PT n’avaient pas de crainte, 24.66% craignaient un peu, 5.48% craignaient, et 8.22% craignaient beaucoup ; 63.51% n’avaient pas peur, 20.27% avaient un peu peur, 10.81% avaient peur et 5.41% étaient totalement apeurés. Le médecin a proposé au PT de rencontrer d’autres professionnels pour rediscuter de sa maladie dans 37.33% des CAI ; et dans ce cas il s’agissait le plus souvent d’un(e) psychologue (71.43%) et/ou de la tradipraticienne du service (21.43%).  Comparaison entre CAI sans carnet et CAI avec carnet (Annexe 15) Tableau 11 : Comparaison CAI* sans carnet et CAI* avec carnet questionnaires partie 1 Différences significatives retrouvées pour les patients, les médecins et les infirmiers CAI* sans carnet CAI* avec carnet n - - - % - PATIENTS Réception de l’annonce (n = 37) Inattendu 17 45.95 Surpris 15 40.54 Compréhension : - Prise en charge (n = 36) Oui ǂ 29 80.56 Non § 7 19.44 - MEDECINS Réception de l’annonce du patient (n = 41) Indifférent 1 02.44 - INFIRMIERS Parlé de culture (n = 41) Oui ǂ 16 39.02 Non § 25 60.98 *Consultation d’annonce initiale ǂ Oui : « Oui plutôt » et « Oui tout à fait » regroupés § Non : « Non plutôt pas » et « Non pas du tout » regroupés. n % p-value (n = 38) 27 71.05 25 65.79 0.048 0.050 37 1 (n = 38) 97.37 02.63 8 (n = 44) 18.18 (n = 43) 33 76.74 10 23.26 0.050 0.045 0.001  Comparaison entre PT, médecins et IDE (Annexe 16) Tableau 12 : Comparaison entre patients, médecins et infirmiers des questionnaires partie 1 Différences significatives retrouvées Patients Médecins Infirmiers (n = 75) n % n % n % p-value Comment s’est déroulée l’annonce Bien* 62 82.67 75 100 0.0004 Mal ǂ 13 17.33 0 0 Bien* 62 82.67 75 100 0.0004 Mal ǂ 13 17.33 0 0 Réception de l’annonce / le patient (choix multiple) Inattendu 44 58.67 12 16.00 11 14.67 0 Surpris 40 53.33 7 09.33 3 04.00 0 Attendu 22 29.33 25 33.33 16 21.33 0.24 Préparé 12 16.00 13 17.33 8 10.67 0.47 Choc 47 62.67 3 04.00 4 05.33 0 Triste 48 64.00 25 33.33 14 18.67 0 Inquiet 55 73.33 32 42.67 18 24.00 0 Indifférent 1 01.33 7 09.33 9 12.00 0.036 Patient invité à s’exprimer Oui § 63 84.00 72 96.00 74 98.67 0.001 Non ǁ 12 16.00 3 04.00 1 01.33 *Bien : « Plutôt bien », « Bien » et « Très bien » regroupés ǂ Mal : « Plutôt mal », « Mal » et « Très mal » regroupés § Oui : « Oui plutôt » et « Oui tout à fait » regroupés ǁ Non : « Non plutôt pas » et « Non pas du tout » regroupés 34  Analyse comparative particulière entre PT, médecins et IDE sur la confiance - - - - - - - Pour les questions de l’instauration de la relation de confiance au cours de la CAI et la confiance du PT pour la suite de la PEC, nous avons évalué, consultation par consultation, la concordance des ses entre PT, médecin et IDE (Annexe 17). Suivant les quatre variables, de la plus favorable à la moins favorable : « Oui tout à fait » ; « Oui plutôt » ; » Non plutôt pas » et « Non pas du tout » : Non concordance si un « Oui » et un « Non » ; Concordance si deux « Oui » (aucune CAI avec deux « Non ») ; Concordance totale si mêmes variables : deux « Oui tout à fait » ou deux « Oui plutôt » ; Concordance partielle si un « Oui tout à fait » et un « Oui plutôt » ; Différence si non concordance ou concordance partielle ; Doute : « Ne sait pas ». Pour l’instauration de la confiance au cours de la CAI, quand il n’y a pas de doute : la concordance entre médecin et IDE est de 97.30% dont 56.94% de concordance totale. Lorsqu’il y a une différence (44.59%) c’est l’IDE qui a une réponse plus favorable dans 78.79% des cas. Quand il y a un doute (12.94%), celui-ci est porté par le médecin dans 63.64% des cas. la concordance entre médecin et PT est de 87.88% dont 43.10% de concordance totale. Lorsqu’il y a une différence (62.12%) c’est le PT qui a une réponse plus favorable dans 75.61% des cas. Quand il y a un doute (12%), celui-ci est porté par le médecin dans 88.89% des cas. la concordance entre IDE et PT est de 91.55% dont 63.08% de concordance totale. Lorsqu’il y a une différence (36.92%) c’est le PT qui a une réponse plus favorable dans 66.67% des cas. Quand il y a un doute (5.33%), celui-ci est porté par l’IDE dans 75% des cas. Pour la confiance du PT pour la suite de la PEC, quand il n’y a pas de doute : la concordance entre médecin et IDE est de 100% dont 56.25% de concordance totale. Lorsqu’il y a une différence (44.59%) c’est l’IDE qui a une réponse plus favorable dans 91.43% des cas. Quand il y a un doute (5.88%), celui-ci est porté par le médecin (100%). la concordance entre médecin et PT est de 97.14% dont 30% de concordance totale. Lorsqu’il y a une différence (70%) c’est le PT qui a une réponse plus favorable dans 89.80% des cas. Quand il y a un doute (6.67%), celui-ci est porté par le médecin dans 80% des cas. la concordance entre IDE et PT est de 97.30% dont 64.86% de concordance totale. Lorsqu’il y a une différence (35.14%) c’est le PT qui a une réponse plus favorable dans 80.77% des cas. Quand il y a un doute (1.33%), celui-ci est porté par l’IDE. 35 b. PARTIE 2 : PRÉSENTATION DU CARNET AU COURS DE LA CAI En suivant la randomisation, 38 CAI ont été réalisées avec le carnet. Cependant, un des PT a complètement oublié qu’on le lui avait remis, il l’a totalement occulté. Pour lui, la partie 2 du questionnaire n’a donc pas été remplie. Cette partie a donc été renseignée pour 38 CAI par les PS et 37 CAI par les PT. Tableau 13 : Première impression des patients à la présentation du carnet (n = 37) Quelle a été ta première impression en découvrant le carnet? n % RIEN / PAS COMPRIS / PAS ACCORDÉ D’ATTENTION / CHOC ANNONCE : « Aucune » (n'avait pas de lunette adaptée) / « Rien du tout »/ « Ca m'a laissé plutôt indifférent »/ « Qu'est-ce que je vais faire avec ça? Je n'ai pas la tête à écrire... Haere i mua : en avant »/ « J'ai dit à mon mari : C'est quoi ça? puis je me suis dit : Je l'amène à la maison, je verrai... »/ « Qu'est-ce que c'est ce carnet là? »/ « Je ne l’ai pas spécialement touché, je n’ai pas compris sa signification ni son intérêt pendant la CAI » / (Frère) « D’abord il n’avait pas compris, puis je lui ai expliqué »/ Première chose que j'ai vu, le titre en tahitien : Taote tu ne peux pas me donner en français?, puis j'ai vu que c'était dans les deux langues. Quand j'ai lu je me suis dit pourquoi avoir fait sous forme de pirogue et d'équipage »/ « Rien du tout, j'étais toujours sous le choc de l'annonce, j'ai rien compris, en plus je n'avais pas mes lunettes »/ « Ca n'a pas pris mon attention, j'étais préoccupé par l'annonce »/« Pas vraiment intéressée, mais je trouve que c'est bon »/ « J’ai regardé le carnet une fois sorti de la consultation, dans ma voiture. Ca m'a aidé à prendre conscience de ma maladie » / Au moment de la CAI, le carnet est resté sur la table puis a été mis dans une po chette par le petit-fils. En découvrant le carnet le jour de l’entretien : « C'est bien. A Haere i mua, ie haere i muri! (Va de l’avant, ne vas pas en arrière!) » 14 37.84% BIZARRE, PEUR / PAS CONFIANT / TRADISOINS, MÉFIANCE CHIMIO « Ca me fait tellement bizarre, j'ai l'impression que c'est ma dernière vie... Un peu peur »/ « C'est bien. Mais je n'étais pas confiant. J'ai pensé : je ne vais pas pouvoir le faire »/ « J'ai pensé que j'allais rentrer chez moi et me soigner avec le médecin traditionnel. Je ne sais pas si ceux qui ont fait la chimiothérapie sont toujours vivants... » 3 08.11% LES RÉPONSES, C’EST DUR : « Les réponses, c’est un peu dur... » JE VAIS LIRE : « Je vais lire . » UTILE POUR ÉCRIRE QUESTIONS, SENTIMENTS : « C’ est utile pour écrire des questions, des sentiment s. » BIEN / J’AIME / MERCI : « C ' est bien ce qu 'on a écrit dans le carnet » / « C ’est bien »/ « Que c'est bien , mais que moi je n'aime pas écrire, je préfère parler »/ « J’aime »/ « Merci» FAIRE MON POSSIBLE / A HAERE I MUA / ALLER DE L’AVANT : « Je vais faire mon possible »/ « Il faut Haere i mua »/ « A Haere i mua, il faut aller en avan t»/ « A Haere i mua, Faa'itoito (courage), il faut aller de l'avant »/ « Il faut aller en avant. Il ne faut pas rester en arrière » / « C'est ça : Haere i mua. J'ai réagi autrement. J'espère je vais aller de l'avant. » 36 1 02.70% 1 02.70% 1 02.70% 5 13.51% 6 16.22% FAMILLE, NAVIGATION « J'ai pensé à Faa’faite (pirogue à voile traditionnelle). J'ai pensé à mes parents. Notre maman faisait beaucoup de ra'au tahiti »/ « Il faut marcher en avant. C'est comme le père qui dirige sa maison. (Il me montre la pirogue) Ce sont les enfants ça, c'est le père et la mère qui dirigent. » / « J'ai pensé que c'est une vraie histoire ça. Mon papa c'était un navigateur. » 3 08.11% PIROGUE, VOYAGER / ÉQUIPAGE, MATELOT : « Une pirogue... Voyager... » / « La pirogue, c est moi et vous les infirmières et les docteurs, et mes enfants aussi. » / « On parle de l'équipage... Moi je suis un matelot... » 3 08.11% Avis : Non favorable ; Moyennement favorable ; Favorable Évocation de la famille et/ou de la symbolique du carnet Tableau 14 : Réponses des patients sur la raison de la présentation du carnet au cours de la consultation d’annonce selon eux (n = 37) Pourquoi penses-tu que le carnet t’a été présenté? n % JE NE S AIS PAS : « Je ne sais pas » (x10) / « Je ne sais pas, j'ai même pas envie de regarder. Le carnet a évoqué de l’espoir pour 59.46% des PT, leur famille ou entourage pour 56.76%, leur maladie pour 48.65%, leurs croyances pour 40.54%, leur culture pour 37.83%, un moyen d’expression pour 27.03%, leurs doutes et questions pour 21.62%. Tableau 15 : Réponses libres des patients lorsque le carnet leur a évoqué autre chose Le carnet a évoqué autre chose pour toi? INDIFFÉRENCE / RIEN / PAS COMPRIS / PAS LU : « Ca m’a laissé plutôt indifférent »/ « Rien de particulier à ce moment là »/ « Pas grandchose... Le plus important c’est ma maladie »/ « Rien. Quand j’ai lu je n’ai pas compris pourquoi ce bateau? »/ « Ca n’a rien à voir avec moi. Je n’ai pas senti quelque chose qui m’aide à aller de l’avant dedans »/ « Je n’ai pas encore lu... » / « Je n’ai pas regardé, je n’ai pas lu. » SOUS LE CHOC, UN CERCUEIL / CRAINTE : « Rien. J’étais sidéré, sous le choc, incapable de penser à quoi que ce soit... Pour moi c’est un cercueil »/« La crainte aussi » AIDE / FAIT DU BIEN / UN PEU DE JOIE : « Une aide. Le chemin est déjà tracé »/ « Ca fait du bien » / « Ca me fait du bien »/ « C'est bien aussi, de l'autre côté »/ « Un peu de joie. » ALLER DE L’AVANT / VOLONTÉ D’ESSAYER / COMBATTRE / GUÉRIR : « Aller de l’avant »/ « Faut aller de l’avant »/ « On va essayer! »/ « Je vais y arriver »/ « Je veux guérir »/ « Ma maladie que je vais combattre. De continuer à donner beaucoup d’amour autour de moi. » (n = 37) n % 7 18.92% 2 05.40% 5 13.51% 6 16.22% FAMILLE / ÉQUIPAGE : « Mon épouse »/ « Mes frères et sœurs »/ « Mon papa, ma maman. Ca m’a rappelé quand je partais en bateau à Huahine, Raiatea »/ «L’équipage...» 4 10.81% CAPITAINE, VOYAGER : « C'est moi le capitaine, c'est à moi de décider. Voyager. » TOUT / LA VIE / DERNIÈRE VIE, LA MORT : « Tout, tout, tout »/ « La vie »/ « Ma dernière vie, la mort. S’ils avaient déjà utilisé le carnet au cours d’une consultation d’annonce, 52.78% des médecins l’ont utilisé plus efficacement cette fois (Oui plutôt 36.11% ; Oui tout à fait 16.67%) et 44.44% non (Non plutôt pas 25% ; Non pas du tout 19.44%). - Le carnet pour la suite 70.27% des PT pensaient qu’ils s’exprimeraient davantage et/ou plus facilement grâce au carnet durant la suite de leur PEC. 78.38% des PT pensaient que le carnet constituerait un soutien supplémentaire pour eux pour la suite. 67.57% des PT pensaient que le carnet pourrait renforcer leur combativité dans cette épreuve. Tableau 18 : Réponses libres des patients lorsqu’ils avaient quelque chose à ajouter concernant le carnet pour la suite Autre chose à ajouter concernant le carnet pour la suite? CA NE L’INTERESSE PAS : « Ca ne l'intéresse pas. » NE VA PAS LIRE : (Fille) « Il ne va pas lire, utiliser un support papier. » (n = 37) n % 2 05.40% LIRE APRES / PRENDRE LE TEMPS DE REGARDER : « Je vais lire après »/ « Je prendrai note, je prendrai le temps... »/ « Je ne l'ai pas feuilleté, ni regardé, ni lu. Maintenant que je suis plus rassuré par rapport à ma prise en charge, je vais peut être prendre le temps de le regarder. » 3 08.11% REFLECHIR (plutôt que lire ou écrire) : « Il y a des moments je pense au carnet. Jusqu'à maintenant je n'ai pas rouvert le carnet, je n'aime pas lire »/ « Plus réfléchir qu'écrire dans le carnet »/ « Des fois je le consulte, ça me fait réfléchir » 3 08.11% POUR MOI : « Mais pas pour ma famille, pour moi toute seule. » 1 02.70% BIEN / AIDE / ACCOMPAGNEMENT / SOUTIEN / RENFORCE : « Le livre est bien »/ « Le carnet, il m'a aidé »/ « J'espère que ce qu'il y a d'écrit dedans, et ce que j'ai relu seulement, ça va m'aider à poser des questions, mais pas dans ce domaine, plus sur la maladie »/ « Avec ce carnet c'est comme ci je ne suis pas seule, je suis accompagnée »/ « Carrément un soutien, et même plus... »/ « Je pense que ça renforce, si on décide de vouloir guérir. » 6 16.22% ECRIRE SERAIT MERVEILLEUX : « Si j'arrive à écrire, ça serait merveilleux. » FAMILLE : « Soutien supplémentaire pour moi et pour ma femme »/ « Pour ma famille »/ « Ma famille, mon épouse... »/ « A rester lié avec ma famille et prendre en compte ma maladie »/ « On en a déjà beaucoup parlé avec mon épouse et mes enfants »/ « C'est ma fille et ma belle-fille qui écrivent dedans, elles me posent des questions et écrivent dedans »/ « Je vais laisser mon petit-fils remplir »/ « Peut-être que les idées viendront à la longue, pour écrire dedans. 41 c. PARTIE 3 : PAS DE CARNET AU COURS DE LA CAI En suivant la randomisation, 37 CAI ont été réalisées sans le carnet. Cependant, un des PT a complètement oublié qu’on lui avait remis le carnet au cours de la CAI. Pour lui, la partie 3 a donc été complétée comme s’il découvrait le carnet au cours de l’entretien. Ses réponses libres sont spécifiées, mais ses réponses aux questions fermées ne sont pas prises en compte ni dans les pourcentages ni dans les comparaisons. Tableau 19 : Première impression des patients en découvrant le carnet à l’entretien Quelle est ta première impression en découvrant ce carnet? (n = 38) n % SANS PLUS : « Sans plus. » PERSONNEL : « Je ne vois pas à quoi il me servirait. C'est personnel, je n'aimerais pas que ça passe dans d'autres mains. C'est moi que ça regarde. » 3 07.89% « TORDU », SURPREND, VA REGARDER : « Un peu tordu ton truc, ça surprend. Je vais regarder de plus près. » PRENDRE LE TEMPS DE LIRE PLUS TARD : « A Haere i mua, Avancer! Il me faut un peu plus de temps pour regarder... » (Ne peut pas lire car n’a pas ses lunettes) / « J'ai envie de prendre le temps de le lire plus tard calmement... » 2 05.26% CARNET / MARQUER / RACONTER MA VIE : « Je pense à mon carnet de santé, carnet rouge »/ « C'est pour marquer nos impressions »/ « C'est comme si je raconte ma vie encore... » 3 07.89% BIEN / BON / UN SOUHAIT / AIDER : « C’est bien » (x2)/ « C'est bon »/ « C’est un souhait »/ « Ca va m'aider. » 5 13.16% FIL ROUGE / ÉTAPES / AIDER POUR LA SUITE / COMPRENDRE, MONTRER AUX ENFANTS : « Peut être le fil rouge dans une consultation »/ « C’est bien fait, ça raconte toutes les étapes »/ « C'est pas mal, ça peut peut-être aider, dans la poursuite des traitements... Mes désirs, mes espoirs, mes rêves, mes projets, mes directives... »/ « Excellent, permet de comprendre la maladie, suivre les traitements, montrer aux enfants. » 4 10.53% (Suite du tableau page suivante) 42 A HAERE I MUA, EN AVANT, ALLER DE L’AVANT : « En avant »/ « Haere i mua, c'est tout »/ « C'est bien, A Haere i mua : En Avant. C'est en tahitien j'aime bien »/ « Pour moi, ce carnet là, ce n’est pas un carnet pour parler de médecine... A Haere i mua, pour moi c'est bon. C'est écrit en tahitien et en français, pour moi c'est bien »/ « C'est bien pour moi. (La couverture?) Ca m'a fait penser à mon bateau, à la pêche... Je veux aller de l'avant, terminer mes soins »/ « A Haere i mua. Vas à l'avant. Ca me fait penser à la maladie, c'est à moi d'avancer »/ « J'aime bien : Haere i mua! J'ai tout compris là, c'est exactement ma démarche, tout est dit, j'ai besoin de ça, positiver! »/ « A Haere i mua (puis sourit)... Ouais c'est bien. Il faut réfléchir, travailler, pour aller devant. C'est la tête qui me dit : Allez, debout, bouge toi! » / « Haere i mua, il ne faut pas Haere i muri (Aller de l’avant, il ne faut pas aller en arrière). C'est mon bateau »/ « C'est comme si je devais faire un petit journal. Et le fait qu'on dise A Haere i mua c'est pour dire que ce qui s'est passé est passé, maintenant il faut aller de l'avant. »/ « Faut aller de l'avant. Pas rester sur les problèmes, les difficultés... Il faut dépasser »/ (En voyant la couverture) « A Haere i mua! Aita e haere i muri! Aita ’tu ai! (Va de l’avant! Ne va pas en arrière! Sublime!) (Puis a regardé et lu toutes les pages) Si je suis ici, j'ai des projets, peut-être qu'ils vont se réaliser... Je ne me pose pas de question »/ (A ri) « A Haere i mua! Faa'itoito!! Eiaha e pohe! A ti'a i ni'a!... (En avant! Courage!! Ne meurs pas! Tiens bon!...) (A feuilleté le carnet minutieusement) Pure te Atua... Prier le Seigneur, c'est lui qui a le dernier mot. C'est avec lui la clef. » après page... C'est en rapport avec ma vie actuelle. Il y a les soignants, mes proches, ma communauté. Mes craintes, mes peurs... Je me pose tous les jours des questions, qui ont de la valeur pour moi. Pour moi c'est du sérieux » / (Sourit) « Y'a aussi en tahitien et en français. On dirait que je vois mon île, mon pays, notre culture... J'ai vite compris : de la colère, jusqu'à ce que ça se calme... »/ « C'est cette pirogue, et cette voix là qui dit : Ne regarde pas en arrière, ne pagaie pas derrière, mais va devant. 54.05% des PT auraient souhaité que le carnet leur soit présenté au moment de la CAI (Oui plutôt 10.81% ; Oui tout à fait 43.24%), 35.13% non (Non pas du tout 24.32% ; Non plutôt pas 10.81%), 10.81% ne savaient pas. Le carnet aurait pu influer sur le déroulement de l’annonce du diagnostic d’après 67.57% des médecins et 37.84% des IDE. Le carnet aurait pu être utile au cours de la CAI d’après 67.57% des PT, 72.97% des médecins et 48.65% des IDE. A l’inverse, il n’aurait pas été utile d’après 32.43% des PT, 10.81% des médecins et 27.03% des IDE. 16.22% des médecins et 24.32% des IDE ne se sont pas prononcés (NSP). Le carnet aurait pu leur permettre de s’exprimer davantage et/ou plus facilement au cours de la CAI d’après 62.16% des PT. Le carnet aurait pu apporter un soutien supplémentaire au PT au cours de la CAI d’après 70.27% des PT, 77.78% des médecins et 48.65% des IDE 54.06% des PT pensaient qu’ils auraient pu se sentir davantage pris en considération dans leur personnalité, leur identité, leur culture grâce au carnet au cours de la CAI. Le carnet aurait pu constituer une aide pour le médecin d’après 59.46% des PT, 77.78% des médecins et 55.56% des IDE. - Le carnet pour la suite 67.57% des PT pensaient qu’ils s’exprimeraient davantage et/ou plus facilement grâce au carnet durant la suite de leur PEC. 80.55% des PT pensaient que le carnet constituerait un soutien supplémentaire pour eux pour la suite. 69.45% des PT pensaient que le carnet pourrait renforcer leur combativité dans cette épreuve.  Comparaison entre PT, médecins et IDE (Annexe 16) Voici les différences significatives retrouvées entre PT, médecins et IDE pour leurs questions es de la partie 3. La présentation du carnet aurait pu influer sur le déroulement de l’annonce du diagnostic plus souvent d’après les médecins (67.57%) que d’après les IDE (37.84%) (p=0.032). Le carnet aurait pu être utile au cours de la CAI plus souvent d’après les médecins (87.10%) que d’après les IDE (64.29%) (p=0.039). d. SYNTHÈSE SUR LA RÉCEPTION DU CARNET PAR LES PT En plus des résultats précisés précédemment, afin de donner une meilleure lisibilité des réponses de chaque PT pour les parties 2 et 3, nous avons sélectionné certaines questions et présenté les réponses des PT dans deux tableaux. Le premier pour les CAI avec présentation du carnet (partie 2) et le second pour les CAI sans carnet (partie 3). Nous y avons placé du haut vers le bas, les PT avec les avis les moins favorables aux plus favorables vis-àvis du carnet. Ces tableaux se trouvent en annexe (Annexe 18). Avec l’ensemble de ces observations, voici une synthèse sur la réception du carnet par les PT. Pour ceux à qui il a été remis au cours de la CAI, la première impression en découvrant le carnet a été pour 38% d’entre eux soit une indifférence, ils n’y ont pas prêté d’attention : « Ca n'a pas pris mon attention, j'étais préoccupé par l'annonce » ; soit une incompréhension : « Qu'est-ce que c'est ce carnet là? » et pour 8% une certaine crainte. Pour les autres PT, environ 20% ont dit que c’était « bien » ou « utile » ou qu’ils allaient lire et 32% ont évoqué soit le slogan : « A Haere i Mua, Faa'itoito (courage), il faut aller de l'avant » ; soit les symboles illustrés sur la couverture ou dans le carnet, notamment autour de la famille, l’équipage, la navigation, la pirogue: « La pirogue, c'est moi et vous les IDE et les docteurs, et mes enfants aussi ». 30% des PT ont répondu qu’ils ne savaient pas pourquoi on leur avait présenté le carnet au cours de la CAI, 14% ont évoqué la maladie ou la PEC des PT : « Pour m’annoncer la maladie » ; 22% que c’était pour les encourager, les aider : « Pour me remonter le moral » ; « Pour m'aider, pour me donner du courage », et 22% que c’était pour mieux comprendre, mieux se comprendre, ou les faire réfléchir, se poser des questions : « Nous on a la mentalité polynésienne, on sait ce que ça veut dire la pirogue. C'est pour nous faire comprendre » ; «Peut-être on s'est compris. On s'est bien compris avec le carnet ; au moment où il me l'a tendu » ; « Pour que je me pose des questions ». Un PT a répondu : « Pour moi le carnet c'est ma maladie, 'est à moi de décider, je suis le capitaine ». Les PT abordaient donc le carnet de manière différente. Au cours de la CAI, 32% d’entre eux l’ont feuilleté/lu et/posé sur leur poitrine, mais 40.5% ne l’ont pas du tout utilisé à ce moment là. Ils sont 19% à l’avoir regardé un peu/ feuilleté un peu/ juste regardé et rangé. Certains PT ont précisé l’avoir lu plus tard à domicile (19%). Les PT n’ayant pas utilisé le carnet au cours de la CAI ont souvent décrit succinctement sa présentation par le médecin : « Il a dit que c'est pour écrire dedans ce qu'elle ressent, et lui a remis le carnet » ; « Il m'a expliqué qu'une médecin allait me recontacter. Il me l'a simplement donné » ; « Il me l'a donné comme ça, en me disant que ça m'aide à aller de l'avant ». Le carnet ne semblait pas forcément trouver sa place au moment de la CAI, beaucoup d’informations étaient déjà données au PT et à son entourage, principalement préoccupés par la maladie et ses conséquences. Au final, ce moment n’était pas approprié pour leur présenter le carnet d’après 30% des PT, alors qu’il l’était pour 70% d’entre eux. Parmi ces derniers, on retrouvait ceux pour qui la présentation du carnet par le médecin paraissait plus élaborée : « Taote m'a demandé : Qu'est-ce qu'il y a écrit dessus? Et j'ai répondu Haere i mua, il faut aller en avant. Puis il m'a expliqué en tournant les pages » ; « Il a pris le carnet, il l'a regardé un peu, puis il m'a dit : Je t'offre ce carnet ; en me le donnant. C'est à toi de mettre ce que tu penses dedans. Tu vas être capitaine de ce bateau » ; ainsi que leur propre utilisation, avec des interactions avec le médecin. La 45 manière d’introduire l’outil paraissait donc importante dans sa réception et son utilisation par le PT. De façon cohérente, les avis des PT étaient également partagés sur l’utilité du carnet au cours de la CAI. Pour 57% d’entre eux, le t a été utile : « Pour m'aider à mieux prendre en compte ma maladie » ; « Pour moi, ça concrétisait mon cancer, ma maladie. Il est là, faut accepter » ; « C'est à moi la maladie, c'est à moi de choisir la direction. C'est plus facile à vivre ». Pour ceux là, dans un ordre croissant, le carnet a été utile dans leur compréhension (76%), leur acceptation de la maladie (76%), leur réception de l’annonce du diagnostic (86%), la communication avec le médecin (90,5%), leur confiance pour la suite de la prise en charge (90,5%) et leur confiance dans l’équipe médicale et paramédicale qui allait les accompagner (95%). Au final, le carnet a été un soutien supplémentaire au cours de la CAI pour 54% des PT et dans les jours suivant pour 65% d’entre eux. Il est intéressant de souligner que 76% des PT pensaient que le carnet avait pu constituer une aide pour le médecin au cours de la CAI, ce que ces derniers ont confirmé dans 68% des cas. Pour les PT qui ont reçu le carnet dans un second temps, au cours de l’entretien pour remplir leur questionnaire, la plupart du temps ils avaient une première réaction en découvrant sa couverture, puis ils le feuilletaient silencieusement jusqu’à la fin. Aucun de ces PT n’a fait de commentaire négatif comme première impression et 55% d’entre eux ont évoqué soit le message « A Haere I Mua » soit la symbolique de la couverture et des différentes pages du carnet (pirogue, capitaine, équipage, famille, tempête, calme, nouvelle terre...). En voici deux exemples parlants : « A Haere i Mua : Va de l'avant... (...) Je vois une pirogue, page après page, c'est en rapport avec ma vie actuelle. Il y a les soignants, mes proches, ma communauté.
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Evidence for an Essential Deglycosylation-Independent Activity of PNGase in Drosophila melanogaster
Yoko Funakoshi
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Abstract Background: Peptide:N-glycanase (PNGase) is an enzyme which releases N-linked glycans from glycopeptides/ glycoproteins. This enzyme plays a role in the ER-associated degradation (ERAD) pathway in yeast and mice, but the biological importance of this activity remains unknown. Principal Findings: In this study, we characterized the ortholog of cytoplasmic PNGases, PNGase-like (Pngl), in Drosophila melanogaster. Pngl was found to have a molecular weight of ,74K and was mainly localized in the cytosol. Pngl lacks a CXXC motif that is critical for enzymatic activity in other species and accordingly did not appear to possess PNGase activity, though it still retains carbohydrate-binding activity. We generated microdeletions in the Pngl locus in order to investigate the functional importance of this protein in vivo. Elimination of Pngl led to a serious developmental delay or arrest during the larval and pupal stages, and surviving mutant adult males and females were frequently sterile. Most importantly, these phenotypes were rescued by ubiquitous expression of Pngl, clearly indicating that those phenotypic consequences were indeed due to the lack of functional Pngl. Interestingly, a putative ‘‘catalytic-inactive’’ mutant could not rescue the growth- delay phenotype, indicating that a biochemical activity of this protein is important for its biological function. Conclusion: Pngl was shown to be inevitable for the proper developmental transition and the biochemical properties other than deglycosylation activity is important for its biological function. Editor: Catherine A. Wolkow, National Institute on Aging, United States of America Received December 27, 2009; Accepted April 12, 2010; Published May 10, 2010  2010 Funakoshi et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, w use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This work was partly supported by the Global COE (Center of Excellence) Program and Grant-in-Aid for Scientific Research from the Ministry of Education, Culture, Sports, Science and Technology of Japan to T.S. 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. Competing Interests: The authors have declared that no competing interests exist. * E-mail: yokofuna@riken.jp (YF); tsuzuki_gm@riken.jp (TS) * E-mail: yokofuna@riken.jp (YF); tsuzuki_gm@riken.jp (TS) Yoko Funakoshi1*, Yuki Negishi1, J. Peter Gergen2, Junichi Seino1, Kumiko Ishii1, William J. Lennarz3, Ichiro Matsuo4, Yukishige Ito5,6, Naoyuki Taniguchi7,8, Tadashi Suzuki1,9* Yoko Funakoshi1*, Yuki Negishi1, J. Peter Gergen2, Junichi Seino1, Kumiko Ishii1, William J. Lennarz3, Ichiro Matsuo4, Yukishige Ito5,6, Naoyuki Taniguchi7,8, Tadashi Suzuki1,9* 1 Glycometabolome Team, Systems Glycobiology Research Group, RIKEN Advanced Science Institute, Wako, Saitama, Japan, 2 Department of Biochemistry and Cell Biology and the Center for Developmental Genetics, Stony Brook University, Stony Brook, New York, United States of America, 3 Department of Biochemistry and Cell Biology and Institute for Cell and Developmental Biology, Stony Brook University, Stony Brook, New York, United States of America, 4 Department of Chemistry and Chemical Biology, Gunma University, Kiryu, Gunma, Japan, 5 Synthetic Cellular Chemistry Laboratory, RIKEN Advanced Science Institute, Wako, Saitama, Japan, 6 Glycotrilogy Project, Exploratory Research for Advanced Technology (ERATO), Japan Science and Technology Agency (JST), Kawaguchi, Saitama, Japan, 7 Department of Disease Glycomics, The Institute of Scientific and Industrial Research, Osaka University, Ibaraki, Osaka, Japan, 8 Disease Glycomics Team, RIKEN Advanced Science Institute, Wako, Saitama, Japan, 9 Core Research for Evolutionary Science and Technology (CREST), Japan Science and Technology Agency (JST), Kawaguchi, Saitama, Japan PLoS ONE | www.plosone.org Introduction organs in mammals [4,7], suggesting that this enzyme is involved in important basic biological processes. A gene encoding the cytoplasmic PNGase (PNG1) was identified in Saccharomyces cerevisiae, and found to be well-conserved throughout eukaryotes [8], further providing evidence for its biological importance [9,10]. Peptide:N-glycanase (PNGase) catalyzes the cleavage of the amide linkage of b-glycosyl asparagine of N-linked glycoproteins. PNGase activity was originally discovered in almond emulsion [1] and subsequently in Flavobacterium meningosepticum [2]. Since that time this enzyme has been widely used as a powerful reagent for analyzing the structure and functions of N-linked glycan chains on glycoproteins. However, the biological significance of this enzyme itself has been undocumented until recently. From an evolutionary standpoint, cytoplasmic PNGase is an interesting protein with a diverse structural arrangement (Fig. 1A, [9,10]). The core domain of this enzyme ortholog is highly conserved and due to its homology with transglutaminase and the conservation of amino acids comprising the catalytic domain, cytosolic PNGase has been categorized as a member of transglutaminase superfamily [9,11]. The presence of PNGase activity in animals was first reported in embryos of Oryzias latipes (Medaka fish) [3] followed by the discovery in various mammalian cell lines [4]. While the fish PNGase was active at acidic pH and therefore was believed to be of lysosomal origin [5], the mammalian PNGase has a neutral pH optimum, and the activity was mainly found in the cytosol [6]. Cytoplasmic PNGase is widely distributed between cells and It has been established that the deglycosylation activity of PNGase is involved in the process called endoplasmic reticulum- associated degradation (ERAD), that is responsible for the degradation of proteins that fail to acquire their correct folding state during protein synthesis [12,13,14]. Recently, cytoplasmic PLoS ONE | www.plosone.org May 2010 | Volume 5 | Issue 5 | e10545 1 May 2010 | Volume 5 | Issue 5 | e10545 Novel Function of PNGase Figure 1. Pngl also conserves characteristics of cytosolic PNGases from other species. (A) Schematic representation of PNGase orthologs from various species. Sc: Saccharomyces cerevisiae; At: Arabidopsis thaliana; Ce: Caenorhabditis elegans; Mm: Mus musculus; Dm: Drosophila melanogaster; the conserved core domain is colored by light grey. The transglutaminase domain with catalytic center: black, PUB domain: dotted- filled, and mannose-binding domain, filled with hatched lines. Two CXXC motifs are described with thin rectangles colored by dark grey. Introduction Biochemical assays indicate that Pngl retains carbohydrate-binding activity, but lacks conventional PNGase activity, suggesting that the deglycosylation activity may have been lost during the evolutionary process. Drosophila mutant for Pngl showed severe developmental defects and reduced viability, and the surviving adults are frequently sterile. These phenotypes were reversed by expression of a UAS- Pngl transgene, demonstrating that developmental defects were indeed due to the lack of functional Pngl. On the other hand, a ‘‘catalytically-inactive’’ mutant where the Cys in Pngl equivalent to catalytic Cys in other PNGase orthologs was changed to Ala did not rescue the growth-delay phenotype, strongly suggesting that the unknown biochemical activity of Pngl is important for its biological function. (registered as PNGase or CG7865 in FLYBASE). As found in other species Pngl was mainly localized in the cytosol. Interest- ingly, the Pngl lacks a second CXXC motif that is critical for enzymatic activity in other species [18,22]. Biochemical assays indicate that Pngl retains carbohydrate-binding activity, but lacks conventional PNGase activity, suggesting that the deglycosylation activity may have been lost during the evolutionary process. Drosophila mutant for Pngl showed severe developmental defects and reduced viability, and the surviving adults are frequently sterile. These phenotypes were reversed by expression of a UAS- Pngl transgene, demonstrating that developmental defects were indeed due to the lack of functional Pngl. On the other hand, a ‘‘catalytically-inactive’’ mutant where the Cys in Pngl equivalent to catalytic Cys in other PNGase orthologs was changed to Ala did not rescue the growth-delay phenotype, strongly suggesting that the unknown biochemical activity of Pngl is important for its biological function. PNGase-mediated deglycosylation during the ERAD process was also suggested to be critical for class I major histocompat- ibility complex antigen presentation [15,16]. Despite the accumulating knowledge on the role of cytoplasmic PNGase in the ERAD and the conservation of its structural features in species from yeast to mammals [17,18,19,20,21]), the biological significance of this protein has not yet been rigorously demonstrated in any system. For instance, the null mutant for png1 in S. cerevisiae was shown to have no apparent phenotype [8]. It has been reported that mutation of the PNGase ortholog in Neurospora crassa, which was also shown to be inactive for the PNGase activity due to the amino acid change at catalytic triad essential for the deglycosylation activity [18,22], caused the malformation of hyphae, but the molecular mechanism remains to be determined [23,24]. PLoS ONE | www.plosone.org Introduction In the case of Dm, one of the rectangles is colored by white as CXXC is not conserved. (B) Cytosolic staining of (His)6-tagged Pngl expressed in Drosophila S2 cells, stained by anti-His antibody(red). Blue staining is for nuclear staining (DAPI) (C) Western blotting analysis of PNGase proteins expressed in Sf21 cells. Pngl was immunoprecipitaed with anti-Pngl antibody and was detected by Western blotting as described in ‘‘Materials and Methods’’. Lane 1: Immunoprecipitated samples from mock-transfected Sf21 cell soluble fraction, lane 2: from Sf21 cells transfected with Pngl, lane3: from larval disc- brain-complex soluble fraction. (D) Glycan binding assays of mouse (Ngly1) and fly (Pngl) PNGases. Lanes 1, 3, 5: negative control (no probe) of Ngly1, Pngl, and Pngl(C303A); lanes 2, 4, 6: Ngly1, Pngl, and Pngl(C303A) after reaction with the carbohydrate probe. doi:10.1371/journal.pone.0010545.g001 Figure 1. Pngl also conserves characteristics of cytosolic PNGases from other species. (A) Schematic representation of PNGase orthologs from various species. Sc: Saccharomyces cerevisiae; At: Arabidopsis thaliana; Ce: Caenorhabditis elegans; Mm: Mus musculus; Dm: Drosophila melanogaster; the conserved core domain is colored by light grey. The transglutaminase domain with catalytic center: black, PUB domain: dotted- filled, and mannose-binding domain, filled with hatched lines. Two CXXC motifs are described with thin rectangles colored by dark grey. In the case of Dm, one of the rectangles is colored by white as CXXC is not conserved. (B) Cytosolic staining of (His)6-tagged Pngl expressed in Drosophila S2 cells, stained by anti-His antibody(red). Blue staining is for nuclear staining (DAPI) (C) Western blotting analysis of PNGase proteins expressed in Sf21 cells. Pngl was immunoprecipitaed with anti-Pngl antibody and was detected by Western blotting as described in ‘‘Materials and Methods’’. Lane 1: Immunoprecipitated samples from mock-transfected Sf21 cell soluble fraction, lane 2: from Sf21 cells transfected with Pngl, lane3: from larval disc- brain-complex soluble fraction. (D) Glycan binding assays of mouse (Ngly1) and fly (Pngl) PNGases. Lanes 1, 3, 5: negative control (no probe) of Ngly1, Pngl, and Pngl(C303A); lanes 2, 4, 6: Ngly1, Pngl, and Pngl(C303A) after reaction with the carbohydrate probe. doi:10.1371/journal.pone.0010545.g001 (registered as PNGase or CG7865 in FLYBASE). As found in other species Pngl was mainly localized in the cytosol. Interest- ingly, the Pngl lacks a second CXXC motif that is critical for enzymatic activity in other species [18,22]. Flies have a PNGase ortholog localized in the cytosol Flies have a PNGase ortholog localized in the cytosol The Saccharomyces cerevisiae gene encoding cytoplasmic PNGase was first identified by isolating mutants defective in PNGase activity, followed by genetic mapping of the mutation responsible for the loss of enzyme activity [8]. The fly ortholog of PNGase has the core transglutaminase (PNGase) domain conserved throughout species (Fig. 1A), with an extended N-terminus containing a PUB (Peptide:N-glycanase/UBA or UBX-containing proteins) domain, the p97-interacting domain found in the murine protein [25], and a C-terminal putative mannose binding domain [19]. As in the case of PNGases of other species, Pngl does not have any signal peptide, which likely indicates the cytosolic localization. Consistent with this prediction, cytosolic staining of Pngl(His)6 was observed (Fig. 1B). It should be noted that part of Pngl could be localized on the ER membrane, as in the case with mouse PNGase ortholog, Ngly1 [26]. Ngly1 was reported to be associated with the ER membrane from the cytosolic face by interacting with other ER resident proteins such as gp78 [27] or Derlin1 [28]. Because of the lack of the antibody acting to the fly ER protein available to us, further detail on its subcellular localization could not be examined. The occurrence of Pngl in the cytosol was also revealed by Western blotting. A specific band consistent with the expected molecular weight of ,74K was detected with the anti-Pngl antibody in cytosol fraction prepared from Pngl-expressing Sf21 cells (Fig. 1C, lane 2) while no band was detected in the supernatant prepared from mock pVL1393-transfected Sf21 cells (Fig. 1C, lane 1). A similar specific band was detected in the cytosol fraction prepared from Canton S wildtype larvae disc- brain complex. Taken all together, these results indicate Pngl is a cytosolic protein, as is the case for PNGase orthologs in other species [8,26,29,30]. To determine if amino acid differences in the second CXXC motif of Pngl are responsible for the loss of deglycosylating activity, we took advantage of a PNGase assay using the yeast Png1 (ScPng1)-expression system in E. coli [37]. Amino acids of the second CXXC motif (amino acids 165–168) of yeast Png1 were replaced by amino acids found in the equivalent position of Pngl and the recombinant proteins were assayed for activity. As shown in Table 1, the ScPng1 mutants were enzymatically active as long as they retained the CXXC motif (ex. Pngl conserves carbohydrate binding property As Pngl conserves many structural features with the other PNGases previously studied, it may be possible that Pngl still retains some of the biochemical characteristics of the cytoplasmic PNGase. For instance, Pngl retains all of the residues critical for the carbohydrate-binding activity of yeast Png1 and mouse Ngly1 [21,31,32]. To investigate this possibility, Pngl was expressed in Sf21 cells and the cytosolic fraction was assayed for carbohydrate- binding using the haloacetamide-derivative of high mannose-type N-glycan probe that covalently binds to the catalytic Cys residue of ScPng1 (C303 in Pngl) [31]. It is important to note that we did not detect PNGase activity in the cytosolic fraction of native Sf21 cells (data not shown). A shift in migration similar to that obtained with FLAG-tagged Ngly1 (Fig. 1D, lanes 1, 2) was observed for FLAG- tagged Pngl after reaction with the carbohydrate probe (Fig. 1D, lanes 3 and 4). The specificity of the covalent bond-formation with the glycan probe was confirmed by the fact that the binding was abrogated by conversion of the reactive Cys303 to Ala (Fig. 1D, lanes 5 and 6). This result clearly indicates that the binding of probe to the wild-type Pngl was specific to Cys303 and not due to the result of non-specific binding to other Cys residues on this protein. It is therefore concluded that the Drosophila ortholog of PNGase retains carbohydrate-binding activity as in the case of other cytosolic PNGases. Introduction In this study, we examined the biological functions of the Drosophila melanogaster PNGase ortholog, PNGase-like (Pngl) PLoS ONE | www.plosone.org May 2010 | Volume 5 | Issue 5 | e10545 May 2010 | Volume 5 | Issue 5 | e10545 2 Novel Function of PNGase feature of Pngl, i.e. the absence of a second CXXC motif close to the catalytic transglutaminase domain that is found in other PNGase orthologs (Fig. 1A). The lack of this motif was also observed in other insects belonging to Diptera, suggesting that the second CXXC motif might have been lost during evolution (Fig. 2). The CXXC motif was shown to have a zinc binding activity, and was suggested to maintain a stable conformation of the catalytic transglutaminase domain that is required for deglycosylation activity [18,22]. This observation raises the possibility that Pngl does not have deglycosylation activity, despite the high degree of conservation in the catalytic domain (61% identity; 75% similarity in the transglutaminase domain). Consistent with this, we failed to detect deglycosylation activity in the soluble fractions prepared from larval homogenate (Fig. 2B) or recombinant Pngl protein expressed in Sf21 cells (data not shown) under various conditions. Furthermore, analysis of free oligosaccharides (fOSs), one of the possible reaction products by PNGase, accumulated in wild type and Pngl mutant did not exhibit the significant difference, thus failing to provide credible evidence for its PNGase activity (Text S1 and Table S1). This result contrasted with the case of budding yeast, where fOSs were virtually absent in png1D strain [33,34]. In mammalian cells, the cytosolic PNGase-independent formation of fOSs has well been documented, while its molecular mechanism remains to be clarified [35,36]. It is therefore reasonable to assume that the flies are capable of generating fOSs even with the loss of PNGase activity in Pngl. Expression levels and patterns of Pngl are developmentally regulated To examine the spatio-temporal expression of Pngl during development, in situ hybridization was carried out using embryos or larval tissues. Strong expression of mRNA was only observed in early embryos up to stages 4 to 5, prior to the stage of cellularization (Fig. 3A). The high level of mRNA detected in very early embryonic stages is probably due to maternally provided transcripts expressed during oogenesis. Expression of somatic mRNA at later embryonic periods was not detected under the experimental conditions (data not shown). However, among the larval tissues distinct levels of mRNA expression was observed mainly in the gonads, both testis and ovary, and imaginal discs including eye, wing and leg discs, and central nervous system (Fig. 3B–D, F and G). The expression detected with Pngl antisense probes is specific as no signal was detected using DIG-labeled RNA probes prepared against the sense strand of cDNA (Fig. 3E). These results suggest that Pngl might play a critical role during larval development and metamorphosis. Flies have a PNGase ortholog localized in the cytosol ScPng1(CVCC)), but became inactive if the motif was disrupted with the amino acids of fly ortholog (TVCC), which correspond to the CXXC motif (ex. ScPng1(TNRC); ScPng1(TVCC)). The finding that even the single amino acid substitution of the Cys165 of ScPng1 to the Thr (ScPng1(TNRC)) abrogates enzyme activity strongly suggests that Pngl has lost its deglycosylation activity due to mutation of the zinc binding motif during the evolutional process. Pngl does not possess deglycosylation activity In spite of high homology with the overall structure especially with mammalian PNGase, whose deglycosylation activity is already reported [6,7] and indeed some characteristics are conserved as described before, there is still a notable structural PLoS ONE | www.plosone.org May 2010 | Volume 5 | Issue 5 | e10545 May 2010 | Volume 5 | Issue 5 | e10545 3 Novel Function of PNGase Figure 2. Loss of PNGase activity due to the lack of CXXC motif. (A) Cytosolic PNGase orthologs from Diptera do not conserve zinc-binding motif. Amino acid comparison of the region around one of the CXXC motifs (boxed), critical for PNGase activity; the abbreviations used are: Dmelanogaster, Drosophila melanogaster; Dp, Drosophila pseudoobscura; Aaegypti, Aedea aegypti; Agambiae, Anopheres gambiae; Amellifera, Apis mellifera; Tcastaneum, Tribollium castaneum; Hsapiens, Homo sapiens; Mmuscalus, Mus muscalus; Athaliana, Arabidopsis thaliana; Spombe, Schizosaccharomyces pombe; Scerevisiae, Saccharomyces cerevisiae; and Celegans, Caebinohabiditis elegans. Conserved C (Cys) in the catalytic triad is shown by the asterisk. (B) Lack of PNGase activities in the soluble fractions of whole larval homogenate. PNGase activities were examined with the 14C-labeled asialofetuin glycopeptides as a substrate. The relative activity of the yeast ScPng1 was set to 1. ScPng1, wild type Png1 from Saccharomyces cerevisiae recombinant protein (positive control); Mm testis, testis from Mus muscalus homogenate; Dm larva, Drosophila melanogaster 3rd instar wandering larvae homogenate; pH6, pH6.7 (optimal pH for ScPng1 [8]); pH7, pH7.4 (optimal pH for mouse Ngly1 [6]); pH8.3 (optimal pH for CePNG1 from C. elegans [39]); Sc C191A, C191A mutant b f ( l) b d h b d d b k d Figure 2. Loss of PNGase activity due to the lack of CXXC motif. (A) Cytosolic PNGase orthologs from Diptera do not conserve zinc-binding motif. Amino acid comparison of the region around one of the CXXC motifs (boxed), critical for PNGase activity; the abbreviations used are: Dmelanogaster, Drosophila melanogaster; Dp, Drosophila pseudoobscura; Aaegypti, Aedea aegypti; Agambiae, Anopheres gambiae; Amellifera, Apis mellifera; Tcastaneum, Tribollium castaneum; Hsapiens, Homo sapiens; Mmuscalus, Mus muscalus; Athaliana, Arabidopsis thaliana; Spombe, Schizosaccharomyces pombe; Scerevisiae, Saccharomyces cerevisiae; and Celegans, Caebinohabiditis elegans. Conserved C (Cys) in the catalytic triad is shown by the asterisk. (B) Lack of PNGase activities in the soluble fractions of whole larval homogenate. PNGase activities were examined with the 14C-labeled asialofetuin glycopeptides as a substrate. The relative activity of the yeast ScPng1 was set to 1. Pngl does not possess deglycosylation activity ScPng1, wild type Png1 from Saccharomyces cerevisiae recombinant protein (positive control); Mm testis, testis from Mus muscalus homogenate; Dm larva, Drosophila melanogaster 3rd instar wandering larvae homogenate; pH6, pH6.7 (optimal pH for ScPng1 [8]); pH7, pH7.4 (optimal pH for mouse Ngly1 [6]); pH8.3 (optimal pH for CePNG1 from C. elegans [39]); Sc C191A, C191A mutant recombinant of ScPng1 (inactive control). Activity observed with ScPng1 C191A mutant can be regarded as background. doi:10.1371/journal.pone.0010545.g002 Homozygous deletion mutants show developmental defect encodes a protein with 7 amino acids shorter at the N-terminus (http://flybase.org/reports/FBgn0033050.html). The Pngl[ex14] and Pngl[ex18] deletions both extend from just upstream of the shorter Pngl-RA transcript (within the second intron of the longer Pngl-RB transcript) into the protein coding region (Fig. 4A), and in both cases are predicted to express in-frame truncated proteins by RT-PCR analysis. On the other hand, no transcripts could be detected from the Pngl[ex20] deletion which extends 1.1 kb upstream from Pngl[KG] transposon insertion site. This result indicates that Pngl[ex20] is a bona fide null allele for Pngl. To provide more insight into the biological significance of the cytoplasmic PNGase ortholog in flies, we generated and characterized mutations in the Pngl gene. Accordingly, imprecise excision of a P element transposon insertion in the Pngl locus, Pngl[KG], was carried out and 3 microdeletion strains, Pngl[ex14], Pngl[ex18] and Pngl[ex20] were isolated. The deletions were molecularly characterized by PCR with DNA primers flanking the deletion breakpoints and sequencing of the resulting PCR products. The Drosophila genome project identified two splice variants of Pngl, CG7865-RA (Pngl-RA) and CG7865-RB (Pngl- RB) that are predicted to encode almost identical proteins; RB Having established mutant strains for Pngl, we next examined the phenotypes of them. All three deletions were semilethal, producing homozygous adults at less than 1% relative to their PLoS ONE | www.plosone.org May 2010 | Volume 5 | Issue 5 | e10545 May 2010 | Volume 5 | Issue 5 | e10545 4 Novel Function of PNGase Table 1. Expression and activity of various CXXC mutants of ScPng1. The second CXXC motif Relative activity (%) WT CNRC 1.0 N166V, R167C CVCC 0.79 C165T TNRC n.d. C165T, N166V, R167C TVCC n.d. C191A (inactive) CNRC n.d. Relative activity was calculated by setting wild type activity as 1.0 and inactive mutant as 0.0. n.d.: not detected (below background level). doi:10.1371/journal.pone.0010545.t001 which showed the similar growth rate with that of the wild type (data not shown). Homozygotes also showed significant delay in the pupal formation, resulting from the extended larval period. Transheterozygotes between Pngl[ex14] and Pngl[ex20] were also examined and showed the same growth delay and semilethal phenotype as the Pngl[ex20] homozygotes (data not shown). Despite the delayed growth, several percent of the animal succeeded in pupal eclosion to emerge as adults without any apparent morphological abnormality. Homozygous deletion mutants show developmental defect Nevertheless, the surviving adult flies exhibited a higher frequency of premature death than that of wild type, as well as severe male and female sterility; sterility was observed for 4 out of 5 Pngl[ex20] homozygous males, 2/5 of Pngl[ex14]/Pngl[ex20] transheterozygous males, 15/17 of Pngl[ex20] females and 17/18 of Pngl[ex14]/Pngl[ex20] females. These results indicate that a basal level expression of Pngl is critical for normal lifespan and reproduction process. Table 1. Expression and activity of various CXXC mutants of ScPng1. May 2010 | Volume 5 | Issue 5 | e10545 Transgene expression of Pngl rescued phenotypic consequences of mutants heterozygous siblings. This same phenotype was observed for flies heterozygous for the different deletions, and for flies heterozygous for the deletions and the chromosomal deficiency Df(2R)nap[9], clearly showing that these mutants were all allelic with similar semilethal phenotypes. To unequivocally show that the observed phenotypes of the mutants were due to the lack of Pngl, we investigated the effect of Pngl transgene expression in these mutants. Expression of a UAS- Pngl construct driven either by tub-Gal4 or Act5C-Gal4, both of which result in ubiquitous expression, completely rescued the developmental delay and semilethal phenotype of the homozygous Pngl mutants (Table 2). This result clearly indicates that the phenotypic consequences of mutants were indeed due to the lack of Pngl. In addition, expression of mouse PNGase ortholog, Ngly1 was also found to rescue the semilethality (Table 2), strongly suggesting that the functional importance of Pngl is conserved For a detailed analysis of the mutant phenotype, 1st instar larvae homozygous for Pngl[ex20] were separated from their heterozygous siblings and the growth curve was examined. Heterozygotes with the GFP balancer, collected from the same cross were also examined as the control. It was found that the homozygous larvae started to wander a couple of days later (Fig. 4B, right panel) than the heterozygotes (Fig. 4B, left panel), Figure 3. In situ hybridization by Pngl DIG-labeled RNA probes. (A) stage 4 embryo, which is the oldest stage of the embryonic positive staining; (B) larval ovary; (C) larval testis; (D) eye-antennal disc, dorsal to the left and anterior to the top; (E) control staining of wing disc by sense probe; (F) wing (and leg) disc, anterior to the left; (G) larval brains, dorsal view and anterior to the top. doi:10.1371/journal.pone.0010545.g003 Figure 3. In situ hybridization by Pngl DIG-labeled RNA probes. (A) stage 4 embryo, which is the oldest stage of the embryonic positive staining; (B) larval ovary; (C) larval testis; (D) eye-antennal disc, dorsal to the left and anterior to the top; (E) control staining of wing disc by sense probe; (F) wing (and leg) disc, anterior to the left; (G) larval brains, dorsal view and anterior to the top. doi:10.1371/journal.pone.0010545.g003 May 2010 | Volume 5 | Issue 5 | e10545 PLoS ONE | www.plosone.org 5 Novel Function of PNGase Figure 4. Mutation of Pngl resulted in severe delay in development. Transgene expression of Pngl rescued phenotypic consequences of mutants elegans PNGase also has thioredoxin-like domains with oxidore- ductase activity thus serving as a dual functional enzyme [38,39], and mammalian PNGase has the so-called PUB domain at its N- terminus, which can play a role as a protein-protein interaction domain [25,40,41,42,43]. At the C terminus the putative mannose-binding domain may contribute to the interaction with N-linked glycans [19,21] (Fig. 4). On the other hand, Arabidopsis PNGase (AtPng1) is quite distinct with totally different domains both N- and C-terminal of the transglutaminase/PNGase domain (see Fig. 1A). There is a report that AtPng1, unlike yeast Png1, among species. Ectopic expression of Pngl to specific tissues, so far as tested, failed to rescue the strong semilethal phenotypes, suggesting that Pngl functions in a cell autonomous fashion, and not by secretion or transcytosis from surrounding cells. Impor- tantly, while the wild type Pngl and FLAG-tagged Pngl rescued the semilethality in a similar manner, the Pngl(C303A) mutant, in which Cys serving as catalytic residue in other orthologs was changed to Ala, could not rescue the growth delay and semilethal phenotype either with tub-Gal4 or Act5C-Gal4 driver line, despite the equivalent level of protein expression (Fig. 5). These results strongly suggest that the transglutaminase domain of Pngl participates in some type of catalytic activity even though the protein does not have the conventional deglycosylation activity. The cytosolic PNGase is an intriguing protein as, during the evolutional process, apparent orthologs have resulted in quite diverse structural organization between species. For example, C. elegans PNGase also has thioredoxin-like domains with oxidore- ductase activity thus serving as a dual functional enzyme [38,39], and mammalian PNGase has the so-called PUB domain at its N- terminus, which can play a role as a protein-protein interaction domain [25,40,41,42,43]. At the C terminus the putative mannose-binding domain may contribute to the interaction with N-linked glycans [19,21] (Fig. 4). On the other hand, Arabidopsis PNGase (AtPng1) is quite distinct with totally different domains both N- and C-terminal of the transglutaminase/PNGase domain (see Fig. 1A). There is a report that AtPng1, unlike yeast Png1, Transgene expression of Pngl rescued phenotypic consequences of mutants (A) genomic map of Pngl with the 2 predicted mRNA, Pngl-RA(light grey) and Pngl RB (dark grey), deletion points in ex14, 18 and 20, indicated by the arrows; (B) Quantitative analysis of Drosophila growth of heterozygotes and homozygotes of the Pngl microdeletion Pngl[ex20]. The number of days after egg laying (AEL) is plotted on the X axis and the number of animals counted is plotted on the Y axis. White indicates the adult, light grey, pupae and dark grey, wandering larvae. doi:10.1371/journal.pone.0010545.g004 Figure 4. Mutation of Pngl resulted in severe delay in development. (A) genomic map of Pngl with the 2 predicted mRNA, Pngl-RA(light and Pngl RB (dark grey), deletion points in ex14, 18 and 20, indicated by the arrows; (B) Quantitative analysis of Drosophila growth of heterozyg and homozygotes of the Pngl microdeletion Pngl[ex20]. The number of days after egg laying (AEL) is plotted on the X axis and the number of an counted is plotted on the Y axis. White indicates the adult, light grey, pupae and dark grey, wandering larvae. doi:10.1371/journal.pone.0010545.g004 Figure 4. Mutation of Pngl resulted in severe delay in development. (A) genomic map of Pngl with the 2 predicted mRNA, Pngl-RA(light grey) and Pngl RB (dark grey), deletion points in ex14, 18 and 20, indicated by the arrows; (B) Quantitative analysis of Drosophila growth of heterozygotes and homozygotes of the Pngl microdeletion Pngl[ex20]. The number of days after egg laying (AEL) is plotted on the X axis and the number of animals counted is plotted on the Y axis. White indicates the adult, light grey, pupae and dark grey, wandering larvae. doi:10.1371/journal.pone.0010545.g004 activity may relate to its biological significance has not been demonstrated in any systems. In this study, we report the surprising finding that, although biologically shown to be critical for normal development, the functional importance of the fly PNGase ortholog (Pngl) may not lie in its deglycosylation activity. activity may relate to its biological significance has not been demonstrated in any systems. In this study, we report the surprising finding that, although biologically shown to be critical for normal development, the functional importance of the fly PNGase ortholog (Pngl) may not lie in its deglycosylation activity. The cytosolic PNGase is an intriguing protein as, during the evolutional process, apparent orthologs have resulted in quite diverse structural organization between species. For example, C. Discussion Although recent studies have established the involvement of the cytoplasmic PNGase in ERAD-related events, how this enzyme PLoS ONE | www.plosone.org May 2010 | Volume 5 | Issue 5 | e10545 6 Novel Function of PNGase Table 2. Rescuing abilities of each UAS-Gal4 combination. Gal4 Expression patterns UAS construct Pngl Pngl-FLAG Pngl, C303A Ngly1 tub-Gal4 Ubiquitous (weak) + + 2 + Act5C-Gal4 Ubiquitous (strong) + + 2 + vg-Gal4 A part of disc 2 2 2 n.d. GMR-Gal4 Eye disc 2 2 2 n.d. c855a-Gal4 outer proliferation center of the larval optic lobe 2 2 2 n.d. +, rescued; 2 no rescue observed; n.d., not determined. doi:10.1371/journal.pone.0010545.t002 +, rescued; 2 no rescue observed; n.d., not determined. doi:10.1371/journal.pone.0010545.t002 among many of the Diptera, is still conserved in some other insects, such as Apis mellifera and Tribolium castaneum (Fig. 2A). Therefore one could envisage that the loss of the second CXXC motif most likely occurred within the insect species, but it did not affect the viability of these species although the enzyme activity may have been lost. possesses a transglutaminase activity [44] in addition to its PNGase activity [30]. Indeed, this structural diversity may result in diverse functions depending on the organisms. It is important to note here that the overall structure of Pngl and mammalian orthologs are quite similar [9], implicating similar molecular functions between them. Indeed, the protein was found to retain its carbohydrate- binding activity as in the case of PNGases from mammal, which was previously reported to be important for the enzymatic activity [21]. As the binding was highly specific to N-glycan derivatives containing N,N9-diacetylchitobiose structure [31], it is likely that the interaction between the N-linked glycans and the PNGase ortholog is a conserved phenomena. The fact that the mutation in this gene can lead to failure of proper development demonstrates the functional importance of Pngl. It is interesting to note that the expression levels of PNGase may not be critical as ubiquitous Pngl expression did not produce adverse effects, even when the endogenous expression levels were observed to be under specific spatio-temporal control. It should also be noted that the biological significance of this protein does not seem to lie in the deglycosylation activity, because Pngl lacks the second CXXC motif critical for PNGase activity. Discussion It is therefore possible that, given the strikingly similar domain organization, mammalian ortholog of the cytoplasmic PNGase, besides its PNGase activity, may also exert its functions through the similar deglycosylation-independent mechanism, and indeed it was suggested by our observation that the defect of Pngl mutation was rescued by the expression of Ngly1, a mouse ortholog of Pngl (Table 2). It is also interesting to note that, through use of systematic high- throughput analysis, Pngl was also shown to interact with Rad23 ortholog in the fly [45], as were the orthologs in other species [12,40]. We also confirmed the binding between those proteins by the yeast two-hybrid assay (data not shown). These results also suggest the conservation of its molecular functions throughout evolution. There is, however, also a quite distinct structural feature in Pngl, as it lacks the second CXXC motif, which forms a zinc-binding domain critical for enzymatic activity [18,22]. Consistent with this finding, we could not detect any PNGase activity by either in vitro or in vivo assays. Interestingly, the second CXXC motif, while lost Interestingly, as shown by the failure in the rescue by the expression of Pngl(C303A) mutant, in which Cys serving as Figure 5. Detection of Pngl or Pngl(C303A) expressed by UAS-Gal4 system. By Western blotting, blots were stained with rabbit anti-Pngl antibody (lanes 1–7), or mouse anti-FLAG monoclonal antibody (M2, lanes 8–10). All samples were soluble fractions isolated from larvae. Lower panel (lanes 19–79) represents the longer exposure of the upper panel (Lanes 1–7). Lanes 1 and 8: yw larvae (wild type control); lanes 2 and 9: Pngl-FLAG driven by tub-Gal4; Lane 3: Pngl driven by tub-Gal4, lane 4: Pngl(C303A) driven by tub-Gal4; Lanes 5 and 10: Pngl-FLAG driven by Act5C-Gal4, Lane 6: Pngl driven by Act5C-Gal4, and Lane 7: Pngl(C303A) driven by Act5C-Gal4. The asterisk indicates the non-specific bands bound by Pngl peptide antibody. The band for Pngl or Pngl-FLAG protein is indicated by an arrow. doi:10.1371/journal.pone.0010545.g005 Figure 5. Detection of Pngl or Pngl(C303A) expressed by UAS-Gal4 system. By Weste Figure 5. Detection of Pngl or Pngl(C303A) expressed by UAS-Gal4 system. By Western blotting, blots were stained with rabbit anti-Pngl antibody (lanes 1–7), or mouse anti-FLAG monoclonal antibody (M2, lanes 8–10). All samples were soluble fractions isolated from larvae. Lower panel (lanes 19–79) represents the longer exposure of the upper panel (Lanes 1–7). Discussion Lanes 1 and 8: yw larvae (wild type control); lanes 2 and 9: Pngl-FLAG driven by tub-Gal4; Lane 3: Pngl driven by tub-Gal4, lane 4: Pngl(C303A) driven by tub-Gal4; Lanes 5 and 10: Pngl-FLAG driven by Act5C-Gal4, Lane 6: Pngl driven by Act5C-Gal4, and Lane 7: Pngl(C303A) driven by Act5C-Gal4. The asterisk indicates the non-specific bands bound by Pngl peptide antibody. The band for Pngl or Pngl-FLAG protein is indicated by an arrow. doi:10.1371/journal.pone.0010545.g005 Figure 5. Detection of Pngl or Pngl(C303A) expressed by UAS-Gal4 system. By Western blotting, blots were stained with rabbit anti-Pngl antibody (lanes 1–7), or mouse anti-FLAG monoclonal antibody (M2, lanes 8–10). All samples were soluble fractions isolated from larvae. Lower panel (lanes 19–79) represents the longer exposure of the upper panel (Lanes 1–7). Lanes 1 and 8: yw larvae (wild type control); lanes 2 and 9: Pngl-FLAG driven by tub-Gal4; Lane 3: Pngl driven by tub-Gal4, lane 4: Pngl(C303A) driven by tub-Gal4; Lanes 5 and 10: Pngl-FLAG driven by Act5C-Gal4, Lane 6: Pngl driven by Act5C-Gal4, and Lane 7: Pngl(C303A) driven by Act5C-Gal4. The asterisk indicates the non-specific bands bound by Pngl peptide antibody. The band for Pngl or Pngl-FLAG protein is indicated by an arrow. doi:10.1371/journal.pone.0010545.g005 May 2010 | Volume 5 | Issue 5 | e10545 PLoS ONE | www.plosone.org 7 7 Novel Function of PNGase evident, efforts should be directed to clarify the precise molecular functions of this protein from various organisms. Although Pngl appears to have lost the PNGase activity, the putative ‘‘catalytic’’ Cys was still shown to be important for its function. Although the contribution of each domain such as the PUB domain or the mannose-binding domain remains unknown, the fact that the point mutation to the ‘‘catalytic’’ Cys resulted in loss of functionality suggests that some enzymatic function of this protein may be required for its proper function. Whatever the biochemical activity, this report indicates that unlike the case in yeast, mutations in the Drosophila ortholog of cytoplasmic PNGase can cause severe developmental phenotypes, thereby indicating an unclarified biological role for this protein in higher eukaryotes, especially the mammalian ones with the similar domain structure. Considering the quite distinct domain organization of different PNGase orthologs, this protein could also serve as an intriguing model to determine how one protein acquired such diverse structures during evolution and understand how the distinct biochemical properties of these proteins contribute to their functional importance. Discussion catalytic residue in other orthologs was changed to Ala (Table 2), this cysteine, may still have important roles for the proper function of the protein, if not for a PNGase activity. An alternative explanation could be that the Cys to Ala mutation resulted in conformational change thereby causing premature degradation, although this seems unlikely as the mutant protein is expressed well in insect cells (cf. Fig. 3B) and in vivo (Fig. 5). PNGase ortholog NcPNG1 from Neurospora crassa also was recently reported for the loss of PNGase activity. However, the loss occurred mainly due to the evolutional amino acid change in the ‘catalytic triad’ in the domain corresponding to the active center. It was also shown that the PNGase activity is apparently not needed as the catalytic-inactive C to A mutation of ScPng1 from Saccharomyces cerevisiae rescued the hyphal extention-failure phenotype [24]. Situation therefore is quite distinct from the case with Pngl, where the equivalent C-to-A mutation could not rescue the developmental defect (Table 2). Interestingly, the semilethal phenotype of Pngl excision was rescued by the mouse Ngly1 (Table 2), strongly suggesting that certain biochemical property, which is inevitable for the fruitfly viability, is also conserved among species. Western blotting The enzyme sources obtained from Sf21 cells were subjected to SDS-PAGE and Western blotting as described previously [48]. In brief, blotting was done by the submarine-type mini-transblot (Bio- Rad Laboratories, Tokyo) onto PVDF membrane (PALL, FL) and the blots were treated with 5% skim milk (Nacalai Tesque, Kyoto) for blocking. After the treatment of the membrane with the 1st antibody or HRP-labeled 2nd antibody dissolved in 5% skim milk protein was detected using the Immobilon Western HRP substrate (Millipore, MA) and LAS3000 mini (Fujifilm, Tokyo). Iodoacetamide glycan binding assay The molecular properties of iodoacetamide N-glycan and the procedure of binding assay using this material were described previously [31]. Briefly, the supernatant after ultracentrifugation of homogenate from Sf21 transfected with pVL1393-Pngl-FLAG, Pngl-C303A-FLAG, or Ngly1-FLAG was mixed with 50 mM of Man8GlcNAc2-IAc and incubated for 10 min at 25uC. Then the mixture was subjected to SDS-PAGE and the proteins bound to the probe were visualized by Western blotting using anti-FLAG antibody M2 (Sigma-Aldrich, MO). Generation of anti-Pngl antibody Generation of anti-Pngl antibody The peptide containing the C-terminal sequence of Pngl, (C)RQSLNSRDYPFDLQ was synthesized and conjugated to KLH for use as an immunogen. Affinity-purified serum against the peptide was generated by Gene Design Inc. (Ibaraki, Japan). The specificity of the antibody was confirmed by the Western blotting with BSA-conjugated peptide and Sf21-expressed Pngl. Protein expression in Sf21 cells cDNA including a preceding possible KOZAK sequence at the 59 end of the gene was amplified with the NotI and XbaI site at each end of the fragment using the primers listed in Table 3. The insert was ligated to pVL1393 plasmid (BD Biosciences, CA) after digestion with the appropriate enzymes to generate pVL1393-Pngl. For the production of C303A mutated Pngl (Pngl(C303A)), mutagenesis was conducted on the TA-cloned cDNA, which was amplified with the same PCR primers as above and subcloned into the pVL1393 vector by the same strategy. As a positive control for the glycan-binding experi- ment, mouse PNGase, Ngly1, was also cloned using the primers listed in Table 3 to produce EcoRI sites at the both ends and with a 39 end FLAG-tag. After the restriction enzyme digestion, the Ngly1 ORF-containing fragment was subcloned into pVL1393, which we denote ‘pVL1393-Ngly1-FLAG’. pVL1393 insertion constructs were transfected into Sf21 cells with BaculoGold DNA (BD Biosciences, CA) by Cellufectin (Life Technologies, CA) according to the manufactures’ protocols. After the 3rd infection, cells were harvested by centrifugation, followed by washing with PBS. Cells were then homogenized with a cell grinder in buffer containing 10 mM HEPES-NaOH pH 7.4, 250 mM sucrose, 2 mM DTT, 1 mM AEBSF, and 16Complete Protease Inhibitor Cocktail (Roche Diagnostics GmBH, Mannheim) and the supernatant was collected for enzyme assays after ultracentrifugation at 100,0006g for 1 hour at 4uC. Ngly1 activity was confirmed in PNGase assays using RNaseB as substrate [37]. Analaysis of PNGase activity in Drosophila melanogaster larval soluble fractions Harvested 3rd instar wandering larvae or freshly dissected mouse testis were homogenized on ice in 2 vol (v/w) of 10 mM HEPES buffer with 250 mM sucrose, 2 mM DTT, 1mM AEBSF and 16Complete protease inhibitor cocktail and ultracentrifuged at 100,0006g at 4uC for 1 hour. Then the soluble fractions obtained were transferred to new tubes and used as enzyme sources for the analysis of PNGase activity. The enzyme assay was 14C-labeled asialofetuin glycopeptide I as a substrate ([6,37]. 10 ml reaction contains 1 ml of the substrate (14,000 cpm), 6 ml of the enzyme sources and 3 ml of various buffers (100 mM MES-NaOH pH 6.7, 100 mM HEPES-NaOH pH 7.4 or 100 mM HEPES- NaOH pH 8.3). Reaction was conducted at ambient temperature for overnight. The resultant deglycosylated peptide by the action of PNGase activity was separated by paper chromatography with buthanol/ethanol/water (2:1:1) and analyzed by BAS 2500 (Fujifilm, Tokyo, Japan). The soluble fractions isolated from wild type yeast PNGase (ScPng1) and its catalytic inactive form (ScPng1C191A) were used as positive or negative control for the enzyme reaction [8,22]. In situ hybridization DIG-labeled RNA probes were produced by in vitro transcription using T7 (for control sense probe) or Sp6 RNA polymerase (for antisense probe) (Roche Diagnostics GmBH, Mannheim) using SD19435 plasmid digested with XhoI or EcoRI, respectively. In situ hybridization was conducted as described previously [50]. The stained samples were mounted in PBS containing 80% glycerol. Isolation and analysis of free oligosaccharides from larval soluble fractions Free oligosaccharides (fOSs) were isolated from the soluble fractions of wild type- or mutant larvae. The fOSs isolated was labeled with 2-amino pyridine, and quantitated using the HPLC as described before [48,49]. Detailed method are described in Supplemental Information Materials and Methods (Text S1). Materials and Methods To examine the molecular detail of its defect, we examined the pattern of cell cycle marker such as BrdU staining or that of ecdysone receptor subtypes (EcR-A, 15G1a; EcR-B1, AD4.4; or EcR-common, Ag10.2) in the mutant tissues, but no apparent abnormality was observed (data not shown). Thus the detailed biochemical properties still remain to be determined. Expression of the Drosophila PNGase ortholog (Pngl) in S2 cells The cDNA clone SD19435 from the Drosophila Gene Collection encoding the putative Drosophila PNGase ortholog [46] kindly provided by Dr. Ryu Ueda at National Institute of Genetics, Mishima, was used as the template for preparing various constructs. Primers used for PCR amplification of Pngl ORF are listed in Table 3. Amplified DNA was cloned into the plasmid pRmHa using BglII and XhoI sites to replace the insert of pRmHa-OFutI (a gift from Drs. Ken In summary, we characterized a Drosophila PNGase ortholog, which produces a protein product that lacks conventional PNGase activity, but nonetheless plays important roles during larval and pupal development as well as contributing to the normal longevity and fertility of adults. Now that functional diversification of this protein is Table 3. Summary of primers used in this work. Primers for vector construction pRmHA-Pngl (BglII-XhoI) F GAAGATCTATGTGGCAGCTGGTCATC R CCGCTCGAGATGTAGTTGCACTTGCAGATCGAAGG pVL1393-Pngl (NotI-XbaI) F ATAAGAATGCGGCCGCCTAAAAATGTGGCAGCTGG R CGCGGATCCCTACTTATCGTCGTCATCCTTGTAATCATGTAGTTGCACTTGCAGATCGAA(with FLAG) CGCGGATCCTCAATGTAGTTGCACTTGCAGATCGAA (without FLAG-tag) pVL1393-Ngly1-FLAG (EcoRI-EcoRI) F CGGAATTCGCCACCATGGCGTCGGCCAC R CGGAATTCCTACTTATCGTCGTCATCCTTGTAATCGAGGTCATTGAACGTTATAAT pUASP-Pngl (NotI-BamHI) F ATAAGAATGCGGCCGCCTAAAAATGTGGCAGCTGG R CGCGGATCCCTACTTATCGTCGTCATCCTTGTAATCATGTAGTTGCACTTGCAGATCGAA(with FLAG) CGCGGATCCTCAATGTAGTTGCACTTGCAGATCGAA pUASP-Ngly1 (Ngly1 ORF) F R TTCATTGGTACCCGCGCCACCATGGCGTCGGCCAC TCGAGGTCGACTCTATCAGAGGTCATTGAACGTTATAAT primers for mutagenesis Pngl(C303A) F TAAGGGCCGTGCCGGAGAATATGCCAATTG R GGCATATTCTCCGGCACGGCCCTTACGGGA ScPng1(TVCC) F GAGATCTATAAAACCGTGTGCTGCGGAAATATCAC R GATATTTCCGCAGCACACGGTTTTATAGATCTCAACAG ScPng1(TNRC) F GATCTATAAATGCGTCTGTTGCGGAAATATCACTAGATTTC R CCGCATCGGTTCGTTTTATAGATCTCAACAGTTC ScPng1(CVCC) F GATCTATAAATGCGTCTGTTGCGGAAATATCACTAGATTTC R GTGATATTTCCGCAACAGACGCATTTATAGATCTCAACAGTT F, forward primer; R, reverse primer. doi:10.1371/journal.pone.0010545.t003 PLoS ONE | www.plosone.org 8 May 2010 | Volume 5 | Issue 5 | e10545 Table 3. Summary of primers used in this work. F, forward primer; R, reverse primer. doi:10.1371/journal.pone.0010545.t003 May 2010 | Volume 5 | Issue 5 | e10545 PLoS ONE | www.plosone.org 8 Novel Function of PNGase Irvine and Tetsuya Okajima, Rutgers University) producing pRmHa-Pngl. This construct contains a (His)6-tag at the C terminus of Pngl and expression is under the control of the inducible metallothionein promoter. The integrity of the construct was confirmed by sequencing using BigDye ver 3.1 and the 3130xl DNA sequencer (ABI, CA). The construct was transfected into Drosophila S2 cells using Cellufectin (Life Technologies, CA) according to the manufacturer’s protocol. Materials and Methods Protein expression was induced by adding CuSO4 solution (final 0.7 mM) into the culture medium for 72 hours [47] and the cells were harvested. (His)6-tagged Pngl protein was identified by Western blotting using anti-His antibody (Santa Cruz Biotechnology, CA). Generation of anti-Pngl antibody Irvine and Tetsuya Okajima, Rutgers University) producing pRmHa-Pngl. This construct contains a (His)6-tag at the C terminus of Pngl and expression is under the control of the inducible metallothionein promoter. The integrity of the construct was confirmed by sequencing using BigDye ver 3.1 and the 3130xl DNA sequencer (ABI, CA). The construct was transfected into Drosophila S2 cells using Cellufectin (Life Technologies, CA) according to the manufacturer’s protocol. Protein expression was induced by adding CuSO4 solution (final 0.7 mM) into the culture medium for 72 hours [47] and the cells were harvested. (His)6-tagged Pngl protein was identified by Western blotting using anti-His antibody (Santa Cruz Biotechnology, CA). Acknowledgments g Site-directed mutagenesis of (His)6-tagged ScPng1 in pET28b [8] was carried out essentially as described previously [22] using pET28b-ScPng1 as a template. Primers used are listed in Table 3. PNGase activity was examined as described previously [37]. Briefly, the substrate, S-alkylated RNaseB was mixed with the bacterial extract [8] expressing ScPng1 or its derivative mutants. The activity was analyzed by the amount of deglycosylated substrate separated from the substrate by SDS-PAGE. We thank Dr. Yoshitaka Nagai (National Center of Neurology and Psychiatry) for S2 cells, Dr. Kazuhide Tsuneizumi (RIKEN ASI) for tub- Gal4, GMR-Gal4, and GFP balancer strains, Dr. Shoko Nishihara (Soka University) for Act5C-Gal4 flies and Sf21 cells, Dr. Ryu Ueda (National Institute for Genetics) for SD19435 plasmid, Dr. Satoshi Goto (Mitsubishi Kagaku Institute of Life Sciences) for the pUASP plasmid, Dr. Tetsuya Okajima (Nagoya University) and Dr. Ken Irvine (Rutgers University) for the plasmid, pRmHa-OFutI. The three kinds of monoclonal antibodies against EcR subtypes mentioned in the text were originally developed by Dr. Carl Thummel and were obtained from the Developmental Studies Hybridoma Bank developed under the auspices of the NICHD and maintained by The University of Iowa, Department of Biological Sciences, Iowa City, IA 52242, USA. We thank Dr. Antonio Colavita (University of Ottawa), Dr. Tetsuya Tabata (University of Tokyo) and the member of Glycometabolome Team for helpful discussions. Rescue experiment PNGase deletions were recombined onto the Act5C-Gal4, UAS- Pngl or UAS-Ngly1 chromosome to generate Act5C-Gal4 Pngl[ex], UAS-Pngl Pngl[ex], or UAS-Ngly1 Pngl[ex]. For expression by tub- Gal4, Pngl[ex] / CyO; tub-Gal4/ MKRS flies were prepared. These flies were crossed to determine if the progeny contain flies of the genotype Act5C-Gal4 Pngl[ex] / UAS-Pngl or UAS-Ngly1 Pngl[ex], or Pngl[ex] / UAS-Pngl Pngl[ex]; tub-Gal4 /+. The production of UAS-Pngl flies p g The ORF of the cDNA, including a putative KOZAK sequence, with additional restriction enzyme sites for cloning were amplified with the primers listed in Table 3, thereby producing NotI or BamHI sites at its 59 or 39 end, respectively. The amplified fragment was then cloned into TOPO-TA vector (Life Technologies, CA) according to the manufacturer’s protocol to generate TA-Pngl plasmid. The insertion was isolated by the digestion with NotI/BamHI, and cloned into the pUASP vector [53]. For the addition of 39 FLAG-tag, a different primer was used as the reverse primer (listed in Table 3), and was cloned into pUASP as described above. Mutagenesis of the cysteine residue in the active site was done using the TA-Pngl plasmid with the primers listed in Table 3. The insert was cloned into the pUASP vector as described above. The pUASP-Pngl, pUASP- Pngl-FLAG and pUASP-Pngl(C303A) DNA constructs were sent to Genetic Services Inc. for injection to establish transgenic Drosophila lines. Growth analysis One hundred 1st instar larvae were selected based on the presence (heterozygotes) or absence (homozygotes or transheter- ozygotes) of the GFP-expressing balancer chromosome. The numbers of wandering larvae, pupae, or adults were counted everyday. Preparation of UAS-Ngly1 strains for the rescuing Pngl by homologous protein Text S1 Evidence for an essential deglycosylation-independent activity of PNGase in Drosophila melanogaster. Found at: doi:10.1371/journal.pone.0010545.s001 (0.07 MB DOC) Text S1 Evidence for an essential deglycosylation-independent activity of PNGase in Drosophila melanogaster. A full length of ORF of Ngly1 was amplified by the primers shown in Table 3 to add a short fragment of pUASP at the 59 and 39, allowing the recombination into pUASP vector by In-Fusion Advantage Cloning Kit (Clontech Laboratories, Inc., CA). The insert was confirmed by sequencing. The plasmid pUASP-Ngly1 was sent to Best Gene Inc. for the injection to produce transgenics. Found at: doi:10.1371/journal.pone.0010545.s001 (0.07 MB DOC) Table S1 The fOS species predicted in the soluble fractions obtained from wild type or Pngl mutant 3rd instar larvae. Found at: doi:10.1371/journal.pone.0010545.s002 (0.23 MB DOC) Site-directed mutagenesis and PNGase activity assay of ScPng1 Isolation of Pngl-deletion mutants All three of the confirmed deletion alleles of Pngl were obtained via mobilization in the male germline. These three deletions, as well as 23 of the other excision alleles were all homozygous lethal and lethal over the parental Pngl[KG] chromosome due to the extraneous lethal. Meiotic recombination was used to remove this lethal mutation from the Pngl[ex14.1] (Pngl[ex14]), Pngl[ex18.3] (Pngl[ex18]) and Pngl[ex20.5] (Pngl[ex20]) chromo- somes used in this work. Each of these chromosomes is fully viable over the parental Pngl[KG] chromosome and shows reduced viability over Df(2R)nap[9]. Again, deletions were confirmed by genomic PCR. KG08854 and c855a were obtained from the Bloomington Stock Center (Indiana Univ.), a double balancer stock used for generating different Drosophila stocks was from the Drosophila Genetics Resource Center at Kyoto (Kyoto Institute of Technol- ogy). The CyO-GFP balancer, vg-Gal4, tub-Gal4, and GMR-Gal4 stocks were originally from the Kyoto Stock Center, and the Act5C-Gal4 stock [54] was kindly provided by Dr. Shoko Nishihara (Soka University, Japan). Isolation of Pngl-deletion mutants Deletions within Pngl were obtained via imprecise excision of the P{SUPor-P}PNGase[KG05548] P-transposon insertion, hereafter referred to as Pngl[KG]. [51,52], which has an insertion at the proximity of ORF 59 (http://flybase.org/reports/FBti0024510. html). The structure of each deletion allele was determined by sequencing amplified DNA fragments obtained by genomic PCR with primers flanking the deletion breakpoints. Flies homozygous for the parental Pngl[KG] chromosome are inviable, but flies heterozygous for the Pngl[KG] chromosome and Df(2R)nap[9], a deficiency chromosome for this region are viable. These results indicate the presence of an extraneous lethal mutation on the parental Pngl[KG] chromosome. The Pngl[KG] transposon was mobilized using CyO, H[D2-3]. Flies of the genotype y w ; Pngl[KG] / CyO, H[D2-3] were mated to y w ; al dp b cu px sp / CyO and putative excision alleles were recovered as white-eyed, CyO male progeny that were back-crossed to y w May 2010 | Volume 5 | Issue 5 | e10545 PLoS ONE | www.plosone.org 9 Novel Function of PNGase Pngl/ CyO; tub-Gal4 Pngl GMR-Gal4/ CyO Pngl/ CyO; c855a-Gal4 Pngl UAS-Pngl/ CyO Pngl UAS-Pngl-FLAG/ CyO Pngl UAS-Pngl(C303A)/ CyO Pngl UAS-Ngly1/ CyO / y w ; al dp b cu px sp / CyO females in order to generate balanced stocks. P-mobilization crosses done in the male germline resulted in the recovery of putative excision alleles from 22 of 24 independent crosses. Crosses done in the female germline produced putative excision alleles in 14 of 29 crosses. All three of the confirmed deletion alleles of Pngl were obtained via mobilization in the male germline. These three deletions, as well as 23 of the other excision alleles were all homozygous lethal and lethal over the parental Pngl[KG] chromosome due to the extraneous lethal. Meiotic recombination was used to remove this lethal mutation from the Pngl[ex14.1] (Pngl[ex14]), Pngl[ex18.3] (Pngl[ex18]) and Pngl[ex20.5] (Pngl[ex20]) chromo- somes used in this work. Each of these chromosomes is fully viable over the parental Pngl[KG] chromosome and shows reduced viability over Df(2R)nap[9]. Again, deletions were confirmed by genomic PCR. / y w ; al dp b cu px sp / CyO females in order to generate balanced stocks. P-mobilization crosses done in the male germline resulted in the recovery of putative excision alleles from 22 of 24 independent crosses. Crosses done in the female germline produced putative excision alleles in 14 of 29 crosses. References (2006) The Png1-Rad23 complex regulates glycoprotein turnover. J Cell Biol 172: 211–219. 40. 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Lee JH, Choi JM, Lee C, Yi KJ, Cho Y (2005) Structure of a peptide:N- glycanase-Rad23 complex: insight into the deglycosylation for denatured glycoproteins. Proc Natl Acad Sci U S A 102: 9144–9149. 45. Giot L, Bader JS, Brouwer C, Chaudhuri A, Kuang B, et al. (2003) A protein interaction map of Drosophila melanogaster. Science 302: 1727–1736. 19. Zhou X, Zhao G, Truglio JJ, Wang L, Li G, et al. (2006) Structural and biochemical studies of the C-terminal domain of mouse peptide-N-glycanase identify it as a mannose-binding module. Proc Natl Acad Sci U S A 103: 17214–17219. 46. Stapleton M, Carlson J, Brokstein P, Yu C, Champe M, et al. (2002) A Drosophila full-length cDNA resource. Genome Biol 3: RESEARCH0080. 47. References 1. Takahashi N (1977) Demonstration of a new amidase acting on glycopeptides. Biochem Biophys Res Commun 76: 1194–1201. 26. Katiyar S, Li G, Lennarz WJ (2004) A complex between peptide:N-glycanase and two proteasome-linked proteins suggests a mechanism for the degradation of misfolded glycoproteins. Proc Natl Acad Sci U S A 101: 13774–13779. 26. Katiyar S, Li G, Lennarz WJ (2004) A complex between peptide:N-glycanase and two proteasome-linked proteins suggests a mechanism for the degradation of 1. Takahashi N (1977) Demonstration of a new amidase acting on glycopeptides. Biochem Biophys Res Commun 76: 1194–1201. 2. Plummer TH, Jr., Phelan AW, Tarentino AL (1987) Detection and quantification of peptide-N4-(N-acetyl-b-glucosaminyl)asparagine amidases. Eur J Biochem 163: 167–173. 2. Plummer TH, Jr., Phelan AW, Tarentino AL (1987) Detection and quantification of peptide-N4-(N-acetyl-b-glucosaminyl)asparagine amidases. Eur J Biochem 163: 167–173. misfolded glycoproteins. Proc Natl Acad Sci U S A 101: 1377 27. Li G, Zhou X, Zhao G, Schindelin H, Lennarz WJ (2005) Multiple modes of interaction of the deglycosylation enzyme, mouse peptide N-glycanase, with the proteasome. Proc Natl Acad Sci U S A 102: 15809–15814. 3. Seko A, Kitajima K, Inoue S, Inoue Y (1991) Identification of free glycan chain liberated by de-N-glycosylation of the cortical alveolar glycopolyprotein (hyosophorin) during early embryogenesis of the Medaka fish, Oryzias latipes. Biochem Biophys Res Commun 180: 1165–1171. 28. Katiyar S, Joshi S, Lennarz WJ (2005) The retrotranslocation protein Derlin-1 binds peptide:N-glycanase to the endoplasmic reticulum. Mol Biol Cell 16: 4584–4594. 29. Hirsch C, Blom D, Ploegh HL (2003) A role for N-glycanase in the cytosolic turnover of glycoproteins. EMBO J 22: 1036–1046. 4. Suzuki T, Seko A, Kitajima K, Inoue Y, Inoue S (1993) Identification of peptide:N-glycanase activity in mammalian-derived cultured cells. Biochem Biophys Res Commun 194: 1124–1130. 30. Diepold A, Li G, Lennarz WJ, Nurnberger T, Brunner F (2007) The Arabidopsis AtPNG1 gene encodes a peptide: N-glycanase. Plant J 52: 94–104. 5. Seko A, Kitajima K, Iwamatsu T, Inoue Y, Inoue S (1999) Identification of two discrete peptide: N-glycanases in Oryzias latipes during embryogenesis. Glycobiol- ogy 9: 887–895. 31. Suzuki T, Hara I, Nakano M, Zhao G, Lennarz WJ, et al. (2006) Site-specific labeling of cytoplasmic peptide:N-glycanase by N,N9-diacetylchitobiose-related compounds. J Biol Chem 281: 22152–22160. 6. Suzuki T, Seko A, Kitajima K, Inoue Y, Inoue S (1994) Purification and enzymatic properties of peptide:N-glycanase from C3H mouse-derived L-929 fibroblast cells. References Possible widespread occurrence of post-translational remodifica- tion of proteins by N-deglycosylation. J Biol Chem 269: 17611–17618. 32. Miyazaki A, Matsuo I, Hagihara S, Kakegawa A, Suzuki T, et al. (2009) Systematic synthesis and inhibitory activity of haloacetamidyl oligosaccharide derivatives toward cytoplasmic peptide:N-glycanase. Glycoconj J 26: 133–140. tion of proteins by N-deglycosylation. J Biol Chem 269: 17611 33. Chantret I, Frenoy JP, Moore SE (2003) Free-oligosaccharide control in the yeast Saccharomyces cerevisiae: roles for peptide:N-glycanase (Png1p) and vacuolar mannosidase (Ams1p). Biochem J 373: 901–908. 7. Kitajima K, Suzuki T, Kouchi Z, Inoue S, Inoue Y (1995) Identification and distribution of peptide:N-glycanase (PNGase) in mouse organs. Arch Biochem Biophys 319: 393–401. p y 8. Suzuki T, Park H, Hollingsworth NM, Sternglanz R, Lennarz WJ (2000) PNG1, a yeast gene encoding a highly conserved peptide:N-glycanase. J Cell Biol 149: 1039–1052. 34. Hirayama H, Seino J, Kitajima T, Jigami Y, Suzuki T (2010) Free oligosaccharides to monitor glycoprotein endoplasmic reticulum-associated degradation in Saccharomyces cerevisiae. J Biol Chem 285: 12390–12404. 9. Suzuki T, Park H, Lennarz WJ (2002) Cytoplasmic peptide:N-glycanase (PNGase) in eukaryotic cells: occurrence, primary structure, and potential functions. FASEB J 16: 635–641. 35. Suzuki T, Funakoshi Y (2006) Free N-linked oligosaccharide chains: formation and degradation. Glycoconj J 23: 291–302. g y j J 36. Chantret I, Moore SE (2008) Free oligosaccharide regulation during mammalian protein N-glycosylation. Glycobiology 18: 210–224. J 10. Suzuki T (2007) Cytoplasmic peptide:N-glycanase and catabolic pathway for free N-glycans in the cytosol. Semin Cell Dev Biol 18: 762–769. 37. Suzuki T (2005) A simple, sensitive in vitro assay for cytoplasmic deglycosylation by peptide: N-glycanase. Methods 35: 360–365. 11. Makarova KS, Aravind L, Koonin EV (1999) A superfamily of archaeal, bacterial, and eukaryotic proteins homologous to animal transglutaminases. Protein Sci 8: 1714–1719. 38. Kato T, Kawahara A, Ashida H, Yamamoto K (2007) Unique peptide:N- glycanase of Caenorhabditis elegans has activity of protein disulphide reductase as well as of deglycosylation. J Biochem 142: 175–181. 12. Suzuki T, Park H, Kwofie MA, Lennarz WJ (2001) Rad23 provides a link between the Png1 deglycosylating enzyme and the 26 S proteasome in yeast. J Biol Chem 276: 21601–21607. 39. Suzuki T, Tanabe K, Hara I, Taniguchi N, Colavita A (2007) Dual enzymatic properties of the cytoplasmic peptide: N-glycanase in C. elegans. Biochem Biophys Res Commun 358: 837–841. 13. Kim I, Ahn J, Liu C, Tanabe K, Apodaca J, et al. Genotypes of flies used y w, and Canton S were used as wildtype controls. The fly strains with following genotypes were generated by crosses: Pngl/ CyO Act-GFP Pngl vg-Gal4/ CyO Pngl Act5C-Gal4/ CyO Note added in the process of editing: After this work is completed the paper on biological function of PNGase ortholog in C. elegans was published [55]. Note added in the process of editing: After this work is completed the paper on biological function of PNGase ortholog in C. elegans was published [55]. PLoS ONE | www.plosone.org PLoS ONE | www.plosone.org May 2010 | Volume 5 | Issue 5 | e10545 PLoS ONE | www.plosone.org May 2010 | Volume 5 | Issue 5 | e10545 10 Novel Function of PNGase Novel Function of PNGase reagents/materials/analysis tools: YF JPG WL IM YI NT TS. Wrote the paper: YF TS. Author Contributions Conceived and designed the experiments: YF TS. Performed the experiments: YF YN JPG JS KI. Analyzed the data: YF. Contributed Conceived and designed the experiments: YF TS. Performed the experiments: YF YN JPG JS KI. Analyzed the data: YF. Contributed References Bunch TA, Grinblat Y, Goldstein LS (1988) Characterization and use of the Drosophila metallothionein promoter in cultured Drosophila melanogaster cells. Nucleic Acids Res 16: 1043–1061. 20. Zhao G, Zhou X, Wang L, Li G, Kisker C, et al. (2006) Structure of the mouse peptide N-glycanase-HR23 complex suggests co-evolution of the endoplasmic reticulum-associated degradation and DNA repair pathways. J Biol Chem 281: 13751–13761. 48. Suzuki T, Hara I, Nakano M, Shigeta M, Nakagawa T, et al. (2006) Man2C1, an a-mannosidase, is involved in the trimming of free oligosaccharides in the cytosol. Biochem J 400: 33–41. 21. Zhao G, Li G, Zhou X, Matsuo I, Ito Y, et al. (2009) Structural and mutational studies on the importance of oligosaccharide binding for the activity of yeast PNGase. Glycobiology 19: 118–125. 49. Suzuki T, Matsuo I, Totani K, Funayama S, Seino J, et al. (2008) Dual-gradient high-performance liquid chromatography for identification of cytosolic high- mannose-type free glycans. Anal Biochem 381: 224–232. 22. Katiyar S, Suzuki T, Balgobin BJ, Lennarz WJ (2002) Site-directed mutagenesis study of yeast peptide:N-glycanase. Insight into the reaction mechanism of deglycosylation. J Biol Chem 277: 12953–12959. 50. Nagaso H, Murata T, Day N, Yokoyama KK (2001) Simultaneous detection of RNA and protein by in situ hybridization and immunological staining. J Histochem Cytochem 49: 1177–1182. 23. Seiler S, Plamann M (2003) The genetic basis of cellular morpho 23. Seiler S, Plamann M (2003) The genetic basis of cellular morphogenesis in the filamentous fungus Neurospora crassa. Mol Biol Cell 14: 4352–4364. 51. Roseman RR, Johnson EA, Rodesch CK, Bjerke M, Nagoshi RN, et al. (1995) A P element containing suppressor of hairy-wing binding regions has novel properties for mutagenesis in Drosophila melanogaster. Genetics 141: 1061–1074. filamentous fungus Neurospora crassa. Mol Biol Cell 14: 4352–4364 24. Maerz S, Funakoshi Y, Negishi Y, Suzuki T, Seiler S (2010) The neurospora peptide:N-glycanase ortholog PNG1 is essential for cell polarity despite its lack of enzymatic activity. J Biol Chem 285: 2326–2332. 52. Bellen HJ, Levis RW, Liao G, He Y, Carlson JW, et al. (2004) The BDGP gene disruption project: single transposon insertions associated with 40% of Drosophila genes. Genetics 167: 761–781. 25. Suzuki T, Park H, Till EA, Lennarz WJ (2001) The PUB domain: a putative protein-protein interaction domain implicated in the ubiquitin-proteasome pathway. Biochem Biophys Res Commun 287: 1083–1087. 53. Rørth P (1998) Gal4 in the Drosophila female germline. Mech Dev 78: 113–118. reagents/materials/analysis tools: YF JPG WL IM YI NT TS. Wrote the paper: YF TS. 55. Habibi-Babadi N, Su A, de Carvalho CE, Colavita A (2010) The N-glycanase png-1 acts to limit axon branching during organ formation in Caenorhabditis elegans. J Neurosci 30: 1766–1776. 54. Nishihara S, Ueda R, Goto S, Toyoda H, Ishida H, et al. (2004) Approach for functional analysis of glycan using RNA interference. Glycoconj J 21: 63–68. Novel Function of PNGase References PLoS ONE | www.plosone.org May 2010 | Volume 5 | Issue 5 | e10545 May 2010 | Volume 5 | Issue 5 | e10545 11 Novel Function of PNGase PLoS ONE | www.plosone.org May 2010 | Volume 5 | Issue 5 | e10545 12
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Experimental Study on Stress Sensitivity Evaluation and Permeability Anisotropy of Shales in Songliao Basin
C.P. Ju
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2 Experimental Figure 1. Vertical laminated rock sample Figure 1. Vertical laminated rock sample 1 Introduction Songliao Basin is one of the most abundant onshore hydrocarbon-bearing basins in the world. In order to comply with the national dual carbon policy [1-4], various basic studies on shales in the Songliao Basin, such as basic mechanical properties and anisotropy of strength characteristics, have been carried out. Since shales contain a certain amount of clay minerals, tight oil reservoirs are highly susceptible to the influence of foreign working fluids during the construction process, resulting in strong differences in their physicochemical properties compared with conventional sandstones, especially in terms of reservoir sensitivity and anisotropy associated with horizontal well operations. In order to solve the practical problems of shale oil and gas development, it is necessary to analytics and evaluate the experimental results [5-8]. In this paper, the permeability test was conducted by pulse decay method, and the variation curves of permeability with effective stress were obtained for several groups of vertical and horizontal cores under different peritectic and injection pressures, and the experimental data were calculated and analytics[9]. The scientific research work is guided. Figure 1. Vertical laminated rock sample Experimental Study on Stress Sensitivity Evaluation and Permeability Anisotropy of Shales in Songliao Basin 1College of Petroleum Engineering, Northeastern Petroleum University Abstract. Shale oil and gas resources are abundant in Songliao Basin, and shale reservoirs tend to have certain permeability anisotropy with different pore or laminar structures in different directions, and there is no experimental analysis of shale anisotropy and reservoir sensitivity. To solve this problem, this paper tests the shale permeability by pulse decay method, obtains the variation curve of permeability and effective stress, and analyzes the experimental data. The experimental results of permeability show that the permeability of shale in Songliao basin is basically 10-4mD, and the permeability parallel and perpendicular to the laminae shows strong anisotropy, and the permeability perpendicular to the laminae is about 3%-14% The permeability of different rock samples decreases exponentially with the increase of effective stress. It provides basic data support to ensure the development of shale oil in Songliao Basin. experiment to obtain the mineral composition of the sample, its total clay content is between 42.2-62.8%, because the sampling depth is greater than 1650m, montmorillonite basically disappears, which contains Quartz, calcite, feldspar and other detrital minerals and authigenic minerals, quartz and feldspar such brittle minerals content is usually between 13.1-21.2%, easy to cause reservoir water-sensitive damage, in the drilling and completion of wells and fracturing construction should take appropriate measures. A total of six rock samples of 16 cm in length were taken and numbered 1-6, cut and polished by a wireline cutter into standard rock column samples of 25 mm ± 0.5 mm in diameter and 48 mm in length, which were installed in a rubber sleeve [7] with the appropriate dimensions during the experimental process, and the samples before the experiments ( Figure 1) *Corresponding author:1150582129@qq.com © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0 (http ://creativecommons.org/licenses/by/4.0/). s E3S Web of Conferences , 02007 (2023) 406 ICEMEE 2023 E3S Web of Conferences , 02007 (2023) 406 ICEMEE 2023 https://doi.org/10.1051/e3sconf/202340602007 DP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0 nses/by/4.0/). 2.2 Permeability testing principle The shale sample comes from the Songliao Basin, and its core depth is 2491m-2506.43m, which belongs to the shale type shale with more developed phyllite. According to the whole rock mineral quantitative X-ray diffraction The shale permeability in Songliao basin is low and the core is relatively dense, so the conventional steady-state method of measuring permeability has a long test time and the experimental changes are not obvious, so the E3S Web of Conferences , 02007 (2023) 406 ICEMEE 2023 https://doi.org/10.1051/e3sconf/202340602007 Fi 2 M d l f l ll k i 2 d l f l ll k pressure pulse decay method is used to measure it. The main principle is to use the pressure difference decay between the upstream and downstream of the ideal gas passing through the rock sample combined with the flow rate through the sample for permeability measurement, and many scholars have subsequently improved this method, while this paper adopts the formula of the pressure pulse decay method for cubic shale permeability measurement by Pan[7] in 2015, the derivation demonstrates that if the upstream and downstream gas cylinders are the same volume and the gas is ideal, Eqs.(1) and (2) can be used to calculate permeability from the pressure decay measurement for any pressure difference. 2.2 Permeability testing principle μ-gas viscosity, paꞏs; μ-gas viscosity, paꞏs; Pu,0-the initial upstream cylinder pressure, MPa; Pu,0-the initial upstream cylinder pressure, MPa; Pd,0-the initial downstream cylinder pressure, MPa;   0 3 0 1 f e e C g b k k e P               (8) Vu-the upstream cylinder volume, m3; Vu-the upstream cylinder volume, m3; Vd-the downstream cylinder volume,m3. (8) The equation for the permeability considering the gas slip effect is [7]. g 1 a g b k k P         (3) 2.2 Permeability testing principle [7] and the detailed process of derivation is shown in the references, and the pressure decay curve can be modelled as: Figure.2 Model of lamellar cracks Figure.2 Model of lamellar cracks Then the shale laminar porosity, fracture spacing s, fracture width b and permeability satisfy the following equation [8]: 2 3 3 12 12 f s b k s    (4) (4) Define the fracture compression coefficient equation: Define the fracture compression coefficient equation:   ,0 ,0 ( ) u d t u d P P e P P        ,0 ,0 ( ) u d t u d P P e P P      (1) 1 f f f e C       (5) (5) (1) Where : Pu-Pd -the pressure difference between the upstream and downstream cylinders, MPa; Deriving (4) for the effective stress and bringing (5) into it yields shale permeability with effective stress and fracture compression coefficient satisfying: Pu,0-Pd,0 -the pressure difference between the upstream and downstream cylinders at the initial stage, MPa; and α is obtained from the following equation [7]: 3 f e k C k    (6) 2 1 1 R u d k V L V V           (2) 2 1 1 R u d k V L V V           (6) (2) Integration of (6) yields [8]: Integration of (6) yields [8]: Where: α – the pressure decay time constant;   0 3 0 f e e C k k e      (7) Where: α the pressure decay time constant; A-the cross sectional area of the sample, m2; p y A-the cross sectional area of the sample, m2; (7) k-permeability, m2; k-permeability, m2; L-the length of the sample, m; L-the length of the sample, m; Considering the effect of gas slippage, equation (3) is introduced, which finally yields. 2.3Permeability testing Instruments The present method of measuring gas flow in dense rock formations by Brace [6] is used to precisely control the pressure and volume using an ISCO gas injection pump and an enclosing pressure pump. The gas in the upstream gas tank flows through the sample to the downstream gas tank. The pressures in the upstream and downstream gas tanks are monitored and used for permeability calculations [7], with the following instrument schematic (Figure 3). (3) Where: kg-the gas measured effective permeability, μm2; ka-the absolute (equivalent liquid) permeability, μm2; b-constant depending on the nature of the gas and the pore structure of the rock, slip factor; Pg-the average pressure of the core inlet and outlet, Mpa. The shale formation seam structure is treated as an ideal sheet fracture model[8] (Figure 2). 2 2 E3S Web of Conferences , 02007 (2023) 406 E3S Web of Conferences , 02007 (2023) 406 ICEMEE 2023 https://doi.org/10.1051/e3sconf/202340602007 Figure 3. Experimental schematic diagram of permeability testing 3.1 Evaluation of Shale Stress Sensitivity The experimental results show that the permeability of shales is at the level of 10-4 mD, and the permeability of cores in each horizontal direction is approximately the same, while in the vertical direction the permeability reaches the level of 10-5 mD (Table 1).The permeability in the parallel and vertical laminae directions shows strong anisotropy, and the permeability perpendicular to the laminae is about 3%-14% of the permeability parallel to the laminae, which is mainly due to the special shale structure, and the pore connectivity is of high quality and there are more large pore throats, resulting in a larger permeability in the horizontal laminae direction. Figure 3. Experimental schematic diagram of permeability Table 1.Permeability test results of some core samples Core NO. Sampling direction Length /mm Diameter /mm Absolute permeability /10-4mD 4.1 Vertical 46.94 24.75 0.25 4.2 Horizontal 47.34 24.80 1.72 6.1 Vertical 47.65 24.78 0.36 6.3 Horizontal 48.74 24.84 2.73 The data were solved by planning, and the low permeability of the vertical laminated samples and the long experimental time resulted in fewer experimental data points. A comparison of the experimental results of horizontal and vertical rock samples (Figure 4 and 5), and the absolute permeability of shale is obtained to decrease exponentially with increasing effective stress. Table 1.Permeability test results of some core samples Core NO. Sampling direction Length /mm Diameter /mm Absolute permeability /10-4mD 4.1 Vertical 46.94 24.75 0.25 4.2 Horizontal 47.34 24.80 1.72 6.1 Vertical 47.65 24.78 0.36 6.3 Horizontal 48.74 24.84 2.73 Table 1.Permeability test results of some core samples C S li L th Di t Absolute The shale samples are subjected to permeability experiments one by one, and the experiments are carried out at 25°C. The surrounding pressure is increased to 5 MPa for compaction and maintained for a period of time before starting the experiments, and to ensure the integrity of the core, the process of applying the surrounding pressure and injection pressure should be loaded in a step-by-step manner, and the nitrogen injection pressure used in the experiments is divided into four groups, the first group is 1 MPa, the second group is 1.5 MPa, the third group is 2 MPa, and the fourth group is 2.5 MPa. The initial surrounding pressure of each group is higher than the injection pressure by 1 MPa, and the pressure is increased by 1 MPa each time. 4 Conclusion (1) The permeability of shales in the Songliao Basin is around 10-4 mD in the horizontal direction, while the permeability in the vertical direction is around 10-5 mD. The permeability in the horizontal and vertical directions shows a strong anisotropy, and the vertical shale permeability is between 3%-14% of the horizontal shale permeability. (1) The permeability of shales in the Songliao Basin is around 10-4 mD in the horizontal direction, while the permeability in the vertical direction is around 10-5 mD. For the shale permeability vertical and horizontal permeability tests, because of its anisotropy, k0, Cf are not equal in both directions, then under the anisotropic condition, the vertical and horizontal permeability can be expressed as kv and kh (Table 3) ,which can be derived after the joint derivation [8]: The permeability in the horizontal and vertical directions shows a strong anisotropy, and the vertical shale permeability is between 3%-14% of the horizontal shale permeability. The permeability in the horizontal and vertical directions shows a strong anisotropy, and the vertical shale permeability is between 3%-14% of the horizontal shale permeability. p y (2) The bedding joints have a positive effect on the horizontal permeability of the shale, and there is a relatively weaker permeability stress sensitivity in the vertical direction, and the permeability stress sensitivity is relatively stronger in the parallel laminated direction. The anisotropy is derived from the corresponding formula, According to the value of Ar falls within the super-strong anisotropy range, it can be seen that the cores in this study have strong anisotropy. (2) The bedding joints have a positive effect on the horizontal permeability of the shale, and there is a relatively weaker permeability stress sensitivity in the vertical direction, and the permeability stress sensitivity is relatively stronger in the parallel laminated direction.     0 0 3 0 3 0 f h eh eh f v ev ev C v v C h h k k e k k e           (10) (10) The anisotropy is derived from the corresponding formula, According to the value of Ar falls within the super-strong anisotropy range, it can be seen that the cores in this study have strong anisotropy. Table.3 Permeability of horizontal and vertical rock samples under different effective stresses Cor e NO. Samplin g direction vk /10-5m D Cor e NO. 3.1 Evaluation of Shale Stress Sensitivity The data were solved by planning, and the low permeability of the vertical laminated samples and the long experimental time resulted in fewer experimental data points. A comparison of the experimental results of horizontal and vertical rock samples (Figure 4 and 5), and the absolute permeability of shale is obtained to decrease exponentially with increasing effective stress. Figure.4 Sample 4.1 fitted/experimental permeability variation curve with effective stress Figure.4 Sample 4.1 fitted/experimental permeability variation curve with effective stress 3 E3S Web of Conferences , 02007 (2023) 406 E3S Web of Conferences , 02007 (2023) 406 ICEMEE 2023 https://doi.org/10.1051/e3sconf/202340602007 Figure.5 Sample 4.2 fitted/experimental permeability variation curve with effective stress Figure.5 Sample 4.2 fitted/experimental permeability variation curve with effective stress experiments of this paper Δσ is almost equal and approximately equal to 1, the ratio of the two can be simplified as: experiments of this paper Δσ is almost equal and approximately equal to 1, the ratio of the two can be simplified as: 3.2 Permeability anisotropy analysis The shale permeability stress sensitivity index β follows the same exponential form [8]:     0 0 3 3( ) 0 0 h r 3 v 0 0 f v ev ev f v f h f h eh eh C C C h h C v v k e k k A e k k k e              (11) (11)   0 0 e e k k e      (9) (9) The experimentally obtained data such as Cfh, Cfv, kv0, kh0, etc. were brought into it, and the experimental data of rock samples 4.1 and 4.2 were calculated to obtain the average Ar=6.58, which was used to evaluate the magnitude of permeability anisotropy. Ar indicates the degree of permeability anisotropy[9], Ar=0 indicates isotropic permeability, Ar=0~0.3 indicates weak permeability anisotropy, Ar=0.3~0.7 indicates strong permeability anisotropy, Ar=0.7~1 indicates strong permeability anisotropy, and Ar>1 indicates super strong permeability anisotropy. It can be made β=3Cf, the experimentally measured data brought into the formula can be calculated with the increase of effective stress, the shale stress sensitivity also decreases, the horizontal direction stress sensitivity is greater than the vertical direction stress sensitivity specific changes (Table 2). Table.2 Comparison of changes in stress sensitivity coefficients of horizontal and vertical rock samples in the same group Table.2 Comparison of changes in stress sensitivity coefficients of horizontal and vertical rock samples in the same group Table.2 Comparison of changes in stress sensitivity coefficients of horizontal and vertical rock samples in the same group Core NO. Sampling direction β Core NO. Sampling direction β 4.1 Vertical 0.165 0.127 0.117 0.109 4.2 Horizontal 0.305 0.187 0.181 0.171 Acknowledgements This work was supported by the project "Study on Application of intelligent Nano System Oil displacement method in the deep sea low Permeability Reservoirs" (ZDYF2022SHFZ107) under the Science and Technology Special Fund of Hainan Province and the Local efficient reform and development funds for personnel training projects supported by the central government (Study on the method of oil repelling by nano system in tight oil reservoir of Daqing oilfield) and National Natural Science Foundation of China Project (52274037). 4 Conclusion Sampling direction hk /10-4m D 4.1 Vertical 7.58 4.52 3.63 4.2 Horizonta l 6.42 2.58 2.02 (3) The permeability of different rock samples are exponentially decreasing with increasing effect force, and the production pressure difference should be controlled in the actual production process, otherwise it will damage the reservoir permeability and lead to a decrease in production capacity. Defining the degree of shale permeability anisotropy [8] as Ar, since the effective rate of stress change for each group of vertical and horizontal rock samples in the 4 E3S Web of Conferences , 02007 (2023) 406 ICEMEE 2023 https://doi.org/10.1051/e3sconf/202340602007 Reference 1. Zou Caineng, Yang Zhi, Zhu Rukai, et al. China's unconventional oil and gas exploration and development and theoretical and technical progress [J] Journal of Geology, 2015, 89 (06): 979-1007. 2. Sun Longde, Liu He, He Wenyuan, et al. An analysis of major scientific problems and research paths of Gulong shale oil in Daqing Oilfield, NE China[J] Petroleum Exploration and Development, 2021, 148(03): 453-463. 3. Liu He, Meng Siwei, Su Jian, et al.Thoughts and suggestions on the development of shale gas fracturing engineering technology and engineering management in China [J] Natural gas industry, 2019, 39 (04): 1-7. 4. Wang Yuzhu, Pan Baozhi.Overview of permeability anisotropy measurement and evaluation methods [J] Progress in Geophysics, 2017, 32 (06): 2552-2559. 5. Wang Xinpeng, Guan Fujia, Liu Haipeng, et al Experimental Study on Permeability Anisotropy and Stress Sensitivity of Longmaxi Formation Shale in East Sichuan [J] Science, Technology and Engineering, 2019, 19 (26): 174-177 . 6. Brace W F,Walsh J B, Frangos W T. Permeability of granite under high pressure[J]. Journal of Geophysical Research, 1968, 73(06): 2225-2236. 7. Zhejun Pan Y M, Luke et al. Measuring anisotropic permeability using a cubic shale sample in a triaxial cell[J]. Journal of Natural Gas Science and Engineering, 2015, 25: 336-344. 8. Dong Chen, Z P, Jishan Liu et al. Characteristic of anisotropic coal permeability and its impact on optimal design of multi-lateral well for coalbed methane production[J]. Journal of Petroleum Science and Engineering, 2012, 88-89: 13-28. 9. Wang Chao, Wu Feng, Chen Yiguo, et al Porosity preservation mechanism and permeability anisotropy of loess rock based on micro CT technology [J] Science, Technology and Engineering, 2021, 21 (27): 11527-11535 5 5
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Effect of Nutrient Enrichment and Turbidity on Interactions Between Microphytobenthos and a Key Bivalve: Implications for Higher Trophic Levels
Julie A. Hope
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ORIGINAL RESEARCH published: 20 August 2020 doi: 10.3389/fmars.2020.00695 Effect of Nutrient Enrichment and Turbidity on Interactions Between Microphytobenthos and a Key Bivalve: Implications for Higher Trophic Levels Julie A. Hope1*, Judi Hewitt2,3, Conrad A. Pilditch4, Candida Savage5,6 and Simon F. Thrush1 lie A. Hope1*, Judi Hewitt2,3, Conrad A. Pilditch4, Candida Savage5,6 and mon F Thrush1 1 Institute of Marine Science, University of Auckland, Auckland, New Zealand, 2 National Institute of Water and Atmospheric Research, Hamilton, New Zealand, 3 Department of Statistics, University of Auckland, Auckland, New Zealand, 4 School of Science, University of Waikato, Hamilton, New Zealand, 5 Department of Marine Science, University of Otago, Dunedin, New Zealand, 6 Department of Biological Sciences, University of Cape Town, Rondebosch, South Africa Hope j.a.hope@hull.ac.uk; julie.anne.hope@gmail.com Specialty section: This article was submitted to Marine Ecosystem Ecology, a section of the journal Frontiers in Marine Science Received: 25 November 2019 Accepted: 31 July 2020 Published: 20 August 2020 Citation: Hope JA, Hewitt J, Pilditch CA, Savage C and Thrush SF (2020) Effect of Nutrient Enrichment and Turbidity on Interactions Between Microphytobenthos and a Key Bivalve: Implications for Higher Trophic Levels. Front. Mar. Sci. 7:695. doi: 10.3389/fmars.2020.00695 Received: 25 November 2019 Accepted: 31 July 2020 Published: 20 August 2020 ORIGINAL RESEARCH published: 20 August 2020 doi: 10.3389/fmars.2020.00695 Edited by: João Serôdio, University of Aveiro, Portugal Benthic diatoms are a high-quality food resource providing essential fatty acids to benthic grazers. Different stressors may alter the proportion of diatoms and other microalgae and thus can affect the quality as well as quantity of food available to benthic consumers. Microphytobenthos (MPB) lipid biomarkers were assessed in a field experiment to elucidate changes to the biosynthesis of fatty acids (FA) under nitrogen (N) enrichment (three levels) at eight intertidal sites that spanned a turbidity gradient. Influences on the flow of carbon and energy were determined using FA biomarkers of a functionally important deposit-feeding tellinid bivalve (Macomona liliana). Site-specific effects of N enrichment were detected in MPB quantity and quality measurements. Enrichment generally increased MPB biomass (chl a) across all sites, while the proportion of diatom associated fatty acid biomarkers was more variable at some sites. Analysis of sediment FA biomarkers and environmental variables suggested that changes to the microbial community composition and quality were related to water clarity and mud content of the bed. The ability of the MPB to utilize the increased nitrogen, as indicated by the resource use efficiency index, was also important. Despite the increase in MPB biomass, lipid reserves in the tissue of M. liliana, a primary consumer of MPB, were reduced (by up to 6 orders of magnitude) in medium and high N addition plots compared to control plots. Further, the nutritional quality of the bivalves to higher trophic levels [indicated by a lower ratio of essential FAs (ω3:ω6)] was reduced in high treatment plots compared to control plots suggesting the bivalves were adversely affected by nutrient enrichment but not due to a reduction in food availability. This study suggests anthropogenic nutrient enrichment and turbidity may indirectly alter the structure and function of the benthic food web, in terms of carbon flow and ecosystem Reviewed by: Francis Orvain, UMR7208 Biologie des Organismes et Écosystèmes Aquatiques (BOREA), France David M. Paterson, University of St Andrews, United Kingdom Reviewed by: Francis Orvain, UMR7208 Biologie des Organismes et Écosystèmes Aquatiques (BOREA), France *Correspondence: Julie A. INTRODUCTION for primary consumers than food quantity (Guo et al., 2016). Light intensity and nutrient availability are considered to be two of the most important factors that determine algae quality and quantity in lakes and streams (Sterner et al., 1997), but the importance of this has rarely been considered in estuarine environments. Global population increases and land-use change are causing degradation of coastal and estuarine environments (Thrush et al., 2004; Foley et al., 2005). Primarily this degradation is due to the inputs of contaminants, nutrients and sediment from the catchment area that have drastic effects on sediment-dwelling organisms that are essential for ecological function (Thrush et al., 2004). In New Zealand, nearly 200 million tons of terrestrial soil are transported annually from land to sea (Hicks et al., 2011), with sediment deposition smothering, and altering the behavior of functionally important infauna (Cummings et al., 2003; Woodin et al., 2012; Townsend et al., 2014). This in turn can modify biogeochemical gradients and productivity in the sediment (Lohrer et al., 2006; Norkko et al., 2010). Increases in sedimentation are often associated with greater nutrient availability within estuarine systems and reductions in water clarity as turbidity increases (De Jonge et al., 2002; Lovelock et al., 2007). The shift in resource limitation (from nutrients to light) can degrade ecological networks and significantly affect ecosystem function as species interactions are modified (O’Meara et al., 2017). Intertidal MPB underpin multiple ecosystem functions and services (Hope et al., 2019). These photosynthetic organisms are the sole source for omega-3 and omega-6 essential fatty acids (EFA) to higher trophic levels and the synthesis of these essential nutrients can be affected by light and nutrient conditions (Hill et al., 2011). MPB are not only important for the flow of energy to higher organisms, but critical for elemental cycling and habitat formation (Sundbäck et al., 2006; Fricke et al., 2017). While bacteria are the main players in the biogeochemical cycling of nitrogen (Cook et al., 2004b), the MPB oxygenate the sediment surface and provide a labile carbon source for N-cycling bacteria, facilitating processes such as denitrification (Tobias et al., 2003; Cnudde et al., 2015). These effects interact through their associations with infauna and bacteria in the sediment (Thrush et al., 2006; Sundbäck et al., 2010). INTRODUCTION It is therefore important to understand how light and nutrient conditions alter the quantity and quality of MPB not only in their role as a food resource for higher organisms but also for the potential effects on multiple other ecosystem functions. Primary productivity is the source of energy in most marine food webs. Microphytobenthos (MPB) on the sediment surface can be stimulated by increased nutrient availability associated with the input of fine sediments, but simultaneously become light limited during immersion due to higher turbidity (Drylie et al., 2018). The reduction in light can significantly reduce MPB biomass or photosynthetic capacity (Kromkamp et al., 1995; Cahoon and Safi, 2002; Du et al., 2017), but MPB can also behaviorally and physiologically adapt to low light levels (Cartaxana et al., 2016). Photo-acclimation and migration allow MPB to efficiently adapt to low light conditions but this often results in decreased overall production, with concomitant effects on marine food webs (Consalvey et al., 2004; Migné et al., 2007; Jesus et al., 2009; Serôdio et al., 2012). In addition to the individual cell responses to light, the MPB community composition may be modified as low light or higher nutrient inputs select for different taxa (Gattuso et al., 2006; Hopes and Mock, 2015). For example, the biomass of primary producers may increase with nutrient inputs, but diversity can decrease in response to other limiting resources (Burson et al., 2018) or grazer diversity (Balvanera et al., 2006). MPB quality, and the biosynthesis and transfer of essential fatty acids (FAs) to consumers is rarely considered when assessing the impacts of anthropogenic stressors on soft sediment ecosystem function (Bachok et al., 2006; Bueno-pardo et al., 2018). Yet primary producer quality, indicated by FAs, can often be more important p y Several biochemical traits such as stable isotopes and fatty acid biomarkers can be used to determine the nutritional quality of primary producers and consumers (Galloway et al., 2012; Cnudde et al., 2015; Marzetz et al., 2017). In particular, several studies have demonstrated that the synthesis of fatty acid biomarkers can be influenced by changing light, temperature and nutrient conditions (Hill et al., 2011; Jónasdóttir et al., 2019). The resulting changes to the ‘quality’ of primary producers in terms of FA synthesis can be more important than primary producer quantity for regulating carbon transfer (Müller-Navarra et al., 2000; Marzetz et al., 2017). Citation: Hope JA, Hewitt J, Pilditch CA, Savage C and Thrush SF (2020) Effect of Nutrient Enrichment and Turbidity on Interactions Between Microphytobenthos and a Key Bivalve: Implications for Higher Trophic Levels. Front. Mar. Sci. 7:695. doi: 10.3389/fmars.2020.00695 August 2020 | Volume 7 | Article 695 1 Frontiers in Marine Science | www.frontiersin.org Hope et al. Light and Nutrient Effects on MPB productivity. This may indirectly change the interactions between MPB and key bivalves as suspended sediment concentrations and nutrient enrichment continue to increase globally. This has implications for various ecosystem functions that are mediated by these interactions, such as nutrient cycling as well as primary and secondary production. Keywords: fatty acid biomarkers, benthic microalgae, MPB, nutrient enrichment, turbidity, soft sediment ecology, food quality, trophic interactions Keywords: fatty acid biomarkers, benthic microalgae, MPB, nutrient enrichment, turbidity, soft sediment ecology, food quality, trophic interactions Frontiers in Marine Science | www.frontiersin.org INTRODUCTION A clarity value near 100% indicates high water clarity/low turbidity (as clear water allows more of the incident light to the bed during immersion) and a value closer to 0% indicates low water clarity/high turbidity. p g It has been demonstrated that eutrophication in lake systems can reduce the proportion of EPA and DHA transferred to higher organisms from primary producers (Strandberg et al., 2015; Taipale et al., 2016). Furthermore, it is known that cyanobacteria and chlorophytes often dominate the phytoplankton in eutrophic waters (Scheffer and Van Nes, 2007; Berthold et al., 2018) which contain different FA biomarkers. However, there is a lack of similar investigations in marine systems where the focus has been on lipid classes rather than specific FAs (Pinturier-Geiss et al., 2002). Changes to key EFAs and other FAs associated with nutritious diatoms can therefore be used as primary producer and consumer quality indicators (Antonio and Richoux, 2014), and may help to reveal the effects of various anthropogenic stressors such as eutrophication in marine systems. Elevated nitrogen levels can lead to eutrophication with nitrogen toxicity and hypoxia directly and indirectly affecting the growth, survival and reproduction of organisms such as bivalves (Hickey and Martin, 1999; Camargo and Alonso, 2006; Thrush et al., 2017). However, changes to the quantity and quality of their primary food resource, the MPB may also indirectly affect consumer health, influencing activity levels and reproductive success. At each site, three replicate 9 m2 plots were randomly allocated to one of three nitrogen treatments; high fertilizer addition (600 g N m−2), medium fertilizer addition (150 g N m−2), or a disturbance control (0 g N m−2). Previous N enrichment experiments have successfully simulated eutrophic estuarine sediments using the above concentrations and application method (see below, Douglas et al., 2016). As nitrogen is typically the limiting nutrient in these systems (Rodil et al., 2011) a slow release nitrogen only fertilizer (Nutricote R⃝N fertilizer [140 days, 40-0-0 N:P:K]) was added to 180 evenly distributed holes (20 holes m−2) within each 9 m2 plot to 15 cm depth using a 3 cm diameter hand-held corer. Douglas et al. (2016) have demonstrated that burial at this depth successfully elevates nitrogen in surface sediments (top 0– 2 cm). Nutricote R⃝quickly hydrolyzes to ammonium (NH4+) from urea (Lomstein et al., 1989). INTRODUCTION Ammonium (NH4+) is the most common form of nitrogen in New Zealand soft sediments (Tay et al., 2013) and the form of N most readily assimilated by microalgae (Underwood and Kromkamp, 1999; Risgaard-Petersen et al., 2004; Riekenberg et al., 2017). Control plots at each site (n = 3) were cored and the sediment then replaced without the addition of fertilizer to replicate the physical disturbance associated with the fertilizer additions in other treatments. All treatments were randomly distributed within the area. Our main objective was to assess the combined effect of light and nutrients on MPB quantity and their nutritional quality as a basal food resource for a functionally important deposit- feeding bivalve (M. liliana) within the natural environment. We manipulated sediment porewater nitrogen concentrations across eight estuarine sites in the North Island of New Zealand that encompassed a natural gradient of turbidity. We hypothesized that porewater nitrogen enrichment would alter both the quantity and quality of MPB and the transfer of energy and nutrients from MPB to the deposit-feeder. A secondary hypothesis was that the effects of elevated porewater nitrogen would be site-dependent due to the differences in turbidity across the sites. Rationale for Species and Indicators Used in the Study Macomona liliana is a facultative deposit-feeding tellinid that plays a key role in multiple ecosystem functions on New Zealand intertidal sandflats. Their activities can alter rates of organic matter degradation and nutrient cycling (Thrush et al., 2006; Volkenborn et al., 2012; Woodin et al., 2012). These roles are a result of their complex feedbacks with the MPB which they graze upon and stimulate through nutrient regeneration, and facilitation of biogeochemical cycling through their sediment reworking. M. liliana were used as a model benthic primary consumer while intertidal sediment surface (0–2 cm) samples were used to characterize MPB quality and quantity. While M. liliana are capable of suspension feeding, their primary feeding mode is deposit-feeding (Pridmore et al., 1991) and strong but complex relationships with the MPB have been demonstrated (Thrush et al., 2004). Furthermore, previous investigations have demonstrated that resuspended MPB are the primary food resource in NZ estuaries for both deposit and suspension feeders (Savage et al., 2012; Jones et al., 2017). As FAs are a primary component of lipids and play a INTRODUCTION While some FAs are ubiquitous to all organisms, several taxonomic or functional groups of MPB can be characterized by the presence, ratios or associations between different FAs (Parrish et al., 2000). For example, FAs such as 16:1ω7 (Palmitoleic acid), eicosapentaenoic acid (EPA, 20:5ω3) and docosahexaenoic acid (DHA, 22:6ω3) (Brett and Müller- Navarra, 1997) are mainly produced by MPB such as diatoms, dinoflagellates and cyanobacteria (Volkman et al., 1998). Diatoms are known to be a highly nutritious, high quality, food resource that are rich in these essential fatty acids (EFAs), with specific FAs such as γ-linolenic acid (GLA, 18:3ω6) indicative of cyanobacteria (Yang et al., 2016). Changes to the quality (in terms of EFA synthesis or taxonomical groups) of this food resource will August 2020 | Volume 7 | Article 695 Frontiers in Marine Science | www.frontiersin.org 2 Light and Nutrient Effects on MPB Hope et al. in turn affect the nutritional quality of higher organisms which cannot efficiently synthesize EFAs de novo (Parrish et al., 2000; Bell et al., 2003). Omega-3 FAs (in particular EPA and DHA) are not only vital for the growth and development of herbivores but are critical for reproductive success in many bivalve species (Fearman et al., 2009) and several other physiological processes in organisms including humans (Knauer and Southgate, 1999; Emata et al., 2004; Institute of Medicine [IOM], 2011; Galloway and Winder, 2015; Sprague et al., 2016). to > 900 µmol m−2 s−1 across the selected sites (Figure 2A). As a proxy for turbidity, we derived a percentage clarity measure based on the proportion of light detected from exposed PAR sensors (during daytime low tide) and the submerged sensor (during daytime high tide), as a relative clarity index (Figure 2B). A clarity value near 100% indicates high water clarity/low turbidity (as clear water allows more of the incident light to the bed during immersion) and a value closer to 0% indicates low water clarity/high turbidity. to > 900 µmol m−2 s−1 across the selected sites (Figure 2A). As a proxy for turbidity, we derived a percentage clarity measure based on the proportion of light detected from exposed PAR sensors (during daytime low tide) and the submerged sensor (during daytime high tide), as a relative clarity index (Figure 2B). Experimental Design To assess the effects of elevated porewater nitrogen, we conducted a field experiment across eight sites in four estuaries of the North Island of New Zealand that represent a natural turbidity gradient (Figure 1 and Supplementary Table S1). Photosynthetically active radiation (PAR) sensors (Odyssey, Dataflow Systems Pty Ltd., Christchurch, New Zealand) were deployed 10 cm above sediment surface at each intertidal site for approximately 7 months prior to sampling to measure average daily high and low tide PAR (sensors were exposed during low tide). Daytime, mean high-tide (immersed) PAR ranged from < 150 µmol m−2 s−1 August 2020 | Volume 7 | Article 695 Frontiers in Marine Science | www.frontiersin.org 3 Hope et al. Light and Nutrient Effects on MPB RE 1 | Location of the eight field sites across the North Island of New Zealand (inset) and their proximity to Auckland City. (A) Manakau Harbor (MK); (B), (C) D) Mahurangi Harbor sites 1-3 respectively (MH1, MH2, MH3); (E) Whangateau Harbor (WG); (F), (G) and (H) Whangarei Harbor sites 1-3 respectively (WR1, WR3). GPS co-ordinates are provided in Supplementary Table 1. FIGURE 1 | Location of the eight field sites across the North Island of New Zealand (inset) and their proximity to Auckland City. (A) Manakau Harbor (MK); (B), (C) and (D) Mahurangi Harbor sites 1-3 respectively (MH1, MH2, MH3); (E) Whangateau Harbor (WG); (F), (G) and (H) Whangarei Harbor sites 1-3 respectively (WR1, WR2, WR3). GPS co-ordinates are provided in Supplementary Table 1. primary producers, or ‘health’ of the bivalves (Vargas et al., 1998; Ruano et al., 2012). fundamental role as an energy and nutrient source to higher organisms, FA biomarkers and other biochemical traits (lipid content, MPB biomass) were employed to determine MPB quantity and quality, MPB community responses and dietary intake in M. liliana. Frontiers in Marine Science | www.frontiersin.org Sample Collection and Processing Sampling was conducted between October and November 2017, approx. 7 months after the initial nitrogen enrichment of the plots. During mid-morning low tides, four sediment cores (0– 1 cm depth, 2.6 cm dia.) were randomly collected and pooled for biochemical analyses from each plot (giving 3 replicates per nutrient treatment, per site). An additional 5 cores were sampled and pooled from each replicate plot to determine particle size distribution and porosity (0–2 cm depth, 2.6 cm dia.) and 4 cores were pooled from each replicate plot for porewater nutrient analysis (0-2 cm depth, 2.6 dia.); again providing 3 replicates per nutrient treatment per site. The pooled sediment cores from within each replicate plot were used to ensure adequate sediment for subsequent analyses, and to account for the spatial variability across the 9 m2 plots in biochemical properties, such as microphytobenthic (MPB) biomass. As individual fatty acid biomarkers provide limited information, key ratios indicative of MPB community composition, were selected for examination (Table 1). These included: the diatom index of the MPB assemblage to determine the relative dominance of diatoms over dinoflagellates (Antonio and Richoux, 2014); and the proportion of bacterial FAs (BaFA) which can indicate the proportion of aerobic and anaerobic bacteria and degree of decomposition (Jaschinski et al., 2008; Ruano et al., 2012). These indices were also used to determine the relative ingestion or retention of essential FAs in bivalves or the ingestion of carbon that has first been processed through the microbial loop. Other FA biomarkers such as the ratio of ω3:ω6 PUFAs, and the proportion of EPA + DHA, were also examined as useful indicators of the nutritional quality of the August 2020 | Volume 7 | Article 695 4 Hope et al. Light and Nutrient Effects on MPB FIGURE 2 | (A) Mean daily photosynthetically active radiation (PAR, ± SE) measured 10 cm above the sediment surface for daytime low tide (white bars) and high tide (gray bars) for the 7 months period between the experiment setup and sampling. Daytime averaged from 2 h after sunrise to 2 h before sunset on days when low tides corresponded with daylight hours. (B) Relative clarity at each site over the 7 month period. Values close to 100% indicate the majority of incident light (emerged sensors) is detected by the submerged sensor (during immersion periods). Values close to zero mean very little incident light is reaching the submerged sensor. Sample Collection and Processing Sediment samples for biochemical analysis (see below) were Mastersizer 2000 (range 0.05–2000 µm) (Singer et al., 1988) FIGURE 2 | (A) Mean daily photosynthetically active radiation (PAR, ± SE) measured 10 cm above the sediment surface for daytime low tide (white bars) and high tide (gray bars) for the 7 months period between the experiment setup and sampling. Daytime averaged from 2 h after sunrise to 2 h before sunset on days when low tides corresponded with daylight hours. (B) Relative clarity at each site over the 7 month period. Values close to 100% indicate the majority of incident light (emerged sensors) is detected by the submerged sensor (during immersion periods). Values close to zero mean very little incident light is reaching the submerged sensor. Sediment samples for biochemical analysis (see below) were foil wrapped, immediately flash frozen in liquid nitrogen and transported to a −80◦C freezer until processed to preserve FA biomarkers and chlorophyll content. Porewater samples were stored on ice in the dark until extracted in the laboratory. Duplicate 13 cm dia. cores were collected to a depth of 15 cm for the gathering of adult M. liliana specimens (> 20 mm shell length) from within each plot. Specimens were rinsed of sediment, foil wrapped and flash frozen in the field to be transferred to a −80◦C freezer until further analysis. M. liliana were collected from all sites with the exception of MH2 and WR1, where specimens could not be detected in plots across all three nutrient treatments. These sites were excluded from further FA analysis of M. liliana tissue. Particle size distribution (PSD) was determined from freeze-dried sediments using a Malvern Mastersizer 2000 (range 0.05–2000 µm) (Singer et al., 1988) after the removal of organic matter with 10% hydrogen peroxide solution and disaggregation using 6% calgon. Frontiers in Marine Science | www.frontiersin.org Biochemical Properties Total M. liliana biomass (incl. shell) was measured from the cores in each plot and biomass standardized to kg M. liliana m−2. Whole organisms (n > 3) were freeze dried and homogenized to determine the animals’ lipid reserves (conditional status) and fatty acid biomarkers. Sediment OM content was determined by loss on ignition of dried sediments at 450◦C for 4 h, following Parker (1983). Porewater was extracted by adding 4 mL of deionized water to sediments, centrifuging at 3500 RPM for 10 min and filtering the extract through Whatman GF/C (1.1 µm) filters (Lohrer et al., 2010). Thawed extracts August 2020 | Volume 7 | Article 695 Frontiers in Marine Science | www.frontiersin.org Frontiers in Marine Science | www.frontiersin.org 5 Light and Nutrient Effects on MPB Hope et al. TABLE 1 | Fatty acid (FA) biomarkers and indices used to indicate the presence of various Microphytobenthos (MPB) taxa in surface sediments and bivalve tissue. FA contribution/ratio Indicative of References Sediment analysis 20:5ω3, 16:1ω7/16:0 Proportion of diatoms in the MPB Dalsgaard et al., 2003 22:6ω3/20:5ω3 (DHA/EPA) Relative dominance of dinoflagellates over diatoms Parrish et al., 2000 C15:0 + C17:0 Proportion of aerobic and anaerobic bacteria in the sediment Jaschinski et al., 2008; Ruano et al., 2012 (16:1ω7 + 20:5ω3)/ (18:1ω9 + 18:4ω3 + 22:6ω3) Relative dominance of diatoms over dinoflagellates and other taxa Antonio and Richoux, 2014 ω3:ω6 PUFA ratio Indicator of MPB nutritional quality Jaschinski et al., 2008; Ruano et al., 2012 Bivalve analysis 22:6ω3/20:5ω3 (DHA/EPA) Change in dietary intake of primary producers Parrish et al., 2000 C15:0 + C17:0 Dietary intake of aerobic and anaerobic bacteria or carbon processed via the microbial loop Jaschinski et al., 2008; Ruano et al., 2012 (16:1ω7 + 20:5ω3)/ (18:1ω9 + 18:4ω3 + 22:6ω3) Diatom index – dominance of diatoms in the diet of consumers Antonio and Richoux, 2014 ω3:ω6 PUFA ratio Indicator of nutritional quality in bivalve consumers Jaschinski et al., 2008; Ruano et al., 2012 Indicators of MPB and bivalve nutritional quality are centered around the importance of omega-3 fatty acids (ω3). TABLE 1 | Fatty acid (FA) biomarkers and indices used to indicate the presence of various Microphytobenthos (MPB) taxa in surface sediments and bivalve tissue. the MPB (Eriksson et al., 2017). An increase in RUE indicates that the MPB are efficiently assimilating the identified nutrient (nitrogen in this case) and converting it to biomass. Data Analyses Changes in MPB biomass and key FA biomarkers were tested across the different nutrient treatments (control, medium, high). To test the effects of nutrient enrichment and site on biochemical properties and FA biomarkers of the sediment and bivalves (Table 2), separate two-way PERMANOVAs based on Euclidean distance matrices (PRIMER, V7, Anderson et al., 2008) were run using a fixed factor nutrient (3 levels), a random factor of site (8 levels) and an interaction term. A total of 9999 permutations were applied to residuals under a reduced model. Monte Carlo p-values were also considered for the significance of differences among factors. Pairwise comparisons were performed using a post hoc test with the Bonferroni correction. were analyzed for ammonium (NH4+), using standard methods for seawater analysis on a Lachat QuickChem 8500 + FIA (Zellweger Analytics Inc., Milwaukee, WI, United States) with concentrations corrected for sediment porosity and dilutions. Porewater concentrations were used to determine the effectiveness of nitrogen enrichment of the plots across the sites. Further, to assess the effects of N enrichment across the turbidity gradient the ratio between each sites high-tide light level (PAR) and the mean porewater NH4+ (light: NH4+) of treatment plots were calculated. This ratio has previously been used to assess the changes in microalgae fatty acid synthesis due to shifts in the ratio of available light and nutrients (Hill et al., 2011). To summarize relationships between MPB quality indicators and sediment properties (Table 2) we used canonical analysis of principal components (CAP, Anderson et al., 2008), based on the Euclidean distance matrix of MPB quality indicators. Similarly, relationships between M. liliana biomarkers and biochemical traits (listed in Table 2), environmental and MPB/sediment indicators were summarized by CAP analysis based on the Euclidean distance matrix of M. liliana FA biomarkers. CAP was used rather than distance-based redundancy analysis (dbRDA) as the feedbacks between the different variables precludes the definition of any clear explanatory and response variables. All data used in the CAP analyses were normalized using a fourth- root transformation. The number of PCO axes (m) was chosen to exclude redundant axes, but include as much of the original variability in the dataset while minimizing the leave one out residual sum of squares (Anderson et al., 2008). Chlorophyll a (chl a) and pheophytin (pheo) contents were determined from surficial sediments using a 90% acetone extraction to quantify MPB biomass and degradation products respectively (Lorenzen, 1967). Biochemical Properties Aliquots of tissue from freeze-dried bivalves and sediments were used to assess total lipids using a modified Bligh and Dyer (1959) and lipid content determined using the sulfo-phospho-vanillin (SPV) spectrophotometric method (Byreddy et al., 2016). Total fatty acid (TFA) composition was determined following a one-step direct transesterification method (Lepage and Roy, 1986; Zárate et al., 2016). The full details of the extraction and identification of FAs is provided in the Supplementary Material. All biochemical properties discussed in this section were standardized by either sediment/tissue weight or by the surface area of the sediment core as deemed appropriate (Tolhurst et al., 2005). Identified FAs were first expressed as a percentage of the total FAs (TFAs) identified in each sample (% TFA) or as a ratio between two FAs if a dominance indicator was used. All FAs are designated as X:YωZ, where X is the number of carbon atoms, Y is the number of double bonds and Z is the position of the ultimate double bond from the terminal methyl. Full details are available in the Supplementary Methods. Specifically, eicosapentaenoic acid (EPA, 20:5ω3) and docosahexaenoic acid (DHA, 22:6ω3) which are vital for the growth and development of mollusks, fish and humans (Knauer and Southgate, 1999; Emata et al., 2004; Institute of Medicine [IOM], 2011; Sprague et al., 2016) were analyzed. Antonio and Richoux, 2014 Jaschinski et al., 2008; Ruano et al., 2012 Jaschinski et al., 2008; Ruano et al., 2012 Indicators of MPB and bivalve nutritional quality are centered around the importance of omega-3 fatty acids (ω3). Indicators of MPB and bivalve nutritional quality are centered around the importance of omega-3 fatty acids (ω3). Frontiers in Marine Science | www.frontiersin.org Data Analyses Pigments were extracted in the dark for 24 h at 4◦C using homogenized, freeze-dried sediment (∼1 g). Acetone was selected as it is best suited for spectrophotometric assay (Ritchie, 2006). Changes in resource use efficiency (RUE) was calculated as the ratio between sediment chlorophyll a concentrations and porewater concentration of the limiting nutrient; nitrogen in these systems. RUE is an ecological measure that defines the proportion of supplied resources that is then converted into new biomass (Hodapp et al., 2019). It is a useful metric to illustrate the change in resource use efficiency as higher concentrations of key nutrients become available to August 2020 | Volume 7 | Article 695 6 Light and Nutrient Effects on MPB Hope et al. TABLE 2 | Biochemical properties and FA biomarkers used for univariate and multivariate analyses. Variables Sediment analysis Bivalve analysis Quality indicator variables % EPA (20:5ω3) X % DHA (22:6ω3) X Diatom index (Antonio and Richoux, 2014) X X Ratio of ω3:ω6 PUFA X X MPB biomass (Chl a) X BaFAs (C15:0 + C17:0) X X Bivalve Biomass X Environmental properties Ratio of Light:NH4+ X X PW NH4+ concentration X Mean grain size X % Mud X Sediment properties RUE of MPB X Sediment diatom index X Sediment BaFAs (C15:0 + C17:0) X Quality indicators marked with an X were used in multivariate analyses. Environmental properties were assessed against these matrices for both sediment and bivalve data. Additional indicators from the sediment were explored against the bivalve data to assess whether changes in the quality and quantity of MPB in the sediment were reflected in changes to the quality indicators of the bivalves. Diatom index under quality indicators is the diatom index of bivalves. TABLE 2 | Biochemical properties and FA biomarkers used for univariate and multivariate analyses. [MH1, WR1], MPB biomass was elevated in medium treatment but not in high treatment plots (Figure 4A). Several sites also exhibited a higher sediment diatom index [MK, WR3, MH3, MH1 and control-medium treatments at WR1], while the other sites displayed no differences between N treatments (Figure 4B). Interestingly, the proportion of diatoms in the MPB (diatom index) of control sediments across the sites exhibited no significant relationship with water clarity (P < 0.05). The EPA content of the sediment (characteristic FA biomarker for diatoms), increased with nitrogen treatment but there were no significant site differences detected (Table 3). Changes to Microbial Communities Nitrogen enrichment and site differences in turbidity influenced various microbial indicators in the sediment (Table 3). Nitrogen enrichment typically increased MPB biomass (chl a) but effects were site-specific (Figure 4A). At a number of sites, [MH1, MH2, WR1, WR2], high variability in the MPB biomass prohibited the detection of significant increases between control plots and medium or high N addition plots, while at two of the sites Data Analyses The MPB were not effectively utilizing the higher N concentrations available in the porewater in enrichment plots as indicated by the reduced resource use efficiency (RUE, Figure 5). The proportion of aerobic and anaerobic bacteria-associated FAs (BaFAs) in the sediment varied primarily across the sites and not specifically with elevated nitrogen. We further examined Pearson correlation coefficients between the turbidity proxy (% clarity) and measured variables for each nutrient treatment independently. With the exclusion of the Manukau (MK) site, MPB biomass of control plots was higher at sites with greater water clarity (r2 = 0.73, Figure 6). The relationship between MPB biomass and clarity essentially disappeared with N enrichment (r2 = 0.08 and 0.07 for medium and high N treatments respectively). Similarly, while BaFAs in control plots correlated significantly with water clarity (Figure 7, r2 = 0.67), the relationships in medium (r2 = 0.05) and high (r2 = 0.05) nitrogen treated plots were diminished. Quality indicators marked with an X were used in multivariate analyses. Environmental properties were assessed against these matrices for both sediment and bivalve data. Additional indicators from the sediment were explored against the bivalve data to assess whether changes in the quality and quantity of MPB in the sediment were reflected in changes to the quality indicators of the bivalves. Diatom index under quality indicators is the diatom index of bivalves. Sediment Nutrients and Grain Size Changes to the Bivalve M. liliana The biomass (Figure 8) and total lipid content (Figure 9A) of M. liliana was reduced with nitrogen enrichment at the majority of sites, with a significant interaction between site and N enrichment detected (Table 3). While most sites had significant reductions in both metrics, no effect of nitrogen enrichment was apparent for biomass at MK (Figure 8) or lipids at WG (Figure 9A). Coinciding with a decrease in the overall biomass of bivalves in N enriched plots and a depletion in lipid reserves of the bivalves that were collected in the plots, there was a significant decrease in the nutritional quality of the bivalves (ratio of ω3:ω6 fatty acids (Figure 9B) across the majority of sites with nitrogen additions (Table 3). The effects of elevated nitrogen on the diatom index and the EPA + DHA content of M. liliana tissue was also site dependent. At Manukau (MK) and Whangarei site 3 (WR3) the proportion of diatoms and intake of EPA + DHA in the diet of M. liliana were significantly reduced under elevated nitrogen levels (Figures 9C,D) whereas at Whangateau Harbor (WG), the intake of diatoms (diatom index), bivalve quality (ω3:ω6 ratio and the EPA + DHA content) all increased (Figures 9B–D). The relative clarity of overlying water varied from 19% in the Manukau Harbor (MK, low clarity and high turbidity) to 93% at Whangarei 2 (WR2, high clarity and low turbidity, Figure 2B). The addition of fertilizer to the sediment resulted in elevated surface porewater NH4+ concentrations (0–2 cm sediment depth) across all sites. Enrichment was proportional to the amount of fertilizer added, in that the final elevated porewater NH4+ concentrations varied between sites (Figure 3A), but higher N additions elevated the final concentrations of medium and high plots compared to controls (C < M < H plots, Pseudo- F = 9.0, P < 0.001). Mean grain size ranged from very fine to medium sand (63–500 µm; Wentworth, 1922), and all sites had a mean mud content < 10% (Figure 3B). Neither mean grain size nor mud content, varied significantly with the nutrient enrichment of the sediment, but site differences were detected for both factors (Pseudo-F = 25.7, P < 0.001, Pseudo-F = 20.7, P < 0.001 respectively, Table 3). Relationships Between M. liliana, MPB and Environmental Variables Overall the CAP trace statistic (tr = 0.68, P < 0.001) together with the ordination plot suggests that the matrix of MPB quantity (biomass) and quality (FA biomarkers) in the sediment were strongly related to several measured sediment and environmental August 2020 | Volume 7 | Article 695 Frontiers in Marine Science | www.frontiersin.org 7 Hope et al. Light and Nutrient Effects on MPB FIGURE 3 | (A) Mean porewater NH4+-N concentration (µM, ± SE, n = 3) of surface sediment (0–2 cm depth) for each treatment at each site. (B) Mean mud content (%, ± SE, n = 3) for each treatment at each site, and nutrient treatment. Nutrient addition treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition and dark gray – high plots (600 g N m-2 addition). FIGURE 3 | (A) Mean porewater NH4+-N concentration (µM, ± SE, n = 3) of surface sediment (0–2 cm depth) for each treatment at each site. (B) Mean mud content (%, ± SE, n = 3) for each treatment at each site, and nutrient treatment. Nutrient addition treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition and dark gray – high plots (600 g N m-2 addition). properties (Figure 10). Diagnostics revealed the first three axes encapsulated around 96% of the variability in the resemblance matrix and minimized the residual sum of squares. The variables most strongly related to CAP1 were the sediment mud content (r2 = 0.47), the resource use efficiency (RUE) of the MPB (r2 = 0.25) and the percent clarity (r2 = -0.17). The second axis (CAP2) was related to porewater NH4+ concentration (r2 = 0.36) and the ratio between light and nutrient availability (Light: NH4+, r = 0.20). The third axis contributed even less (CAP3, δ2 = 0.11) and was primarily related to the Light: NH4+ ratio and RUE of the MPB (r2 = 0.15 for both). the light availability and porewater nitrogen (Light:NH4+ ratio, r2 = −0.35) and the proportion of diatoms (r2 = 0.38) and bacterial-associated FAs (r2 = −0.22) as well as the clarity of the water column (r2 = −0.14, Figure 11). Frontiers in Marine Science | www.frontiersin.org DISCUSSION This study demonstrates that elevated porewater nitrogen affects the proportion of diatom- and bacteria-specific fatty acid biomarkers available in the sediment to primary deposit feeding consumers. Changes to FA biomarkers and MPB biomass were different across the sites, and a number of variables were related to the overlying water clarity. Our data suggest that the proportion of bacterial FA biomarkers was higher when water column turbidity was lower. Further, the positive correlation between MPB biomass and water clarity under ambient nitrogen conditions (controls) suggests reduced light availability in turbid estuaries may limit MPB growth. The exception to this was Interestingly, the CAP ordination of M. liliana tissue data displayed contrasting results (Figure 11, tr = 0.76, P < 0.01). Instead of being dominated by one axis, the first two axes were of similar importance (δ2 = 0.32 and 0.30, respectively), with the third axis contributing markedly less (δ2 = 0.09). The environmental and MPB variables associated with the first axis (CAP1) were the mean grain size of the bed (r2 = −0.45), however the 2nd axis (CAP2) was associated with the ratio between August 2020 | Volume 7 | Article 695 Frontiers in Marine Science | www.frontiersin.org 8 Light and Nutrient Effects on MPB Hope et al. TABLE 3 | Results of univariate Permanova tests for differences in sediment and biochemical properties using nitrogen enrichment (N) (fixed) and site (S) (random) as predictors. the MPB growth across the sites before experimental enrichment was nitrogen limited (Underwood and Kromkamp, 1999). Non-cohesive sediments, associated with greater hydrodynamic energy, often have lower MPB biomass and nutrient capacity than muddy sediments (Cook et al., 2004a; Eyre et al., 2011). Remineralization and tight coupling of the nutrients within sandy sediments can however provide sufficient nutrients to sustain the MPB community and benthic metabolism (Cook et al., 2004a; Sundback and Mcglathery, 2005). Nonetheless, these differences in the sedimentary environment influence the rate and pathway of OM degradation (Ferguson et al., 2004). While an increase in RUE would suggest that the MPB are effectively using the additional nitrogen added to the system, a reduction (which we observed) suggests that N is now in excess following porewater enrichment and the MPB demand is no longer able to keep up with the supply of this nutrient from the porewater. DISCUSSION of course the high biomass MPB detected at the Manukau harbor (MK) despite high turbidity. Low light and high nutrient availability has been evident at the MK site for a number of years (Cahoon and Safi, 2002) and as such the MPB present may be photoacclimated to lower light (Veach and Griffiths, 2018). Previous studies have demonstrated that productivity during low tide can compensate for the lack of productivity during immersion in highly turbid sites similar to the Manukau (Drylie et al., 2018). It has previously been highlighted that there is a need for multiple stressor studies that incorporate a wide range of habitat conditions and species interactions (Crain et al., 2008). Our context-dependent results emphasize the complexity of these interactions and the fundamental need for large-scale field studies to encapsulate a wide range of ecological effects. of course the high biomass MPB detected at the Manukau harbor (MK) despite high turbidity. Low light and high nutrient availability has been evident at the MK site for a number of years (Cahoon and Safi, 2002) and as such the MPB present may be photoacclimated to lower light (Veach and Griffiths, 2018). Previous studies have demonstrated that productivity during low tide can compensate for the lack of productivity during immersion in highly turbid sites similar to the Manukau (Drylie et al., 2018). It has previously been highlighted that there is a need for multiple stressor studies that incorporate a wide range of habitat conditions and species interactions (Crain et al., 2008). Our context-dependent results emphasize the complexity of these interactions and the fundamental need for large-scale field studies to encapsulate a wide range of ecological effects. Our findings, suggest that effects of increased nitrogen loading on the functional role of MPB may depend on the environmental context (background nutrient levels and sediment type). Context dependency and legacy effects in ecological field studies are well documented, but can provide a wealth of information that cannot be provided by laboratory investigations (Thrush et al., 2000; Norkko et al., 2006). DISCUSSION Compartment Parameter Factor Pseudo-F p (perm) Sediment Mud content S 25.7 < 0.001 Mean grain size S 20.7 < 0.001 BaFAs (C15:0 + C17:0) S 5.4 < 0.001 MPB biomass (chl a) N x S 2.5 < 0.01 Diatom index (sed) N x S 2.1 < 0.05 %EPA N 3.2 < 0.05 M.liliana tissue Bivalve biomass N x S 2.0 < 0.05 Lipid content N x S 2.5 < 0.05 Ratio of ω3:ω6 N x S 3.0 < 0.01 Diatom index (biv) N x S 2.4 < 0.05 Significant (P < 0.05) main effects or interactions are displayed with Pseudo-F (number) and significance levels. Significant (P < 0.05) main effects or interactions are displayed with Pseudo-F (number) and significance levels. As inputs of nitrogen and sediment from catchments to coastal and estuarine environments continues to increase (Howarth, 2008; Hicks et al., 2011), these two stressors synergistically interact to affect the quality and quantity of primary food resources and their consumers. Elevated sediments enhance turbidity and limit light availability to the MPB and decrease their ability to assimilate nutrients at the sediment-water interface (Underwood and Kromkamp, 1999; Pratt et al., 2014), as we have seen in the RUE above. This causes an increase in the release of nutrients to the water column that further stimulate the phytoplankton enhancing turbidity effects. While we have examined the effects of N enrichment across a natural turbidity gradient that is attributed more to suspended sediment concentrations rather than phytoplankton blooms, our data suggest that as nutrient concentrations increase there may be a breakdown in the relationship between key consumers such as M. liliana and MPB across the light gradient. Understanding and predicting the effects of multiple stressors in the field is difficult, but critical to improving our understanding of anthropogenic effects in the real world (Crain et al., 2008; Thrush et al., 2012). Our study provides real-world information on the complexity associated with trophic interactions across a range of different sedimentary habitats. Furthermore, we provide further evidence of the potential impacts of eutrophication in understudied, low nutrient systems on carbon flow from primary producers to consumers. We stress that this is not only dependent on the adaptation of the MPB to particular stressors but will be influenced by feedbacks associated with differences in the response of higher trophic levels to the same perturbations (Thrush et al., 2006; Crain et al., 2008). Frontiers in Marine Science | www.frontiersin.org DISCUSSION Nutrient ( 2 ) ( 2 ) ( 2 ) FIGURE 4 | (A) Mean chlorophyll a concentration and (B) mean diatom index of the sediment surface, across all sites and nutrient treatments (± SE, n = 3). Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). The diatom-associated FA biomarkers and overall lipid energy reserves of M. liliana were reduced by N enrichment suggesting that grazing on the MPB was diminished in our experimental plots. These changes are consistent with changes in dietary intake, as more diatom rich FAs were available in the sediment (Bell et al., 2003). This reduction in FA intake was not observed in M. liliana inhabiting Whangateau estuary. Here, M. liliana appeared to benefit and increase their uptake of nitrogen- stimulated MPB (diatom associated FAs). This is likely due to the relatively shallow, ebb-dominated nature of the estuary (Grace, 1972) and the associated advection of excess organic matter offshore (Middelburg and Herman, 2007). The tight recycling of nutrients in the bed allowed this low-turbidity system to remain productive and healthy. The depletion of lipid reserves can also result in a shift between different biomarkers, as specific FAs are differentially metabolized (Budge et al., 2001; Dridi et al., 2017). Despite the preservation of the DHA/EPA ratio, the ω3:ω6 PUFA ratios of bivalves were generally reduced in enriched plots. This suggests that bivalve nutritional quality was compromised (Jaschinski et al., 2008; Ruano et al., 2012). The higher proportion of bacterial FAs in M. liliana tissue suggests M. liliana ingested more bacteria or organic matter that had been processed via the microbial loop (Mayzaud et al., 1990; Gonçalves et al., 2017). The higher proportion of diatoms in the sediment and the shift in bivalve quality suggests the changes to the MPB community stimulated bacterial communities, which in turn lowered the quality of the bivalves. The shift in ω3:ω6 PUFA ratios is significant, as the transfer of ω3 PUFA, in particular EPA and DHA, is essential for the growth and reproduction in higher trophic levels and supports the provision of food and goods (fish, shellfish and Omega-3) from our coastal marine ecosystems (Kharlamenko et al., 2008; Twining et al., 2016). DISCUSSION In these predominantly non- cohesive, low nutrient soft-sediments, the addition of nitrogen may have increased the quantity and quality of the MPB but their functional role in the system and trophic interactions were altered as the increase in essential FAs associated with diatoms were not reflected in the consumers The quality and quantity of MPB both increased with nitrogen enrichment but the magnitude of the effects were again site dependent. The correlations between MPB biomass and water clarity observed in control plots disappeared with N enrichment of the sediment suggesting the increase in nitrogen availability in the sediment facilitated the growth of the MPB by providing them with the nutrients required during low tide periods. Primary producers of course require both light and nutrients for growth and to reproduce (Kromkamp et al., 1995). Carbon is obtained through photosynthesis which relies on light availability, while key nutrients such as nitrogen and phosphorus are obtained from their environment (Longphuirt et al., 2009). The positive response of the MPB biomass to nitrogen additions suggests that At two sites (MH2 and WR1), M. liliana were absent in nitrogen enriched plots. At sites where we did obtain M. liliana specimens, these bivalves from enriched plots had decreased lipid energy reserves. Plausible explanations for the reduced lipids energy reserves and lower nutritional quality of the bivalves include the accumulation of ammonium in the sediment becoming a chemical stressor to biota (Camargo and Alonso, 2006; Simpson et al., 2013). In other bivalves this type of stress response, the reductions in lipid content, has been related to oxidative stress and lipid peroxidation (Coutteau et al., 1996; De Almeida et al., 2007). August 2020 | Volume 7 | Article 695 Frontiers in Marine Science | www.frontiersin.org 9 Hope et al. Light and Nutrient Effects on MPB FIGURE 4 | (A) Mean chlorophyll a concentration and (B) mean diatom index of the sediment surface, across all sites and nutrient treatments (± SE, n = 3). Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). URE 4 | (A) Mean chlorophyll a concentration and (B) mean diatom index of the sediment surface, across all sites and nutrient treatments (± SE, n = 3). Frontiers in Marine Science | www.frontiersin.org DISCUSSION Changes in the quality and quantity of food resources to secondary consumers has implications for trophic food webs, as intertidal bivalves are the major prey of many crustaceans, fish, and wading birds. As the condition of these bivalves August 2020 | Volume 7 | Article 695 Frontiers in Marine Science | www.frontiersin.org Frontiers in Marine Science | www.frontiersin.org 10 Hope et al. Light and Nutrient Effects on MPB e FIGURE 7 | Relationship between the water clarity and the mean proportion of bacteria-associated FAs (C15:0 + C17:0) in the sediment across ambient nitrogen conditions (control plots) in all sites. (r2 = 0.67). FIGURE 8 | Mean biomass (incl shell) of M. liliana specimens (20 – 30 mm length, kg dry weight bivalves m2, ± SE, n = 3) as a function of site and nutrient enrichment treatment. Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). FIGURE 5 | Mean resource use efficiency (RUE), i.e., the ratio between chlorophyll a concentration and the sediment porewater concentration of the limiting nutrient [N in these systems (RUE calculations based on Eriksson et al., 2017)]. Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). FIGURE 6 | Relationship between MPB biomass (chl a concentration, mg m-2, ± SE, n = 3) and water clarity, see Figure 2B (r2 = 0.73). Inclusion of site MK (shaded circle) reduced the explained variation (r2) from 0.73 to 0.07. is altered their functional roles as prey for higher trophic FIGURE 7 | Relationship between the water clarity and the mean proportion of bacteria-associated FAs (C15:0 + C17:0) in the sediment across ambient nitrogen conditions (control plots) in all sites. (r2 = 0.67). FIGURE 8 | Mean biomass (incl shell) of M. liliana specimens (20 – 30 mm length, kg dry weight bivalves m2, ± SE, n = 3) as a function of site and nutrient enrichment treatment. Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). DISCUSSION Dalsgaard et al 2003; Lebreton et al 2011) Our data suggests FIGURE 7 | Relationship between the water clarity and the mean proportion of bacteria-associated FAs (C15:0 + C17:0) in the sediment across ambient nitrogen conditions (control plots) in all sites. (r2 = 0.67). FIGURE 7 | Relationship between the water clarity and the mean proportion of bacteria-associated FAs (C15:0 + C17:0) in the sediment across ambient nitrogen conditions (control plots) in all sites. (r2 = 0.67). FIGURE 5 | Mean resource use efficiency (RUE), i.e., the ratio between chlorophyll a concentration and the sediment porewater concentration of the limiting nutrient [N in these systems (RUE calculations based on Eriksson et al., 2017)]. Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). FIGURE 5 | Mean resource use efficiency (RUE), i.e., the ratio between chlorophyll a concentration and the sediment porewater concentration of the limiting nutrient [N in these systems (RUE calculations based on Eriksson et al., 2017)]. Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). FIGURE 8 | Mean biomass (incl shell) of M. liliana specimens (20 – 30 mm length, kg dry weight bivalves m2, ± SE, n = 3) as a function of site and nutrient enrichment treatment. Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). FIGURE 6 | Relationship between MPB biomass (chl a concentration, mg m-2, ± SE, n = 3) and water clarity, see Figure 2B (r2 = 0.73). Inclusion of site MK (shaded circle) reduced the explained variation (r2) from 0.73 to 0.07. FIGURE 6 | Relationship between MPB biomass (chl a concentration, mg m-2, ± SE, n = 3) and water clarity, see Figure 2B (r2 = 0.73). Inclusion of site MK (shaded circle) reduced the explained variation (r2) from 0.73 to 0.07. FIGURE 8 | Mean biomass (incl shell) of M. liliana specimens (20 – 30 mm length, kg dry weight bivalves m2, ± SE, n = 3) as a function of site and nutrient enrichment treatment. Frontiers in Marine Science | www.frontiersin.org DISCUSSION liliana specimens (3 individuals per sample, mean shell length 25 ± 4mm) across all sites and nutrient treatments. (B) Mean ratio of ω3:ω6 PUFAs from composite M. liliana tissue as a function of site and nutrient enrichment treatment. (C) Mean diatom index [16:1ω7 + 20:5ω3]/[18:1ω9 + 18:4ω3 + 22:6ω3] from composite M. liliana tissue. (D) Mean proportion of EPA [20:5ω3] + DHA [22:6ω3], extracted from composite M. liliana tissue (3 + individuals per 50 mg composite sample, ± SE, n = 3). Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). FIGURE 9 | (A) Mean total lipid reserves (mg g-1 DW tissue ± SE n 3) from homogenized M liliana specimens (3 individuals per sample mean shell length FIGURE 9 | (A) Mean total lipid reserves (mg g-1 DW tissue, ± SE, n = 3) from homogenized M. liliana specimens (3 individuals per sample, mean shell length 25 ± 4mm) across all sites and nutrient treatments. (B) Mean ratio of ω3:ω6 PUFAs from composite M. liliana tissue as a function of site and nutrient enrichment treatment. (C) Mean diatom index [16:1ω7 + 20:5ω3]/[18:1ω9 + 18:4ω3 + 22:6ω3] from composite M. liliana tissue. (D) Mean proportion of EPA [20:5ω3] + DHA [22:6ω3], extracted from composite M. liliana tissue (3 + individuals per 50 mg composite sample, ± SE, n = 3). Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). would further reduce biomass and lipid energy and FA reserves and potentially negatively impact their reproductive output. but important components of the impacts of anthropogenic stressors on ecosystem function (see also Bachok et al., 2006; Bueno-pardo et al., 2018). Higher nitrogen inputs into low nutrient systems such as the ones we have studied herein can therefore alter the functional role of MPB as primary producers and as a basal food resource. Multivariate analysis of relationships between sediment FA biomarkers and environmental variables suggested that changes to the microbial community composition and quality was related to site-specific conditions such as the water clarity and subtle changes in the mud content of the sandy sediments. DISCUSSION Nutrient treatments; white bars – control plots (0 g N m-2 addition), light gray – medium plots (150 g N m-2 addition), dark gray – high plots (600 g N m-2 addition). FIGURE 6 | Relationship between MPB biomass (chl a concentration, mg m-2, ± SE, n = 3) and water clarity, see Figure 2B (r2 = 0.73). Inclusion of site MK (shaded circle) reduced the explained variation (r2) from 0.73 to 0.07. is altered their functional roles as prey for higher trophic levels and as grazers and stimulators of the MPB will also be altered (Thrush et al., 2006). While nutrient regeneration mediated by bioturbators such as M. liliana may become less influential on the MPB under higher external nitrogen loads, the utilization of nutrients by the MPB community would also likely decrease. This highlights the potential for top down processes to influence the MPB under N enrichment: Diatoms are proliferating under higher nitrogen concentrations not only due to the increase in nitrogen required for growth and reproduction but due to a decrease in grazing pressure. As FAs are essentially incorporated unaltered into the lipids of first order consumers, their FA profiles should reflect the FA profiles of the food they consume (Kharlamenko et al., 2001; Dalsgaard et al., 2003; Lebreton et al., 2011). Our data suggests the proportion of diatom-associated FAs in the bivalves decreased with nitrogen enrichment in the majority of sites alongside a concomitant increase in bacterial associated FAs. This could be due to the bivalves feeding less on the MPB due to N enrichment of the sites, or an increase in the metabolism of diatom- associated FAs. Direct chemical stress from other pollutants such as pesticides, pH, temperature and sedimentation have been observed to decrease feeding rates and nutrient uptake in several consumers (Patil, 2011; Wang et al., 2015; McCartain et al., 2017), which would in time reduce their biomass as fat stores are used. As bivalves tend to increase their metabolic activity to survive extended periods of stress from pollutants (Smolders et al., 2004; De Almeida et al., 2007; Patil, 2011) this August 2020 | Volume 7 | Article 695 11 Hope et al. Light and Nutrient Effects on MPB FIGURE 9 | (A) Mean total lipid reserves (mg g-1 DW tissue, ± SE, n = 3) from homogenized M. Frontiers in Marine Science | www.frontiersin.org ACKNOWLEDGMENTS The datasets generated for this study are available on request to the corresponding author. The field campaign was conducted as part of a larger ‘Tipping points’ project funded through the National Science Challenge Sustainable Seas, which involved all authors and a nationwide group of collaborators to which we gratefully thank for the conception of the field experiment, the set-up and maintenance of the nitrogen enriched plots and deployed sensors throughout New Zealand. We would also like to thank the Seafloor Ecology Group at the University of Auckland for sample collection from the Auckland sites, Steph Mangan for the summary of PAR data and NIWA, Hamilton for processing porewater nutrient samples. We wish to thank Erica Zarate and Saras Green of the Mass Spectrometry Centre, Auckland Science Analytical Services. The University of Auckland, New Zealand for assistance with analysis of FAMEs by GC-MS, and to Raphael Bang for data processing. DISCUSSION liliana and the relationship with FIGURE 11 | Canonical analysis of principal components ordination of the quantity and quality indicators of M. liliana and the relationship with environmental and sedimentary variables. Canonical axis 1 (δ2 = 0.30) and canonical axis 2 (δ2 = 0.24). BaFA -C15:0 + C17:0 FAs associated with anaerobic and aerobic bacteria, DI_SED – Diatom index of the sediment surface. MGS – mean grain size. Light: NH4+ – ratio between high-tide light and porewater NH4+ concentration. Symbols represent sites: Solid triangle – MH1; solid circle – MH3; open triangle – MK; open circle – WG; star – WR2; cross – WR3. Colors represent nitrogen treatments: Light gray – control; dark gray – medium; black – high treated plots. NZ estuaries, is negatively affected by nitrogen enrichment, and this could alter their role in soft sediment functions and their interactions with MPB and bacteria. National Science Challenge Sustainable Seas, Dynamic Seas, Tipping Points project (CO1 × 1515). National Science Challenge Sustainable Seas, Dynamic Seas, Tipping Points project (CO1 × 1515). AUTHOR CONTRIBUTIONS The New Zealand National Science Challenge Sustainable Seas, Dynamic Seas, Tipping Points project (CO1 × 1515) was responsible for the design and implementation of the larger field experiment, this involved many researchers in the implementation, maintenance and sampling of the experiment (see below). JAH conceived the manuscript and produced the first draft of the manuscript. JAH collected and processed fatty acid samples. JAH analyzed data with advice from JH. All authors contributed to the ideas presented in this manuscript, drafts of the manuscript and gave final approval for publication. DISCUSSION The effects of nutrient enrichment on FA biomarkers was modulated differently across the sites depending on the light availability. The functional role of intertidal microphytobenthos (MPB) in estuarine food webs have traditionally been characterized by their biomass, contribution to primary productivity and their influence on bacteria and nitrogen pathways at the sediment-water interface (MacIntyre et al., 1996; Serôdio and Catarino, 1999; O’Meara et al., 2017; Koedooder et al., 2019; Vaz et al., 2019). Our findings support previous studies where shifts in the MPB community were apparent with nutrient additions (Pinckney, 1995; Piehler et al., 2010). However, our experiment also reveals that the biosynthesis and transfer of essential FAs to consumers are rare Across different sedimentary habitats resuspended MPB contribute substantially to water column productivity (Underwood and Kromkamp, 1999; Jones et al., 2017) and can even comprise up to 70% of the diet of harvested and farmed suspension feeders such as oysters, mussels and cockles (Sauriau and Kang, 2000; Dubois et al., 2007; Morioka et al., 2017). The MPB therefore support various coastal fisheries (Kritzer et al., 2016) and changes to the biosynthesis and transfer of essential FAs (EFAs) to key consumers may therefore have profound impacts on ecosystem functions through altering the functional role of the MPB and the biodiversity of fauna depending on their tolerance to high nutrient concentrations. Our investigation suggests that a key deep-dwelling tellinid bivalve that dominates August 2020 | Volume 7 | Article 695 Frontiers in Marine Science | www.frontiersin.org Frontiers in Marine Science | www.frontiersin.org 12 Hope et al. Light and Nutrient Effects on MPB FIGURE 11 | Canonical analysis of principal components ordination of the quantity and quality indicators of M. liliana and the relationship with environmental and sedimentary variables. Canonical axis 1 (δ2 = 0.30) and canonical axis 2 (δ2 = 0.24). BaFA -C15:0 + C17:0 FAs associated with anaerobic and aerobic bacteria, DI_SED – Diatom index of the sediment surface. MGS – mean grain size. Light: NH4+ – ratio between high-tide light and porewater NH4+ concentration. Symbols represent sites: Solid triangle – MH1; solid circle – MH3; open triangle – MK; open circle – WG; star – WR2; cross – WR3. Colors represent nitrogen treatments: Light gray – control; dark gray – medium; black – high treated plots. FIGURE 11 | Canonical analysis of principal components ordination of the quantity and quality indicators of M. REFERENCES A rapid method of total lipid extraction and purification. Can. J. Biochem. Physiol. 37, 911–917. Brett, M. T., and Müller-Navarra, D. C. (1997). The role of highly unsaturated fatty acids in aquatic foodweb processes. Freshw. Biol. 38, 483–499. doi: 10.1046/j. 1365-2427.1997.00220.x Dridi, S., Romdhane, M. S., and Cafsi, M. E. (2017). 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Ecol. 27, 2909–2912. doi: 10.1111/mec.14733 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. Volkenborn, N., Meile, C., Polerecky, L., Pilditch, C. A., Wethey, D. S., and Woodin, S. A. (2012). Intermittent bioirrigation and oxygen dynamics in permeable sediments: an experimental and modeling study of three tellinid bivalves. J. Mar. Res. 70:6. The reviewer DP declared a past co-authorship with one of the authors JH to the handling editor. Volkman, J. K., Barrett, S. M., Blackburn, S. I., Mansour, M. P., Sikes, E. L., and Gelin, F. (1998). Microalgal biomarkers: a review of recent research developments. Organ. Geochem. 29, 1163–1179. doi: 10.1016/s0146-6380(98) 00062-x Copyright © 2020 Hope, Hewitt, Pilditch, Savage and Thrush. 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. Wang, Y., Li, L., Hu, M., and Lu, W. (2015). Physiological energetics of the thick shell mussel Mytilus coruscus exposed to seawater acidification and thermal stress. Sci. Total Environ. 514, 261–272. doi: 10.1016/j.scitotenv.2015.01.092 August 2020 | Volume 7 | Article 695 Frontiers in Marine Science | www.frontiersin.org 17
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Fuente: elaboración propia Conclusiones A partir del análisis realizado, es posible señalar que el ingreso de mujeres al liceo público estudiado ha tensionado la cultura docente del establecimiento educativo, así como también ha generado oportunidades para producir transformaciones orientadas hacia una PUNTO GÉNERO 244 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 socialización de género que permita eliminar las jerarquías y las desigualdades de poder, para el desarrollo de un proyecto coeducativo. Se dio cuenta de una cultura docente en proceso permanente de producción, en la que existen prácticas y creencias más estables, así como también otras más flexibles que se encuentran en proceso de adaptación a propósito del cambio vivido en el liceo. Respecto de las tensiones, es posible afirmar que las y los docentes dieron cuenta de una resistencia al cambio vinculada a prejuicios y estereotipos asociados a las mujeres, sobre todo en las y los docentes de más amplia trayectoria en el liceo, así como una cultura en la que ha predominado una mirada masculina que discrimina e invisibiliza los aportes del género femenino, sobre todo de las docentes. A ello se suma un desconocimiento del enfoque de género y la educación no sexista, junto con la falta de orientaciones institucionales para llevarla a cabo. Sin embargo, el ingreso de las estudiantes al establecimiento educativo ha sido evaluado positivamente por las y los docentes y el equipo directivo, señalando que su presencia ha generado cambios que benefician al liceo. Entre ellos es relevante mencionar las dinámicas de diálogo y autoformación entre docentes, lo que les ha permitido ir adquiriendo herramientas para ser más críticos/as respecto de su propio trabajo en las aulas y de sus interacciones. Así se ha ido desarrollando un cuestionamiento a la reproducción de las desigualdades de poder que han justificado la discriminación por género en distintos niveles tales como, la relación entre docentes, entre docentes y estudiantes, el uso de lenguaje inclusivo y el currículum. De esta forma, ante la pregunta ¿Un cambio a una educación no sexista? Es posible afirmar que el ingreso de mujeres ha tensionado los roles de género y las relaciones sociales del liceo, lo que ha permitido ir transformando la idea de que las diferencias son naturales. Junto con el ingreso de las estudiantes al establecimiento educativo, ha ingresado la necesidad de desarrollar una educación que problematice lo socialmente establecido y evite PUNTO GÉNERO 245 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 las prácticas pedagógicas discriminatorias. De esta forma, el ingreso de las estudiantes ha contribuido a la visibilización y cuestionamiento de las desigualdades, discriminación y segregación en función del género. Si bien el ingreso de mujeres implica terminar con la segregación por género en el ingreso al establecimiento educativo, y en razón de ello, se han movilizado transformaciones que pueden constituirse como avances para una educación no sexista, estos avances son aún insuficientes y requieren que el liceo genere nuevas acciones para continuar con dicha transformación, pues el ingreso de mujeres no constituye por sí mismo el cambio hacia una educación no sexista. Para ello, y tal como está investigación plantea, es necesario que se generen procesos reflexivos más profundos que permitan tensionar y deconstruir la cultura docente existente. Con base a lo anterior, es posible identificar dos orientaciones para avanzar hacia un proyecto coeducativo que se enmarque en una educación no sexista en un contexto de inclusión mixta. En primer lugar, se requiere de una mirada y orientaciones institucionales que generen un marco claro de acción, reflexión y formación en torno a la perspectiva de género, que permitan una mejor adaptación de la cultura docente ante el nuevo escenario. En segundo lugar, es importante generar puentes y diálogos intergeneracionales al interior de las comunidades educativas, que permitan transitar estas transformaciones de una forma en la que todos y todas se sientan incluidos, incluso aquellos y aquellas docentes que tienen mayores resistencias frente a los cambios. Se sugiere que para ambas orientaciones se contemplen elementos como el análisis del currículum explícito y oculto de género, el reconocimiento de la diversidad de identidades de género, el uso del lenguaje inclusivo y las relaciones entre docentes y entre docentes y estudiantes, junto con el cuestionamiento y sistematización de prácticas sexistas y no sexistas, respectivamente. Esta investigación se ha propuesto ser una contribución a la necesaria incorporación de la educación no sexista en los establecimientos educativos desde la perspectiva de la PUNTO GÉNERO 246 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 cultura docente, apostando por un proyecto coeducativo. Sin embargo, por tratarse de un estudio de caso de carácter exploratorio, no tiene el objetivo de generalizar, sino más bien de mostrar una realidad en profundidad. A partir de esta investigación, ha quedado en evidencia la necesidad de continuar explorando las tensiones y oportunidades que ocurren en los establecimientos educativos que buscan avanzar hacia una educación con perspectiva de género. Para ello, futuras investigaciones podrían explorar dichas transformaciones no sólo desde la perspectiva de docentes y equipos directivos, sino incorporando también las miradas de las y los estudiantes. Referencias Acuña, María Elena., y Montecino, Sonia. (2014). “La otra reforma: el “no sexismo” como clave cultural del cambio en el sistema educacional”, en Revista Anales, N°7, [On Line]. Disponible en: https://doi.org/10.5354/0717-8883.2014.35890 Araya, Sandra. (2004). “Hacia una educación no sexista. Actualidades Investigativas en Educación”, en Actualidades Investigativas en Educación, Vol. IV, No. 2, p.1-134 Azúa, Ximena. (2016). Aprender a ser mujer, aprender a ser hombre. La escuela como reproductora de estereotipos. En del Valle (comp.), Educación No Sexista. Hacia una Real Transformación. Santiago de Chile: Red Chilena contra la Violencia hacia las Mujeres. Azúa, Ximena., Lillo, Daniela., y Saavedra, Pamela. (2019). “El desafío de una educación no sexista en la formación inicial: prácticas docentes de educadoras de párvulo en escuelas públicas chilenas”. En Calidad En La Educación, N°50 [On Line]. Disponible en: https://doi.org/10.31619/caledu.n50.721 Blanco, Nieves. (2001). Educar en Femenino y en Masculino. España: Akal. Bolaño, María Eugenia. (2015). “Los sesgos de género a través del currículum oculto de educación musical”, en Revista de Educación Social, N°21 [On Line]. Disponible PUNTO GÉNERO 247 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 en:https://eduso.net/res/revista/21/miscelanea/los-sesgos-de-genero-a-travesdelcurriculum-oculto-de-educacion-musical Braun, Virginia.,y Clarke, Victoria. (2006). “Using Thematic Analysis in Psychology. Qualitative”, en Research in Psychology, N°2 [On Line]. Disponible en:https://doi.org/10.1191/1478088706qp063oa Camacho, Johanna. (2018). “Educación científica no sexista. Aportes desde la investigación en Didáctica de las Ciencias”, en Revista Nomadías, N°25 [On Line]. Disponible en: :https://nomadias.uchile.cl/index.php/NO/article/view/51508 Canales, Manuel. (2006). El grupo de discusión y el grupo focal. En Canales (comp.), Metodlogías de Investigación Social. Introducción a los oficios (pp. 265–288). Santiago de Chile: LOM. Canales, Manuel. (2013). Análisis sociológico del habla, en Escucha de la escucha (pp. 171– 188). Santiago de Chile: LOM. Fraser, Nancy. (2000). ¿De la redistribución al reconocimiento? Dilemas de la justicia en la era «postsocialista». En ¿Redistribución o reconocimiento? Un debate entre marxismo y feminismo. Madrid: Traficantes de Sueños. Gainza, Álvaro. (2006). La entrevista en profundidad individual,en Canales (comp.), Metodologías de investigación social. Introducción a los oficios (pp. 219–263). Santiago de Chile: LOM. Gálvez, Roberto y Mayorga, Francisca (en prensa). Colegios monogenéricos, una tendencia a la baja, en La Tercera. Guerrero, Antonio. (2002). Manual de sociología de la educación. Madrid: Editorial Síntesis S.A. PUNTO GÉNERO 248 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 Guerrero, Elizabeth., Hurtado, Victoria., Azua, Ximena., y Provoste, Patricia. (2011). Material de apoyo con perspectiva de género para Formadores y Formadoras. Santiago de Chile: MINEDUC. Huenulef, Natalia., y Vargas, Marcela. (2021). "¡Queremos educación que no lucre y no sexista! Movimiento feminista-estudiantil y prácticas contrahegemónicas en la historia reciente de Valdivia, Chile” (2006-2018), en Revista Izquierdas, Vol. L, No. 32, p. 27772800. Lagarde, Marcela. (1996a). Género y feminismo. Desarrollo humano y democracia. Madrid: Horas y Horas. Lagarde, Marcela. (1996b). Nociones y definiciones básicas de la perspectiva de género. En Laura Guzmán y Gilda Pacheco (comp.), en Estudios básicos de Derechos Humanos. Instituto Interamericano de Derechos Humanos: Comisión de la Unión Europea. Lamas, Martas. (1996). “La Antropología feminista y la categoría género”, en Nueva Antropología, Vol.VIII, p.173-198. Lamas, Martas. (2000). “Diferencias de sexo, género y diferencia sexual”. en Cuicuilco, Nº18, .[On Line]. Disponible en: https://www.redalyc.org/articulo.oa?id=351/35101807 Lorente, Ángel (2006). “Cultura Docente Y Organización Escolar En Los Institutos De Secundaria”, en Revista de Currículum y Formación Del Profesorado, Nº 2, [On Line]. Disponible en: http://recyt.fecyt.es/index.php/profesorado/article/view/42040 Maceira, Luz. (2005). “Investigación del currículo oculto en la educación superior: alternativa para superar el sexismo en la escuela”, en Revista de estudios de género, Nº 21 [On Line]. Disponible en: http://www.scielo.org.mx/scielo.php?script=sci_arttext&pid=S140594362005000100187&lng=es&tlng=es. PUNTO GÉNERO 249 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 Madrid, Sebastián. (2006). “Profesorado, política educativa y género en Chile: balance y propuestas”, en Colección Ideas, Vol. VIII, No 35, p.1-25 Martínez, Irene. (2016). “Construcción de una pedagogía feminista para una ciudadanía transformadora y contra-hegemónica”, en Foro de Educación, Nº 20, .p. 129-151. [On Line]. Disponible en: http://www.alsurdetodo.uchile.cl/ Martini, Gabriela, y Bornand, Marcela. (2018). "Hacia una educación no sexista: tensiones y reflexiones desde la experiencia de escuelas en transformación", en Revista Nomandías, Nº 26, [On Line]. Disponible en: http://www.alsurdetodo.uchile.cl/ Ministerio de Educación. (2019). Comisión por una educación con equidad de género. Propuestas de acción. Santiago de Chile: Ministerio de Educación. Ministerio de Educación. (2015). Educación para la Igualdad de Género. Plan 2015-2018. Santiago de Chile: Unidad de Equidad de Género. Ministerio de Educación. (2017). Enfoque de género. Incorporación en los instrumentos de Gestión Escolar. Santiago de Chile: Unidad de Currículum. Ministerio de Educación. (2018). Oportunidades curriculares para la educación en sexualidad, afectividad y género. Santiago de Chile: Unidad de Inclusión y Participación Ciudadana Ministerio de Educación. (2020). Informe del sistema educacional con análisis de género 2019. Santiago de Chile: CEM. Ministerio de Educación. (s.f.). Educación para la Igualdad de Género. Plan 2015-2018. Santiago de Chile: Unidad de Equidad de Género. Morgade, Graciela. (2001). Aprender a ser mujer. Aprender a ser varón. Relaciones de género y educación. Esbozo de un programa de acción. Buenos Aires: Novedades Educativas. PUNTO GÉNERO 250 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 Morgade, Graciela. (2013). Educación sexuada y currículum: Debates Epistemológicos y didácticos actuales. En Género y sexualidades: debates y herramientas para una educación intercultural. Buenos Aires: Centro REDES. Nash, Claudio. (2018). "Educación no sexista y disidencia. Una mirada desde los derechos humanos". En Revista Nomadías, Nº25, On Line]. Disponible en: https://nomadias.uchile.cl/index.php/NO/article/view/51541. Ortega, Patricia., Torres, Laura. y Salguero, Alejandra (2001). "La teoría de género y el enfoque determinista". En Revista Psykhe, Nº10, On Line]. Disponible en: http://ojs.uc.cl/index.php/psykhe/article/view/19499 Palestro, Sandra. (2016). Androcentrismo en los textos escolares. En del Valle (comp.), Educación No Sexista. Hacia una Real Transformación. Santiago de Chile: Red Chilena contra la Violencia hacia las Mujeres. Rebollo, Marìa Angeles, García, Rafael, Piedra, Joaquín y Vega, Luisa. (2011). "Diagnóstico de la cultura de género en educación: actitudes del profesorado hacia la igualdad". En Revista de Educación, Nº355, [On Line]. Disponible en: https://doi.org/http://doi.org/10.4438/1988.592X.RE.2010.355.035. Rodríguez, Mery., y Peláez , Gloria. (2018). "El lenguaje y su importancia en las interacciones para una educación no sexista". En Revista Saberes Educativos, Nº 31, [On Line]. Disponible en: https://doi.org/10.5354/2452-5014.2018.51602. Rodríguez , María del Carmen., y Peña , José Vicente. (2009). "La investigación sobre el género en la escuela: nuevas perspectivas teóricas". En Revista Teoría De La Educación, Nº 17, [On Line]. Disponible en: https://doi.org/10.14201/3105. Rojas, María. Teresa. (2014). "Las creencias docentes: delimitación del concepto y propuesta para la investigación". En Diálogos Educativos, Vol. XXVII, No. 14, p.89-112 PUNTO GÉNERO 251 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 Rubin, Gayle. (1986). "El tráfico de mujeres. Notas sobre una economía política del sexo", en Revista Nueva Antropología, Nº30 [On Line]. Disponible en https://www.redalyc.org/pdf/159/15903007.pdf Sánchez, Alex y López, Solangela.(2020). "La cultura docente en una escuela pública urbanomarginal de Lurin - Lima", en Revista Horizonte de La Ciencia, Nº18 [On Line]. Disponible en . https://doi.org/10.26490/uncp.horizonteciencia.2020.18.426 Santos Guerra, Miguel Ángel. (1995). "Cultura profesional del docente", en Revista Investigación En La Escuela, Nº26 [On Line]. Disponible en https://idus.us.es/handle/11441/59648 Scott, Joan. l(1996). El género: una categoría útil para el análisis histórico. En Lamas, M. (comp.). El Género: la construcción cultural de la diferencia sexual. Ciudad de México: PUEG – UNAM. Servicio Nacional de la Mujer (2009). Análisis de Género en el Aula. Documento de Trabajo Nº117. Santiago de Chile: SERNAM. Silva, Irish. (2010). "Repensando la escuela desde la coeducación. Una mirada desde Chile ", en Revista Venezolana de Estudios de la Mujer, Nº34 [On Line]. Disponible en http://ve.scielo.org/scielo.php?script=sci_arttext&pid=S131637012010000200009&ln g=es&tlng=es Stake, Robert. (2005). Multiple case study analysis. New York: Guilford. Subirats, Marina. (2010). "¿Coeducación o escuela segregada? Un viejo y persistente debate", en Revista Asociación Sociológica de la Educación, Nº1 [On Line]. Disponible en https://dialnet.unirioja.es/servlet/articulo?codigo=3110518 Subirats, Marina. (2017). Coeducación, apuesta por la libertad. Barcelona: Ediciones Octaedro. PUNTO GÉNERO 252 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 Torres, Claudia., Herrera, Beatriz., y; Salas, Lourdes (2011). "La cultura docente en la Universidad Autónoma de Zacatecas", en Revista Cuadernos de Educación y Desarrollo, Nº28 [On Line]. Disponible en : https://www.eumed.net/rev/ced/28/ggl.htm Trujillo, Macarena., y Contreras, Paola. (2021). "Questioning sexist imaginary through transformative pedagogical practices", en Revista Izquierdas, Nº15 [On Line]. Disponible en: https://dx.doi.org/10.4067/s0718-50492021000100215 Valenzuela, Amanda., y Cartes, Ricardo. (2020). "Perspectiva de género en currículums educativos: obstáculos y avances en educación básica y media", en Revista Brasileira de Educação Nº25 [On Line]. Disponible en: https://doi.org/10.1590/S1413- 24782020250063 Vidal, Francisco., Pérez, Isabel., Barrientos, Jaime, y Gutiérrez, Geraldine. (2020). "Educación en Tiempos del Género. Consideraciones en Torno a una Educación No Sexista y No Generista". en Revista latinoamericana de educación inclusiva, Nº 2 [On Line]. Disponible en: https://dx.doi.org/10.4067/s0718-73782020000200021 Villalobos, Cristobal., San Martín, Ignacio, Schiele, Berenice., y Godoy, Felipe. (2016). "Composición de género en establecimientos escolares chilenos: ¿Afecta el rendimiento académico y el ambiente escolar? ". En ERevista Estudios Pedagógicos, Nº 2, [On Line]. Disponible en: https://dx.doi.org/10.4067/S0718-07052016000200022 Vizuete, Ximena., y Lárez, Alexander. (2021). "Perspectiva de género en Educación Básica Superior y Bachillerato". en Revista Alteridad, Nº1, [On Line]. Disponible en: https://doi.org/10.17163/alt.v16n1.2021.10 Yin, Robert. (2017). Case study research and applications: Design and methods. Nueva York: SAGE publications PUNTO GÉNERO 253 Revista Punto Género N.º 19 Junio de 2023 ISSN 2735-7473 / 221-254 https://doi.org/10.5354/2735-7473.2023.71216 Zambrini, Laura. (2014). "Diálogos entre el feminismo posestructuralista y la teoría de la interseccionalidad de los géneros". en Revista Punto Género, Nº 14 [On Line]. Disponible en: https://doi.org/10.5354/0719-0417.2014.36408 PUNTO GÉNERO 254.
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OpenAlex
Open Science
CC-By
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An Evaluation of Novel, Lower-Cost Molecular Screening Tests for Human Papillomavirus in Rural China
Fanghui Zhao
English
Spoken
660
1,772
Supplemental Tables 1A and 1B. Agreement between worst study histopathologic diagnosis and pathology review. The agreement for individual diagnosis is shown in A and for diagnoses categorized as less severe than cervical intraepithelial neoplasia grade 2 (<CIN2) and CIN2 and more severe (CIN2+) in B. The percentage agreement and kappa for individual diagnoses was 69% and 0.47, respectively. The percentage agreement and kappa for <CIN2 versus CIN2+ was 94% and 0.29, respectively. Supplemental Tables 1A and 1B. Agreement between worst study histopathologic diagnosis and pathology review. The agreement for individual diagnosis is shown in A and for diagnoses categorized as less severe than cervical intraepithelial neoplasia grade 2 (<CIN2) and CIN2 and more severe (CIN2+) in B. The percentage agreement and kappa for individual diagnoses was 69% and 0.47, respectively. The percentage agreement and kappa for <CIN2 versus CIN2+ was 94% and 0.29, respectively. A Review Diagnosis Negative CIN1 CIN2 CIN3 Cancer Unsatisfactory Total Highest Diagnosis (China) Negative 0 0 0 0 0 0 0 CIN1 0 2 0 0 0 0 2 CIN2 3 4 24 13 0 1 45 CIN3 1 0 15 66 4 0 86 Cancer 0 0 1 3 9 0 13 Unsatisfactory 0 0 0 0 0 0 0 Total 4 6 40 82 13 1 146 B Review Diagnosis <CIN2 CIN2+ Unsatisfactory Total Highest Diagnosis (China) <CIN2 2 0 0 2 CIN2+ 8 135 1 144 Unsatisfactory 0 0 0 0 Total 10 135 1 146 A Review Diagnosis Negative CIN1 CIN2 CIN3 Cancer Unsatisfactory Total Highest Diagnosis (China) Negative 0 0 0 0 0 0 0 CIN1 0 2 0 0 0 0 2 CIN2 3 4 24 13 0 1 45 CIN3 1 0 15 66 4 0 86 Cancer 0 0 1 3 9 0 13 Unsatisfactory 0 0 0 0 0 0 0 Total 4 6 40 82 13 1 146 B Review Diagnosis <CIN2 CIN2+ Unsatisfactory Total Highest Diagnosis (China) <CIN2 2 0 0 2 CIN2+ 8 135 1 144 Unsatisfactory 0 0 0 0 Total 10 135 1 146 ection of human papillomavirus (HPV) genotypes 16, 18, and/or 45 pes detected in the tissue of cervical intraepithelial neoplasia grade 2 by clinical site. HPV16/18/45 E6 was detected by the OncoE6™ test probe set developed for the careHPV™ platform and used only among ted specimens only). The results of the HPV genotyping of the tissues ndle rare circumstances in which multiple HPV genotypes were detected: s (HPV31, 33, 35, 39, 51, 52, 56, 58, 59, or 68)>non-carcinogenic HPV dentified)>HPV negative. The p values in the table are the results of the by diagnosis. Testing in Tonggu was marginally less sensitive for specific (p < 0.0001 across sites) than testing in Yangcheng and Xinmi. %DNA + 1.6 25.37 7.14 87.5 33.33 90.0 0.0 100.0 30.0 sy sy Supplemental Tables 1A and 1B. Agreement between worst study histopathologic diagnosis and pathology review. The agreement for individual diagnosis is shown in A and for diagnoses categorized as less severe than cervical intraepithelial neoplasia grade 2 (<CIN2) and CIN2 and more severe (CIN2+) in B. The percentage agreement and kappa for individual diagnoses was 69% and 0.47, respectively. The percentage agreement and kappa for <CIN2 versus CIN2+ was 94% and 0.29, respectively. rozen residual specimen by the manufacturer did not appreciably change n the re-testing was that one invasive cancer missed by the original Xinmi Tonggu N %E6 + %DNA + N %E6 + %DNA + p(E6 ) p (D ) 237 8 0.67 3.07 165 2 1.21 2.54 0.05 0.0 48 14.58 22.92 73 2.74 20.55 0.07 0.8 2 0.0 50.0 10 0.0 10.0 ― 1.0 2 100.0 100.0 9 22.22 100.0 0.6 0.6 5 0.0 0.0 13 0.0 23.08 ― 1.0 24 70.83 87.5 18 61.11 100.0 0.7 0.4 0 0.0 0.0 1 0.0 0.0 ― ― 4 100.0 100.0 2 50.0 100.0 0.2 0.2 69.1 21.6 20.3 18.9 %DNA .6 5.37 .14 7.5 3.33 0.0 .0 00.0 0.0 y
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Competitividad: reto interconectado Empresa-País
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Competitividad: reto interconectado empresa-país M. en A. Ma. Cristina Pacheco Ornelas Profesora e Investigadora del Departamento de Mercadotecnia y Negocios Internacionales, CUCEA, Universidad de Guadalajara. Correo electrónico: cristypacheco2003@yahoo.com.mx. Resumen Abstract Las nuevas economías de apertura creciente en materia de comercio internacional han suscitado el reto en las empresas para que desarrollen ventajas competitivas ante la hipercompetencia global. En este trabajo se exponen algunos modelos teóricos en que han sido propuestos distintos factores determinantes de ventajas competitivas para las empresas. Además se presenta el enfoque holístico, que enmarca el sistema de competitividad para el desarrollo de ventajas competitivas sustentables. El análisis de los distintos modelos da una visión de que la ventaja competitiva se sustenta en factores multidimensionales que deben gestarse dentro de las empresas y propugnarse con el apoyo de políticas públicas integrales y coherentes, puesto que de las ventajas competitivas de las empresas depende la consecución de la competitividad del país, lo cual representa un reto interconectado empresa-país. The new economies of increasing opening in the matter of international trade have provoked the challenge in the companies so that they develop competitive advantages before the global hypercompetition. In this work some theoretical models are exposed in which different determining factors from competitive advantages for the companies have been proposed. In addition the holistic approach appears that frames the system of competitiveness for the development of sustentable competitive advantages. The analysis of the different models gives a vision of which the competitive advantage is sustained in multidimensional factors that must be developed within the companies and be advocated with the support of integral and coherent public policies, since on the competitive advantages of the companies the attainment of the competitiveness of the country depends, which represents an interconnected challenge company-country. Palabras clave: Competitividad, comercio internacional. INTRODUCCIÓN Las economías actualmente están más interconectadas a través de las actividades de exportación e importación que se han visto facilitadas e intensificadas al irse eliminando las barreras de comercio, lo cual a su vez ha facilitado la movilidad internacional del capital, la inversión extranjera, así como la incursión y crecimiento de las corporaciones trasnacionales, lo cual ha intensificado la competición Volumen 11, Año 6 Enero-Junio 2005 y la presión en las empresas no sólo sobre los costos de producción, sino también en la inseguridad económica y el riesgo de inestabilidad. De aquí que la competitividad de las empresas e industrias de las ciudades y regiones de un país viene a ser un imperativo por la hipercompetencia global dentro del mercado local, dada la formación de nuevos poderes económicos derivados de la integración regional entre países (Unión Europea, Asia y América del Norte). Estos aspectos son punto clave de los grandes retos que implica el entorno de globalización de los mercados, de acuerdo a los continuos cambios que se derivan de la apertura e interdependencia de las economías y los negocios que hacen más compleja e incierta la carrera por la competencia y supervivencia de las empresas. La competitividad es un punto central que debe desarrollarse a nivel empresa, industria y país a través de la generación de ventajas competiti- 25 vas sustentables que permitan a las empresas competir ante la hipercompetencia global, así como para fortalecer su participación como resultado de las transformaciones gestadas por múltiples actores en la economía mundial (de nivel micro o empresa hasta nivel país y mercado global). El nuevo reto demanda que las empresas desarrollen atributos de una empresa inteligente, flexible y ágil para que alcance la competitividad y trascienda mediante ventajas competitivas sustentables en cerrar la brecha existente con relación a las economías más desarrolladas del mundo, tendientes al crecimiento económico y la creación de riqueza en el país. Desde luego que la competitividad es un asunto que ha adquirido gran importancia en relación con la estrategia de crecimiento. Lo que ésta implica y la manera de medirla es un asunto de interés no sólo académico, sino también para los sectores gubernamental y empresarial, ya que conjuntamente deben participar en la deliberación de políticas y acciones en el amplio sentido de crear y realzar ventajas competitivas de las empresas e industrias como punto central para el progreso económico a largo plazo, así como para asegurar su participación en los mercados y trabajos mundiales. Sin embargo, debe tomarse en cuenta que la empresa llega a perder competitividad cuando las condiciones políticas o macroeconómicas no son favorables. El punto central de este trabajo es desarrollar un marco que explique qué es lo genera ventajas competitivas sustentables en la empresa ante el nuevo marco de integración económica y de globalización. El desarrollo del trabajo toma como punto de partida la interpretación de algunos conceptos vinculados con la com- 26 petitividad. Posteriormente se mencionan algunos modelos basados en la competición, incluyendo el marco competitivo de la cadena de valor, del capital informático y del centrado en los recursos de la propia empresa para competir en mercados más amplios, destacando los distintos factores determinantes de ventaja comparativa y/o ventaja competitiva. En el último apartado se presenta la perspectiva holística de la competitividad sistémica y los indicadores de competitividad para el desarrollo de la empresa ante el entorno de hipercompetencia global. Aunque entre los investigadores no existe un consenso generalizado sobre lo que significa e implica la competitividad, ni en la forma en que sea medida, en este trabajo se presentan los indicadores del enfoque de la competitividad sistémica, ya que la competitividad no sólo ha sido un fenómeno macroeconómico, sino también de gran importancia a nivel local, urbano y del país, ya que las empresas e industrias de los lugares son las que contribuyen a las expectativas de crecimiento, vía producción, empleo, salarios y niveles de vida de la población. INTERPRETACIÓN DE VENTAJA COMPARATIVA, VENTAJA COMPETITIVA Y COMPETITIVIDAD El análisis del desempeño de los países en el mundo permite determinar las diferencias en la nueva riqueza e ingreso producido en periodos particulares, especialmente en la forma con que los niveles comparativos y competitivos de desempeño cambian en el tiempo. Veamos ahora la interpretación de ventaja comparativa, ventaja competitiva y competitividad. La expresión ventaja comparativa ha sido empleada en las actividades económicas que pueden realizarse a costos relativamente menores entre un país u otro, es decir, se determina por la diferencia costo-precio entre países, lo que significa que cada país cuenta con determinadas fortalezas y estructuras propias para la producción y el comercio. La ventaja competitiva, al contrario, no se centra en los países, sino que se enfoca en lo que las empresas hacen para superar a la competencia, es decir, la serie de acciones que implementan las empresas para ampliar la brecha con los demás competidores mediante la diferenciación y mejoras continuas. Competitividad, en cambio, es un término genérico aplicado ampliamente en el análisis económico de los países para indicar su posición en el mundo en materia de comercio internacional. Su significado implica la velocidad y capacidad para aprender, crear y aplicar el conocimiento más rápido que la competencia, desde luego orientado al desarrollo de los países,1 y como las empresas e industrias son las que producen los bienes y servicios en un país, este término también puede ser aplicado específicamente en el análisis de las mismas. Con el propósito de esclarecer el enfoque de competitividad, se enuncian otros significados: • La habilidad para producir los productos y servicios correctos, con la calidad correcta, el precio correcto y en el tiempo correcto (modelo 5 C´s). Significa satisfacer las necesidades del cliente más eficien- 1. Villarreal, René y Tania Villarreal (2003). IFA: la empresa competitiva sustentable en la era del capital intelectual, McGraw Hill, México, pp. 24. MERCADOS y Negocios temente y más efectivamente que otras firmas.2 • El grado al que se puede, bajo libres y justas condiciones de mercado, producir productos y servicios que saltan la prueba de los mercados internacionales, mientras simultáneamente se mantienen y amplían los ingresos de la propia gente en el largo plazo.3 • Es una manera de hablar sobre el desempeño relativo de las economías en un sentido de benchmarking. Puede ayudar a identificar las áreas de la economía que están rezagadas, pero no las razones de esos rezagos.4 • Se refiere a la capacidad de la economía local y de la sociedad para proveer un aumento en el estándar de vida de su población, lo cual radica en la competitividad de los lugares (localidades, regiones y naciones).5 Porter señaló que la explicación de la competitividad como un todo de la economía de la nación no es convincente, sino que más bien la competitividad debería enfocarse en industrias específicas y segmentos de la industria. La principal tarea, según destacó Porter, es explicar por qué las empresas ubicadas en una nación son capaces para competir exitosamente contra los rivales extranjeros en segmentos particulares e industrias. Desde luego que también Porter reconoció que la “ventaja competitiva es crea- 2. Ministerio de Comercio e Industria (1998). Regional Competitiveness Indicators, HMSO, Londres. 3. Organización para la Cooperación Económica y el Desarrollo (1996). Industrial Competitiveness, OECD, París. 4. Dunning, J., E. Bannerman y S.M. Lundan (1998). “Competitiveness and Industrial Policy in Northern Ireland”, en Monograph, núm. 5, marzo, Northern Ireland Research Council. 5. Malecki, E.J. (2000). “Knowledge and regional competitiveness”, en Erdkunde, vol. 54, 338 pp. Volumen 11, Año 6 Enero-Junio 2005 da y sustentada a través de procesos altamente localizados”, sin embargo, como se expone más adelante, la ventaja competitiva implica algo más que procesos. Evidentemente, la idea de competitividad comprende la identificación de un determinante fundamental de sitio de prosperidad, lo cual implica una base para el crecimiento sustentable en las economías modernas. La competitividad no es un fin en sí mismo, sino una indicación de los conductores y dinámicas del éxito económico, por lo que resulta básico examinar algunos modelos que exponen fuentes de ventajas dentro de las dinámicas de la competición. MODELOS DE VENTAJAS COMPARATIVAS Y COMPETITIVAS Los modelos que han sido propuestos sobre el crecimiento de comercio y desarrollo regional no han dado una respuesta integral sobre lo que es la fuente de ventajas competitivas de una empresa, industria o país sobre otras. Existen diversas teorías que intentan explicar por qué algunos países y empresas gozan de ventajas sobre otros y qué es lo que genera dichas ventajas. Para dar una idea entre lo que ha sido considerado como fuente de ventajas en el desempeño, se describen algunos modelos que predicen y han predominado en discusiones de globalización: • Modelo neoclásico: sugiere que el desempeño económico regional depende del crecimiento en el volumen de capital, insumos de trabajo y el aumento en la productividad. Este modelo destaca que la ventaja comparativa se logra disminuyendo los retornos al ca- pital y las constantes ganancias a escala, así como la forma en que la difusión de la tecnología y del conocimiento cierran las brechas de tecnología y productividad.6 • Modelo endógeno: se sustenta en que el aumento acumulativo en la productividad se debe a los mejoramientos en el conocimiento de las personas y en la tecnología.7 Tal aumento acumulativo aumenta la habilidad y el saber cómo (know how). La ventaja comparativa se desarrolla en el sentido de que los costos fijos de desarrollar nuevos productos y tecnologías pueden extenderse sobre un gran volumen de ventas, produciendo fuertes reducciones en costos como resultado del aumento de la productividad, en tanto que el aumento del conocimiento tiene un efecto positivo en las posibilidades de producción de las empresas. Estos dos modelos de competición identifican dos series de mecanismos para el logro de ventajas competitivas, en que el relativo desempeño en el tiempo de las diferentes economías regionales dependerá del peso relativo que asignen a las dos siguientes series de fuerzas: 1. La transferencia de conocimiento tecnológico y organizacional hacia las áreas menos desarrolladas o empresas menos avanzadas. 2. Las áreas y empresas que están más desarrolladas crean nuevas fuentes de cuidadosa ventaja competitiva, en particular mediante inversiones a futuro en conocimiento y habilidades. 6. Barro, R. y Martin X. Sala (1992). “Convergente”, en Journal Politics Economics, vol. 100, núm. 2, 231 pp. 7. Myrdal, G. (1958). “Economic Theory and Undendeveloped Regions”, en Methuen, Londres. 27 Similares conclusiones se han señalado de los modelos de la geografía económica, que buscan explicar las causas o localización de las personas y actividades económicas. • Modelo geográfico: se basa en la idea de que la evidente concentración espacial de algunas actividades económicas resulta en aumento de ganancias a escala en el nivel de la planta, debido a que los productos y servicios pueden producirse más baratos si la producción tiene lugar a una escala amplia y, por lo tanto, concentrada en un pequeño número de lugares y, a la vez, cerca de los clientes.8 La ventaja comparativa, de acuerdo a este modelo, se logra de la interacción de las economías a escala, los costos de transporte, por el tamaño y localización de los mercados de producción y de insumos, la movilidad del trabajo y la producción de diferentes variedades de productos y servicios. El propósito de alcanzar el desarrollo económico regional acumulativo tiende a explicar la concentración geográfica de industrias para adaptarse al impacto de la globalización y para lograr la integración de la especialización industrial y su localización. La serie de factores9 que se han señalado como fuentes de ventajas competitivas más importantes para dar lugar a la concentración geográfica, son: 1. Las economías de escala, medidas tal vez por promedio del tamaño de la empresa. 8. Krugman, P. (1998). “Space: the final frontier”, en Journal Economic Perspectives, vol. 12, núm. 2, pp. 161-174. 9. Dunford, Michael (2003). “Theorizing regional economic performance and the changing territorial division of labour”, en “Critical Surveys by Stephen Roper”, en Regional Studies, vol. 37.8, noviembre, 844 pp. 28 2. El tamaño y localización relativa del mercado del cual depende la distribución de industrias y la gente, y en las diferencias en estructuras de gastos. 3. La fortaleza, intensidad y geografía de canales verticales entre empresas de las que depende en la producción de mercancías intermedias. 4. La intensidad de los factores y dotación de recursos (insumos, tecnología, mano de obra o conocimiento especializado), que refleja el punto de vista de HeckscherOhlin, de que las empresas de los países logran ventajas comparativas al especializarse en esas actividades que usan intensivamente recursos que son relativamente abundantes en ese lugar. También se enlaza con el punto de vista ricardiano, relativo al papel de las diferencias tecnológicamente inducidas en la productividad. Las interdependencias de apoyo ahora son entendidas como la base de las economías de aglomeración dinámica, las cuales contribuyen a aumentar las ventajas competitivas y las oportunidades para el aprendizaje tecnológico, que es opuesto a la simple reducción de los costos de producción con una tecnología dada.10 La competencia regional, según enfatiza Lawson –que comparten un grupo de empresas y se basan en su interacción– “producen un sistema regional de capacidades de alto orden, que son distintas de las capacidades de las empresas individuales”. MARCO COMPETITIVO EN EL SISTEMA DE CADENA DE VALOR Los años noventa, que se caracterizaron por el cambio continuo, acelerado y complejo por la globalización, dio lugar a que los investigadores tomaran en cuenta las nuevas tendencias en cuanto a la expansión de empresas transnacionales, inversión, comercio y creación de redes productivas, por lo que se desarrollaron nuevos modelos orientados más hacia la empresa y centrados en el logro de ventajas competitivas ante el panorama global que empezaba a vislumbrarse. Porter aporta una nueva perspectiva enfocada a nivel empresa, donde propone que la fuente de ventaja competitiva radica en la estrategia de selección de actividades competitivas en el marco de un sistema de la cadena de valor de la empresa. El modelo de Porter, denominado “diamante”, delimita como fuentes de ventajas competitivas de la empresa cuatro formas: dos se vinculan con el ambiente (condiciones de la demanda y de los factores de abastecimiento) y las otras dos con las organizaciones situadas en esos lugares (empresas rivales e industrias de apoyo), aspectos que son explicados líneas abajo. Además especificó otros dos factores que afectan la ventaja competitiva de las empresas, que son el cambio y el gobierno, aunque señaló estos dos aspectos como determinantes únicamente de influencia. En la figura 1 se muestra el sistema dinámico en el que la interacción entre los determinantes refuerza o puede hacer perder, en las empresas o industrias, la ventaja o desventaja competitiva sostenida. 10. Storper, M. (1995). “The resurgence of regional economies, ten years later: the region as a nexus of untraded interdependencies”, en European Urban and Regional Studies, vol. 2, 199 pp. MERCADOS y Negocios @CUADRO = Figura 1. Factores que determinan la ventaja competitiva de la Figura 1. taminadas para favorecer o con el empresa Factores que determinan la ventaja competitiva de la empresa fin de alterar la competitividad de las empresas extranjeras, mediante controles de intercambio o tarifas Estrategia, arancelarias. estructura y • Cambio: queda representado por Cambio rivalidad de las cualquier evento causal, ya se trate empresas de una catástrofe natural, un conflicto bélico, decisiones de gobiernos extranjeros (embargos) o de acontecimientos políticos o sociaCondiciones Condiciones les relevantes, como lo representó de los factores de la demanda la caída del muro de Berlín. En la actualidad, los agentes económicos, sociales y políticos se enfrentan a entornos más volátiles y tendrán Industrias Gobierno relacionadas y que transformar sus estructuras de apoyo dotándolas de una mayor capacidad de adaptación a los cambios, Fuente: M. E. Porter (1990). @FUENTE = Fuente: M. E. Porter (1990). es decir, de mayor flexibilidad.12 Un aspecto central del análisis de las Los entornos en que se desemempresas propuesto por Porter, es la • Estrategia, estructura y rivalidad Los entornos en que se desempeñan las empresas se caracterizan básicamente peñan las empresas se caracterizan importancia que el lugar tiene en el de las empresas: el modo en que por los factores citados, los cuales permiten hacer el análisis de la realidad básicamente por los factores citados, potencial de la concentración geográse crean, organizan y gestionan empresarial y el hacer diseño de estrategias competitivas, en el cual han de los cuales permiten el análisis fica de industrias que apoyen la elevalas empresas, sus motivaciones y las siguientes deconsiderarse la realidad empresarial y elvariables: diseño ción y amplificación de las interacciorivalidad en el mercado local o inde@BULLET estrategias=competitivas, en el cual nes en los factores determinantes de Condiciones de los factores:ternacional, las empresas la dotación son requieren elementos de básicos han de considerarse las siguientes vala ventaja competitiva. Aunque este en la productividad de un país al de recursos naturales (básicos), creados para competir en una industria dada. Los riables: modelo no toma en cuenta que a traafectar a las estrategias innovadoprimeros son recursos “no mejorados” y la fuerza de trabajo no calificada; los • Condiciones de los factores: las vés de las interacciones sociales se exras y competitivas de las empresas segundos capacidades de riqueza de un país, como empresas constituyen requieren de la dota- generadoras panden la información y la creación domésticas. infraestructuras, de (básiobra calificada, capacidad tecnológica, recursos ción de recursosmano naturales de conocimiento, que son factores bá• Industrias relacionadas y de apocos), creados para competir en sicos para la innovación productiva y, yo: la industria relacionada y/o financieros y otros. una industria dada. Los primeros por ende, para la competitividad. Sin complementaria es un elemento son recursos “no mejorados” y la embargo, el modelo es atractivo para fundamental en la construcción de 8 fuerza de trabajo no calificada; los empresas locales y más adecuado que agrupaciones y redes de empresas segundos constituyen capacidades las estrategias sistemáticas enfocadas interconectadas en la cadena de generadoras de riqueza de un país, únicamente en costos bajos. valor añadido, las cuales se influcomo infraestructuras, mano de yen recíprocamente en el aspecto obra calificada, capacidad tecnolóde su competitividad. gica, recursos financieros y otros. • Gobierno: el papel del gobierno • Condiciones de la demanda: el nipuede ser crucial y determinante vel, composición y respuesta que Industry in International Competition: en la actividad de las empresas, Goberment Policies and Corporate Strategies”, conforma a la demanda condiciotanto en las procedentes de otros en Cornell University Press, Ithaca, N.Y. na el proceso de intercambio y las países como en las del propio 12. Dunning, J. H. (1992). “The competitive advantage of countries and the activities of exigencias de calidad, que en conpaís.11 Las políticas pueden ser dictransnational corporations”, en Transnational secuencia motivan la actividad ecoCorporations, febrero, vol. 1, núm. 1, pp. 135nómica de un país y sus industrias. 168. 11. Zysman, J. y L. Tyson (1983). “American Volumen 11, Año 6 Enero-Junio 2005 29 @PP = Otro modelo basado en la competición entre lugares, es el propuesto por Kresl, quien dividió los determinantes de la ventaja competitiva en dos tipos de MARCO COMPETITIVO ECONÓMICO Y ESTRATÉGICO factores: económicos y estratégicos, como se muestra en la figura 2. Figura 2. Determinantes competitivos económicos y estratégicos @CUADRO = Figura 2. Determinantes competitivos económicos y estratégicos Factores económicos Factores estratégicos Otro modelo basado en la compe� Producción � Efectividad gubernamental tición entre lugares, es el propuesto � Infraestructura � Estrategia urbana por Kresl, quien dividió los determi� Localización � Sector público y privado � Estructura económica � Cooperación nantes de la ventaja competitiva en � Instalaciones urbanas � Flexibilidad institucional dos tipos de factores: económicos y estratégicos, como se muestra en la figura 2. El marco de este modelo señala que algunos de los determinantes económicos y en el son aprendizaje comparsostenido por que de presas El marco de este modelo seña- que tocontribuyen a las la condiciones competitividad la empresa los centros de tido e interiorizado que es obtenido demandan las empresas globales, y la que algunos de los determinantes investigación, los trabajadores con formación universitaria y los conocimientos de la red externa; esto involucra tanto con el fin de crear y mantener una económicos que contribuyen a la educacionales de los residentes de la población,13 ya que las características de la cooperación con empresas locacultura local distintiva. Tal cultura no competitividad de la empresa son los no reflejada surgen hacia por sí mismas,lessino las comoque conson una resultado red global, de hecho sólo debe estar el concentros de investigación, los trabaja- competitividad que se traduce contexto de en lugasumo, sino,locales, como destacan Maskell et relacionados dores con formación universitaria y universidades establecimientos con laal investigación la res y ciudades que deben desarrollar también en aquellos rasgos valiolos conocimientos educacionales de zonaal.,y una serie de amenidades locales que se vinculan con el gran consumo de y mantener enlaces hacia fuentes de sos que se difunden en las economías los residentes de la población,13 ya la población, por lo que las actividades culturales están siendo vistas como una locales y que les dan características14 conocimiento fuera de la comunidad, que las características de competitiparte central de una ciudad competitiva. a lo que Flora y Flora llaman “ligas únicas, como los “activos de conocividad no surgen por sí mismas, sino ventajas acumulativas para el éxito de laverticales” competición y en respuesta queespacial se desarrollan y manque son resultado de las universida- Las miento”. al cambio hacia la producción flexible, según señala Begg, sólo puede tienen como activas guardabarreras El papel de las instituciones o su cades locales, establecimientos relacioempresariales. pacidad de refleja lade las nados con la investigación en la zona mantenerse a organización través de lalocal capacidad empresas en la innovación y el Aunque el monitoreo ambiental habilidad Las paraempresas enlistar actores que con y una serie de amenidades locales que aprendizaje. de las localidades deben responder a dos objetivos: es una actividad común dentro de las su ayuda generen nuevas ideas, con las se vinculan con el gran consumo de mantener el crecimiento sostenido por las condiciones que demandan las empresas, mayor es su requerimiento cuales se creen las condiciones para el la población, por lo que las activiglobales, y con el de crear y mantener unaoperan cultura alocal distintiva. cuando éstas escala global, desarrollo sustentable. Lafincapacidad dades culturales están siendo vistas empresas Tal cultura no sólo debe estar reflejada hacia el consumo, sino, como destacan nacional, regional y local, porque en de organización incluye varios pilares, como una parte central de una ciudad constantemente comoetlaal., organización administrativa, competitiva.14 Maskell también en aquellos rasgosesencia valiososnecesitan que se difunden en las monitorear fuentes de información redes estratégicas públicas y privadas, Las ventajas acumulativas para el en orden para tener visión y creatiéxito de la competición espacial y 13 visión y estrategia, apoyo político y Kresl, P. K. y B. Singh (1999). “Competitiveness and the urban economy: twenty-four large US vidad, así como para reunir conocisocial, areas”, ademásende unaStudies, serie devol.condien respuesta al cambio hacia la pro- metropolitan Urban 36, pp. 1017-1027. (2000). “Competing in an Agein-of Talent: Environment, Amenities and El thenivel New miento vía interacción social. cionesR.económicas espaciales que ducción flexible, según señala Begg, 14 Florida, Economy”, en Carnegie Mellon University, Pittsburgh, P. A. Véase de innovación y competitividad de las duzcan a las partes a colaborar en el sólo puede mantenerse a través de la http://www.heinz.cmu.edu/florida/talent.pdf. empresas depende, en cualquier lusostenimiento de las ventajas compecapacidad de las empresas en la innogar, no sólo del grado en que estén titivas de las empresas. vación y el aprendizaje. Las empresas 10 integradas dentro de las redes locales de las localidades deben responder a de proveedores, sino también de la dos objetivos: mantener el crecimienpresencia de enlaces con mercados LA RED GLOBAL externos, por lo que se ve a las redes COMO ELEMENTO DE entre empresas como uno de los vaCOMPETITIVIDAD 13. Kresl, P. K. y B. Singh (1999). “Competitiveness rios mecanismos para generar y manand the urban economy: twenty-four large US metropolitan areas”, en Urban Studies, vol. 36, tener el desarrollo local.15 En la actualidad, complejas redes inpp. 1017-1027. ternas y externas están establecidas 14. Florida, R. (2000). “Competing in an Age of Talent: Environment, Amenities and the mediante corporaciones transnacio15. Malecki, E. J. y D. M. Tootle (1997). “Networks New Economy”, en Carnegie Mellon University, nales. La red interna se enfoca en of small manufacturers in the USA: creating emPittsburgh, P. A. Véase http://www.heinz.cmu. beddedness”, en M. J. Taylor y S. Conti (eds.) edu/florida/talent.pdf. rutinas de comunicación entre em- 30 MERCADOS y Negocios Taylor sugiere que los recursos que favorecen la competitividad dentro de la competición global son la capacidad financiera, el conocimiento, el capital humano, la capacidad institucional y el capital social. Dentro de la carrera de competiFigura 3. ción, se supone que ganarán las ciu-@CUADRO = Figura 3. Recursos determinantes para la competitividad global Recursos determinantes para la competitividad global dades y regiones que en mayor cantidad alberguen los recursos que hoy se requieren. Taylor sugiere que los Capital Capacidad Conocimiento humano financiera recursos que favorecen la competitividad dentro de la competición global son la capacidad financiera, el conocimiento, el capital humano, la capacidad institucional y el capital social. Capital Capacidad En el contemporáneo orden insocial institucional dustrial se despliega la adquisición y absorción interna de recursos exterFuente: M. Taylor (2000). nos y de conocimiento, en tanto que la reducción de costos y de riesgos se@FUENTE = Fuente: M. Taylor (2000). deriva de participar en redes y, espeaumento del uso de las telecomunicalos sectores pueden ser más o menos cialmente, debido a la tendencia de En el contemporáneo orden industrial se despliega la adquisición y absorción ciones genera un enfoque de integraidentificados dentro de la producción las empresas a concentrarse en cominterna de recursos externos y de conocimiento, en tanto que laenreducción ción local en los mercados globales, masiva mundial o basados el cono- de petencias centrales (capital humano), pory lo éstas son una herramienta De hecho, sedebido espe- a la las que dan mayor peso a las econo-costos deque riesgos se deriva de participar cimiento en redesmundial. y, especialmente, para el desarrollo. Internet ha promora que las empresas operen en ambos. mías externas derivadas de la divisióntendencia de las empresas a concentrarse en competencias centrales (capital vido nuevos tipos de inversión para Esencialmente, en la actualidad las emdel trabajo entre empresas y por las humano), las que dan mayor peso a las economías externas derivadas que las empresas de las ciudades y presas competitivas han de desempe-de la relaciones de redes con otros actores del compitan. trabajo entre empresas y por lasñarse relaciones de aredes otros actores países El capital informáde acuerdo lo quecon se demanda, (capital social). Estas relaciones in-división tico trasciende en la capacidad de las incorporando velocidad en los cluyen relaciones con proveedores (capital y social). Estas relaciones incluyen relaciones con proveedores ciclos y clientes empresas para utilizar tecnologías de de los productos y servicios. clientes domésticos y/o extranjeros domésticos y/o extranjeros en su cadena de valor y con organizaciones de información y de comunicación, así Además, la administración por en su cadena de valor y con organimercado, instituciones políticas, institutos de investigación como para desarrollar sistemas de señala de la redinvestigación o e-management,e como zaciones de mercado, instituciones fabricación integrales asistidos por Byrne, institucional) significa tanto Internet como políticas, institutos de investigaciónmercado y grupos de consulta (capacidad y organizaciones computadora, que permiten crear una red de vínculos con empresas e investigación de mercado y gruposfinancieras de apoyo (capacidad financiera). redes de información y comercializasocias, empleados, contratistas exterde consulta (capacidad institucional) ción integrales e inteligentes. nos, proveedores y clientes en colay organizaciones financieras de apoyo @SUBTITULO = Capital informático como ventaja El reconocimiento de la compeboracióncompetitiva interdependiente. La teleco(capacidad financiera). digital refleja el hecho de municación digital, como de @PPtitividad = Los sistemas de información a través de las tecnologías de fuente comunicación que todas las empresas se obligan a ventaja competitiva para las empresas, y el conocimiento compartido en red a nivel empresa, dan lugar al capital vivir al menos en dos dimensiones ha de enfocarse en el cliente, la dispoCAPITAL INFORMÁTICO informático. El aumento del uso de las telecomunicaciones generadeunlaenfoque de la realidad: la llamada “geografía nibilidad y conveniencia infor- de COMO VENTAJA virtual”local o el en “continente invisible”. servicios, la COMPETITIVA integración los mercados globales,mación por lo y/o que productos éstas sonyuna herramienta Lo anterior descansa en que una georápida entrega y la personalización a las para el desarrollo. Internet ha promovido nuevos tipos de inversión para que grafía multidimensional ha surgido, sus demandas. @PP = Los sistemas de inforempresas de las ciudades y físico países compitan. El capital informático trasciende en incorporando al espacio el cimación a través de las tecnologías lastecnologías empresasque para berespaciode y las los utilizar tecnologías de información y de de comunicación y el conocimientola capacidad 16 enlazan. Tal como señala Arthur, DETERMINANTES compartido en red a nivel empresa, COMPETITIVOS DEL dan lugar al capital informático. El 12 CAPITAL INFORMÁTICO Interdependent and Uneven Development: Global-local Perspectives, Aldershot, Avebury, pp. 195-221. Volumen 11, Año 6 Enero-Junio 2005 16. Ohmae, K. (2000). “The invisible continent: four strategic imperatives of the new economy”, en Harper Business, Nueva York. Las actuales tecnologías de la comunicación colocan a la información y 31 @BULLET = Medio de conocimiento e información: contribuir a la generación y manejo de datos y hacia el desarrollo del conocimiento, sirviendo como depósito y el conocimiento en sistemas que permiten crear la inteligencia colectiva de la empresa. El factor clave de la competitividad es el conocimiento productivo y éste se genera mediante redes de información y conocimiento compartido, dando así lugar al capital informático, cuya función debe servir como: • Infraestructura: facilitar la comunicación rápida y confiable dentro de la empresa y con las fuentes externas (clientes, proveedores, etcétera). • Mecanismo de producción: dar información correcta, ágil y oportuna en todos los niveles de la empresa para la toma de decisiones eficaz en los procesos. • Medio de conocimiento e información: contribuir a la generación y manejo de datos y hacia el desarrollo del conocimiento, sirviendo como depósito y al mismo tiempo permitiendo el acceso a los mismos. MODELO COMPETITIVO BASADO EN RECURSOS INTERNOS La trayectoria de la economía no sólo depende de la localización de las actividades económicas, sino también en su evolución in situ y los consecuentes cambios en producción, empleo e ingresos. Para explicar esta trayectoria se examinan las estrategias de la empresa y las condiciones que las explican de acuerdo al modelo productivo (véase figura 5) que se centra en los recursos internos de la empresa. El punto inicial de tal análisis es la estrategia de ganancia de la empresa y las estrategias productivas, ya que las empresas desarrollan estrategias para tratar con el imperativo de que: a) el capital invertido gane al menos la tasa promedio de ganancia fijada; 32 al mismo tiempo permitiendo el accesoFigura a los mismos. 4 Redes de información como fuente del capital informático @CUADRO = Figura 4. Redes de información como fuente del capital informático Redes de información y conocimiento compartido Redes codificadas (sistemas electrónicos de documentos-información para el conocimiento) Desarrollo tecnológico Complementaria Redes personalizadas (relaciones interpersonales) Desarrollo de actitudes, confianza y enfoque para intercambiar información Fuente: Elaborado por CECIC, citado en René Villarreal y Tania Villarreal (2003). Fuente: Elaborado por CECIC, citado en René Villarreal y Tania Villarreal (2003). nes de trabajo, determinación de y además con las incertidumbres de: @SUBTITULO = Modelo competitivo basado en recursos salarios internos y modos de representab) si los productos y servicios produ@PP = La vendidos; trayectoria de la economía localización ción dede loslaintereses de de loslas trabajacidos serán c) si los costosno sólo depende actividades económicas, sino también en su evolución in situ y los consecuentes dores. incurridos en la empresa serán recucambiosy,en e ingresos.Estos Para explicar aspectosestase trayectoria enlazan se con los perados; d)producción, si la fuerzaempleo de trabajo examinan las estrategias de la empresa y las condiciones que las explican de medios materiales e intelectuales, que producirá los productos y servicios al modelo productivo (véase figuratambién 6) que seimplican centra enellos recursos establecimiento conacuerdo la calidad correcta, en la cantidad internos de la empresa. de un compromiso (una estrategia de correcta y en el tiempo correcto. El punto yinicial de tal análisis es la que estrategia de ganancia la empresa y las gobierno) conde todos los principales Boyer Freyssenet sugieren estrategias productivas, ya que las empresas desarrollan estrategias para tratar actores. Entre estos actores, algunos un modelo productivo involucra tres con el imperativo de que: a) el capital invertidoson gane al menos(propietarios, la tasa promedio de internos directivos, elementos: ganancia fijada; y además con las incertidumbres de: b) si los productos y que trabajadores, etcétera), mientras • La estrategia de producto: se refiere servicios producidos serán vendidos; c) costos la empresa otros sonincurridos externosen(proveedores, soa la identificación de mercados y si los cios conjuntos, empresas adquiridas, segmentos de mercados, objetietcétera). De aquí que la implemenvos de volúmenes de venta, rango, tación de una estrategia de 14ganandiseño y calidad de productos, y cia o mejora implica la existencia de márgenes planeados. medios apropiados y coherentes (un • La estrategia productiva: incluye demodelo productivo). cisiones acerca de la organización El modelo productivo se concendel diseño del producto, fabricatra en los determinantes internos del ción y marketing, las alternativas de crecimiento de la empresa. El crecilas técnicas de producción, la ormiento se manifiesta de la capacidad ganización espacial de las actividade la empresa para obtener ganancias des, estrategias de abastecimiento a través de sus recursos y competir y criterios administrativos. por la participación en el mercado. • La estrategia de relaciones humanas: Los intentos que haga la empresa comprende la cobertura de sistepara mejorar involucran intentos mas de reclutamiento, clasificacio- MERCADOS y Negocios Figura 5. Modelo productivo y su contexto @CUADRO = Figura 6. Modelo productivo y su contexto Orden internacional Modo de crecimiento y distribución del ingreso nacional Mercado de productos y servicios Mercado de capital Mercado de trabajo Estrategia de ganancia Estrategia de producto Medios Compromiso empresa-gobierno Estrategia de organización productiva Estrategia de relaciones humanas Fuente: M. Dunford (2003). @FUENTE = Fuente: M. Dunford (2003). para explotar fuentes específicas de ganancia. El cambio hacia estrategias que son fuentes de ventajas competitivas (véase cuadro 1) implica que la empresa implemente acciones de mejoramiento a nivel productivo, a nivel producto/mercado y a nivel cadena de valor. CAPITAL INTELECTUAL DE LA EMPRESA PARA EL DESARROLLO COMPETITIVO SUSTENTABLE El nuevo mundo de la economía y los negocios requiere un nuevo modelo que se adapte a cambios continuos y radicales que enmarcan el entorno de competición global, por lo que el reto de hoy no es administrar empresas sino desarrollar empresas competitivas con bases sustentables, es decir, empresas que sean hábiles en la organización, flexibles en la producción y ágiles en la comercialización. Para ello, las empresas han de desarrollar la capacidad de dar respuesta al cambio, apoyadas en: a) los insumos generadores de conocimiento productivo (capital humano como enfoque de “creación de riqueza o va- El modelo productivo se concentra en los determinantes internos del crecimiento de la empresa. El crecimiento se manifiesta de la capacidad de la empresa para Cuadro 1. obtener ganancias a través de sus recursos y competir por la participación en el Mejoras en la empresa que incrementan ventajas competitivas mercado. Los intentos que haga la empresa para mejorar involucran intentos para explotar fuentes específicas de ganancia. El cambio hacia estrategias que son Mejoras en la organización productiva Mejoras a nivel producto/mercado Mejoras a nivel cadena de valor - Nuevas - Cambios en el peso relativo de diferentes roles - Introducción de nuevos fuentes de tecnologías. ventajas competitivas (véase cuadro 1) productos implicacomercialmente que la empresa - Nuevos métodos para manejo de material y relevantes. funcionales dentro del sector o de la cadena de flujos de información (reducen costos). - Aumento en la variedad de productos (para capturar valor agregado, como: implemente acciones de mejoramiento a nivel productivo, a a) nivel - Economías a escala (reducen costos Concentración en actividades de conocimiento nuevos segmentos). unitarios). - Mejoras en la calidad o diseño de productos producto/mercado y a nivel cadena de valor. - Flexibilidad productiva. existentes. - Permanente reducción de costos mediante transferencias de ciertas operaciones a áreas de salarios bajos, fuentes más baratas de energía, materiales y componentes. Entrada a nuevos mercados (permite la expansión de ventas y el uso de la capacidad existente). Fuente: Elaborado a partir de la información de Michael Dunford (2003). Volumen 11, Año 6 Enero-Junio 2005 intensivo. b) Concentración en marketing y distribución en la misma cadena de valor. c) Concentración en lo que es concebido como competencias centrales. 16 33 lor”); b) los sistemas de información y de conocimiento compartido en red, mediante las nuevas tecnologías de información, comunicación y manufactura computarizada (capital informático); y, c) la capacidad organizacional para responder en forma ágil y flexible a los cambios que requiera la dirección del negocio (producción y/o comercialización) hacia las necesidades del mercado y del cliente (capital organizacional). Estos tres elementos integran el capital intelectual de la empresa y constituyen el factor estratégico y la fuente de competitividad para el mejoramiento y la innovación de la gestión administrativa. MODELO DE COMPETITIVIDAD SISTÉMICA PARA EL DESARROLLO La creciente incertidumbre por la hipercompetencia global, presente hasta en los mercados locales, se traduce en un cambio discontinuo y multidimensional que dificulta la toma de decisiones en la empresa. La competitividad adquiere un carácter sistémico, puesto que la ventaja competitiva sustentable de la empresa depende de distintos niveles económicos, así como de la toma de decisiones de múltiples actores en cada nivel económico, como son: micro (empresa), mesoeconómico (organización entre empresas), macroeconómico (políticas y acuerdos económicos), internacional (comercio con otro país), institucional (marco jurídico, regulatorio y gubernamental favorable a la inversión) y político-social (estabilidad y confianza). El modelo de competitividad sistémica (véase figura 6) ofrece un enfoque que permite identificar los obs- 34 cial, que ofrece una perspectiva holista a partir de la empresa e integrada a su entorno. Tiene particular importancia la necesidad de instrumentar una política integral y coherente que posibilite la eficiencia operativa en el uso de recursos e impulse las ventajas competitivas pilares del desarrollo, de tal forma que vaya del nivel empresa al nivel político-social del país. táculos para la competitividad de las empresas en el marco de la globalización a partir de indicadores (capitales que deben desarrollarse), y a su vez, la identificación de las políticas públicas necesarias para superarlos. Este modelo se integra mediante los seis niveles económicos de competitividad y con los diez capitales que suponen el desarrollo de ventajas competitivas sustentables, siendo el caso de que en cada nivel económico se requiere la formación de capitales específicos, ya que son los indicadores de la competitividad. El modelo de competitividad sistémica es inherente a los seis niveles del sistema económico y político-so- CONCLUSIONES Las tendencias contemporáneas hacia una mayor integración económica y de globalización han implicado la apertura e interdependencia de las Figura 6. Modelo de la competitividad sistémica Los seis círculos que fomentan la competitividad y los capitales requeridos en cada nivel económico: 1. Microeconomía 1 Políticas públicas 2 3 4 5 6 Modelo empresarial Capital empresarial y capital Los seis círculos que fomentan la competitividad y laboral los- capitales en cada nivel económico: Empresa requeridos competitiva sustentable. Empresa flexible y trabajadora. 1. --Microeconomía Capital intelectual y humano. Modelo empresarial Capital empresarial y capital laboral 2. Mesoeconómico - Empresa competitiva Modelo industrial sustentable. - - Empresa flexible y trabajadora. Capital organizacional: cadenas productivas y polos - Capital intelectualregionales. y humano. - Capital logístico: infraestructura física en transporte, telecomunicaciones, etcétera). 2. -Mesoeconómico Capital intelectual: sistema de innovación, y Modelo industrial educación desarrollo tecnológico. - Capital organizacional: cadenas productivas y Institucional 6. 5. Político social 5. Institucional Modelo gubernamental Modelo gubernamental Formación de capital Capital institucional y capital Capital institucional y capital gubernamental social: confianza gubernamental - Desarrollo socialcon integral y Gobierno con calidad e - Gobierno calidad e -inteligente, estabilidad política. inteligente, desregulación y desregulación y fomento de la actividad - Retroinformación de la fomento de la actividad económica. formación de capital social. económica. - Economía institucional de mercado. institucional de - Economía mercado. - Estado de derecho. - Estado de derecho. regionales. 3.polos Macroeconómico Capitalmacro logístico: infraestructura física en Modelo de crecimiento transporte, telecomunicaciones, etcétera). Capital macroeconómico - Capital Competitividad intelectual: cambiaria, sistema de innovación, financiera y fiscal. educación y desarrollo tecnológico. - Dinámica macroeconómica de crecimiento. - Eficiencia macroeconómica. 3. Macroeconómico Modelo macro de crecimiento 4. Internacional Modelo de apertura Capital macroeconómico Capital comercial - Competitividad cambiaria, financiera y fiscal. - Acuerdos comerciales para la - Dinámica macroeconómica de crecimiento. integración y promoción exterior y - Eficiencia macroeconómica. la IDE. - Programa preventivo ante prácticas desleales y contrabando. 4. Internacional Modelo de apertura 6. Político social Capital comercial Formación de capital social: confianza - Acuerdos comerciales para la integración y - Desarrollo social integral estabilidad política. @FUENTE = Fuente: RenéyVillarreal y Tania Villarreal (2003). promoción exterior y la IDE. - Retroinformación de la formación de capital - Programa preventivo ante prácticas desleales y social. contrabando. El modelo de competitividad sistémica es inherente a los seis niveles del sistema económico y político-social, que ofrece una perspectiva holista a partir de la empresa e integrada entorno. Tiene particular importancia la necesidad de Fuente: René Villarrealay su Tania Villarreal (2003). instrumentar una política integral y coherente que posibilite la eficiencia operativa en el uso de recursos e impulse las ventajas competitivas pilares del desarrollo, MERCADOS y Negocios de tal forma que vaya del nivel empresa al nivel político-social del país. @SUBTITULO = Conclusiones economías y los negocios, originando vulnerabilidad para la competitividad de las empresas. La nueva economía mundial se ve impulsada por la globalización de los mercados, así como por la nueva era de la información y del conocimiento. La principal razón para el nuevo papel de las ciudades es, tal vez, la importancia del crecimiento de la capacidad creativa e innovadora en la determinación del desempeño económico. Las ventajas competitivas que conducen la prosperidad de las empresas dependen de activos intangibles específicos, integrados en una base de conocimiento y competencia que es sostenida y reproducida por los patrones de interacción en un arreglo particular institucional, lo que explica por qué el desarrollo es un patrón dependiente. Las regiones ofrecen una serie de oportunidades y restricciones que no solamente dirigen el proceso de investigación de las empresas, sino que también actúan como una selección ambiental que promueve a las empresas con competencias centrales para ajustarse al contexto local. La competitividad de la empresa depende de su habilidad para mejorar su base económica, mediante la creación de nueva variedad de procesos, productos y/o servicios para atender las exigentes demandas del mercado y los clientes. Las tecnologías de comunicación e información desarrollan ventajas competitivas porque facilitan la comunicación con fuentes externas, la cooperación y la generación de conocimiento productivo, a través de las interacciones entre empresas, por lo que las escalas geográficas involucran un interactivo proceso de aprendizaje al mismo tiempo. Anteriormente, las empresas implementaban estrategias competitivas basadas en la reducción de costos a Volumen 11, Año 6 Enero-Junio 2005 través de las economías de escala, mientras que el marketing se sustentaba en el producto uniforme y estandarizado. La estrategia tradicional de competencia era vía precio y calidad. En cambio, en la economía moderna las fuente de la ventaja competitiva de las empresas son la innovación, las mejoras continuas y una efectiva administración de la cadena de abastecimiento, que abarca tanto la coordinación y optimización de la información y de los procesos internos de la empresa como el sistema de cadena de valor en toda ella, desde el proveedor hasta el cliente. La empresa debe insertarse en la nueva economía con un enfoque integral y estratégico, como empresa hábil en la organización, flexible en la producción y ágil en su respuesta a los cambios, para que sea capaz de desarrollar ventajas competitivas sustentables. Un aspecto central es que la competición internacional entre empresas necesita ser entendida como parte de un sistema económico más amplio, como redes y flujos de recursos, no como unidades individuales.
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A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and migration
Rania Al-Mahdi
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Citation for published version (APA): Al-Mahdi, R., Babteen, N., Thillai, K., Holt, M., Johansen, B., Wetting, H. L., Seternes, O. M., & Wells, C. M. (2015). A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and migration. Cell Adhesion & Migration, 9(6), 483-494. https://doi.org/10.1080/19336918.2015.1112485 Citation for published version (APA): Al-Mahdi, R., Babteen, N., Thillai, K., Holt, M., Johansen, B., Wetting, H. L., Seternes, O. M., & Wells, C. M. (2015). A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and migration. Cell Adhesion & Migration, 9(6), 483-494. https://doi.org/10.1080/19336918.2015.1112485 Citing this paper Pl h C t g t s pape Please note that where the full-text provided on King's Research Portal is the Author Accepted Manuscript or Post-Print version this may differ from the final Published version. If citing, it is advised that you check and use the publisher's definitive version for pagination, volume/issue, and date of publication details. And where the final published version is provided on the Research Portal, if citing you are again advised to check the publisher's website for any subsequent corrections. Citation for published version (APA): Al-Mahdi, R., Babteen, N., Thillai, K., Holt, M., Johansen, B., Wetting, H. L., Seternes, O. M., & Wells, C. M. (2015). A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and migration. Cell Adhesion & Migration, 9(6), 483-494. https://doi.org/10.1080/19336918.2015.1112485 ISSN: 1933-6918 (Print) 1933-6926 (Online) Journal homepage: http://www.tandfonline.com/loi/kcam20 A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and migration Rania Al-Mahdi, Nouf Babteen, Kiruthikah Thillai, Mark Holt, Bjarne Johansen, Hilde Ljones Wetting, Ole-Morten Seternes & Claire M Wells To cite this article: Rania Al-Mahdi, Nouf Babteen, Kiruthikah Thillai, Mark Holt, Bjarne Johansen, Hilde Ljones Wetting, Ole-Morten Seternes & Claire M Wells (2015) A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and migration, Cell Adhesion & Migration, 9:6, 483-494, DOI: 10.1080/19336918.2015.1112485 To link to this article: http://dx.doi.org/10.1080/19336918.2015.1112485 © 2015 The Author(s). Published with license by Taylor & Francis© Rania Al-Mahdi, Nouf Babteen, Kiruthikah Thillai, Mark Holt, Bjarne Johansen, Hilde Ljones Wetting, Ole- Morten Seternes, and Claire M Wells View supplementary material Accepted author version posted online: 20 Nov 2015. 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Oct. 2024 Cell Adhesion & Migration Date: 15 April 2016, At: 04:11 A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and Rania Al-Mahdi, Nouf Babteen, Kiruthikah Thillai, Mark Holt, Bjarne Johansen, Hilde Ljones Wetting, Ole-Morten Seternes & Claire M Wells To cite this article: Rania Al-Mahdi, Nouf Babteen, Kiruthikah Thillai, Mark Holt, Bjarne Johansen, Hilde Ljones Wetting, Ole-Morten Seternes & Claire M Wells (2015) A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and migration, Cell Adhesion & Migration, 9:6, 483-494, DOI: 10.1080/19336918.2015.1112485 To link to this article: http://dx.doi.org/10.1080/19336918.2015.1112485 Full Terms & Conditions of access and use can be found at http://www.tandfonline.com/action/journalInformation?journalCode=kcam20 Download by: [King's College London] Download by: [King's College London] RESEARCH PAPER Cell Adhesion & Migration 9:6, 483--494; November/December 2015; Published with license by Taylor & Francis Group, LLC A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and migration Rania Al-Mahdi1, Nouf Babteen2, Kiruthikah Thillai2, Mark Holt3, Bjarne Johansen1, Hilde Ljones Wetting1, Ole-Morten Seternes1, and Claire M Wells2,* 1Department of Pharmacy; UiT The Arctic University of Norway; Tromsø, Norway; 2Division of Cancer Studies; New Hunts House; Guy’s Campus; King’s College London; London, UK; 3Randall Division for Cell and Molecular Biophysics and Cardiovascular Division; King’s College London; London, UK Keywords: actin filaments, cell adhesion, cell protrusion, cell motility, cell-cell adhesion, ERK3, mitogen-activated protein kinase 6 words: actin filaments, cell adhesion, cell protrusion, cell motility, cell-cell adhesion, ERK3, mitogen-act ERK3 is an atypical Mitogen-activated protein kinase (MAPK6). Despite the fact that the Erk3 gene was originally identified in 1991, its function is still unknown. MK5 (MAP kinase- activated protein kinase 5) also called PRAK is the only known substrate for ERK3. Recently, it was found that group I p21 protein activated kinases (PAKs) are critical effectors of ERK3. PAKs link Rho family of GTPases to actin cytoskeletal dynamics and are known to be involved in the regulation of cell adhesion and migration. In this study we demonstrate that ERK3 protein levels are elevated as MDA-MB-231 breast cancer cells adhere to collagen I which is concomitant with changes in cellular morphology where cells become less well spread following nascent adhesion formation. During this early cellular adhesion event we observe that the cells retain protrusive activity while reducing overall cellular area. Interestingly exogenous expression of ERK3 delivers a comparable reduction in cell spread area, while depletion of ERK3 expression increases cell spread area. Importantly, we have detected a novel specific endogenous ERK3 localization at the cell periphery. Furthermore we find that ERK3 overexpressing cells exhibit a rounded morphology and increased cell migration speed. Surprisingly, exogenous expression of a kinase inactive mutant of ERK3 phenocopies ERK3 overexpression, suggesting a novel kinase independent function for ERK3. Taken together our data suggest that as cells initiate adhesion to matrix increasing levels of ERK3 at the cell periphery are required to orchestrate cell morphology changes which can then drive migratory behavior. Downloaded by [King's College London] at 04:11 15 April 2016 Downloaded by [King's College London] at 04: Downloaded by [King's Colleg Introduction Rac-driven actin-rich protrusions9-11 whereas in rounded-amoeboid movement, the cells have a rounded morphology with no obvious polarity. Here high levels of actomyosin contractility driven by Rho- ROCK and JAK-STAT3 facilitates elevated cells migratory speeds compared with elongated- mesenchymal cells.9,10,12 During metasta- sis cells are thought to be able to modify their shape (mesenchymal versus rounded) in response the physical barriers presented by the microenvironment. Indeed, formation of rounded-amoeboid cells can enhance tissue invasion, and its movement has been widely pro- moted as a tumor cell migration strategy.13,14 In vitro mesenchymal migration of recently plated cells have been described in two phases. Initially cells adhere and become elongated. Thereafter, the cell body tends to contract to generate traction force that leads to gradual for- ward gliding of the cell body. The speed generated by migration cycle is controlled by turnover rates of adhesion and dissociation between cells. In contrast, rounded-amoeboid cells change their shape by rap- idly protruding and retracting extensions that have been described as pseudopods (false feet).15 and their movement results from alternat- ing cycles of morphological expansion and contraction driven by cytoskeletal dynamics, shape change, and low cellular adhesion.16 Cancer cell metastasis represents the greatest threat to cancer patient mortality. Cancer cell migration and adhesion are essential processes during metastatic spread. Cell migration depends on the coordinated regulation of dynamic rearrangements of the actin cyto- skeleton accompanied by modifications in cell matrix adhesions which together drive the cellular shape changes that are observed dur- ing migration.1,2 Indeed cancer cells are reported to modify their shape and stiffness to interact with the surrounding tissue in order to migrate.3 Moreover, cell migration speed is controlled in part by the turnover rates of adhesion and dissociation between cells.3 It is well established that Rho family GTPases control cell migration and par- ticipate in the regulation of cancer metastasis. The Rho family GTPases, including Rho, Rac, and Cdc42 specifically regulate actin cytoskeletal dynamics and cell adhesion.4,5 and are known to induce morphological shape changes in cells.6,7 Cancer cells are thought to exhibit cellular plasticity whereby cell movement can be either indi- vidual (mesenchymal or rounded-amoeboid) or collective.8 In mes- enchymal-type movement cells are more elongated9,10 and display This is an Open Access article 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. © Rania Al-Mahdi, Nouf Babteen, Kiruthikah Thillai, Mark Holt, Bjarne Johansen, Hilde Ljones Wetting, Ole-Morten Seternes, and Claire M Wells *Correspondence to: Claire M Wells; Email: claire.wells@kcl.ac.uk, Ole-Morten Seternes; Email: Ole-morten.seternes@uit.no Submitted: 04/17/2015; Revised: 10/18/2015; Accepted: 10/19/2015 This is an Open Access article 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. The moral rights of the named author(s) have been asserted. © Rania Al-Mahdi, Nouf Babteen, Kiruthikah Thillai, Mark Holt, Bjarne Johansen, Hilde Ljones Wetting, Ole-Morten Seternes, and Claire M Wells *Correspondence to: Claire M Wells; Email: claire.wells@kcl.ac.uk, Ole-Morten Seternes; Email: Ole-morten.seternes@uit.no Submitted: 04/17/2015; Revised: 10/18/2015; Accepted: 10/19/2015 http://dx.doi.org/10.1080/19336918.2015.1112485 This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/ permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. The moral rights of the nam have been asserted. Introduction The moral rights of the named author(s) have been asserted Cell Adhesion & Migration 483 www.tandfonline.com www.tandfonline.com The Rho family GTPases are known to deliver regulation of actin cytoskeletal dynamics via the interaction with downstream effectors in both normal and neoplastic cells.17 The group I p21 activated protein kinases (PAKs) are among the best-known effectors of Cdc42 and Rac1.18-20 Furthermore, PAKs are associated with tumor progression.21 Many potential targets have been identified for group one PAKs,22-24 but an interesting new substrate for mammalian PAK1–3 is the atypical MAP kinase ERK3.25,26 ERK3 together with ERK4 are considered to be atypical members of the MAP kinase family. This is due to the fact that both proteins lack the canonical Thr-X-Tyr motif found in the activation loop of the classi- cal MAP kinases and they have a unique C-terminal extension. The activation loop of ERK3 and ERK4 consists of a Ser-Gly-Glu with Ser as a single phosphorylation site. This serine in ERK3 is constitu- tively phosphorylated by the group one PAKs in resting cells and its phosphorylation is not changed in response to extracellular stimuli that activates the classical MAP kinases.25,26 ERK4 is a relatively sta- ble protein, while ERK3 is considered as non-stable protein and is rapidly degraded by the ubiquitin proteasome pathway.27,28 To date the physiological function of ERK3 is unclear. However, genetic ablation of the Erk3 gene has revealed that ERK3 plays an important role in fetal growth and lung maturation.29 The only identified ERK3 substrate is MAPK-activated protein kinase-5 (MK5 or PRAK).30 MK5 was demonstrated not only to act as a substrate for ERK3, but activated MK5 is also able to phosphorylate ERK3 both in vitro and in vivo,30 indeed the interaction between ERK3 and MK5 regulates the stability of ERK3.30 Several experimental studies has shown that MK5 is involved in a wide range of biological processes including cytoskeletal rearrangement by F-actin remodeling31-33 and tumor suppression.34 However, a role for ERK3 in cell adhesion and/or migration has not been investigated. In this study we demonstrate that ERK3 protein levels are ele- vated as MDA-MB-231 breast cancer cells adhere to collagen I, which is concomitant with changes in cellular morphology where cells become less well spread following nascent adhesion forma- tion. We further show that exogenous expression of ERK3 deliv- ers a comparable reduction in cell spread area, while depletion of ERK3 expression increases cell spread area. Introduction Furthermore, we find that ERK3 overexpressing cells exhibit an increased cell migra- tion speed. Surprisingly, exogenous expression of a kinase inac- tive mutant of ERK3 phenocopies ERK3 overexpression suggesting a novel kinase independent function for ERK3. Taken together our data suggest that as cells initiate adhesion to matrix, increasing levels of ERK3 at the cell periphery are required to drive cell morphology changes which can then drive migratory behavior. MDA-MB-231 cells show a significant decrease in spread area following nascent adhesion Downloaded by [King's College London] at 04:11 15 Ap t cancer cell line is routinely used to d invasion events. However, we found nse of MDA-MB-231 cells following has not been previously characterized. l response of MDA-MB-231 cells we n collagen I for up to 8 hours (Fig. 1). at as cells are forming nascent adhesions rea significantly decreases but concom- polarized (as revealed by the elongation find that cells exhibited a reduced cell area following plating and wondered whether this was reflected by a lack of protrusive activity in these cells. To test protrusive activity we made time-lapse movies of cells immedi- ately following plating on collagen I. Using in-house software specifically designed to measure protrusive activ- ity over time we were able to ascer- tain that despite the reduction in spread area all cells exhibit protrusive activity –indeed the rate of protrusive activity increases over time (Fig. 2). Thus the cells are exhibiting dynamic changes in the actin cytoskeleton as well as increased levels of contractility as nascent adhesions are replaced by more mature migratory adhesions.35 The MDA-MB-231 breast cancer cell line is routinely used to study adhesion, migration and invasion events. However, we found that the morphological response of MDA-MB-231 cells following initial adhesion to collagen I has not been previously characterized. To explore the morphological response of MDA-MB-231 cells we fixed and stained cells plated on collagen I for up to 8 hours (Fig. 1). Cell shape analysis revealed that as cells are forming nascent adhesions the cell perimeter and spread area significantly decreases but concom- itantly the cell becomes more polarized (as revealed by the elongation ratio). We were surprised to find that cells exhibited a reduced cell area following plating and wondered whether this was reflected by a lack of protrusive activity in these cells. To test protrusive activity we made time-lapse movies of cells immedi- ately following plating on collagen I. Using in-house software specifically designed to measure protrusive activ- ity over time we were able to ascer- tain that despite the reduction in spread area all cells exhibit protrusive activity –indeed the rate of protrusive activity increases over time (Fig. 2). MDA-MB-231 cells show a significant decrease in spread area following nascent adhesion Thus the cells are exhibiting dynamic changes in the actin cytoskeleton as well as increased levels of contractility as nascent adhesions are replaced by more mature migratory adhesions.35 The MDA-MB-231 breast cancer cell line is routinely used to study adhesion, migration and invasion events. However, we found that the morphological response of MDA-MB-231 cells following initial adhesion to collagen I has not been previously characterized. To explore the morphological response of MDA-MB-231 cells we fixed and stained cells plated on collagen I for up to 8 hours (Fig. 1). Cell shape analysis revealed that as cells are forming nascent adhesions the cell perimeter and spread area significantly decreases but concom- itantly the cell becomes more polarized (as revealed by the elongation ratio). We were surprised to find that cells exhibited a reduced cell area following plating and wondered whether this was reflected by a lack of protrusive activity in these cells. To test protrusive activity we made time-lapse movies of cells immedi- ately following plating on collagen I. Using in-house software specifically designed to measure protrusive activ- ity over time we were able to ascer- Downloaded by [King's Colle Figure 1. MDA-MB-231 cells show a significant decrease of relative spread area after 8 hours of seeding. (A) MDA-MB-231 cells were seeded onto collagen I coverslips for the following time course 2, 4, 6, 8 hours and were fixed and stained with TRITC-phalloidin to show F-actin and Dapi. Images were taken by confocal microscopy. (B) Cell spread area, perimeter and elongation ratio were calculated using ImageJ (NIH) soft- ware. The results shown are mean § s.e.m of over 30 cells from each population in each of three separate experiments. Statistical significance was analyzed using the student test, *P  0 .05 and **P  0 .005. Scale bar: 10 mm. Figure 1. MDA-MB-231 cells show a significant decrease of relative spread area after 8 hours of seeding. (A) MDA-MB-231 cells were seeded onto collagen I coverslips for the following time course 2, 4, 6, 8 hours and were fixed and stained with TRITC-phalloidin to show F-actin and Dapi. Images were taken by confocal microscopy. (B) Cell spread area, perimeter and elongation ratio were calculated using ImageJ (NIH) soft- ware. The results shown are mean § s.e.m of over 30 cells from each population in each of three separate experiments. ERK3 is localized at the cell periphery p p y Our data (Figs. 1 and 2) suggest that ERK3 may influence cellular morphology. We therefore sought to determine the sub- cellular distribution of ERK3 in our cells. MYC-tagged ERK3 was transiently expressed in MDA-MB-231 cells and the subcel- lular localization observed by confocal microscopy. As expected a significant proportion of MYC-ERK3 was distributed in the nucleus,27,39,40 however we were also able to detect MYC-ERK3 at the periphery of the cells (Fig. 3C). We confirmed the periph- eral localization of ERK by also detecting GFP-tagged ERK3 at the cell periphery (Fig. S1C) and ultimately by detecting endoge- nous ERK protein localized at the cell periphery (Fig. S1D). Thus confirming that overexpression had not influenced the ERK3 localization. Taken together these data demonstrate that a significant proportion of ERK3 is localized in the periphery of the cells at the plasma membrane. Given our finding that ERK3 expression levels are positively correlated with substratum adhe- sion we also sought to define the localization of ERK3 during nascent adhesion. Interestingly while MYC-ERK3 can be clearly detected at the cell periphery following 8 hours adhesion (Fig. 3D), a mutant ERK3 (MYC-ERK3S189A) which cannot be phosphorylated by PAK1 cannot be detected.(Fig. 3E). Our data (Figs. 1 and 2) suggest that ERK3 may influence cellular morphology. We therefore sought to determine the sub- cellular distribution of ERK3 in our cells. MYC-tagged ERK3 was transiently expressed in MDA-MB-231 cells and the subcel- lular localization observed by confocal microscopy. As expected a significant proportion of MYC-ERK3 was distributed in the nucleus,27,39,40 however we were also able to detect MYC-ERK3 Downloaded by [King's College London] at 04:1 Downloaded by [King's Colle Figure 2. Cell protrusion activity increases as MDA-MB-231 cells adhere to collagen. (A) Representative images of movie stills (tD0 and tD192 mins) from a movie of MDA-MB-231 imaged following plating on colla- gen I. Phase contrast to reveal cell outline detection (see materials and methods) and red/green pseudocolour to reveal areas of protrusion (green) and retraction (red). (B) Quantification of mean protrusion per unit perimeter over time. ND2 movies (20 cells). Images were quantified using in house MathematicaTM software. MDA-MB-231 cells show a significant decrease in spread area following nascent adhesion Statistical significance was analyzed using the student test, *P  0 .05 and **P  0 .005. Scale bar: 10 mm. Figure 1. MDA-MB-231 cells show a significant decrease of relative spread area after 8 hours of seeding. (A) MDA-MB-231 cells were seeded onto collagen I coverslips for the following time course 2, 4, 6, 8 hours and were fixed and stained with TRITC-phalloidin to show F-actin and Dapi. Images were taken by confocal microscopy. (B) Cell spread area, perimeter and elongation ratio were calculated using ImageJ (NIH) soft- ware. The results shown are mean § s.e.m of over 30 cells from each population in each of three separate experiments. Statistical significance was analyzed using the student test, *P  0 .05 and **P  0 .005. Scale bar: 10 mm. ERK3 protein levels are positively correlated with morphological changes following adhesion Several recent studies.25,26,36 have suggested a function for Cell Adhesion & Migration Volume 9 Issue 6 Volume 9 Issue 6 484 Figure 2. Cell protrusion activity increases as MDA-MB-231 cells adhere to collagen. (A) Representative images of movie stills (tD0 and tD192 i ) f i f MDA MB 231 i d f ll i l i ll where ERK3 expression levels were highest in the more rounded cells, which had been adhered to the substratum for 8 hours. Moreover, increased ERK3 protein levels following 8 hours of cell seeding were independently reproducible in a second cell line (Fig. S1A). In agreement with previous publication38 we were able to confirm that the increase in ERK3 expression is post- translational.(Fig. S1B). ERK3 is localized at the cell periphery Exogenous expression of ERK3 can induce morphological changes Exogenous expression of ERK3 can induce morphological changes g Given that ERK3 protein levels are modulated as cells undergo morphological changes and ERK3 is localized at the cell periphery, we reasoned that ERK3 might play a role in regulating cell shape changes. To test this hypothesis we overexpressed either GFP-ERK3 or MYC-ERK3 in MDA-MB-231 cells and tested the impact on cell spread area and shape. Interestingly cells over- expressing ERK3 regardless of the tag induced a reduction in cell spread area. Furthermore, exogenous expression of ERK3 (likely to be higher than levels generated by collagen adhesion) also induced cell rounding (Fig. 4A-B), a morphology that was not induced by exposure to transfection reagent alone (Fig. S1E). Moreover, the impact of ERK3 overexpression could also be detected in a second breast cancer cell line; MCF-7 where a reduction in cell spread area and cell elongation was also detected (Fig. 4C). Thus ERK3 is able to drive morphology changes in cells. ERK3 in cytoskeletal dynamics. This suggestion comes from the discovery of ERK3 as a substrate for the group one p21 activated kinases, which have been implicated in cell spreading37 and the observation that ERK3 can regulate the expression of matrix met- alloproteinases MMP2, 9 and 10 through phosphorylation of the transcriptional co-activator SRC-3.25,26,36 The biological activity of ERK3 is thought to be regulated through its cellular abun- dance.28 Thus, having identified that there is a dramatic shift in cell morphology within the first 8 hours of cell plating we pro- ceeded to analyze the level of ERK3 expression over this time frame. MDA-MB-231 were seeded on collagen I and lysed at appropriate time points as dictated by our spreading analysis (Fig. 1). We find that ERK3 levels are significantly increased during the adhesion, spread area reduction and polarization phase (Fig. 3A-B). Thus suggesting a direct correlation between ERK3 expression levels and changes in cellular morphology, ERK3 overexpression induces cell scattering We have already demonstrated that exogenous expression of ERK3 induces the same morpho- logical changes in MDA-MB-231 and MCF-7 cells (Fig. 4C). We therefore proceeded to test if over- expression of ERK3 could also promote migration in MCF-7 cells. A routine measure of MCF- 7 motility is the cell scattering assay.41 Immunofluorescence observations of MYC-ERK3 expressing cells suggested that these cells were more likely to be distant from the cell colony (sepa- rated cells) (Fig. 6A). We there- fore scored control and MYC- ERK3 expressing cells for the cell scattering event (cells have moved away from the colony and are complete separate). Our quantifi- cation revealed that while only 9.8% of wild-type cells were clas- sified as separated 41.7% of MYC-ERK3 cells were separated from the cell colonies (Fig. 6B). Thus exogenous expression of ERK3 promoted cell migration in Figure 3. ERK3 increasing level is coincided with the significant decrease of relative spread area. (A) MDA- MB-231 cells were seeded onto collagen I coated six-well plate and harvested at the following time course 2, 4, 6, 8 hours and probe for endogenous ERK3. The figure shown is a representative of three separate experi- ments. (B) Relative intensity was calculated for the time course blot 2, 4, 6, 8 hours and analyzed using stu- dent test. The figure shown is a representative of three separate experiments. (C) Overexpressed ERK3 localizes mainly in the nucleus and at the plasma membrane of the cell. MDA-MB-231 cells were transfected with MYC-ERK3 for 24 hours, fixed and stained with TRITC-phalloidin for F-actin (red) and MYC tag as required (green). (D) MDA-MB-231 cells were transfected with MYC-ERK3 or (E) MYC-ERK3S189A for 24 hours. The transfected cells were then seeded onto collagen I plates for the following time course 2, 4, 6, 8 hours and were fixed and stained with TRITC-phalloidin to show F-actin and Dapi. For ERK3 detection (green), ERK3 monoclonal antibody was used followed by Alexa Flour 488 anti-mouse. Confocal images were taken. Scale bar: 10 mm. a second cell line. cells may have an increased migratory speed, as has been sug- gested in melanoma.12 We have used Time-lapse microscopy to observe and track the movement of the GFP-ERK3 transfected cells. Tracking analysis of GFP-ERK3 transfected cells revealed that ERK3 overexpressing cells exhibit an increase in mean cell migration speed compared to control cells (Fig. 5A). ERK3 overexpression drives increased cell migration speed ERK3 overexpression drives increased cell migration speed Cell morphology changes are intrinsically linked to cell migra- tion potential as F-actin rearrangement, cell adhesion modifica- tion and cell polarization are all processes associated with cellular motility.1 Given that overexpression of ERK3 induces a reduced spread area and decreases cell elongation we speculated that these Cell Adhesion & Migration Cell Adhesion & Migration 485 www.tandfonline.com Figure 3. ERK3 increasing level is coincided with the significant decrease of relative spread area. (A) MDA- MB-231 cells were seeded onto collagen I coated six-well plate and harvested at the following time course 2, 4, 6, 8 hours and probe for endogenous ERK3. The figure shown is a representative of three separate experi- ments. (B) Relative intensity was calculated for the time course blot 2, 4, 6, 8 hours and analyzed using stu- dent test. The figure shown is a representative of three separate experiments. (C) Overexpressed ERK3 localizes mainly in the nucleus and at the plasma membrane of the cell. MDA-MB-231 cells were transfected with MYC-ERK3 for 24 hours, fixed and stained with TRITC-phalloidin for F-actin (red) and MYC tag as required (green). (D) MDA-MB-231 cells were transfected with MYC-ERK3 or (E) MYC-ERK3S189A for 24 hours. The transfected cells were then seeded onto collagen I plates for the following time course 2, 4, 6, 8 hours and were fixed and stained with TRITC-phalloidin to show F-actin and Dapi. For ERK3 detection (green), ERK3 monoclonal antibody was used followed by Alexa Flour 488 anti-mouse. Confocal images were taken. Scale bar: 10 mm. 2.012§0.1558 mm/min and GFP transfected cells § s.e.m. 227§ 0.2187 mm/min. Changes in cell morphology and cell migration speed could be driven by changes in actin cytoskeletal dynamics. We therefore made a detailed examination of the F-actin rear- rangement in control and overex- pressing cells. We did indeed find that ERK3 overexpressing cells lost prominent actin stress fibers at the cell periphery and displayed an increase in peripheral ruffling (Fig. 5B) which was not induced by exposure to transfection reagent alone.(Fig. S1F). ERK3 overexpression induces cell scattering Interestingly, both control and ERK3 depleted cells elongate over time, indeed ERK3KD cells have a significant increase in elon- gation ratio over control cells at 8h post plating (Fig. 7C). These observations suggest that ERK3 expression is not only required to reduce spread area but also to pre- vent hyper-elongation of the cells. To further validate these observa- tions a siRNA rescue experiment was performed using a cross spe- cies42-44 rescue construct (zfERK3) that would not be tar- geted by shRNAi sequences pres- ent in the ERK3KD cells. Importantly we first established that overexpression of zfERK3 induces cell rounding as described for HuERK3 (Fig. S1G and Fig. 4) thus demonstrating it is functional in MDA-MB-231 cells. Subsequently, we found that siRNA resistant zfERK3 expres- sion in ERK3KD cells abrogated the hyper-elongation exhibited by ERK3KD cells and reduced the spread area to control levels (Fig. 7D-E). Indeed, zfERK3 was also clearly localized to the cell periphery following nascent adhe- Figure 4. Over expression of ERK3 in different breast cell lines induces a reduction in spread area and elonga- tion ratio. (A) MDA-MB-231 cells were transfected with GFP control vector or GFP-ERK3 for 24 hours, the cells were than fixed and stained with TRITC-phalloidin for F-actin and Dapi. (B) MDA-MB-231 Cells were trans- fected with MYC-ERK3 for 24 hours, the cells were than fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. (C) MCF-7 cells were transfected with MYC-ERK3 for 24 hours, the cells were than fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. All relative spread area and elongation ratio were calculated using ImageJ (NIH) software. The results shown are mean § s.e.m of over 30 cells from each population in each of three separated experiments. Statistical significance values were calculated using Student’s t-test, *P  0.05, **P  0 .005 and ***P  0.0005. Figure 5. ERK3 has induced the MDA-MB-231 cells mobility and the actin cytoskeleton rearrangement. (A) MDA-MB-231 cells were transfected with GFP control vector or GFP-ERK3 for 24 hours. Cell images were col- lected using a Sensicam (PCO Cook) CCD camera, taking a frame every 5 minutes for 16 hours from each of the six wells using AQM acquisition software. Subsequently, cells were tracked using AQM tracker. Over 10 cells were tracked over six separate films from three separate experiments for each experimental condition. ERK3 overexpression induces cell scattering The GFP- ERK3 cells were moving with a mean cell speed of § s.e.m. D 2.822§0.2213 mm/min, un-transfected cells § s.e.m. D Depletion of ERK3 results in an increase in cell spread area Our data strongly suggest that ERK3 can mediate changes in cellular morphology. Given that ERK3 expression increases fol- lowing cell plating on collagen I we next tested whether the cell shape changes we had observed (Fig. 1) could be maintained in cells depleted of ERK3 expression. We therefore generated Volume 9 Issue 6 Cell Adhesion & Migration Cell Adhesion & Migration Cell Adhesion & Migration 486 Volume 9 Issue 6 Volume 9 Issue 6 Figure 4. Over expression of ERK3 in different breast cell lines induces a reduction in spread area and elonga- tion ratio. (A) MDA-MB-231 cells were transfected with GFP control vector or GFP-ERK3 for 24 hours, the cells were than fixed and stained with TRITC-phalloidin for F-actin and Dapi. (B) MDA-MB-231 Cells were trans- fected with MYC-ERK3 for 24 hours, the cells were than fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. (C) MCF-7 cells were transfected with MYC-ERK3 for 24 hours, the cells were than fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. All relative spread area and elongation ratio were calculated using ImageJ (NIH) software. The results shown are mean § s.e.m of over 30 cells from each population in each of three separated experiments. Statistical significance values were calculated using Student’s t-test, *P  0.05, **P  0 .005 and ***P  0.0005. MDA-MB-231 cells stably depleted of ERK3 expression (Fig. 7A). Control (LUCKD) and ERK3 depleted cells (ERK3KD) were seeded onto col- lagen I over an 8 hours time course as previously described (Fig. 1). Cells were stained for F- actin (Fig. 7B) and cell images quantified for cell spread area and elongation as before (Fig. 1B and Fig. 7C). We find that control cells exhibit a reduction in cell spread area over time concomitant with an increase in cell elonga- tion. In contrast ERK3KD cells initially exhibit a reduced spread area but over time continue to spread and by 6h have an increased spread area compared to control cells. Thus suggesting that ERK3 is required to deliver reduced spread area 8h post plat- ing. ERK3 overexpression induces cell scattering In addition, we find that rounded ERK3 overexpress- ing cells exhibit an increased cell migration speed. The unexpected observation that overexpression of a kinase deficient ERK3 mutant phenocopies wild-type ERK3 suggests a novel kinase independent function for ERK3. Taken together our data suggest that as cells initiate adhesion to matrix increasing levels of ERK3 at the cell periphery are required to drive cell morphology changes which can then drive migratory behavior. O d il d l i f MDA MB ll l d l A) MCF-7 cells were transfected C-phalloidin for F-actin, Dapi and ls. (B) The percentage of MCF-7 olated, 46.6% cells were partially Figure 6. ERK3 transfected cells tend to dissociate from neighboring cells. (A) MCF-7 cells were transfected with MYC-ERK3 for 24 hours, the cells were then fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. ERK3 transfected cells lose their contact with other cells. (B) The percentage of MCF-7 cells that had been detected to be dissociated. 41.7% of cells were totally isolated, 46.6% cells were partially separated and 11.6% were within the colony. Scale bar: 10 mm. Downloaded by [King's College London] at 04:11 15 April 2016 established that overexpression of ERK3 can induce cell rounding and increased mean cell migration speed we next tested whether depletion of ERK3 influenced migratory behavior. In contrast to overexpression of ERK3, cells depleted of ERK3 exhibited a mean migration speed that was not significantly different from control cells (Fig. 7F-G). Thus suggesting that the enhanced elongation of ERK3KD cells observed in (Fig. 7C) does not impede cell migration. Downloaded by [King's College London] at 04: Our detailed analysis of MDA-MB-231 cells plated onto col- lagen I has revealed that the cells exhibit a morphology plasticity that ultimately leads to smaller more polarized cells with high lev- els of protrusive activity. We would hypothesize that this behav- ior renders the cells able to begin efficient 2D migration. We have found that ERK3 is playing a role in this initial modulation of cell morphology where cells with a loss of ERK3 expression are unable to adopt the same morphological shape as control cells. ERK3 overexpression induces cell scattering In our studies ERK3 is required to protect the cell from hyper-elongation and we would speculate that this requirement is attributable to a role for ERK3 in cell contractility; a hypothesis supported by the changes in cell shape and migration observed in ERK3 overexpressing cells as discussed below. ERK3 driven morphological changes are not kinase dependent Downloaded by [King's Colle Our data suggest that ERK3 can drive cell morphology changes that translate into changes in cell migration potential (Fig. 4 and 5). ERK3 is an atypical Mitogen-activated protein kinases (MAPK6) and its only known physiological function is to phosphorylate and activate MK5.30 It has been previously established that a kinase dead mutant MYC-ERK3D171A is incapable of MK5 activation.30,45 We therefore proceeded to test the requirement for ERK3 kinase activity during ERK3-induced MDA-MB-231 cell morphological changes. MDA-MB-231 cells were transfected with kinase-dead mutant MYC-ERK3D171A and the spread area and elongation ratio were calculated using ImageJ. We were surprised to discover that overexpression of MYC-ERK3D171A also induced a significant reduction in cell spread area indeed greater than that seen with overexpression of MYC-ERK3 (Fig. 8). Moreover, exogenous expression of MYC- ERK3D171A also reduced cell elongation to a comparable level with exogenous expression of MYC-ERK3 (Fig. 8). These data suggest that ERK3 mediated morphological changes are not mediated via phosphorylation of MK5 or any other as yet unidentified substrate. Several recent studies have suggested a function for ERK3 in cell migration.25,26,32,36 This suggestion comes from the discov- ery of ERK3 as a substrate for the group one p21 activated kin- ases and the observation that ERK3 can regulate the expression of matrix metalloproteinases MMP2, 9 and 10 through phos- phorylation of the transcriptional co-activator SRC-3.25,26,36 ERK3 protein is known to have a short half-life compared to other MAPKs and its biological activity is thought to be regulated through its cellular abundance.28 Our data suggests the cells spe- cifically increase ERK3 protein levels during early phase cell adhesion and polarization an increase that was reproducible across cell lines. Indeed, a similar increase in ERK3 protein expression has been observed in all of the cells lines we have tested and is also observed (although at lower level) when cells are plated on fibronectin or ordinary plastic tissue culture dishes (data not shown). Moreover, Crowe et al also observed that plat- ing of squamous cell carcinoma cells onto collagen IV gave rise to increase in ERK3 protein expression.38 ERK3 overexpression induces cell scattering Mathematical analysis was then carried out using Mathematica 6.0TM workbooks (ANOVA). Mean track speeds for each condition were compared using the Student’s T-test, **P  0 .005. (B) MDA-MB-231 cells were transfected with MYC-ERK3 for 24 hours, the cells were than fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. Images of F-Actin were taken using Time-lapse microscopy. An increase of ERK3 level has an effect in F-Actin organization. Figure 5. ERK3 has induced the MDA-MB-231 cells mobility and the actin cytoskeleton rearrangement. (A) MDA-MB-231 cells were transfected with GFP control vector or GFP-ERK3 for 24 hours. Cell images were col- lected using a Sensicam (PCO Cook) CCD camera, taking a frame every 5 minutes for 16 hours from each of the six wells using AQM acquisition software. Subsequently, cells were tracked using AQM tracker. Over 10 cells were tracked over six separate films from three separate experiments for each experimental condition. Mathematical analysis was then carried out using Mathematica 6.0TM workbooks (ANOVA). Mean track speeds for each condition were compared using the Student’s T-test, **P  0 .005. (B) MDA-MB-231 cells were transfected with MYC-ERK3 for 24 hours, the cells were than fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. Images of F-Actin were taken using Time-lapse microscopy. An increase of ERK3 level has an effect in F-Actin organization. Cell Adhesion & Migration 487 www.tandfonline.com Figure 6. ERK3 transfected cells tend to dissociate from neighboring cells. (A) MCF-7 cells were transfected with MYC-ERK3 for 24 hours, the cells were then fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. ERK3 transfected cells lose their contact with other cells. (B) The percentage of MCF-7 cells that had been detected to be dissociated. 41.7% of cells were totally isolated, 46.6% cells were partially separated and 11.6% were within the colony. Scale bar: 10 mm. morphological changes in cell spread area and cell shape as MDA-MB-231 breast cancer cells adhere to a collagen I substratum. Whereby cells become less well spread following nascent adhesion formation but exhibit enhanced elongation. We proceed to corre- late these morphological changes with an increase in ERK3 protein levels and further show that exog- enous expression of ERK3 delivers a comparable reduction in cell spread area, while depletion of ERK3 expression increases cell spread area. Discussion Very little is known about the physiological role of the atypi- cal MAP kinase ERK3. In this study we identify specific Cell Adhesion & Migration Volume 9 Issue 6 Volume 9 Issue 6 488 While one study has suggested a ERK3 localization in the Golgi/ ER-Golgi intermediate compartment (ERGIC).46 many studies have reported that ERK3 is constitutively localized into the cyto- plasmic and nuclear compartments.28,39 However none have described a peripheral localization close to the plasma membrane that might be required for driving cell contractility. The cytoplasmic distribution of ERK3 is known to be dependent on nuclear export and the nucleoplasmatic shuttling of ERK3 is required for some of its biological functions.39 Co-expression of ERK3 with its Interestingly we find that this rise in endogenous ERK3 pro- tein level coincidences with a decrease in the cell spread area, perimeter and increase in the cell elongation ratio. The rise in ERK3 levels is likely to be due to an increase in ERK3 stability that is induced upon cell plating. The source of this increased sta- bility is not yet known but could involve re-localization of ERK3 to the periphery and/or phosphorylation via PAK. In contrast it could also involve an as yet unidentified interaction partner that protects ERK3 from ubiquitination28 following cell plating. While one study has suggested a ERK3 localization in the Golgi/ ER-Golgi intermediate compartment (ERGIC).46 many studies have reported that ERK3 is constitutively localized into the cyto- plasmic and nuclear compartments.28,39 However none have described a peripheral localization close to the plasma membrane that might be required for driving cell contractility. The cytoplasmic distribution of ERK3 is known to be dependent on nuclear export and the nucleoplasmatic shuttling of ERK3 is required for some of its biological functions.39 Co-expression of ERK3 with its nvolve re-localization of ERK3 lation via PAK. In contrast it tified interaction partner that 28 following cell plating. that might be required for driving cell contractility. The cytoplasmic distribution of ERK3 is known to be dependent on nuclear export and the nucleoplasmatic shuttling of ERK3 is required for some of its biological functions.39 Co-expression of ERK3 with its 489 Cell Adhesion & Migration Our work points to a role for ERK3 in cell contractility, mediat- ing constraint of the cell periphery. Figure 7. The depletion of ERK3 pro- tein induces an increasing in spread area and elongation ratio. Discussion Although, a recent study identified MK5 as an in situ sub- strate for focal adhesion kinase (FAK).48 Interestingly MK5 is tyro- sine phosphorylated during cell adhesion and this phosphorylation induces localization at focal adhesions.48 However, localization of MK5 to the focal adhesion occurs within the first two hours follow- ing plating so does not coincide with our observed increase in ERK3 levels and thus disappear at the same time as the ERK3 protein level start to increase. It is possible that ERK3 is recruited to the MK5- Src complex at the focal adhesion later in the adhesion response and become tyrosine phosphorylated by Src48 and this give rise to both increased ERK3 stability and inability to activate MK5. Thus in our cells ERK3 is localized to areas of the cell that can deliver increased contractility. physiological partner MK5 results in re-localization of both proteins in the cytoplasm. This re-localization of ERK3 and MK5 is depen- dent on a direct protein-protein interaction between the two pro- teins via ERK3 phosphorylation at serine 189. The only known kinases that are able to phosphorylate ERK3 at serine 189 are the group one PAK25,26 and inhibition of group one PAK results in nuclear accumulation of ERK3.25 However, the subcellular distribu- tion of ERK3 has so far almost exclusively been studied using ectopi- cally expressed ERK3.39,40,47 Using a monoclonal antibody we were Downloaded by [King's College London] at 04: Downloaded by [King's Colle Figure 9. ERK3 activity during nascent adhesion. As cells adhere to colla- gen I, Rac is activated, activated Rac binds to PAK1 and induces phos- phorylation of ERK3 at serine189 – phosphorylation leads to peripheral localization of ERK3 (green). Phosphorylation also leads to interaction with MK5 although this may not be part of the ERK3 morphological response. Localization of ERK3 at the cell periphery is required for the morphological changes that occur during nascent adhesion. y We have observed that overexpression of ERK3 induces cell rounding and changes in the actin cytoskeleton configuration. While studies have linked the ERK3 substrate, MK5 to actin cyto- skeletal dynamics.31,32 this is the first report of a direct influence by ERK3. Moreover, our studies suggest that this function is not mediated via phosphorylation of and activation of MK5. Discussion (A) ERK3 was knocked down in MDA-MB-231 cells. For control LUC protein was knocked down (see material and methods) (B) MDA-MB-231 cells were seeded onto collagen I coverslips for the following time course 2, 4, 6, 8 hours and were fixed and stained with TRITC-phalloidin to show F-actin and Dapi. Cells were imaged by Time- lapse microscopy. (C) Cell spread area, perimeter and elongation ratio were calculated using ImageJ (NIH) software. The results shown are mean § s.e.m of over 30 cells from each population in three separate experiments. Statistical significance was analyzed using the student test, *P  0 .05 and **P  0 .005. Scale bar: 10 mm. (D) LUCKD, ERK3KD and ERK3KD cells transfected to express Flag-zfERK3 (Flag-zfERK3-ERK3KD) were seeded onto collagen I cover- slips for 8 hours, fixed and stained with TRITC-phalloidin to show F-actin, Dapi and Flag tag as required. (E) Cell spread area and elongation ratio of LUCKD, ERK3KD and Flag-zfERK3- ERK3KD were calculated using ImageJ (NIH) software. The results shown are mean § s.e.m of over 30 cells from each population in three separate experiments. Statistical significance was analyzed using the student test, *P  0 .05 and ***P  0 .0005. Scale bar: 10mm. (F) LUCKD and ERK3KD cells were seeded on collagen I wells and cell images col- lected for 16 hours using AQM acqui- sition software. Cell track plots for LUCKD and ERK3KD cells with all tracked plotted from 0,0 are illus- trated (G) Individual cells were tracked and the mean migration speed and persistence of direction was calculated using in house Mathe- maticaTM software Cell Adhesion & Migration 489 www.tandfonline.com Figure 8. ERK3 kinase activity has no effect on MDA-MB-231 cell morphology alteration. MDA-MB-231 cells were transfected with either MYC-ERK3 or a Kinase dead mutant MYC-ERK3 (MYC-ERK3D171A). After 24 hours, the cells were fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. Cell spread area and elongation ratio were calculated using ImageJ (NIH) software. The results shown are mean § s.e.m of over 30 cells from each population in each of three separate experiments. Statistical signifi- cance was analyzed using the student test, *P  0 .05 and **P  0 .005 and ***P  0 .0005. Discussion able to detect endogenous ERK3 both in the nucleus and in the cyto- plasm, but more importantly we were also able to detect a specific localization of ERK3 in the periph- ery close to the cell membrane. Sim- ilar localization was also observed with ectopically expressed ERK3. This localization of ERK3 close to the cell membrane is compatible with a function for the kinase in cell spreading and migration. Indeed, we were able to show a distinct peripheral localization of ERK3 at the cell periphery following nascent adhesion formation that required phosphorylation at serine 189. However, the interaction partners for ERK3 in the cell periphery remain to be elucidated. Due to technical limitations it is not possi- ble to image endogenous localization tudy identified MK5 as an in situ sub- e (FAK).48 Interestingly MK5 is tyro- ell adhesion and this phosphorylation adhesions.48 However, localization of curs within the first two hours follow- de with our observed increase in ERK3 e same time as the ERK3 protein level that ERK3 is recruited to the MK5- ion later in the adhesion response and ed by Src48 and this give rise to both nability to activate MK5. Thus in our s of the cell that can deliver increased able to detect endogenous ERK3 both in the nucleus and in the cyto- plasm, but more importantly we were also able to detect a specific localization of ERK3 in the periph- ery close to the cell membrane. Sim- ilar localization was also observed with ectopically expressed ERK3. This localization of ERK3 close to the cell membrane is compatible with a function for the kinase in cell spreading and migration. Indeed, we were able to show a distinct peripheral localization of ERK3 at the cell periphery following nascent adhesion formation that required phosphorylation at serine 189 able to detect endogenous ERK3 both in the nucleus and in the cyto- plasm, but more importantly we were also able to detect a specific localization of ERK3 in the periph- ery close to the cell membrane. Sim- ilar localization was also observed with ectopically expressed ERK3. This localization of ERK3 close to the cell membrane is compatible with a function for the kinase in cell spreading and migration. Indeed, we were able to show a distinct peripheral localization of ERK3 at the cell periphery following nascent adhesion formation that required phosphorylation at serine 189. Discussion However, the interaction partners for ERK3 in the cell periphery remain to be elucidated. Due to technical limitations it is not possi- ble to image endogenous localization of MK5. Although, a recent study identified MK5 as an in situ sub- strate for focal adhesion kinase (FAK).48 Interestingly MK5 is tyro- sine phosphorylated during cell adhesion and this phosphorylation induces localization at focal adhesions.48 However, localization of MK5 to the focal adhesion occurs within the first two hours follow- ing plating so does not coincide with our observed increase in ERK3 levels and thus disappear at the same time as the ERK3 protein level start to increase. It is possible that ERK3 is recruited to the MK5- Src complex at the focal adhesion later in the adhesion response and become tyrosine phosphorylated by Src48 and this give rise to both increased ERK3 stability and inability to activate MK5. Thus in our cells ERK3 is localized to areas of the cell that can deliver increased contractility gy alteration. MDA-MB-231 cells -ERK3 (MYC-ERK3D171A). After Dapi and MYC tag as required. oftware. The results shown are e experiments. Statistical signifi- **P  0 .0005. Figure 8. ERK3 kinase activity has no effect on MDA-MB-231 cell morphology alteration. MDA-MB-231 cells were transfected with either MYC-ERK3 or a Kinase dead mutant MYC-ERK3 (MYC-ERK3D171A). After 24 hours, the cells were fixed and stained with TRITC-phalloidin for F-actin, Dapi and MYC tag as required. Cell spread area and elongation ratio were calculated using ImageJ (NIH) software. The results shown are mean § s.e.m of over 30 cells from each population in each of three separate experiments. Statistical signifi- cance was analyzed using the student test, *P  0 .05 and **P  0 .005 and ***P  0 .0005. Downloaded by [King's College London] at 04:11 15 April 2016 Downloaded by [King's College London] at 04:11 15 April 2016 technical limitations it is not possi- ble to image endogenous localization of MK5. Discussion Although we cannot rule out the possibility that ERK3 functions to stabilize MK5 and allow downstream activation of MK5 via interaction with ERK4 and/or p38.47,49 How ERK3 could deliver a change is cellular contractility is currently unknown. MK5 activ- ity has been linked to regulation of a Rho family GEF,50 but not specifically to contractility while there are no other known sub- strates for ERK3. The Rho-ROCK signaling pathway is known to be involved in actomyosin contractility and associated with rounded-amoeboid cells9,10 thus it would be of interest to explore whether there is any functional relationship between ERK3 and the Rho pathway. In contrast, PAKs are a family of proteins with strong links to regulation of the actin cytoskeleton.21 Indeed, PAKs are downstream effectors of Rac1 which is known to be acti- vated when cells are plated on an extracellular matrix.17,51 It is interesting to note that PAKs are known to drive the association of Figure 9. ERK3 activity during nascent adhesion. As cells adhere to colla- gen I, Rac is activated, activated Rac binds to PAK1 and induces phos- phorylation of ERK3 at serine189 – phosphorylation leads to peripheral localization of ERK3 (green). Phosphorylation also leads to interaction with MK5 although this may not be part of the ERK3 morphological response. Localization of ERK3 at the cell periphery is required for the morphological changes that occur during nascent adhesion. Cell Adhesion & Migration Cell Adhesion & Migration Volume 9 Issue 6 Volume 9 Issue 6 490 we were able to accurately localize endogenous ERK3 to the cell periphery. We found that both cells overexpressing ERK3 and ERK3 knockdown cells exhibited significant changes in spread area and elongation ratio compared to control cells. Moreover, in two different migration assays overexpression of ERK3 increased cell migration potential. ERK3 mediated cell morphology changes were found to be independent of MK5 activation. We speculate from our results and previous work that activation of RAC during nascent cell adhesion and subsequent cell migration promotes the localization of ERK3 at the cell periphery via PAK1 phosphorylation. ERK3 localized at the cell periphery is able to mediate the cell morphological changes associated with recently plated cells and also drive cell migration speed via increased cell rounding. These ERK3 functions may be the result of interaction with MK5 or via an as yet undefined molecular pathway. Discussion Thus we have identified a novel function for ERK3 that may have important consequences for therapeutic interven- tion of cancer cell invasion. MK5 and ERK3 via serine189 phosphorylation.30 It is therefore conceivable that Rac induced phosphorylation of ERK3 via PAK could be a signaling event during cell shapes changes following adhesion formation (Fig. 9). Indeed, PAK1 mediated phosphory- lation is known to re-localize ERK3 to the cytoplasm and we now find that phosphorylation at serine 189 is required for peripheral localization following nascent adhesion. ERK3KD cells were unable to deliver a reduction in cell spread area following plating, which supports a role for ERK3 in mediating this morphological event. Interestingly the ERK3KD cells ultimately exhibited increased elongation compared to controls cells suggesting that under normal physiological conditions ERK3 localized at the cell periphery is required to prevent hyper-elongation. We observed that overexpression of ERK3 could induce cell rounding and also increase mean migration speed of the MDA- MB-231 cells. This is the first recorded observation of a direct effect of ERK3 expression on cell migration. Cancer cells have been reported to adopt differential modes of migration (mesen- chymal and amoeboid types)52 and it has been observed that the less adherent rounded/amoeboid like cancer cell exhibits an ele- vated cell migration speed.53 It is therefore not surprising that ERK3 induced round cells displayed an increased mean migra- tion speed. Our data suggest that ERK3 mediated rounding is not dependent on kinase activity, and thus the increase in cell migration speed is also likely to be kinase independent. We can- not rule out however, that ERK3 performs an MK5 stability function, indeed, MK5 activity has been associated with cell motility,32,33,54 where depletion of MK5 impaired chemotaxis. Indeed, the function of ERK3 downstream of PAK activation maybe to localize MK5 to the cell periphery. Our data led us to expect that depletion of ERK3 expression might inhibit cell migration, however we found that ERK3KD cells exhibited nor- mal migration speeds. Although unexpected it is perhaps not that surprising. We have identified a specific role for ERK3 during cell plating whereby ERK3 is required to orchestrate specific cell morphology changes. Such morphology changes are not necessar- ily required during random migration. Discussion Furthermore, we have observed that ERK3 induced rounded cells display an increase in cell migration speed but this does not necessarily mean that a more mesenchymal shaped cell, as observed for ERK3KD, would exhibit a cell migration speed lower then control. Indeed, elon- gated mesenchymal cells are able to efficiently migrate.9,10 It may be that ERK3KD cells would exhibit migration defects in a more constrained environment where increased cellular contractility is required, such a migration through a 3D matrix.55-57 Comple- mentary to our random migration studies we also observed that ERK3 overexpression was able to drive MCF-7 cell scattering, a cellular response known to be mediated by PAK activation,58 suggesting that ERK3 mediated cell morphological changes are not restricted to one cell type. Downloaded by [King's College London] at 04:11 15 April 2016 Immunoblotting and antibodies Immunoblotting and antibodies Downloaded by [King's College London] at 04: MDA-MB-231 and MCF-7 cells were lysed for 10 minutes in lysis buffer (0.5% NP-40, 30 mM sodium pyrophosphate, 50 mM Tris-HCl pH 7.6, 150 mM NaCl, 0.1 mM EDTA, 50 mM NaF, 1 mM Na3VO4, 1 mM PMSF, 10 mg/ml leupep- tin, 1mM DTT and 1 mg/ml aprotinin) and were cleared by cen- trifugation at 13,000 g for 10 minutes at 4C. Equal amounts of protein were analyzed by 7.5% SDS-polyacrylamide gels then transferred into nitrocellulose membranes (Schleicher and Schell). Western blotting was performed by blocking nitrocellu- lose membranes with 5% skim milk in 1XTBST buffer for 1 hour, followed by overnight incubation with primary antibody at 4C and 1 hour incubation with the appropriate secondary antibody at room temperature. Blots were developed by enhanced chemiluminescence (ECL, Amersham Pharmacia). The MAPK6 (ERK3) monoclonal antibody (M02), clone (4C11) was purchased from Abnova. The 9E10 c-Myc (sc-40) was purchased from Santa Cruz Biotechnology. Monoclonal anti-Flag (cat#1804), clone (M2) was purchased from Sigma Aldrich. Alexa Fluor 488 goat anti-mouse IgG (A-11001) and Cy5 goat anti-mouse IgG (A10524) were purchased from (Invitrogen). Both polyclonal goat anti-mouse and anti-rabbit immunoglobu- lins HRP secondary antibodies were purchased from Dako. p44/ 42 MAPK (ERK1/2) antibody was purchased from Cell Signal- ing and PRAK (MK5) (A-7) monoclonal antibody (sc-46667) was purchased from Santa Cruz. Downloaded by [King's Colleg DNA constructs The following construction pSG5ERK3-Myc (MYC-ERK3), pSGERK3D171A-Myc (MYC-ERK3D171A) and pSGERK 3S189A-Myc (MYC-ERK3S189A) had been described previ- ously.30,45 EGFP-ERK3 (GFP-ERK3) was generated by cloning the EcoRI-SalI fragment from pGBKT7-ERK3.59 in the corre- sponding sites of pEGFP-C1 (Clontech). The zebrafish ERK3 www.tandfonline.com Cell culture and transfection MDA-MB-231 (American Type Culture Collection (ATCC) HTB-26), MCF-10 (ATCC CRL-10317), MCF-7 (ATCC HTB-22), HeLa (ATCC CCL-2TM), 293T/17 [HEK 293T/ 17] (ATCC CRL-11268TM) and Phoenix AMPHO cells (ATCC CRL-3213) were maintained in Dulbecco’s Modified Eagle’s Medium from Sigma-Aldrich (D 5796) supplemented with 10% fetal bovine serum, penicillin (100 units/ml), and streptomycin (100 mg/ml). Lipofectamine 2000 (Invitrogen) reagent was used to transfect the MDA-MB-231 and MCF-7 cells according to the manufacturer’s instructions. Downloaded by [King's Colleg Time-lapse microscopy Time-lapse microscope was also used to display a movie were cells had been tracked. MDA-MB-231 cell were seeded on 6-well plates, containing control or experimental cells as described in the figure legends, were placed on the automated stage of a Olympus 1X71 in the presence of 10% CO2. Cell images were collected using a Sensicam (PCO Cook) CCD camera, taking a frame either every 3 minutes for 8 hours or 5 minutes for 16 hours from each of the 6 wells using AQM acquisition software (Andor Technology, Belfast, UK). Subse- quently, all the acquired time-lapse sequences were displayed as a movie and cells were tracked for the whole of the time- lapse sequence using AQM tracker (Andor Technology, Bel- fast, UK). The negative control shRNA against Luc was cloned in the same vector and was kindly provided from Dr. C. Einvik, Uni- versity of Tromsø. Downloaded by [King's College London] at 04:11 15 April 2016 shRNA shRNA against ERK3 was cloned in the retroviral vector L193 RRI-GreenattR1ccdBCmRattR2 (kindly provided from Dr D. Micklem, University of Bergen). The procedures are described in Henriksen JR et al. study.60 The following sequence was used for ERK3 shRNA (hairpin in lower case): GGCTTTTCATGTAT CAGCTTTCaagcttCAAAGCTGATACATGAAAAGCC Immunofluorescence and image analysis 4 Cells were seeded at a density of 5£104 cells/ml on collagen I (BD Biosciences) coated coverslips for overnight. To detect the morphological changes in ERK3 transfected cells, cells were transfected with either MYC-ERK3 or GFP-ERK3 for over- night. All cells were subsequently fixed with 4% paraformalde- hyde in PBS for 20 minutes at room temperature and then permeabilised with 0.2% Triton X-100 in PBS for 5 minutes. The cells were than blocked with 3% bovine serum albumin in PBS for 30 minutes. Following incubation, cells were washed three times in PBS. For the detection of ERK3, primary anti- body was diluted in PBS (1:50) containing 0.5% bovine serum albumin and was incubated for 2 hours at room temperature. The cells were then washed three times in PBS and incubated with the secondary antibody along with Rhodamine phalloidin (Invitrogen) diluted in PBS (1:1000) for 1 hour at room tem- perature. For cell morphology detection, images were taken Viral transduction Phoenix AMPHO cells were transfected with the retroviral constructs using calcium phosphate precipitation. Forty-eight hours after transfection the supernatant was harvested mixed with 5ug/ml protamine sulfate and used to infect recipient cells. Stable knockdown cell lines were selected from the infected cells by growing them in presence of 1ug/ml puromycin. Downloaded by [King's College London] at 04: Conclusion We have clearly demonstrated an important specific role for ERK3 in mediating cell morphological changes. Furthermore, Cell Adhesion & Migration 491 www.tandfonline.com using Olympus 1X71. For ERK3 localization and stabilization, images of cells were obtained using a Zeiss LSM510 confocal laser-scanning microscope (Zeiss, Welwyn Garden City, UK), using the accompanying LSM 510 software. Cell spread area (area), elongation ration (circularity) and perimeter were ana- lyzed using ImageJ (NIH) program. Data are presented as mean § s.e.m. The Student paired t-test was used to compare differ- ences between groups. Statistical significance was accepted for P  0 .05. was amplified from the image clone (IMAGE:9038031) using primers 50- ggcgaattcatcacagaatggcagagaaatttgaaagc-3and 5- gcggatccttacttatcgtcgtcatccttgtaatcatttaaatgcttgaaaatgctgc -3 and subcloned as an EcoRI-BamHI fragment into pSG5 vector (Stra- tagene) generating pSG5-Flag-zfERK3. Note that at the protein level zfERK3 and HuERK3 have 95% amino acid sequence simi- larity in the kinase domain. Cell protrusion activity analysis Outlines of cells and cell clumps were determined using our own bespoke image processing routines in Wolfram Mathematica 10 (Champaign, IL). These outlines were filled so that cells were represented as white objects on a black background. Consecutive images were combined in to an RGB image such that the first frame constituted the red channel and the next time frame was the green channel. The blue channel was left blank. Thus, red pixels represented regions that had undergone retraction, while green regions represented regions that had undergone protrusion. Regions of overlap (yellow) were converted to gray. This was done for each consecutive pair of images in a temporal stack. Protru- sion and retraction indices were calculated on a per image basis by counting the number of red and green pixels and divided by the available cellular perimeters as determined from the detected cellular outlines. References Rho GTPases and cell migration. 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Amoeboid leuko- cyte crawling through extracellular matrix: lessons from the Dictyostelium paradigm of cell movement. J Leu- kocyte Biol 2001; 70:491-509; PMID:11590185 17. Ridley AJ. Supplemental Material Supplemental data for this article can be accessed on the publisher’s website. 13. Charras G, Paluch E. Blebs lead the way: how to migrate without lamellipodia. Nat Rev Mol Cell Biol 2008; 9:730-6; PMID:18628785; http://dx.doi.org/ 10.1038/nrm2453 Funding This work was funded by the Norwegian Cancer Society (project 418995 - 71486 - PR-2006-0463) OMS and RAL, by the UiT the Arctic University of Norway RAL, by the Guys and St Thomas Charity CMW, by Cancer Research UK KT and the Royal Embassy of Saudi Arabia NB. References IGF2BP1 promotes cell migration by regulating MK5 and PTEN signaling. Genes Dev 2012; 26:176-89; PMID:22279049; http:// dx.doi.org/10.1101/gad.177642.111 10. Sanz-Moreno V, Gadea G, Ahn J, Paterson H, Marra P, Pinner S, Sahai E, Marshall CJ. 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Oncogene 2009; 28:2545-55; PMID:19465939; http://dx.doi.org/ 10.1038/onc.2009.119 34. Kress TR, Cannell IG, Brenkman AB, Samans B, Gaestel M, Roepman P, Burgering BM, Bushell M, Rosenwald A, Eilers M. The MK5/PRAK kinase and Myc form a negative feedback loop that is disrupted during colorectal tumorigen- esis. Mol Cell 2011; 41:445-57; PMID:21329882; http:// dx.doi.org/10.1016/j.molcel.2011.01.023 12. Sanz-Moreno V, Gaggioli C, Yeo M, Albrengues J, Wall- berg F, Viros A, Hooper S, Mitter R, Feral CC, Cook M, et al. ROCK and JAK1 signaling cooperate to control acto- myosin contractility in tumor cells and stroma. Cancer Cell 2011; 20:229-45; PMID:21840487; http://dx.doi.org/ 10.1016/j.ccr.2011.06.018 25. De la Mota-Peynado A, Chernoff J, Beeser A. Identifi- cation of the atypical MAPK Erk3 as a novel substrate for p21-activated kinase (Pak) activity. J biol Chem 2011; 286:13603-11; PMID:21317288; http://dx.doi. org/10.1074/jbc.M110.181743 Cell Adhesion & Migration 493 www.tandfonline.com 35. Parsons JT, Horwitz AR, Schwartz MA. Cell adhesion: integrating cytoskeletal dynamics and cellular tension. Nat Rev Mol Cell Biol 2010; 11:633-43; PMID:20729930; http://dx.doi.org/10.1038/nrm2957 53. Pankova K, Rosel D, Novotny M, Brabek J. The molecular mechanisms of transition between mesenchy- mal and amoeboid invasiveness in tumor cells. Cell Mol Life Sci 2010; 67:63-71; PMID:19707854; http://dx. doi.org/10.1007/s00018-009-0132-1 45. Aberg E, Torgersen KM, Johansen B, Keyse SM, Perander M, Seternes OM. Docking of PRAK/MK5 to the atypical MAPKs ERK3 and ERK4 defines a novel MAPK interaction motif. J Biol Chem 2009; 284:19392-401; PMID:19473979; http://dx.doi.org/ 10.1074/jbc.M109.023283 36. References Long W, Foulds CE, Qin J, Liu J, Ding C, Lonard DM, Solis LM, Wistuba II, Qin J, Tsai SY, et al. 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References J Biol Chem 1996; 271:8951-8; PMID:8621539; http://dx.doi.org/ 10.1074/jbc.271.15.8951 58. Bright MD, Garner AP, Ridley AJ. PAK1 and PAK2 have different roles in HGF-induced morphological responses. Cell Signal 2009; 21:1738- 47; PMID:19628037; http://dx.doi.org/10.1016/j. cellsig.2009.07.005 j 41. Fram ST, Wells CM, Jones GE. HGF-induced DU145 cell scatter assay. Meth Mol Biol 2011; 769:31-40; http://dx.doi.org/10.1007/978-1-61779-207-6_3 50. Brand F, Schumacher S, Kant S, Menon MB, Simon R, Turgeon B, Britsch S, Meloche S, Gaestel M, Kotlyarov A. The extracellular signal-regulated kinase 3 (mitogen- activated protein kinase 6 [MAPK6])-MAPK-activated protein kinase 5 signaling complex regulates septin function and dendrite morphology. Mol Cell Biol 2012; 32:2467-78; PMID:22508986; http://dx.doi. org/10.1128/MCB.06633-11 59. Slack DN, Seternes OM, Gabrielsen M, Keyse SM. Distinct binding determinants for ERK2/p38alpha and JNK map kinases mediate catalytic activation and sub- strate selectivity of map kinase phosphatase-1. J Biol Chem 2001; 276:16491-500; PMID:11278799; http://dx.doi.org/10.1074/jbc.M010966200 42. Campeau E, Gobeil S. RNA interference in mammals: behind the screen. Briefings Functional Genomics 2011; 10:215-26; http://dx.doi.org/10.1093/bfgp/elr018 Downloaded by [King's College London] at 0 43. Howell M, Brickner H, Delorme-Walker VD, Choi J, Saffin JM, Miller D, Panopoulos A, DerMardirossian C, Fotedar A, Margolis RL, et al. WISp39 binds phos- phorylated Coronin 1B to regulate Arp2/3 localization and Cofilin-dependent motility. J Cell Biol 2015; 208:961-74; PMID:25800056; http://dx.doi.org/ 10.1083/jcb.201410095 51. Chang F, Lemmon CA, Park D, Romer LH. FAK potentiates Rac1 activation and localization to matrix adhesion sites: a role for betaPIX. Mol Biol Cell 2007; 18:253-64; PMID:17093062; http://dx.doi.org/ 10.1091/mbc.E06-03-0207 60. Henriksen JR, Haug BH, Buechner J, Tomte E, Lokke C, Flaegstad T, Einvik C. Conditional expression of retrovirally delivered anti-MYCN shRNA as an in vitro model system to study neuronal differentiation in MYCN-amplified neu- roblastoma. BMC Dev Biol 2011; 11:1; PMID:21194500; http://dx.doi.org/10.1186/1471-213X-11-1 52. Bergert M, Chandradoss SD, Desai RA, Paluch E. Cell mechanics control rapid transitions between blebs and lamellipodia during migration. Proc Natl Acad Sci USA 2012; 109:14434-9; PMID:22786929; http://dx. doi.org/10.1073/pnas.1207968109 44. Neumann B, Walter T, Heriche JK, Bulkescher J, Erfle H, Conrad C, Rogers P, Poser I, Held M, Liebel U, et al. Phenotypic profiling of the human genome by time-lapse microscopy reveals cell division genes. Nature 2010; 464:721-7; PMID:20360735; http://dx. doi.org/10.1038/nature08869 61. Livak KJ, Schmittgen TD. Analysis of relative gene expression data using real-time quantitative PCR and the 2(-Delta Delta C(T)) Method. Methods 2001; 25:402-8; PMID:11846609; http://dx.doi.org/ 10.1006/meth.2001.1262 494 Cell Adhesion & Migration Volume 9 Issue 6
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Named in honor of the wife {Mieke Oort-Graadt van Roggen, 1906-1993} of former director of the Leiden 140 (1754) Cunningham Observatory, Jan Hendrik Oort {see planet (1691)}. (M 5357) Name proposed by the Leiden Observatory. (1754) Cunningham 1935 FE. Discovered 1935 Mar. 29 by E. Delporte at Uccle. Named in honor of Leland E. Cunningham {19041989}, a prolific computer of comet orbits with F. L. Whipple {see planet (1940)} at Harvard during the 1930s, observer of faint comets, including the discovery of 1941 I and the recovery of comet Gale in 1938, and since 1946 on the staff of the Leuschner Observatory, University of California. (M 3934) (1755) Lorbach 1936 VD. Discovered 1936 Nov. 8 by M. Laugier at Nice. Named in honor of Anne Lorbach Herget, assistant at the Cincinnati Observatory since 1962 and wife of Paul Herget {see planet (1751)}. She has been responsible for the assignment of provisional designations of minor planets and for key-punching almost all the material in the MPC’s, work that was accomplished to a high standard of accuracy. (M 4419) Name suggested by C. M. Bardwell and B. G. Marsden. (1756) Giacobini 1937 YA. Discovered 1937 Dec. 24 by A. Patry at Nice. Named in memory of Michel Giacobini (1873-1938), astronomer at the Nice Observatory who discovered 13 comets. (M 4358) (1757) Porvoo 1939 FC. Discovered 1939 Mar. 17 by Y. Väisälä at Turku. Named for the second oldest (after Turku) town in Finland. At the Porvoo Diet in 1809 the Russian czar confirmed that Finland was annexed to the Russian empire as an autonomous nation. (M 5449) (1758) Naantali 1942 DK. Discovered 1942 Feb. 18 by L. Oterma at Turku. Named for an idyllic small town near Turku, founded in the early fifteenth century around a convent and monastery. The summer residence of the Finnish president is located there. (M 5449) (1759) Kienle 1942 RF. Discovered 1942 Sept. 11 by K. Reinmuth at Heidelberg. Named in memory of Hans Kienle (1895-1975), an astrophysicist, who served as Director of several German observatories. He was director of the HeidelbergKönigstuhl Observatory from 1950-1962. His work on spectrophotometry is well-known. He was president of IAU Commission 36 from 1955 to 1958. (M 4155) Obituaries published in Phys. Bl., 31. Jahrg., p. 222223 (1975); Sky Telesc., Vol. 49, p. 368 (1975); Sterne Weltraum, Vol. 14, p. 83, p. 184-186 (1975); Orion, 33. Jahrg., p. 111 (1975); Ruperto Carola, Univ. Heidelb., 27. Jahrg., p. 114-115 (1975); Astron. Nachr., Vol. 297, p. 99-105 (1976); Mitt. Astron. Ges., Nr. 38, p. 9-11 (1976). (1760) Sandra 1950 GB. Discovered 1950 Apr. 10 by E. L. Johnson at Johannesburg. Named by the discoverer in honor of his granddaughter. (M 3934; M 3988; M 5391) (1761) Edmondson 1952 FN. Discovered 1952 Mar. 30 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of Prof. Frank K. Edmondson {1912}, chairman of the Astronomy Department of Indiana University since 1944, treasurer of the American Astronomical Society (AAS) since 1954, program Director for astronomy of the National Science Foundation (NSF), 1956-57, and chairman of Section D (Astronomy) of the American Assoc. for the Advancement of Science (AAAS), 1962. He was chairman, U.S. National Committee of the International Astronomical Union (IAU), 1962-64. He was vice president, 1957-61, president, 1962-65 of the Association of Universities for Research in Astronomy, Inc. (AURA), and president of Comm. 20 of the International Astronomical Union (IAU), 1970. In 1964 he was decorated with the ”Order of Merit” by the government of Chile. (M 3143) The proposal of this name was presented by the entire departmental staff. (1762) Russell 1953 TZ. Discovered 1953 Oct. 8 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of Henry Norris Russell {1877-1957}, one of the world’s most distinguished astronomers, noted for the H-R diagram and his brilliant research on a variety of topics in fundamental astronomy, astrophysics, and the analysis of atomic spectra (RSor Russell-Saunders coupling). His advice and counsel were sought by many astronomers who valued his scientific judgement and respected his wide range of interests and encyclopedic knowledge of many subjects. His Ph.D. thesis at Princeton was on the general perturbations of the major axis of the orbit of {433} Eros by the action of Mars. (M 3143) Proposed by F. K. Edmondson. Russell is also honored by craters on Mars and the Moon. (1763) Williams 1953 TN2 . Discovered 1953 Oct. 13 at the Goethe Link Observatory at Brooklyn, Indiana. (1764) Named in honor of K. P. Williams, professor of mathematics at Indiana University (1909-58). He was known for his textbook The calculation of the orbits of asteroids and comets and his detailed analysis of the transits of Mercury from 1723 to 1927. He also wrote Lincoln finds a general, a definitive military history of the U.S. Civil War. (M 3143) Proposed by F. K. Edmondson. (1764) Cogshall 1953 VM1. Discovered 1953 Nov. 7 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of W. A. Cogshall, professor of astronomy at Indiana University (1900-44). He was known for his work on visual binary stars, photography of solar eclipses, and as a teacher of many who followed professional careers in astronomy. (M 3143) Proposed by F. K. Edmondson. (1765) Wrubel 1957 XB. Discovered 1957 Dec. 15 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of Marshal H. Wrubel, faculty member at Indiana University (1950-68) and university professor of astronomy (1966-68). He was co-founder of the Indiana University Research Computing Center and a pioneer in the use of high speed computers for astrophysical computations, and a brilliant teacher whose profound influence continues to show in the work of his 14 Ph.D. students. (M 3143) Proposed by F. K. Edmondson. (1766) Slipher 1962 RF. Discovered 1962 Sept. 7 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of Vesto Melvin Slipher {1876-1969} and E. C. Slipher {1883-1964}, graduates of Indiana University in 1901 and 1906. V. M. Slipher was a pioneer investigator of the spectra of the planets, and was the first to measure the redshifts of galaxies. E. C. Slipher developed the art of direct photography of the planets to the highest level, and his photographs are the only continuous and systematic record of the appearance of the planets for a period of more than half a century. (M 3144) Proposed by F. K. Edmondson. E. C. Slipher is also honored by a crater on Mars. Both brothers are honored by a lunar crater. Obituaries (V.M.S.) published in Publ. Astron. Soc. Pac., Vol. 81, p. 922-923 (1969); Science, Vol. 166, p. 1608 (1969); Phys. Today, Vol. 23, No. 2, p. 101 (1970); Year Book Am. Phil. Soc. 1970, p. 161-166. (1767) Lampland 1962 RJ. Discovered 1962 Sept. 7 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of C. O. Lampland {1873-1951}, a graduate of Indiana University in 1902. His best known work was the radiometric measurement of planetary Cogshall 141 temperatures in collaboration with W. W. Coblentz, and the long photographic history of the changes in NGC 2261 (Hubble’s variable nebula). (M 3144) Proposed by F. K. Edmondson. Lampland is also honored by craters on Mars and the Moon. (1768) Appenzella 1965 SA. Discovered 1965 Sept. 23 by P. Wild at Zimmerwald. Appenzella, named by the discoverer in honor of the Swiss Canton of Appenzell, on the occasion of the 150th anniversary of the Kantonsschule Trogen (Appenzell-Ausserrhoden). (M 3297) (1769) Carlostorres 1966 QP. Discovered 1966 Aug. 25 by Z. M. Pereyra at Córdoba. Named in memory of Carlos Guillermo Torres (1910-1965), astronomer at the Córdoba Observatory, an active observer with the meridian circle and of comets and minor planets. The planet also honors Carlos Torres R., who is in charge of the program for observing comets and minor planets at Santiago. (M 6954) (1770) Schlesinger 1967 JR. Discovered 1967 May 10 by C. U. Cesco and A. R. Klemola at El Leoncito. Named in memory of Frank Schlesinger (18711943), Director of the Allegheny Observatory from 1905 to 1920 and then Director of the Yale University Observatory until his retirement in 1941. His pioneering work in photographic astrometry revolutionized the determination of stellar parallaxes and the preparation of zone catalogues. His invention of the method of dependences for parallax reductions has also found extensive application in obtaining minor planet positions. He was prominent in the establishment of the IAU and served as its president from 1932 to 1935. (M 3934) Schlesinger is also honored by a lunar crater. (1771) Makover 1968 BD. Discovered 1968 Jan. 24 by L. I. Chernykh at Nauchnyj. Named in honor of the late Samuel Gdalevich Makover {1908-1970}, scientist in the I.T.A. since 1946. He studied extensively the orbit of comet EnckeBacklund, and he was a pioneer in the use of electronic calculators for computing planetary perturbations and orbit improvements. In 1963 he became head of the Department of Minor Planets and Comets, and editor of the annual volume of Minor Planet Ephemerides. He was vice president of Comm. 20, I.A.U. (1964-67). (M 3185) Obituaries published in Astron. Tsirk., No. 579, p. 7-8 (1970); Byull. Inst. Teor. Astron. Leningrad, Vol. 12, p. 437-438 (1970). 142 (1772) (1772) Gagarin 1968 CB. Discovered 1968 Feb. 6 by L. I. Chernykh at Nauchnyj. Named in honor of the late Yuri Gagarin {1934-1968}, the illustrious Soviet cosmonaut, and the first man to circumnavigate the Earth in outer space. (M 3185) Gagarin is also honored by a lunar crater. (1773) Rumpelstilz 1968 HE. Discovered 1968 Apr. 17 by P. Wild at Zimmerwald. The leading character in one of Grimm’s fairy tales. (M 4155) (1774) Kulikov 1968 UG1. Discovered 1968 Oct. 22 by T. M. Smirnova at Nauchnyj. Named in honor of the late Dmitri Kuzmich Kulikov {1912-1964}, specialist in geodesy and fundamental astronomy. During 1934-1941 he led five geodetic expeditions. He was decorated for his service in World War II with two Orders of the Red Star. During 1949-1956 he served as scientific secretary of I.T.A. and since then as head of the Department of the Astronomical Yearbook. He worked on the orbits of comets and Jupiter VIII. In 1952 he was awarded a prize for his treatment of Zinger star pairs. (M 3185) (1775) Zimmerwald 1969 JA. Discovered 1969 May 13 by P. Wild at Zimmerwald. The charming village that harbours the new observing station, seven miles south of Berne {see planet (1313)}. (M 4155) (1776) Kuiper 2520 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named in honor of G. P. Kuiper {1905-1973}, former Director of the Lunar and Planetary Laboratory at Tucson, and former Director of the Yerkes Observatory. Dr. Kuiper was a well known authority on the solar system and initiated both the McDonald Survey and the Palomar-Leiden Survey of minor planets. (M 3185) Kuiper is also honored by a crater on Mars. Obituaries published in Icarus, Vol. 22, p. 117-118 (1974); Nature, Vol. 248, p. 539-540 (1974); Observatory, Vol. 94, p. 94 (1974); Phys. Today, Vol. 27, No. 3, p. 85, 87 (1974); Science, Vol. 183, p. 1323 (1974); Sky Telesc., Vol. 47, p. 83 (1974); Zenit, Vol. 1, No. 1, p. 13 (1974); Irish Astron. J., Vol. 11, p. 158 (1973); Zemlya Vselennaya, No. 5, p. 56-58 (1974); l’Astronomie, 89. année, p. 84-85 (1975). (1777) Gehrels 4007 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named in honor of Tom Gehrels {1925- }, staff member of the Lunar and Planetary Laboratory at Tucson. Dr. Gehrels is well known for his photometric Gagarin and polarimetric observations of minor planets and the Moon. (M 3185) (1778) Alfvén 4506 P-L. Discovered 1960 Sept. 26 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named in honor of Nobel prize winner Hannes Alfvén {1908-1995} {1970, together with L. E. N. Néel}, who has stimulated physical studies of asteroids to be made with telescopes on the Earth and on future spacecraft. (M 3643) This name has been proposed by Dr. T. Gehrels. Obituaries published in Ciel Terre, Vol. 111, No. 3, p. 67-74 (1995); Phys. Today, Vol. 48, No. 9, p. 118-119 (1995); COSPAR Inf. Bull., No. 133, p. 57-58 (1995); Astrophys. Space Sci., Vol. 234, No. 2, p. 173-175 (1995); IEEE Trans. Plasma Sci., Vol. 25, No. 3, p. 409-414 (1997); Nature, Vol. 375, No. 6528, p. 187 (1995); Postepy Astron., Tom 44, No. 2, p. 91-92 (1996); Q.J.R. Astron. Soc., Vol. 37, No. 2, p. 259-260 (1996); Vasiona, Vol. 44, No. 1-2, p. 24-25 (1996). (1779) Paraná 1950 LZ. Discovered 1950 June 15 by M. Itzigsohn at La Plata. Named for a large river in northern Argentina, a major tributary to the La Plata {see planet (1029)} river, near which this minor planet was discovered. (M 6832) Name proposed by F. Pilcher. (1780) Kippes A906 RA. Discovered 1906 Sept. 12 by A. Kopff at Heidelberg. This name is bestowed by the Minor Planet Center in honor of Pastor Otto Kippes {1905-1994}, an instructor in religion in the Parochial School of Reckendorf, Germany. He is a diligent and meticulous worker, and an amateur astronomer in the finest sense, who established hundreds of identifications of minor planets in widely separated oppositions. (M 3508) See also the Scylla story in Sky Telesc., Vol. 40, No. 6, p. 361-362 (1970). (1781) Van Biesbroeck A906 UB. Discovered 1906 Oct. 17 by A. Kopff at Heidelberg. Named for Georges Van Biesbroeck {1880-1974} in recognition of, and appreciation for, many years of devoted service to astronomy through observations and discoveries of minor planets, comets, satellites, and double stars. (M 3569) Obituaries published in Circ. Inf., No. 62 (1974); Phys. Today, Vol. 27, No. 7, p. 59 (1974); Sky Telesc., Vol. 47, p. 215 (1974); Ciel Terre, Vol. 90, p. 321-325 (1974); Icarus, Vol. 23, p. 134-135 (1974); J.R. Astron. Soc. Can., Vol. 68, p. 202-204, p. L23-L24 (1974); l’Astronomie, 88. année, p. 305-308 (1974); Q.J.R. Astron. Soc., Vol. 16, p. 104-105 (1975). (1782) (1782) Schneller 1931 TL1 . Discovered 1931 Oct. 6 by K. Reinmuth at Heidelberg. Named in memory of Heribert Schneller (1901-1967), a prolific observer of variable stars, who worked at Berlin-Babelsberg Observatory, and later at the Astrophysical Observatory in Potsdam. He published many catalogues and collections of references on variable stars. (M 4156) Schneller is also honored by a lunar crater. (1783) Albitskij Schneller 143 made distinguished contributions both in astronomy and spectroscopy. His spectroscopic research at the U.S. National Bureau of Standards began in 1917 and spanned a period of 40 years. He was a member of several eclipse expeditions, and conducted two expeditions to Hawaii to observe planetary spectra with high dispersion under good seeing conditions. He was serving on the Astronomy Faculty of Georgetown University at the time of his death in 1967. (M 3508) (1789) Dobrovolsky 1935 FJ. Discovered 1935 Mar. 24 by G. N. Neujmin at Simeis. Named in memory of Vladimir Aleksandrovich Albitskij (1891-1952), head of the Simeis department of the Pulkovo Observatory from 1934 onward. He discovered ten numbered minor planets and is well known for his research on radial velocities and variable stars. (M 5357) 1966 QC. Discovered 1966 Aug. 19 by L. I. Chernykh at Nauchnyj. Named in honor of Lt. Col. Georgi Timofeyevich Dobrovolsky, the commander. (M 3296) This name and the following two names are a memorial to the cosmonauts of the spacecraft Soyuz 11, who perished on 30 June 1971 during the return of the vehicle to the Earth after completing the flight program of the first manned orbital station, Salyut. (1784) Benguella (1790) Volkov 1935 MG. Discovered 1935 June 30 by C. Jackson at Johannesburg. Named for the chief port of Angola. (M 5183) 1967 ER. Discovered 1967 Mar. 9 by L. I. Chernykh at Nauchnyj. Named in honor of Vladislav Nikolayevich Volkov, the flight engineer. (M 3296) See the remark to (1789). (1785) Wurm 1941 CD. Discovered 1941 Feb. 15 by K. Reinmuth at Heidelberg. Named in memory of Karl Wurm (1899-1975), who is well-known for his work on interstellar matter and cometary physics. He worked at Potsdam, the Yerkes Observatory, and later at the Hamburg-Bergedorf Observatory. He was president of IAU Commission 15 from 1958 to 1964. (M 4156) Obituaries published in Coelum, Vol. 43, p. 114-115 (1975); Orion, 33. Jahrg., p. 82 (1975); Sterne Weltraum, Vol. 14, p. 113 (1975); Astrophys. Space Sci., Vol. 35, p. 221-222 (1975); Mitt. Astron. Ges., Nr. 38, p. 14-16 (1976). (1786) Raahe 1948 TL. Discovered 1948 Oct. 9 by H. Alikoski at Turku. Named for a Finnish town, founded by Per Brahe {see planet (1680)} in 1649 on an ancient market place near Oulu {see planet (1512)}. (M 5449) (1787) Chiny 1950 SK. Discovered 1950 Sept. 19 by S. Arend at Uccle. Named for the principal town in the ancient county of the same name, situated on the beautiful river Semoise. (M 8402) (1788) Kiess 1952 OZ. Discovered 1952 July 25 at the Goethe Link Observatory at Brooklyn, Indiana. Named for Carl C. Kiess, a graduate of Indiana University (AB 1910, Honorary D.Sc. 1963). Dr. Kiess (1791) Patsayev 1967 RE. Discovered 1967 Sept. 4 by T. M. Smirnova at Nauchnyj. Named in honor of Victor Ivanovich Patsayev, the test engineer. (M 3296) See the remark to (1789). (1792) Reni 1968 BG. Discovered 1968 Jan. 24 by L. I. Chernykh at Nauchnyj. Named in honor of the town Reni (Ukrainian Soviet Socialist Republic), the birthplace of A. N. Deutsch, the well-known investigator of minor planets and authority in the field of astrophotometry and stellar astronomy. (M 3297) (1793) Zoya 1968 DW. Discovered 1968 Feb. 28 by T. M. Smirnova at Nauchnyj. Named in honor of Zoya Kosmodemyanskaya {see planet (2072)}, the young heroine of the Soviet people, who perished during the Great Patriotic War. (M 3297) See also the citations for minor planets (1977) and (2072). (1794) Finsen 1970 GA. Discovered 1970 Apr. 7 by J. A. Bruwer at Hartbeespoort. Named in honor of W. S. Finsen {1905-1979}, Director of the Republic Observatory from 1957 to 1965. He has contributed immensely to the discovery and observation of double stars both micrometrically 144 (1795) Woltjer and by means of the eyepiece interferometer he invented. (M 3297) Obituaries published in Circ. Inf., No. 79 (1979); Sky Telesc., Vol. 58, p. 137 (1979). Proposed by Frank K. Edmondson to celebrate the centenary of the birth of Dr. Koussevitzky on July 26, 1974. (1795) Woltjer 1950 RJ. Discovered 1950 Sept. 12 by M. Itzigsohn at La Plata. Named in memory of Eng. Felix Aguilar {18841943}, former director of the La Plata Observatory, founder of the University School of Astronomy and Geophysics, the most outstanding scientific worker for the development of Argentine astronomy in the first half of this century. (M 3934) 4010 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named in honor of Dr. Jan J. Woltjer Jr. {1891-1946}, who was assistant professor at the Leiden Observatory from 1941-1946. He was an authority in the field of celestial mechanics and Cepheid pulsations. (M 3569) This name has been proposed by Dr. G. P. Kuiper. Woltjer is also honored by a lunar crater. (1796) Riga 1966 KB. Discovered 1966 May 16 by N. S. Chernykh at Nauchnyj. Named in honor of the capital of Latvia, site of the Astronomical Observatory of the Latvian State University. (M 3185) Named at the request of Prof. M. Dirikis. (1797) Schaumasse 1936 VH. Discovered 1936 Nov. 15 by A. Patry at Nice. Named in memory of Alexandre Schaumasse (18821958), astronomer at the Nice Observatory who discovered (971) Alsatia and three comets. (M 4358) Schaumasse also discovered minor planet (1114) Lorraine. (1798) Watts 1949 GC. Discovered 1949 Apr. 4 at the Goethe Link Observatory at Brooklyn, Indiana. Named for Chester B. Watts {1889-1971}, a graduate of Indiana University (AB 1915, Honorary D.Sc. 1953). Dr. Watts made distinguished contributions in the field of positional astronomy during his 44 years at the U.S. Naval Observatory. He pioneered in the field of automation of transit circle observations, leading to results of the highest systematic accuracy. Culminating his career was the monumental task of mapping every feature on the marginal zone of the Moon, which he commenced in the late 1940’s and completed in 1963, four years after his normal retirement. (M 3508) Obituaries published in Sky Telesc., Vol. 42, p. 131 (1971); Q.J.R. Astron. Soc., Vol. 13, p. 110-112 (1972); Moon, Vol. 6, p. 233-234 (1973). (1799) Koussevitzky 1950 OE. Discovered 1950 July 25 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of Serge Koussevitzky, distinguished conductor of the Boston Symphony Orchestra during its golden years. His 25 year tenure was noteworthy for his efforts to encourage young American composers as well as for his masterly interpretations of the classic repertoire. (M 3569) (1800) Aguilar (1801) Titicaca 1952 SP1 . Discovered 1952 Sept. 23 by M. Itzigsohn at La Plata. Named for the large lake, at 3800 meters the highest in the world, that forms part of the border between Peru and Bolivia. (M 6832) Name proposed by F. Pilcher. (1802) Zhang Heng 1964 TW1 . Discovered 1964 Oct. 9 at the Purple Mountain Observatory at Nanking. Named for Zhang Heng (78-139), a prominent scientist of the eastern Han dynasty who devised and constructed armillary spheres and seismographs. He also invented a celestial sphere driven by water power that is in many respects the forerunner of the modern planetarium. (M 4419) Zhang Heng (or Chang Heng) is also honored by a lunar crater. (1803) Zwicky 1967 CA. Discovered 1967 Feb. 6 by P. Wild at Zimmerwald. Named in memory of Fritz Zwicky (1898-1974), a Swiss citizen, who as a professor at Caltech, Pasadena, did pioneer work in many fields, notably in the study of supernovae and of clusters of galaxies, in high-energy astrophysics, and also in developing jet propulsion for airplanes and spacecraft. (M 4156) Obituaries published in l’Astronomie, 88. année, p. 221-224 (1974); Observatory, Vol. 94, p. 94 (1974); Orion, 32. Jahrg., p. 63, p. 113-114 (1974); Phys. Today, Vol. 27, No. 6, p. 70-71 (1974); Sky Telesc., Vol. 47, p. 215 (1974); Sterne Weltraum, Vol. 13, p. 77-78 (1974); Acta Astronaut., Vol. 1, No. 7-8, p. IX (1974); Science, Vol. 186, p. 284 (1974); Q.J.R. Astron. Soc., Vol. 16, p. 106-108 (1975). (1804) Chebotarev 1967 GG. Discovered 1967 Apr. 6 by T. M. Smirnova at Nauchnyj. Named in honor of Prof. G. A. Chebotarev {1913-1975}, Director of the Institute of Theoretical Astronomy since 1964 and past president of Commission 20 of the International Astronomical Union. Prof. (1805) Chebotarev is well known for his intensive work on different problems of celestial mechanics concerned with the asteroids, comets and satellites. (M 3569) Obituaries published in Zvaigžnotā Debess, p. 52-53 (1976); Byull. Inst. Teor. Astron., Vol. 14, p. 133-135 (1975); Celest. Mech., Vol. 12, p. 395-396 (1975); Zemlya Vselennaya, No. 6, p. 40-41 (1975). (1805) Dirikis 1970 GD. Discovered 1970 Apr. 1 by L. I. Chernykh at Nauchnyj. Named in honor of Dr. M{atiss} A. Dirikis {19231993}, staff member of the Astronomical Observatory of the Latvian State University, chairman of the Latvian branch of the Astronomical-Geodetical Society of the U.S.S.R. His work on the motion of small bodies of the solar system contributes much to this field of theoretical astronomy. (M 3569) Obituary published in Zvaigžnotā Debess, No. 143, p. 60-61 (1994). (1806) Derice Dirikis which contained all the illnesses and ailments of mankind. (M 3935) The name Epimetheus has also been given to the satellite Saturn XI, discovered 1980 by the Voyager 1 spacecraft. (1811) Bruwer 4576 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named in honor of Jacobus Albertus Bruwer {1915}, former staff member of the South African Astronomical Observatory in Johannesburg. He is well-known for his observational work on positions of minor planets with the Franklin-Adams camera at Hartbeespoort. (M 4547) (1812) Gilgamesh 4645 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named after the hero of an old-Babylonian saga. (M 4547) 1971 LC. Discovered 1971 June 13 at the Perth Observatory at Bickley. Named in honor of the wife of Dennis Harwood, member of the astrometric team at the Perth Observatory. (M 6530) This is the first numbered minor planet discovered in Oceania. (1813) Imhotep (1807) Slovakia (1814) Bach 1971 QA. Discovered 1971 Aug. 20 by M. Antal at Skalnaté Pleso. Named in honor of one of the two socialistic republics of Czechoslovakia {see planet (2315)}, the country in which the discoverer’s observatory is situated. (M 3508) The Slovak Republic now is an independent state. (1808) Bellerophon 2517 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named after the hero of a Greek saga, who vanquished the Chimaera {see planet (623)}, a monster which was partly lion, partly goat, partly serpent. (M 3934) (1809) Prometheus 2522 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named after the hero of a Greek saga, who stole the fire from the gods. (M 3934) The name Prometheus has also been given to the satellite Saturn XVI, discovered 1980 by the Voyager 1 spacecraft. 145 7589 P-L. Discovered 1960 Oct. 17 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named for a famous physician and architect in the third dynasty of the ancient Egyptian Kingdom, builder of the step-pyramid near Sakkara. (M 4547) 1931 TW1 . Discovered 1931 Oct. 9 by K. Reinmuth at Heidelberg. The German composer, Johann Sebastian Bach (1685-1750). (M 3935) (1815) Beethoven 1932 CE1 . Discovered 1932 Jan. 27 by K. Reinmuth at Heidelberg. The German composer, Ludwig van Beethoven (1770-1827). (M 3935) (1816) Liberia 1936 BD. Discovered 1936 Jan. 29 by C. Jackson at Johannesburg. Named for the state on the western coast of Africa. (M 5183) (1817) Katanga 1939 MB. Discovered 1939 June 20 by C. Jackson at Johannesburg. Named for the chief mining area of the Congo, today named Zaı̈re. (M 5183) (1810) Epimetheus (1818) Brahms 4196 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Epimetheus, the brother of Prometheus {see planet (1809)}, opened the Pandora {see planet (55)} box, 1939 PE. Discovered 1939 Aug. 15 by K. Reinmuth at Heidelberg. The German composer, Johannes Brahms (18331897). (M 3935) 146 (1819) (1819) Laputa 1948 PC. Discovered 1948 Aug. 9 by E. L. Johnson at Johannesburg. Named for the floating island in Gulliver’s Travels, a novel by the English satirist, poet, political writer and clergyman Jonathan Swift (1667-1745). (M 3935) (1820) Lohmann 1949 PO. Discovered 1949 Aug. 2 by K. Reinmuth at Heidelberg. Named in honor of Werner Lohmann {1911-1983}, astronomer at Heidelberg, who worked at the Königstuhl Observatory, and later, since 1949, at the RechenInstitut. He was editor or co-editor of the Astronomischer Jahresbericht, indexing the astronomical literature of the period 1943-1968. (M 4156) (1821) Aconcagua 1950 MB. Discovered 1950 June 24 by M. Itzigsohn at La Plata. Named for one of the highest mountains in South America. It has an elevation of 6960 meters and is situated on the Argentina-Chile border. The western slope of the mountain is the headwaters of a river of the same name whose outlet to the Pacific Ocean is at Valparaiso. (M 7156) Name proposed by F. Pilcher. (1822) Waterman 1950 OO. Discovered 1950 July 25 at the Goethe Link Observatory at Brooklyn, Indiana. Named to honor the memory of Alan T. Waterman {1892-1967}, first director of the U.S. National Science Foundation, in the year which marks the 25th anniversary of the foundation. After 25 years as an academic physicist, he went to Washington to serve with OSRD (1941-45), ONR (1946-51), and NSF (1951-63). Among the many honors he received was the Karl Taylor Compton Gold Medal for distinguished statesmanship in science, awarded by the American Institute of Physics two months before his death. (M 3825) The name is proposed by Frank K. Edmondson. Waterman is also honored by a lunar crater. Laputa included high school teaching, academic appointments at Wisconsin, MIT, and Illinois, director of the Brookhaven National Laboratory, vice-president and president of Associated Universities, Inc. (AUI), member of the Atomic Energy Commission, and director of the National Science Foundation from 1963 to 1969. He conducted the negotiations which led to the joint funding by NSF and the Ford Foundation of a 4 meter telescope at the Cerro Tololo Interamerican Observatory. (M 4156) Proposed by Frank K. Edmondson. (1825) Klare 1954 QH. Discovered 1954 Aug. 31 by K. Reinmuth at Heidelberg. Named in honor of Gerhard Klare {1932- }, an observing astronomer at Heidelberg-Königstuhl Observatory since 1960, whose fields of interest include minor planets. (M 4156) (1826) Miller 1955 RC1 . Discovered 1955 Sept. 14 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of John A. Miller, founder of the Astronomy Department at Indiana University and first director of the Kirkwood {see planet (1578)} Observatory which he built and named for his former teacher. Later he built the Sproul Observatory at Swarthmore College to continue and expand the double star program he had started in Indiana. (M 4236) Proposed by Frank K. Edmondson. (1827) Atkinson 1951 RD. Discovered 1951 Sept. 4 by K. Reinmuth at Heidelberg. Named in honor of Wilhelm Gliese {1915-1993}, an astronomer at the Rechen-Institut since 1943, who is well-known for his work on the nearby stars and the FK4. (M 4156) Obituary published in Mitt. Astron. Ges., Nr. 77, p. 5-7 (1994). 1962 RK. Discovered 1962 Sept. 7 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of Robert d’Escourt Atkinson {18981982}, noted for his contributions to fundamental astronomy. He also pioneered in studying nuclear energy-generation in the Sun and stars, in collaboration with Houtermans in the late 1920’s. During his time as chief assistant at the Royal Observatory, Greenwich, he handled the many details of the move to Herstmonceux, Sussex. He was awarded the Eddington Medal by the Royal Astronomical Society in 1960. Following his retirement from the Royal Greenwich Observatory he served on the Faculty of Indiana University for several years. (M 4236) Proposed by Frank K. Edmondson Obituaries published in J. Br. Astron. Assoc., Vol. 93, No. 4, p. 172-173 (1983); Phys. Today, Vol. 36, No. 5, p. 81-82 (1983); Sky Telesc., Vol. 65, No. 5, p. 417 (1983); Astronomie, Vol. 97, p. 442 (1983); Q.J.R. Astron. Soc., Vol. 25, No. 1, p. 100-104 (1984). (1824) Haworth (1828) Kashirina 1952 FM. Discovered 1952 Mar. 30 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of Leland J. Haworth, a graduate of Indiana University and second director of the National Science Foundation. His long and varied career 1966 PH. Discovered 1966 Aug. 14 by L. I. Chernykh at Nauchnyj. Named in honor of Valentin Semenovich Kashirin, physician from Simferopol (Crimea). (M 3825) Name proposed by L. Chernykh. (1823) Gliese (1829) (1829) Dawson 1967 JJ. Discovered 1967 May 6 by C. U. Cesco and A. R. Klemola at El Leoncito. Named in memory of Bernhard H. Dawson (18901960), a U.S.-born astronomer who worked at the La Plata Observatory in Argentina from 1913 onward. From 1948 to 1955 he was a professor at the Faculdad de Ingeniera de San Juan. He was well known for his visual discoveries and observations of double stars and was also an active observer of minor planets and comets and computer of their orbits. (M 3935) Dawson is also honored by a lunar crater. (1830) Pogson 1968 HA. Discovered 1968 Apr. 17 by P. Wild at Zimmerwald. Named in memory of Norman Robert Pogson (18291891), astronomer at Oxford and later at Madras, discoverer of eight minor planets, including (42) Isis and (67) Asia, and inventor of the astronomical magnitude scale. (M 4236) Pogson is also honored by a lunar crater. (1831) Nicholson 1968 HC. Discovered 1968 Apr. 17 by P. Wild at Zimmerwald. Named in memory of Seth Barnes Nicholson (18911963), discoverer of four of Jupiter’s satellites and pioneer in several branches of observational research on members of the solar system. (M 4236) Nicholson is also honored by craters on the Moon and Mars and by a region on the Jupiter satellite Ganymed. (1832) Mrkos 1969 PC. Discovered 1969 Aug. 11 by L. I. Chernykh at Nauchnyj. Named in honor of Antonin Mrkos {1918-1996}, Director of the Kleť Observatory in Czechoslovakia, well known for his contributions to cometary astronomy. {He was the founder and for many years head of Kleť Observatory who initiated the Kleť minor planet survey, the first one in Czechoslovakia.} (M 3825; N. S. Chernykh) Name proposed by L. Chernykh. Obituaries published in Heavens, Vol. 77, p. 272-273 (1996); Int. Comet Q., Vol. 18, No. 4, p. 182-183 (1996). (1833) Shmakova 1969 PN. Discovered 1969 Aug. 11 by L. I. Chernykh at Nauchnyj. Named in honor of Mrs. M. Ya. hmakova (1910-1971), staff member of the I.T.A. {Institute for Theoretical Astronomy, Leningrad} who contributed much to planetary and cometary orbit computations. (M 3825) (1834) Palach 1969 QP. Discovered 1969 Aug. 22 by L. Kohoutek at Bergedorf. Named in memory of the Czech student of philosophy Jan Palach, who burned himself to death on 1969 Dawson 147 Jan. 16 in Wenceslas Square, Prague, as a protest against the occupation of Czechoslovakia the previous August, resulting in the violent end of the reform movement known as Prague Spring. (M 18643) (1835) Gajdariya 1970 OE. Discovered 1970 July 30 by T. M. Smirnova at Nauchnyj. Named in honor of Arkadij Gajdar (1904-1941), Russian writer. (M 3825) (1836) Komarov 1971 OT. Discovered 1971 July 26 by N. S. Chernykh at Nauchnyj. Named in honor of the Soviet cosmonaut Vladimir Mikhajlovich Komarov (1927-1967). In 1964 he headed the manned flight on the Voskhod spacecraft. He perished on 24 April 1967 when completing the Soyuz-1 spacecraft test-flight. (M 3825) Komarov is also honored by a lunar crater. (1837) Osita 1971 QZ1 . Discovered 1971 Aug. 16 by J. Gibson at El Leoncito. Named by the discoverer in honor of his wife Ursula, of which Osita is the Spanish equivalent. While the discoverer was located at the Yale-Columbia Southern Station she measured and/or reduced more than 150 positions of comets and minor planets. Her volunteer services as assistant, visitor’s guide and secretary were performed in addition to the daily work of making a pleasant home at an isolated location. (M 3935) (1838) Ursa 1971 UC. Discovered 1971 Oct. 20 by P. Wild at Zimmerwald. Named for the discoverer’s wife, Ursula, their son, Urs, and for the bears of Berne. (M 4156) (1839) Ragazza 1971 UF. Discovered 1971 Oct. 20 by P. Wild at Zimmerwald. The Italian word for girl. Also the name alludes to Bad Ragaz, a resort town with hot springs, in Switzerland. (M 4156) (1840) Hus 1971 UY. Discovered 1971 Oct. 26 by L. Kohoutek at Bergedorf. Named in honor of Jan Hus (1372-1415), Czech religious and linguistic reformer, rector of Charles University in Prague. He was condemned to death by the Council of Constance and burned at the stake for his reformation ideas. (M 3757) (1841) Masaryk 1971 UO1 . Discovered 1971 Oct. 26 by L. Kohoutek at Bergedorf. Named in honor of Thomas G. Masaryk (1850-1937), Czechoslovak statesman and philosopher, known for his humanistic ideas. The first president of the independent Czechoslovak Republic. (M 3757) 148 (1842) Hynek (1842) Hynek (1849) Kresák 1972 AA. Discovered 1972 Jan. 14 by L. Kohoutek at Bergedorf. Named by the discoverer in honor of his father, Hynek Kohoutek, on the occasion of his 70th birthday. (M 3757) 1942 AB. Discovered 1942 Jan. 14 by K. Reinmuth at Heidelberg. Named in honor of Luboš Kresák {1927-1994}, astronomer at the Slovak Academy of Sciences in Bratislava. Well-known for his theoretical work on meteors and the question of their relationship with comets and minor planets, he has also been an observer at the Skalnaté Pleso {see planet (2619)} Observatory, where in 1951 he rediscovered the shortperiod comet now known as Tuttle-Giacobini-Kresák {see planets (5036) and (1756) for the codiscoverers}. He was president of IAU Commission 20 for the period 1973-1976. (M 3935) Obituaries published in Icarus, Vol. 109, No. 1, p. 1 (1994); WGN, Vol. 22, No. 1, p. 1-2 (1994); IAU Symp. No. 160, p. 75-76 (1994); Planet. Space Sci., Vol. 42, No. 2, p. 99 (1994); Q.J.R. Astron. Soc., Vol. 35, No. 4, p. 579 (1994). (1843) Jarmila 1972 AB. Discovered 1972 Jan. 14 by L. Kohoutek at Bergedorf. Named by the discoverer in honor of his mother, Jarmila Kohoutkova, on the occasion of her 70th birthday. (M 3757) (1844) Susilva 1972 UB. Discovered 1972 Oct. 30 by P. Wild at Zimmerwald. See {the citation} for (1845) which follows. (M 4156) (1845) Helewalda 1972 UC. Discovered 1972 Oct. 30 by P. Wild at Zimmerwald. Named for two charming former schoolmates of the discoverer, Susi and Helen, both from the town of Wald (Canton Zurich) Switzerland. (M 4156) (1846) Bengt 6553 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named in honor of Bengt Strömgren {1908-1987} on the occasion of his 70th birthday. This renowned Danish astronomer was an authority in the field of stellar structure and stellar evolution. He served as director of the Yerkes Observatory during 1951-1957 and as president of the IAU during 1970-1973. (M 4547) Obituaries published in Astron. Tidsskr., Årg. 20, Nr. 4, p. 175-177 (1987); Messenger, No. 49, p. 1, 43-44 (1987); Sterne Weltraum, 26. Jahrg., Nr. 12, p. 677 (1987); Phys. Today, Vol. 41, No. 3, p. 112-114 (1988); Q.J.R. Astron. Soc., Vol. 29, No. 2, p. 282-284 (1988); Mitt. Astron. Ges., Nr. 73, p. 5-7 (1990); C.R. Acad. Sci., Sér. Gén., Vie Sci., Tome 6, p. 609-610 (1989); IAU Today (20th General Assembly, Baltimore, 1988), No. 3, p. 2, 8 (1988). (1847) Stobbe A916 CA. Discovered 1916 Feb. 1 by H. Thiele at Bergedorf. Named in honor of Joachim Otto Stobbe (1900-1943), astronomer at the Hamburg-Bergedorf Observatory during 1925-1927 who observed comets and minor planets. As chief assistant at the Berlin-Babelsberg Observatory he later did an extensive study of the light curve of (433) Eros. From 1941 until his death he was director of the Poznan Observatory. (M 4236) (1848) Delvaux 1933 QD. Discovered 1933 Aug. 18 by E. Delporte at Uccle. Named in honor of the sister-in-law of Uccle astronomer G. Roland. (M 6832) (1850) Kohoutek 1942 EN. Discovered 1942 Mar. 23 by K. Reinmuth at Heidelberg. Named in honor of the Czech astronomer, Lubos Kohoutek {1935- }, on the staff of the observatory at Hamburg-Bergedorf since 1969. He has contributed much to our knowledge of planetary nebulae and emission-line stars and is also widely known as a discoverer and observer of comets and minor planets. (M 3935) (1851) Lacroute 1950 VA. Discovered 1950 Nov. 9 by L. Boyer at Algiers. Named in honor of Pierre Lacroute {1906-1993}, wellknown French astrometrist who made an independent reduction of the AGK3 using a plate-overlapping technique. As director of the Strasbourg Observatory he was instrumental in the establishment of the Stellar Data Center there, and he served as president of IAU Commission 24 during 1973-1976. (M 4419) Obituaries published in Bull. Am. Astron. Soc., Vol. 25, No. 4, p. 1498 (1993); Astronomie, Vol. 107, p. 128-129 (1993). (1852) Carpenter 1955 GA. Discovered 1955 Apr. 1 at the Goethe Link Observatory at Brooklyn, Indiana. Named in memory of Edwin F. Carpenter (18981963), second director of the Steward Observatory and a director-at-large on the AURA board. His primary research interests were spectroscopic binaries, photometry and interacting galaxies. Despite extremely limited financial resources he succeeded in keeping Steward Observatory an active research center during the nearly three decades of his directorship, and he played a major role in persuading the Papago Tribal Council to lease the top of Kitt Peak to the AURA Board, thereby enabling the construction of the National Observatory on Kitt Peak. (M 5282) (1853) Name proposed by F. K. Edmondson and E. Roemer. Citation written by W. S. Fitch. (1853) McElroy 1957 XE. Discovered 1957 Dec. 15 at the Goethe Link Observatory at Brooklyn, Indiana. Named in honor of William David McElroy, distinguished biologist and biochemist, chairman of the biology department at Johns Hopkins University during 1956-1969, later director of the National Science Foundation (1969-1972) and chancellor of the University of California at San Diego (1972-1980). During his tenure as director of N.S.F. the U.S. government decided to fund the Very Large Array, which will be the pre-eminent instrument for radio astronomy for many years to come. (M 5450) (1854) Skvortsov McElroy 149 (1859) Kovalevskaya 1972 RS2. Discovered 1972 Sept. 4 by L. V. Zhuravleva at Nauchnyj. Named in honor of Sophie Kovalevskaya (1850-1891), the first Russian woman mathematician, associate member of the St. Petersburg Academy of Sciences, widely known for her researches on differential equations, Abelian integrals and the rotational motion of solid bodies. (M 3826) Kovalevskaya is also honored by a lunar crater. (1860) Barbarossa 1973 SK. Discovered 1973 Sept. 28 by P. Wild at Zimmerwald. The name of the famous German emperor was the nickname (Barba) of the discoverer’s favorite mathematics teacher, Dr. Jakob Stauber, (1880-1952) in Trogen, Switzerland. (M 4157) 1968 UE1. Discovered 1968 Oct. 22 by T. M. Smirnova at Nauchnyj. Named in honor of Prof. E. F. Skvortsov (18821952), an instructor of astronomy in the Simferopol Pedagogical Institute, an active observer of minor planets at Simeis, and the discoverer of several new planets. (M 3825) 1970 WB. Discovered 1970 Nov. 24 by L. Kohoutek at Bergedorf. Named in honor of Jan Amos Komenský (Comenius, 1592-1670), Czech educational reformer and theologian, sometimes called the grandfather of modern education. He had to spend most of his life in exile. (M 3757) (1855) Korolev (1862) Apollo 1969 TU1 . Discovered 1969 Oct. 8 by L. I. Chernykh at Nauchnyj. Named in honor of academician Sergej Pavlovich Korolev (1907-1966), an outstanding designer of Soviet space rockets and spacecraft. (M 3825) Korolev is also honored by craters on Mars and the Moon. (1856) Ružena 1969 TW1 . Discovered 1969 Oct. 8 by L. I. Chernykh at Nauchnyj. Named in honor of Miss Ružena Petrovicova, a staff member of the Kleť Observatory, and an observer of comets and minor planets. (M 3825) Name proposed by L. Chernykh. (1857) Parchomenko 1971 QS1. Discovered 1971 Aug. 30 by T. M. Smirnova at Nauchnyj. Named in honor of Praskoviya Georgievna Parchomenko (1886-1970), astronomer. In 1930-1940 she observed minor planets at Simeis and discovered several new ones. (M 3826) (1858) Lobachevskij 1972 QL. Discovered 1972 Aug. 18 by L. V. Zhuravleva at Nauchnyj. Named in honor of Nikolaj Ivanovich Lobachevskij (1792-1856), Russian mathematician, the creator of the first comprehensive system of non-Euclidian geometry. (M 3826) Lobachevskij is also honored by a lunar crater. (1861) Komenský 1932 HA. Discovered 1932 Apr. 24 by K. Reinmuth at Heidelberg. This object is named for the god of the Sun, child of Zeus and Leto {see planets (5731) and (68)}. (M 3758) See also the naming citation of planet (4544). (1863) Antinous 1948 EA. Discovered 1948 Mar. 7 by C. A. Wirtanen at Mount Hamilton. Antinous was one of the many unwelcome suitors for Penelope’s {see planet (201)} hand while her husband, Odysseus {see planet (1143)}, was away on his travels. Antinous, being the most insolent of all, was the first to be killed by Odysseus on his return. (M 3935) (1864) Daedalus 1971 FA. Discovered 1971 Mar. 24 by T. Gehrels at Palomar. Named for the builder of King Minos’ {see planet (6239)} labyrinth, who was subsequently imprisoned there with his son Icarus. Both escaped, on wings of feathers and wax, but whereas Icarus was drowned when the wax in his wings melted {see planet (1566)}, Daedalus went on to Sicily and built there a temple to Apollo {see planet (1862)}. (M 3758) This mythological figure also exists as a lunar crater. (1865) Cerberus 1971 UA. Discovered 1971 Oct. 26 by L. Kohoutek at Bergedorf. Named for the three-headed dog that guarded the entrance to Hades. His capture (and subsequent return) 150 (1866) marked the last of the twelve labors of Hercules. Cerberus is also the name of an extinct constellation now contained in the eastern part of Hercules. (M 3758) (1866) Sisyphus 1972 XA. Discovered 1972 Dec. 5 by P. Wild at Zimmerwald. Named for the cruel king of Corinth, punished by being given the task of rolling a large stone up to a hill in Hades, only to have it roll down again each time he neared the top. (M 3758) (1867) Deiphobus 1971 EA. Discovered 1971 Mar. 3 by C. U. Cesco at El Leoncito. Named after the Trojan warrior, son of Priamus {see planet (884)} and Hecuba {see planet (108)}. (M 3935) (1868) Thersites 2008 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named after a Greek warrior who wanted to stop the siege of Troy and go home. This is a fitting name for this asteroid which was found farthest from the Trojan libration point. (M 3826) (1869) Philoctetes 4596 P-L. Discovered 1960 Sept. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named after a Greek archer and armor-bearer of Hercules, wounded and left to die on the way to the Trojan War. Since it had been prophesied that Troy could not be taken without the arrows of Hercules, Philoctetes was later taken to Troy, where he killed Paris {see planet (3317)}. (M 3826) (1870) Glaukos 1971 FE. Discovered 1971 Mar. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Glaukos, king of the Lycians, was an ally of Troy during the Trojan War. (M 3826) (1871) Astyanax 1971 FF. Discovered 1971 Mar. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named after a son of Hector and Andromache {see planets (624) and (175)}, killed after the capture of Troy. (M 3826) (1872) Helenos 1971 FG. Discovered 1971 Mar. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named after a son of Priamus and Hecuba {see planets (884) and (108)}, who was taken prisoner by the Greeks during the Trojan War. (M 3826) (1873) Agenor 1971 FH. Discovered 1971 Mar. 25 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Sisyphus Named after a Trojan warrior, who fought with and wounded Achilles {see planet (588)}. Apollo {see planet (1862)} assumed his form in order to lead Achilles away from the retreating Trojans. (M 3826) Name proposed by Brian G. Marsden. (1874) Kacivelia A924 RC. Discovered 1924 Sept. 5 by S. I. Belyavskij at Simeis. Named in honor of the Black Sea Hydrographical Station (now the Marine Hydrographical Institute). Kaciveli is a village near Simeis {see planet (748)}, the site of the institute. (M 3936) The name had been proposed in the 1930’s by the late Prof. E. Skvortsov. (1875) Neruda 1969 QQ. Discovered 1969 Aug. 22 by L. Kohoutek at Bergedorf. Named in memory of Jan Neruda (1834-1891), Czech lyric poet, novelist and journalist. He published several volumes of poems, notably Cosmic Songs, as well as collections of essays, plays and stories, of which the best known is Stories from Malá Strana. (M 18446) (1876) Napolitania 1970 BA. Discovered 1970 Jan. 31 by C. T. Kowal at Palomar. Named in honor of the city of Naples, the birthplace of Mrs. Kowal. (M 3826) (1877) Marsden 1971 FC. Discovered 1971 Mar. 24 by C. J. van Houten and I. van Houten-Groeneveld at Palomar. Named in honor of Brian G. Marsden {1937- }, Smithsonian Astrophysical Observatory, in recognition of his numerous contributions in the field of orbit calculations for comets and minor planets, his improved versions of the Catalogue of Cometary Orbits, and his activities in the Central Bureau and in Commission 20 of the I.A.U. (M 3826) Proposed by his colleagues, Elizabeth Roemer, Frank Edmondson, Tom Gehrels and Paul Herget. Marsden was also honored by a series of minor planets - see the citation for planet (5699). (1878) Hughes 1933 QC. Discovered 1933 Aug. 18 by E. Delporte at Uccle. Named in honor of the son of Mireille (née Delporte) Demiddelaer {see planet (1926)}, granddaughter of the discoverer. (M 8402) (1879) Broederstroom 1935 UN. Discovered 1935 Oct. 16 by H. van Gent at Johannesburg. Named for the village in South Africa near which the Leiden Southern Observatory was located from 1957 to 1982. (M 6833) (1880) McCrosky 151 (1880) McCrosky (1886) Lowell 1940 AN. Discovered 1940 Jan. 13 by K. Reinmuth at Heidelberg. Named in honor of Richard E. McCrosky {1924- }, in appreciation of his role in the recovery of (1862) Apollo. On the staff of the Harvard-Smithsonian Center for Astrophysics, he has been in charge of the Prairie Network for the observations of fireballs, which led to the recovery of the Lost City meteorite in 1970. From 1970 to 1973 he was president of IAU Commission 22. (M 3936) 1949 MP. Discovered 1949 June 21 by H. L. Giclas and R. D. Schaldach at Flagstaff.
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'Tortured phrases' in post-publication peer review of materials, computer and engineering sciences reveal linguistic-related editing problems
Jaime A. Teixeira da Silva
English
Spoken
4,256
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Abstract A surge in post-publication activity related to editing, including by technical editors and copyeditors, is worthy of some discussion. One of these issues involves the issue of 'tortured phrases', which are bizarre terms and phrases in academic papers that replace standard English expressions or jargon. This phenomenon may reveal an attempt to avoid the detection of textual similarity or to masquerade plagiarism, and yet remain undetected by editors, peer reviewers and text editors. Potentially thousands of cases have already been discovered and reported publicly on the post-publication platform PubPeer. In this opinion paper, 35 cases from ranked scholarly journals are presented, mainly the fields of materials, computer and engineering sciences. This collation serves to expand discussion about this integrity-related phenomenon and to increase educational awareness of the topic. Citation:  Teixeira da Silva JA. 2022. 'Tortured phrases' in post-publication peer review of materials, computer and engineering sciences reveal linguistic-related editing problems. Publishing Research 1:6 https://doi.org/10.48130/PR-2022-0006 Citation:  Teixeira da Silva JA. 2022. 'Tortured phrases' in post-publication peer review of materials, computer and engineering sciences reveal linguistic-related editing problems. Publishing Research 1:6 https://doi.org/10.48130/PR-2022-0006 Editorial functions, responsibilities, and macro- and micro-management detection of textual similarity or plagiarism, or use of image- related forensics to detect manipulated images[4,10,11]. Increa- singly, editors are also tasked with dealing with post-publica- tion challenges on them, their work, and the papers that they have approved for publication[4,12]. Such tasks are accompanied by the weight of editorial responsibility, in which failure in any of these aspects, whether minor or major, reflects a failure in editorial micro- and macro-management. Basic editorial functions, such as editing, lie at the heart of reliable and quality science publishing. The accuracy of English in the context of scientific publishing has become central to ranked and indexed journals[1]. The fine-scale refinement of language, grammar or punctuation, and attention to detail, are aspects that can define a journal that places emphasis on accuracy and perfection[2]. Consequently, inaccuracies that arise from editing errors and/or failure in editorial quality control can harm the image of a journal and its editors, if such issues are extensive or repetitive, following traditional peer review[3,4]. The integrity of the publication process has been placing, in recent times, a greater level of scrutiny on the ethical integrity of the published literature, although attention to editing has – until recent times – generally considered to be a minor aspect of that scrutiny, even though such errors reflect – to different extents – a lack of editorial integrity[5]. Not all tools that exist to fortify research and publishing integrity fully achieve this goal, and some in fact have limitations or flaws, such as now-defunct Publons[6], Open Research and Contri- butor Identifier (ORCID)[7], or text similarity or plagiarism detection software[8]. Open Access Open Access https://doi.org/10.48130/PR-2022-0006 Publishing Research 2022, 1:6 https://doi.org/10.48130/PR-2022-0006 Publishing Research 2022, 1:6 Jaime A. Teixeira da Silva* Jaime A. Teixeira da Silva* Independent researcher, Ikenobe 3011-2, Kagawa-ken, 761-0799, Japan * Corresponding author, E-mail: jaimetex@yahoo.com Independent researcher, Ikenobe 3011-2, Kagawa-ken, 761-0799, Japan * Corresponding author, E-mail: jaimetex@yahoo.com www.maxapress.com/pubres www.maxapress.com © The Author(s) 'Tortured phrases' in post-publication peer review of materials, computer and engineering sciences reveal linguistic-related editing problems Jaime A. Teixeira da Silva* Independent researcher, Ikenobe 3011-2, Kagawa-ken, 761-0799, Japan * Corresponding author, E-mail: jaimetex@yahoo.com Jaime A. Teixeira da Silva* PERSPECTIVE 'Tortured phrases' in science publishing: Concept and ethics-related debate The greater risk to status quo journals or publishers is that their reputations will suffer, trust in the efficiency of the editorial process may be lost, and if such errors are not corrected at the post-publication stage, as they should be[33], then they might begin to encroach on the publishing research territory that was once exclusively assigned to the latter ('predatory') group of journals or publishers, creating a gray zone of publishing quality[34]. More importantly, in such cases, if status quo journals and publishers continue to draw benefit (ranking, metrics, indexing, branding), despite the existence of wide-spread errors, there may be a worrying perception that they are unfairly receiving benefit from the publication of erroneous science[35]. For example, using the stated price on the publishers' websites to access the papers listed in Table 1 (except evidently for open access papers), the total price to access these papers with errors (in this case 'tortured phrases' and lack of clarity) is US$ 1,040. While some may argue that the sale of papers with minor errors is a trivial issue, when papers carry unethical or fraudulent elements, the issue of the sale of those papers will increasingly become a reputational problem. It is within this wider discussion of editorial responsibilities that recent attention has been focused on the existence of 'tortured phrases'[21], which are non-standard or bizarre terms and phrases that seemingly replace standard scientific jargon or conventional English expressions, possibly as an attempt to avoid, during the peer review process, the detection of textual similarity or plagiarism, and thus foil automated artificial intelligence (AI)- or machine-based software and human detection[22,23]. Conventional AI-based plagiarism-detection software is not always able to detect text that has been derived from reverse translation or the use of paraphrasing tools, although some tools are now able to detect machine- paraphrased text[24]. These errors clearly reflect editorial failures at macro- and micro-levels, but it is unclear to what extent authors, editors or publishers' proof departments fail to notice such errors during the peer review and proofing processes, and subsequent publication. For example, a common English expression such as 'upsetting the apple cart' might be described, after the use of machine- or AI-aided thesauruses or synonymizing software, as 'disturbing the fruit chariot', thereby reducing textual similarity in three of the four original words, or by 75%, thereby avoiding detection by text similarity software. Focus on failed editorial management: Culpability, accountability, and reform The post-publication movement has been abuzz in recent years, and has focused its core attention on ethics and integrity-related issues such as fraud and misconduct. Within those broad themes, abuse of the peer review process, the illicit (i.e., paid-for) or undisclosed (i.e., lack of due attribution or non- acknowledged) use of third party services and consultancies, such as paper production or paper mills[13], analytical services, language and editing-related services[14], false authorship (guest or ghost), plagiarism, data abuses and/or statistical errors[15], are just a fraction of the issues currently plaguing the integrity of the published literature, and challenging the borders of responsibility between authors, editors and publi- shers. There is a formidable market of writing and editing services, including those provided by several mainstream publishers[16]. To the author's knowledge, limited attention or scrutiny has been to these for-profit services. Editors' tasks are not few, nor are they simple. They may range widely from overseeing peer review, or in the case of the editor-in-chief, macro-management of the editorial team, interaction with the publisher while also micro-managing tasks during the revision and processing of tasks related to style, language, or settings during or after the peer review of a manuscript[4,9]. Their functions also include the need to pay attention to ethics-and integrity-related issues such as the The culmination of post-publication scrutiny of multiple issues related to academic journals, editors and publishers is resulting in a marked increase in errata and retractions[17]. In all of these cases, at least in legitimate scholarly journals, all 'Tortured phrases' in PPPR papers were ultimately approved for publication by editors, supposedly with pre-publication proof-reading by publishers' technical editors and/or copyeditors. Some academics whose native language is not English may use autocorrect software[18], and the undeclared use of such software is not easy – or almost impossible – for copyeditors to detect. Even if authors circumvented established rules or guidelines, accidentally or purposefully, finally, editors provided their stamp of approval for the publication of a study, following claimed peer review and editorial screening, that was insufficiently scrutinized. For this reason, even though there is de facto shared responsibility for failure of the peer review process and editorial handling that is often implicit in an erratum or retraction, it is not always explicitly conveyed to the academic community or the public because communication, such as through retraction notices, can be skewed, opaque and/or incomplete[19,20]. Focus on failed editorial management: Culpability, accountability, and reform fatal linguistic errors, ultimately reducing comprehension by the reader and the paper's scientific value. They might also reveal an increasing over-reliance by editors on software that discovers textual similarity but that automatically interprets it as plagiarism, i.e., the potentially erroneous synonymization of textual similarity and plagiarism[8,23]. If the purpose of authors that engage in textual synonymization through the use of thesauruses or other AI-assisted techniques, such as reverse- translation software[23,29], is to avoid the detection of plagia- rism, then perhaps the culture of plagiarism and plagiarism detection in academic publishing needs to be rethought and retaught, especially to academics for whom English is not their native language[30]. What makes known cases (see select examples in Table 1) particularly troubling is that they are being detected in journals that are indexed (PubMed, Web of Science, Scopus, DOAJ, Crossref, etc.), have been assigned a digital object identifier (DOI) and a metric (Clarivate Analytics Journal Impact Factor (JIF), Elsevier/Scopus CiteScore, Scimago Journal Ranking, etc.), carry an industry brand of editorial quality (OASPA, COPE, ICMJE, etc. membership or compliance)[9], or are otherwise tra- ditionally classified as safe-to-publish-in white-listed journals. If basic editorial failure is being discovered in such status quo peer-reviewed journals and publishers[31], then the moral impact and weighting of voices of those who criticize the lack of editorial quality or failed peer review in so-called unscholarly, 'predatory' or academically suspect journals or publishers[32] will be reduced. Editors and publishers are continually adjusting their managerial tasks to accommodate new skills, techniques and support structures such as online submission systems, refe- rence managers, statistical software, or text similarity detection software. The efficiency of editorial processing often requires an amalgamation of such skills and the responsibilities described above. The lack of any one of these may result in the escape of details and the loss of quality of the final product, i.e., the published paper. Teixeira da Silva Publishing Research 2022, 1:6 'Tortured phrases' in science publishing: Concept and ethics-related debate Also hypothetically, a term such as 'skin cancer' might be retextualized as 'epidermal growths', distorting standard medical jargon[25], while the use of incorrect or ambiguous terms may result in novel and non- existent attributes, such as the heterosexual charge of a lithium-ion battery[26] or the carbon structure[27], or the misrepresentation of conventional medical terms such as Alzheimer's disease with 'tortured phrases' such as 'Alzheimer's affliction', 'Alzheimer's infection', 'Alzheimer's problem', or 'Alzheimer's sickness'[28]. Such adjustments would introduce It is unclear at this time if the potentially thousands or more cases that have been detected thus far of linguistically- compromised papers, possibly using techniques to avoid the detection of textual similarity or plagiarism, are merely instances of non-native English speakers making frivolous, inadvertent and/or unintentional errors, or if there is a more sinister unethical component[21,29], such as the intentional 'targeting' of lower-ranked journals, proceedings, or book chap- ters, to avoid the detection of such manipulation. Independent of the reason, or the intention of culprits, one aspect is clear: there has been failure in quality control by the authors, editors, publishers and all associated parties related to copyediting and textual verification. Consequently, there needs to be Page 2 of 6 Page 2 of 6 Teixeira da Silva Publishing Research 2022, 1:6 'Tortured phrases' in PPPR 'Tortured phrases' in PPPR retextualization of text, possibly through the use of thesauruses or synonym converters, with the Tortu Table 1. Select examplesi of 'tortured phrases', synonymized text or nonsense language resulting from the retextualization of text, possibly through the use of thesauruses or synonym converters, with the potential objective of avoiding plagiarism or detection of similar text by text similarity detection software. 'Tortured phrases' in science publishing: Concept and ethics-related debate Indicated expression or phrase Intended expression or phraseii JournalJIF Publisher Article source (DOI) (year) (price* of PDF) Ovarian disease Ovarian cancer Materials Today: Proceedings1 Elsevier $ https://doi.org/10.1016/j.matpr.2020.12.220 (2021) US 32 Yield/shear worry Yield/shear stress Materials Today: Proceedings1 Elsevier $ https://doi.org/10.1016/j.matpr.2020.11.061 (2020) US 32 Warm anxiety Thermal stress Materials Today: Proceedings1 Elsevier $ https://doi.org/10.1016/j.matpr.2019.06.308 (2019) US 32 Other worldly liquid elements Spectral fluid dynamics Partial Differential Equations in Applied Mathematics2 Elsevier https://doi.org/10.1016/j.padiff.2021.100043 (2021)OA Irregular timberland Random forest Journal of Computational Science3 Elsevier $ https://doi.org/10.1016/j.jocs.2017.06.006 (2018) US 36 Gigantic datagoof rate Big data error rate Microprocessors and Microsystems4 Elsevier $ https://doi.org/10.1016/j.micpro.2020.103603 (2021) US 36 Siscourse acknowledgement Voice recognition Microprocessors and Microsystems4 Elsevier $ https://doi.org/10.1016/j.micpro.2021.103932 (2021) US 36 Counterfeit neural organization face acknowledgement Artificial neural network facial recognition Microprocessors and Microsystems4 Elsevier $ https://doi.org/10.1016/j.micpro.2020.103708 (2021) US 36 Weight slope Pressure gradient International Journal of Hydrogen Energy5 Elsevier $ https://doi.org/10.1016/j.ijhydene.2019.04.034 (2019) US 36 Populace thickness sun-oriented vitality Population density solar energy Solar Energy6 Elsevier $ https://doi.org/10.1016/j.solener.2019.05.036 (2019) US 36 Huge information Big data Computer Networks7 Elsevier $ https://doi.org/10.1016/j.comnet.2019.03.006 (2019) US 36 Savvy traffic/building Smart traffic/building Journal of Network and Computer Applications8 Elsevier $ https://doi.org/10.1016/j.jnca.2020.102761 (2020) US 40 Mean square blunder esteem Mean square error estimate Neural Computing and Applications9 Springer Nature $ https://doi.org/10.1007/s00521-018-3801-x (2020) US 40 Diary bearings Journal bearings Journal of the Brazilian Society of Mechanical Sciences and Engineering10 Springer Nature $ https://doi.org/10.1007/s40430-020-02446-8 (2020) US 40 Mostly least square backslide chief segment examination Partial least square regression principal component analysis Advances in Biometricsiii Springer Nature $ https://doi.org/10.1007/978-3-030-30436-2_14 (2019) US 30 Vitality utilize/efficiency Energy use/efficiency Environmental Science and Pollution Research11 Springer Nature $ https://doi.org/10.1007/s11356-019-06520-0 (2019) US 40 Substantial metals Heavy metals Environmental Science and Pollution Research11 Springer Nature $ https://doi.org/10.1007/s11356-019-04547-x (2019) US 40 Picture handling edge esteem Image processing edge value Soft Computing12 Springer Nature $ https://doi.org/10.1007/s00500-018-3618-7 (2019) US 40 Human-made reasoning Artificial intelligence Multimedia Tools and Applications13 Springer Nature $ https://doi.org/10.1007/s11042-021-10962-5 (2021) US 40 Vitality productivity Energy efficiency Intelligent Communication Technologies and Virtual Mobile Networksiii Springer Nature $ https://doi.org/10.1007/978-3-030-28364-3_39 (2020) US 30 Process item assessment Software analytics IOP Conference Series: Materials Science and Engineeringiv, 14 IOP Publishing https://doi.org/10.1088/1757-899x/981/2/022078 (2020)OA; R Protection of vitality Conservation of energy IOP Conference Series: Materials Science and Engineeringiv, 14 IOP Publishing https://doi.org/10.1088/1757-899x/737/1/012154 (2020)OA Vitality Energy IOP Conference Series: Materials Science and Engineeringiv, 14 IOP Publishing https://doi.org/10.1088/1757-899x/577/1/012035 (2019)OA Counterfeit neural organizations Artificial neural networks Journal of Physics: Conference Seriesiv, 15 IOP Publishing https://doi.org/10.1088/1742-6596/1916/1/012149 (2021)OA; R Corridor impact sensor Hall effect sensor International Journal of Ambient Energy16 Taylor & Francis $ https://doi.org/10.1080/01430750.2020.1860129 (2020) US 55 Blubbery acids Fatty acids International Journal of Ambient Energy16 Taylor & Francis https://doi.org/10.1080/01430750.2018.1443501 (2020) $US 55 (to be continued) Teixeira da Silva Publishing Research 2022, 1:6   Page Page 3 of 6 'Tortured phrases' in PPPR Indicated expression or phrase Intended expression or phraseii JournalJIF Publisher Article source (DOI) (year) (price* of PDF) vitality effectiveness/emergency energy effectiveness/emergency International Journal of Ambient Energy16 Taylor & Francis $ https://doi.org/10.1080/01430750.2019.1568912 (2022) US 55 E-social insurance data E-healthcare data International Journal of Computers and Applications17 Taylor & Francis $ https://doi.org/10.1080/1206212X.2019.1619277 (2020) US 55 Compromising get-togethers Malicious parties 2nd International Conference on Intelligent Computing, Instrumentation and Control Technologies (ICICICT)iv IEEE $ https://doi.org/10.1109/ICICICT46008.2019.8993276 (2019) U Shrewd city Smart city 2019 IEEE International Smart Cities Conference (ISC2)iv IEEE $ https://doi.org/10.1109/isc246665.2019.9071771 (2019) US 33 Solar boards savvy homes Solar panels smart homes 3rd International Conference on Emerging Technologies in Computer Engineering: Machine Learning and Internet of Things (ICETCE)iv IEEE $ https://doi.org/10.1109/ICETCE48199.2020.9091737 (2020) US Shrewd gadget Smart gadget 2017 International Conference on Communication and Signal Processing (ICCSP)iv IEEE $ https://doi.org/10.1109/ICCSP.2017.8286658 (2017) US 33 Surface unpleasantness Surface roughness MATEC Web of Conferencesiv, 18 EDP Sciences https://doi.org/10.1051/e3sconf/202018401044 (2020)OA Warmth exchange Heat transfer MATEC Web of Conferencesiv, 18 EDP Sciences https://doi.org/10.1051/matecconf/201817206004 (2018)OA Flimsy oscillatory stream outside attractive field thick liquid Unsteady oscillatory flow External magnetic field viscous fluid AIP Conference Proceedings 2112iv, 19 AIP Publishing LLC https://doi.org/10.1063/1.5112292 (2019)OA i The author thanks the hat tips provided at PubPeer (traceable by papers' DOIs), primarily by Elizabeth Bik (Harbers-Bik LLC, USA), Nicholas (Nick) Wise (Department of Engineering, University of Cambridge, Guillaume Cabanac (Computer Science Department, University of Toulouse, France), and Alexander Magazinov (Yandex N.V., Russia); ii This the most likely assumed or logical meaning; iii book chapter; iv conference proceedings. Teixeira da Silva Publishing Research 2022, 1:6 Limitations, notes of caution, and suggestions Gasparyan AY, Yessirkepov M, Voronov AA, Koroleva AM, Kitas GD. 2018. Updated editorial guidance for quality and reliability of research output. Journal of Korean Medical Science 33:e247 9. This paper and its interpretations have several limitations. Table 1 is only a small non-exhaustive sample of 35 papers, limited exclusively to the materials, computer and engineering sciences, which may or may not be representative of the total sample size, or range, of the issue of 'tortured phrases' as detected by Cabanac et al.[21] and others. These cases, drawn primarily from the discovery by named and anonymous individuals at PubPeer, do not serve as a trend indicator of the frequency or the presence of other cases of 'tortured phrases' in the text, so it is still premature to draw conclusions regarding patterns or trends related to authors, journals or publishers. Readers and academics that conduct such analyses must be careful not to automatically associate cases of 'tortured phrases' with academic misconduct, even though some are hinting at this possibility[21,23], and they must be careful about drawing potentially erroneous conclusions based on authors' country of origin or institutional affiliation to avoid potential racial, cultural or other profiling. The open access nature of the papers listed in Table 1 has been indicated, as has the JIF of the journals in which they have been published, but a detailed analysis of the open access versus subscription (pay to access) status of such papers is warranted. Finally, it is important to study the risk to the integrity of literature that cites these papers, and the way in which these erroneous texts have been interpreted and/or cloned into literature that have cited these papers. Ferragut JF, Pinto N, Amorim A, Picornell A. 2019. Improving publication quality and the importance of post publication peer review: The illustrating example of X chromosome analysis and calculation of forensic parameters. Forensic Science International. Genetics 38:E5−E7 10. Szomszor M, Quaderi N. 2020. Research Integrity: Understanding our shared responsibility for a sustainable scholarly ecosystem. Report. Institute for Scientific Information (ISI). https://clarivate. com/wp-content/uploads/2021/02/ISI-Research-Integrity- Report.pdf 11. Teixeira da Silva JA, Dobránszki J. 2015. Problems with traditional science publishing and finding a wider niche for post-publication peer review. Accountability in Research 22:22−40 12. Rivera H, Teixeira da Silva JA. 2021. Retractions, fake peer reviews, and paper mills. Journal of Korean Medical Science 36:e165 13. Teixeira da Silva JA. 2021. Limitations, notes of caution, and suggestions Outsourced English revision, editing, publication consultation and integrity services should be acknow- ledged in an academic paper. Journal of Nanoparticle Research 23:81 14. Yamada Y. 2021. How to protect the credibility of articles published in predatory journals. Publications 9:4 15. Zakaria MS. 2022. Online manuscript editing services for multilin- gual authors: A content analysis study. Science & Technology Libraries 41:90−111 16. Bhatt B. 2021. A multi-perspective analysis of retractions in life sciences. Scientometrics 126:4039−54 17. Rahimi M, Shahryari A. 2019. The role of autocorrect software use in learning English as a foreign language. Technology of Education Journal 13:511−20 18. 'Tortured phrases' in PPPR Dobránszki J, Teixeira da Silva JA. 2016. Editorial responsibilities: both sides of the coin. Journal of Educational and Social Research 6:9 3. heightened accountability and transparency. Moreover, so that the same errors are not repeated by the same or other parties, reasons for their existence need to be transparently explained by authors, editors and publishers. Absent public transparency, it will be difficult, if not impossible, to reform publishing culture, procedures, technologies and tools. Therefore, novel ways to correct affected literature[36], and to reform the culture of error-prone scientific publication, rewarding good behavior[37], without leaving academia stigmatized and traumatized[38], are needed. Noel M. 2022. Opening up of editorial activities at chemistry journals. What does editorship mean and what does it involve? Frontiers in Research Metrics and Analytics 7:747846 4. Santos AT, Mendonça S. 2022. The small world of innovation studies: an "editormetrics" perspective. Scientometrics 127:7471−86 5. Teixeira da Silva JA, Nazarovets S. 2022. The role of Publons in the context of open peer review. Publishing Research Quarterly 38:760−81 6. Incidentally, two of the papers in Table 1, both published by IOP Publishing, have been retracted, with one of the reasons for their retraction being indicated in the retraction notices as the existence of 'tortured phrases'. Teixeira da Silva JA. 2021. A reality check on publishing integrity tools in biomedical science. Clinical Rheumatology 40:2113−14 7. Misra DP, Ravindran V. 2021. Detecting and handling suspected plagiarism in submitted manuscripts. Journal of the Royal College of Physicians of Edinburgh 51:115−17 8. Dates Xu SB, Hu G. 2022. A cross-disciplinary and severity-based study of author-related reasons for retraction. Accountability in Research 29:512−36 20. Received 8 August 2022; Accepted 16 November 2022; Published online 28 December 2022 Cabanac G, Labbé C, Magazinov A. 2021. Tortured phrases: A dubious writing style emerging in science. Evidence of critical issues affecting established journals. arXiv Preprint:1−27 21. Conflict of interest Teixeira da Silva JA, Vuong QH. 2021. Fortification of retraction notices to improve their transparency and usefulness. Learned Publishing 35:292−99 19. The author declares that there is no conflict of interest. 'Tortured phrases' in science publishing: Concept and ethics-related debate OA open access; R retracted. Underlined dates = in press. * Prices were rounded up. Clarivate Analytics Journal Impact Factors (2021/2022): 1 = none (CiteScore = 2.0); 2 = none; 3 = 3.976; 4 = 1.525; 5 = 5.816; 6 = 5.742; 7 = 4.474; 8 = 6.281; 9 = 5.606; 10 = 2.220; 11 = 4.223; 12 = 3.643; 13 = 2.757; 14 = none (CiteScore = 0.7); 15 = none (CiteScore = 0.7); 16 = none (CiteScore = 3.5); 17 = none (CiteScore = 2.0); 18 = none; 19 = none (CiteScore = 0.7) e4of6 Teixeira da Silva Publishing Research 2022, 1:6 'Tortured phrases' in PPPR 'Tortured phrases' in PPPR Wahle JP, Ruas T, Foltýnek T, Meuschke N, Gipp B. 2022. Identifying machine-paraphrased plagiarism. In International Conference on Information. iConference 2022: Information for a Better World: Sha- ping the Global Future, ed. Smits M. Switzerland: Springer, Cham. pp. 393–413. https://doi.org/10.1007/978-3-030-96957-8_34 24. Mills D, Inouye K. 2021. Problematizing 'predatory publishing': A systematic review of factors shaping publishing motives, deci- sions, and experiences. Learned Publishing 34:89−104 32. Teixeira da Silva JA. 2016. An error is an error… is an erratum. The ethics of not correcting errors in the science literature. Publishing Research Quarterly 32:220−26 33. Teixeira da Silva JA. 2022. Tortured phrases dilute the specificity of medical jargon. Journal of Health and Social Sciences 7:137−40 25. Yamada Y, Teixeira da Silva JA. 2022. A psychological perspective towards understanding the objective and subjective gray zones in predatory publishing. Quality & Quantity 56:4075−87 34. Teixeira da Silva JA. 2022. The mythical heterosexual charge of a lithium-ion battery. Engineering and Applied Science Letter 5:18−20 26. predatory publishing. Quality & Quantity 56:4075−87 Teixeira da Silva JA, Vuong Q-H. 2021. Do legitimate publishers profit from error, misconduct or fraud. Exchanges 8:55−68 35. Teixeira da Silva JA. 2021. A tortured phrase claims heterosexuality of the carbon structure. Results in Physics 30:104842 27. Teixeira da Silva JA. 2022. A synthesis of the formats for correcting erroneous and fraudulent academic literature, and associated challenges. Journal for General Philosophy of Science 53:583−99 36. Teixeira da Silva JA. 2022. Is Alzheimer's disease by any other name still Alzheimer's disease? Journal of Alzheimer's Disease Reports. www.j-alz.com/content/alzheimers-disease-any-other-name-still- alzheimers-disease 28. Vuong Q-H. 2020. Reform retractions to make them more transparent. Nature 582:149 37. Else H. 2021. 'Tortured phrases' give away fabricated research papers. Nature 596:328−29 29. Teixeira da Silva JA, Al-Khatib A. 2021. Ending the retraction stigma: encouraging the reporting of errors in the biomedical record. Research in Ethics 17:251−59 38. Busse CE, Anderson EW, Endale T, Smith YR, Kaniecki M, et al. 2022. Strengthening research capacity: a systematic review of manu- script writing and publishing interventions for researchers in low- income and middle-income countries. BMJ Global Health 7:e008059 30. Copyright: © 2022 by the author(s). Published by Maximum Academic Press, Fayetteville, GA. This article is an open access article distributed under Creative Commons Attribution License (CC BY 4.0), visit https://creative- commons.org/licenses/by/4.0/. Horbach SPJMS, Halffman WW. 2018. The changing forms and expectations of peer review. Teixeira da Silva Publishing Research 2022, 1:6 REFERENCES Rogerson AM. 2020. The use and misuse of online paraphrasing, editing and translation software. In A Research Agenda for Academic Integrity, ed. Bretag T. Cheltenham, UK: Edward Elgar Publishing Ltd. pp. 163–74. https://doi.org/10.4337/978178990 3775.0019 22. Henshall AC. 2018. English language policies in scientific journals: Signs of change in the field of economics. Journal of English for Academic Purposes 36:26−36 1. Guinda CS. 2022. The tug-of-war of journal editing: Trust and risk in focus. In The Inner World of Gatekeeping in Scholarly Publication, eds. Habibie P, Hultgren AK. Switzerland: Palgrave Macmillan, Cham. pp. 185–205. https://doi.org/10.1007/978-3-031-06519- 4 11 2. Guinda CS. 2022. The tug-of-war of journal editing: Trust and risk in focus. In The Inner World of Gatekeeping in Scholarly Publication, eds. Habibie P, Hultgren AK. Switzerland: Palgrave Macmillan, Cham. pp. 185–205. https://doi.org/10.1007/978-3-031-06519- 4 11 2. Roe J, Perkins M. 2022. What are automated paraphrasing tools and how do we address them? A review of a growing threat to academic integrity International Journal for Educational Integrity. 18:15 23. Teixeira da Silva Publishing Research 2022, 1:6 Teixeira da Silva Publishing Research 2022, 1:6 Page 5 of 6 'Tortured phrases' in PPPR Research Integrity and Peer Review 3: 8 31. 8 Page 6 of 6
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La evaluación del rendimiento individual. Un instrumento válido para lograr la eficiencia en la gestión de los Recursos Humanos en las Administraciones Públicas
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Gestión y Análisis de Políticas Públicas, Nueva Época, no 10 julio-diciembre 2013 ISSN: 1989-8991 DOI: http://dx.doi.org/10.24965/gapp.v0i10.10115 La evaluación del rendimiento individual. Un instrumento válido para lograr la eficiencia en la gestión de Recursos Humanos en las Administraciones Públicas José María Pablos Teijeiro Universidad de Cádiz josemaria.pablos@uca.es José María Biedma Ferrer Universidad de Cádiz josemaria.biedma@uca.es Recibido: 16 de mayo de 2013 Aceptado: 27 de noviembre de 2013 Resumen En el contexto de crisis económica que padece nuestra sociedad, el presente artículo aborda la necesidad y conveniencia de implantar en la gestión de los recursos humanos del sector público técnicas de evaluación del rendimiento individual, con el fin de lograr mayor eficiencia. Tras un estudio de la herramienta de evaluación del rendimiento en la empresa privada, el análisis profundiza en las posibilidades y limitaciones que la implementación de dicha técnica tiene en el sector público, con detenimiento en la referencia que el Estatuto Básico del Empleado Público realiza a la evaluación del rendimiento. Para finalizar se sugieren líneas futuras de investigación en este terreno. Palabras clave Evaluación del rendimiento, gestión del rendimiento, gestión pública, recursos humanos, EBEP, desempeño Individual Performance Evaluation. A Valid Instrument for Achieving Efficiency in Human Resources Management Goverment Abstract In the context of economic crisis in our society, this paper discusses the need and desirability of implementing in the management of public sector human resources performance evaluation techniques individually, in order to achieve greater efficiency. After a study of the performance evaluation tool in the private sector, the analysis explores the possibilities and limitations that the implementation of this technique in the public sector, with reference length in the Civil Service Basic Statute makes the performance evaluation. Finally we suggest future research in this area. Keywords Performance appraisal, performance management, public administration, human resources, EBEP, performance –6– La evaluación del rendimiento individual. Un instrumento... José M. Pablos José M. Biedma Ferrer INTRODUCCIÓN Actualmente cualquier responsable de la gestión de las organizaciones es consciente de la importancia de los recursos humanos en el éxito y desarrollo de las mismas, para mantener la competitividad en un entorno dinámico e incierto (Dolan, 2007; De la Calle y Ortiz, 2004). Como es sabido, los factores que están ligados a la competitividad son aquellos que dependen de los recursos humanos, de sus habilidades, destrezas, competencias, etc. Ello ha motivado el interés creciente de los investigadores por la función empresarial relacionada con la gestión de personas. Siguiendo a Valle-Cabrera (2003), podemos decir que la transformación experimentada por la función de personal desde sus inicios ha supuesto que la dirección de las organizaciones haya ido considerando cada vez más a los recursos humanos como factor determinante de su éxito o fracaso. El hecho de que los recursos humanos constituyan uno de los principales factores de éxito competitivo en las empresas es ampliamente aceptado por la literatura (entre otros, Clifford y Cavanagh, 1985; Huck y McEwen, 1991; Pfeffer, 1994; Yusuf, 1995; Luck, 1996; Camisón, 1997; Monfort, 2000; Warren y Hutchinson, 2000). Los procesos que tradicionalmente han constituido la gestión de recursos humanos (Ferris, et al., 1999; Longo, 2005; Dolan et al., 2007) son los siguientes: • Procesos básicos: planificación y análisis del puesto de trabajo. • Procesos de afectación: reclutamiento, selección, socialización y procesos sustractivos. • Procesos de desarrollo: formación y gestión de carrera profesional. • Procesos de desempeño: evaluación del rendimiento. • Procesos de compensación: retribución y compensaciones. El planteamiento, por tanto, es maximizar la efectividad de las prácticas de recursos humanos dentro de la organización contando con unos responsables que sepan cuáles de las anteriores considerar y cómo implantarlas. Para ello la capacidad técnica es fundamental. La gestión de la evaluación del rendimiento como proceso de recursos humanos, y la forma de medirlo, suponen un tema de creciente importancia a nivel internacional. Si se analizan las tendencias en la gestión de recursos humanos en las Administraciones Públicas de los países más desarrollados, nos podemos encontrar con la necesidad, cada vez más importante, de una correcta planificación estratégica de recursos humanos (Villoria, 2009). El objetivo de dicha planificación no es otro que el de poder disponer de las personas necesarias en cada momento para acometer las acciones oportunas que permitan implantar con éxito la estrategia (Valle-Cabrera, 2003). Esto incluiría tanto los procesos de reclutamiento y selección como los de reducción de personal. Igualmente, y como continuación a lo anterior, es necesario implementar estrategias de estímulo de competencias que permitan motivar al empleado público, para que desarrolle conductas adecuadas y se esfuerce en la consecución de los objetivos estratégicos, ligando este rendimiento a los sistemas de retribución salariales. En este sentido resulta necesario plantearse la elaboración de políticas y líneas de actuación conducentes a la adecuación y mejora del empleo público. Entre otras, la actuación en los niveles de dirección de personal, la planificación general de los recursos humanos y su adecuación estratégica a los contextos organizativos cambiantes y a nivel administrativo en el desarrollo y plasmación de las medidas anteriores a la gestión cotidiana de personal (Olías de Lima, 2001). estudios El objetivo del presente trabajo de investigación es realizar un análisis de la situación actual en la investigación académica sobre la evaluación del rendimiento, para poder así detectar posibles líneas de investigación futuras que permitan determinar de qué forma es posible utilizar dicho instrumento de gestión de recursos humanos en las Administraciones Públicas, de cara a la mejora del rendimiento, la efectividad y la eficiencia de los trabajadores públicos. Para ello, este documento se divide en cuatro secciones. La primera sección ofrece una visión general de los procesos de gestión de recursos humanos en la actualidad y su alineación con los objetivos estratégicos de las organizaciones, así como una revisión bibliográfica del concepto de evaluación del rendimiento y de los aspectos más relevantes de la gestión del rendimiento como proceso. En la sección segunda se analizan las transformaciones que están sufriendo las Administraciones para alcanzar los fines públicos con mayor eficiencia, eficacia y satisfacción del ciudadano y cómo la evaluación del rendimiento de los empleados públicos contribuye en ese sentido. En la sección tercera se hace una revisión de la literatura correspondiente al Estatuto Básico del Empleado Público Gestión y Análisis de Políticas Públicas, Nueva Época, no 10 julio-diciembre 2013 ISSN: 1989-8991 – DOI: 10.24965/gapp.v0i10.10115 –7– La evaluación del rendimiento individual. Un instrumento... José M. Pablos José M. Biedma Ferrer (EBEP) y su relación con los procesos de evaluación de los empleados públicos. Por último, en la sección cuarta, se presentan las conclusiones, una propuesta de líneas de investigación así como las limitaciones inherentes a los procesos de evaluación del rendimiento en las Administraciones Públicas. LA EVALUACIÓN DEL DESEMPEÑO EN LAS INSTITUCIONES PRIVADAS. LA GESTIÓN ESTRATÉGICA DE LOS RECURSOS HUMANOS El modo de gestionar los recursos humanos en las organizaciones ha evolucionado a lo largo del tiempo (Ferris et al., 1999). Desde las concepciones más “administrativas” de la función de los recursos humanos (en adelante, RRHR) se ha evolucionado a una visión proactiva de la misma (Valle-Cabrera, 2003; Leal, 2004), más en la línea de adecuar la gestión de personas con los objetivos estratégicos generales de la organización (Ferris et al., 1999). La consideración de la relación estrategia-dirección de recursos humanos implica que el Recurso Humano es un valioso activo y un factor potencial de ventaja competitiva. Siguiendo a Peteraf y Barney (2003: 314), podemos considerar que una empresa posee ventaja competitiva si “es capaz de crear más valor económico que su competidor marginal en su mismo mercado de productos”. Según ésta definición, las organizaciones que pretendan obtener rendimientos superiores a los de sus competidores deberán “encontrar” aquel factor o factores que les permita mantener esa ventaja en el tiempo. En este punto, y desde la perspectiva del enfoque de recursos y capacidades, podemos decir que la fuente principal de ventaja competitiva para la organización se encuentra en sus recursos y en la forma en que éstos se coordinan e interrelacionan, es decir, en sus capacidades. La capacidad de los RRHH para proporcionar ventaja competitiva ha sido analizada por varios autores (Barney, 1991; Grant, 1991 y Barney y Delwyn, 2007). En este sentido cabe destacar el estudio de Barney y Wright (1998). Estos autores analizan qué prácticas de RRHH son simplemente generadoras de valor y qué requisitos deben cumplir para llegar a ser una verdadera fuente de ventaja competitiva. El reto, por tanto, es el de implementar sistemas de procesos de recursos humanos que creen un efecto sinérgico, frente al desarrollo independiente de “buenas prácticas” de recursos humanos. (Barney y Wright 1998: 40). Si se parte de lo indicado anteriormente, podemos llegar a la conclusión de que el factor humano puede constituir una de las fuentes de ventaja competitiva sostenible más importante para las organizaciones (Valle-Cabrera, 2003: 41). También cabe señalar que la alineación de los procesos de RRHH con los objetivos globales (estratégicos) de las organizaciones ocasiona un campo de investigación como es el de la gestión estratégica de los RRHH (Ferris et al., 1999). Ello supone la existencia de una fuerte interdependencia y coordinación entre las diferentes políticas y actividades funcionales de RRHH, y de todas las prácticas de RRHH con la estrategia de la organización, respectivamente (Albizu y Lertxundi, 2011: 282). Dentro de esta perspectiva estratégica de la gestión de recursos humanos Delaney et al. (1989), Huselid (1995), Delery and Doty (1996), citados en Ferris et al. (1999) y Valle-Cabrera (2003), destacan las “estrategias de valoración del personal”, es decir, la forma en que las personas alcanzarán mediante sus conductas los resultados esperados. Para ello es necesario proceder del siguiente modo: en primer lugar, fijar unos objetivos operativos claros; y en segundo lugar, establecer un sistema de recompensas que esté ligado a los rendimientos de las personas o a algún otro tipo de resultados de la organización. estudios Para implantar o mantener con éxito la estrategia empresarial, la evaluación del rendimiento supone un elemento clave. La evaluación del desempeño ha ido aumentando su importancia como práctica de recursos humanos debido al incremento de las exigencias de innovación, de la competencia y por las repercusiones de la tecnología en la naturaleza de los puestos de trabajo (Dolan, 2007). La importancia de dicha evaluación se debe a que ésta determina la orientación de los comportamientos y de los resultados buscados. Por tanto, es de suma importancia en las organizaciones actuales la implantación y adaptación de sistemas de evaluación del desempeño de sus empleados para valorar los comportamientos necesarios con el fin de lograr los objetivos estratégicos. Aproximación al concepto de evaluación del desempeño La valoración del rendimiento del personal supone uno de los procesos básicos, complejos y que plantea más controversias a los gestores de recursos humanos (Badawy, 1988; Roberts, 2002). Se trata de una responsabilidad y actividad fundamental de la dirección. Por ello, toda organización debería contar con algún sistema de valoración del rendimiento que le permita obtener información sobre la contribución de todos y cada uno de los empleados a la consecución de los objetivos establecidos. Numerosas encuestas y estudios realizados reciente- Gestión y Análisis de Políticas Públicas, Nueva Época, no 10 julio-diciembre 2013 ISSN: 1989-8991 – DOI: 10.24965/gapp.v0i10.10115 –8– La evaluación del rendimiento individual. Un instrumento... José M. Pablos José M. Biedma Ferrer mente destacan la importancia de la gestión del rendimiento en las organizaciones, tanto públicas como privadas. No obstante, sólo un tercio de los trabajadores creen que estos sistemas les ayudan a mejorar su rendimiento (Aguinis et al., 2011). Las funciones y tareas que desarrolla un trabajador tienen como objetivo la obtención de un determinado resultado. El rendimiento laboral, su medida, exigencia y mejora deben formar parte, por tanto, del sistema de evaluación del personal (García-Tenorio, 2005: 190). La evaluación del rendimiento es en sí misma un compromiso entre empleado y organización. Si el empleado desarrolla sus conocimientos y competencias en la búsqueda de los mejores resultados, la organización, como contrapartida, le aportará reconocimiento, oportunidades de formación y desarrollo e incentivos. Por ello parece necesario que el empleado participe en el proceso de evaluación para que el sistema de evaluación sea realmente efectivo (Roberts, 2002). Un sistema de evaluación del rendimiento efectivo tiene dos objetivos principales: por un lado, generar información sobre la cual se tomaran decisiones en materia de salarios y promoción; y, en segundo lugar, identificar aquellas áreas que serán susceptibles de futuros procesos de desarrollo y/o crecimiento (Badawy, 2007). La evaluación del desempeño (en adelante, EDD) implica la identificación, medida y gestión del rendimiento de las personas de una organización (Carroll y Schneir, 1982). La identificación significa determinar las áreas de trabajo que van a ser susceptibles de evaluación y que afectan al éxito de la organización. Dado que evaluar implica la realización de un juicio sobre el correcto o incorrecto rendimiento del empleado, el punto central del sistema de evaluación es la medición. También cabe señalar que gestionar supone el objetivo central del sistema de evaluación. La evaluación del desempeño obliga a aportar a los trabajadores una referencia sobre cual, o cuáles, debería/n ser su objetivo/s, en términos de rendimiento, para alcanzar su máximo potencial en la organización. Para Leal (2004) la valoración del rendimiento, cómo técnica de gestión de recursos humanos, se orienta a recabar información sobre la actuación de cada una de las personas de la organización, en relación a una serie de factores establecidos de forma previa, con el fin de determinar cuál ha sido su aportación a la consecución de los objetivos individuales, departamentales y globales. En este sentido, se ha definido la evaluación del desempeño como “un procedimiento continuo, sistemático, orgánico y en cascada, de expresión de juicios acerca del personal de una empresa, en relación con su trabajo habitual, que pretende sustituir a los juicios ocasionales y formulados de acuerdo con los más variados criterios” (Puchol, 1997: 308). Otros autores (Dolan et al., 2007) incorporan a la definición de la EDD aspectos novedosos como la productividad. La mejora de la productividad es una cuestión recurrente en las organizaciones. La productividad relaciona la cantidad de output obtenido por unidad de factor (mano de obra) utilizada. Ciertamente, las mejoras en productividad son debidas al uso de innovaciones tecnológicas, organizativas o humanas, aunque también es posible incrementarlas a partir de mejoras en el rendimiento de los recursos humanos. De esta forma la evaluación del rendimiento se define como un procedimiento estructural y sistemático para medir, evaluar e influir sobre los atributos, comportamientos y resultados relacionados con el trabajo, con el fin de descubrir en qué medida es productivo el empleado, y si podrá mejorar su rendimiento futuro (Dolan et al., 2007: 229). Como podemos observar en las anteriores definiciones hay una cierta diversidad terminológica. Así, encontramos términos como rendimiento, resultados o desempeño. En otros casos se refieren a ella utilizando la siguiente terminología: valoración, evaluación o calificación del personal, valoración del mérito o de resultados. estudios Es posible establecer, por tanto, una diferencia entre “gestión del desempeño” (performance management) entendiendo éste como el “proceso continuo de identificación, medición y evolución del rendimiento de individuos y equipos y su ajuste con los objetivos estratégicos de rendimiento de la organización” y “evaluación del rendimiento” (performance appraisal), como “el proceso administrativo del área de recursos humanos consistente en representar las fortalezas y debilidades de los empleados de una organización en un periodo de tiempo generalmente un año” (Aguinis, 2009:2). En definitiva, la EDD es una actividad fundamental para la empresa. El desafío (García-Tenorio, 2005: 193) consiste en gestionar el sistema de evaluación de tal forma que permita conseguir los objetivos de mejora del rendimiento y desarrollo de los empleados. En el futuro la prueba que habrá que superar reside en la capacidad de las organizaciones de ir más allá de la evaluación del rendimiento, hasta alcanzar lo que se ha denominado “gestión del rendimiento”. El sistema de evaluación del desempeño Para establecer un sistema de evaluación del desempeño, es necesario tomar una serie de decisiones respecto a qué medir, quién debe realizar las valoraciones, cómo efectuar las mediciones, cuándo deben efectuarse y en Gestión y Análisis de Políticas Públicas, Nueva Época, no 10 julio-diciembre 2013 ISSN: 1989-8991 – DOI: 10.24965/gapp.v0i10.10115 –9– La evaluación del rendimiento individual. Un instrumento... José M. Pablos José M. Biedma Ferrer qué contexto deberán tener lugar. Igualmente se deben de tener en cuenta los aspectos claves de lo que hemos definido como evaluación del rendimiento o evaluación del desempeño. La mayoría de las organizaciones disponen de alguna forma de evaluar el desempeño individual. Sin embargo, pocas de ellas pueden asegurar que el sistema de evaluación que utilizan les permita obtener los mejores resultados a lo largo del tiempo. Los estudios previos realizados por Martín y Bartol (1998: 223) sostienen que las acciones necesarias para el mantenimiento de un sistema de EDD pueden dividirse en tres categorías: gestionar el sistema, controlar el sistema e implementar feedbacks de información para aquellos que utilizan el sistema. Siguiendo esta línea de estudio se encuentra Longo (2005:134), quien describe el ciclo de la gestión del rendimiento como un proceso que se inicia con la planificación y seguimiento del mismo, originando la evaluación un proceso de feedback que re-inicia el proceso. En la misma línea, Aguinis (2009) añade que lo anteriormente expuesto no podría llevarse a cabo si antes la organización no diseña el “marco” en el que se debe realizar la evaluación. Los comienzos de todo proceso de evaluación en la organización deben consistir en el diseño de un sistema ideal que desarrolle todo el proceso de EDD. No obstante, con posterioridad será el día a día el que determinará la validez de dicho sistema y sus posibles modificaciones. Un sistema de EDD ideal debe recoger aquellos aspectos de la tarea que sean relevantes para la identificación de cuáles son los resultados esperados por el departamento de recursos humanos. El estudio realizado por Brown et al. (2010) relaciona de forma positiva el compromiso del empleado con su organización, la satisfacción laboral y el deseo de permanecer en la organización con la calidad del proceso de evaluación del desempeño. Las consecuencias de esta relación pueden verse reflejados en mejoras de la productividad y eficiencia, así como en la efectividad de las tareas. Por tanto, el papel de un sistema de evaluación de calidad debe basarse en estimular el rendimiento del empleado (Aguinis, 2009), siendo la figura del evaluador sumamente relevante en todo proceso de EDD. Leal (2004: 362), citando a Claver, Gascó y Llopis (1995), establece que “el principal responsable o protagonista de este proceso ha de ser el directivo de línea pues es el que mejor situado se encuentra para realizar la evaluación”. En esta línea, diversos autores (Bowman, 1999; García-Tenorio, 2005; Dolan et al., 2007; Gómez-Mejía et al. 2008; Dessler, 2009) coinciden en la necesidad de que sea el supervisor directo del empleado quien evalúe su desempeño. No obstante, existen otras opciones alternativas novedosas. Así por ejemplo, basándose en la creencia de que el empleado tiene un conocimiento importante sobre la ejecución del trabajo, la autoevaluación puede aportar datos valiosos, especialmente cuando los objetivos globales se fijan de forma conjunta entre supervisor y empleado (Bowman, 1999). Sin embargo, este sistema adolece de fiabilidad, pues en algunos casos el empleado se asigna puntuaciones más altas de las que le corresponderían si fuera evaluado por otra persona. Otras alternativas que se utilizan como indicadores de rendimiento son las siguientes: la evaluación de los pares, las evaluaciones de equipo o grupo de empleados, la de equipos de trabajo auto-administrados o auto-dirigidos, y, por último, la evaluación de feedback o “evaluación 360 grados”. Este último método engloba a los anteriores en el sentido de que el empleado pueda ser evaluado desde perspectivas distintas (compañeros, supervisor directo, clientes, otros supervisores…) y reciba una retroalimentación productiva acerca de su rendimiento que le permita mejorar en su desarrollo profesional. Otro aspecto a tener en consideración en todo proceso de EDD, como se ha apuntado anteriormente, es el de determinar qué es lo que se va a medir. Siguiendo a García-Tenorio (2005), podemos establecer tres tipos básicos de evaluación: evaluación de resultados, evaluación de la actuación y evaluación del potencial. estudios Con respecto a la evaluación de resultados (outcomes-based performance), cabe afirmar que ésta se identifica con el producto de la actuación en dicho trabajo o con la eficacia alcanzada en el mismo (Williams, 2003). La evaluación de resultados tiene su origen en los sistemas de dirección por objetivos. Los objetivos representan los fines que se persiguen por medio de una actividad de una u otra índole (Koontz, 1998). Por tanto, la administración por objetivos consiste en gestionar el cumplimiento eficaz y eficiente de los objetivos organizacionales e individuales. En este caso se puede afirmar que la evaluación se limita al resultado alcanzado por el trabajador en la ejecución de una tarea. Se trataría de una evaluación retrospectiva basada en consecuciones pasadas. Por lo que se refiere a la evaluación de la actuación o desempeño (performance appraisal), cabe señalar que ésta se centra en la manera en que cada empleado realiza su trabajo. De este modo la evaluación tiene un carácter más subjetivo que la evaluación por resultados dado que es el evaluador quién determina el grado de ejecución de las tareas, o en qué medida el trabajador desarrolla los comportamientos deseados por la organización. Otro factor que influye en el proceso de EDD es el conocimiento y/o acuerdo respecto a las actividades que hay que hacer, es decir, la claridad con respecto a los objetivos a conseguir. Las tareas con objetivos específicos y Gestión y Análisis de Políticas Públicas, Nueva Época, no 10 julio-diciembre 2013 ISSN: 1989-8991 – DOI: 10.24965/gapp.v0i10.10115 – 10 – La evaluación del rendimiento individual. Un instrumento... José M. Pablos José M. Biedma Ferrer claros en los que los miembros de la organización y los responsables de los mismos se han puesto de acuerdo en cuanto a su ejecución y forma de medición son la base de un sistema de evaluación sencillo y eficaz. Igualmente el carácter de la evaluación cambiará en aquellas tareas que por su diseño o ejecución son fácilmente predecibles. Finalmente, la evaluación del potencial se entiende como un proceso que permite identificar posibilidades de desarrollo profesional en las personas de una organización (García-Tenorio, 2005:196). El fin último de esta evaluación es la de orientar al empleado hacia su perfeccionamiento, el diseño de planes de carrera o para la planificación y optimización de los recursos humanos. En este caso la organización trata de identificar las competencias que pueden llegar a tener los empleados en el futuro, para ocupar puestos de mayor responsabilidad en la escala. La gestión por competencias es una faceta muy nueva y relevante dentro la gestión de recursos humanos que condiciona la forma en que se debe medir el rendimiento. La evaluación de las competencias profesionales implica atender a comportamientos observables, consecuencia de un conjunto de motivaciones, actitudes, valores, conocimientos, aptitudes, habilidades y destrezas (Vivas y Fernández, 2011: 44). Para Valle-Cabrera (2003), la evaluación por competencias sería necesaria, por ejemplo, para determinados puestos donde los resultados esperados sean difíciles de definir en términos precisos. Estas competencias serían una combinación de conocimientos y habilidades requeridas y resultados esperados en el desempeño de las tareas asignadas. Los sistemas de gestión de rendimiento ofrecen, por tanto, información “feedback” tanto a los empleados como a los directivos. En el caso de los trabajadores, ello supone un mejor conocimiento de sus tareas y saber qué se espera de ellos; en el caso de los directivos, el sistema les ayuda a motivar y a mejorar la comunicación entre ellos y los trabajadores a su cargo. Igualmente, los sistemas de gestión del rendimiento facilitan el cambio organizativo, mejoran el diseño de los objetivos para los empleados y sus administradores así como reducen los comportamientos no deseados por parte de los empleados. En la tabla 1 se indican los beneficios de un sistema de gestión del rendimiento. TABLA 1 Beneficios de un sistema de gestión del rendimiento Para los empleados • Mejora de su autoestima • Mejor comprensión de los requerimientos y resultados esperados de sus puestos • Mejor identificación de la forma de maximizar sus fortalezas y minimizar sus debilidades Para los directivos • Desarrollo de la mano de obra con una fuerte motivación hacia el rendimiento • Mejor conocimiento de sus subordinados • Logro de empleados más competentes • Posibilidad de diferenciar más eficazmente los trabajadores con buenos y malos rendimientos • Los directivos disfrutan de una comunicación más clara con sus trabajadores Para las organizaciones Diseño más apropiado de sus acciones administrativas • Establecimiento de objetivos claros para empleados y directivos • Reducción de los comportamientos incorrectos de los empleados • Disposición de mejor protección frente a demandas judiciales • Mejora en la gestión del cambio organizativo • Obtención de un mayor compromiso por parte de los empleados • Consecución de una mayor participación de los empleados estudios • Fuente: elaboración propia a partir de Aguinis, H.; Joo, H. y Gottfredson, R. K. (2011): “Why we hate performance Management and why we should love it”, Business Horizons, 54: 505. Gestión y Análisis de Políticas Públicas, Nueva Época, no 10 julio-diciembre 2013 ISSN: 1989-8991 – DOI: 10.24965/gapp.v0i10.10115 – 11 – La evaluación del rendimiento individual. Un instrumento... José M. Pablos José M. Biedma Ferrer Limitaciones inherentes al proceso de evaluación del desempeño La tarea de evaluar el desempeño no es fácil. Se evalúan personas y los evaluadores son también personas que normalmente forman parte de la organización. Estas cuestiones, como afirma De la Calle y Ortiz (2004), introducen cierta subjetividad en la evaluación y las reacciones, a veces conflictivas, entre individuos que trabajan juntos. Argumentaciones similares podemos encontrar en Bowman (1999), Leal (2004) y Gómez-Mejía (2008). Estos “errores” del sistema atentan contra la objetividad del proceso. Por ello, el conocimiento y toma de conciencia de los mismos, antes de realizar la valoración, proporcionará una mayor fiabilidad y validez al sistema. Evaluar el rendimiento es complejo y depende de muchos factores, algunos de los cuáles van más allá del control del trabajador. Sin embargo, los observadores tienden a centrarse en él sobre todo cuando hay mal rendimiento. En este sentido, Bowman (1999) va más allá al argumentar que cuando ocurren los errores en la evaluación no sólo está en cuestión la validez del juicio del evaluador, sino que el resultado de la evaluación puede impedir al trabajador evaluado tener una valoración justa de su rendimiento. Siguiendo a De la Calle y Ortiz (2004: 234), podemos decir que los principales problemas que podemos encontrar vienen de las relaciones entre las personas de la organización, fundamentalmente de la relación superiorsubordinado, de errores en el desarrollo de la evaluación y errores en la selección o aplicación de los métodos de evaluación. Aunque los miembros de una organización trabajen para lograr los objetivos de la misma, no podemos olvidar que cada individuo tiene sus propios intereses y aspiraciones. Igualmente puede ser el propio evaluador quien asuma la responsabilidad de la evaluación sin haber recibido la formación necesaria (Longo, 2005). En estas situaciones aparece el efecto sesgo actor-observador, motivado por la tendencia del evaluador a buscar las razones del bajo rendimiento en el propio trabajador, mientras que éste justifica su rendimiento en factores (Carson, Cardy y Dobbins, 1991). Los errores en el desarrollo de la evaluación suelen estar fundamentalmente asociados a la condición humana de los evaluadores. Entre los más relevantes, podemos citar el efecto halo, el error de lenidad, error de severidad o el error de tendencia central (Bohlander, 2003; Sastre, 2003; Dolan, 2007; Dessler, 2009). Por último, los errores en la selección o aplicación de los métodos de evaluación provocan que aquello que se mide aparezca frecuentemente desconectado de las prioridades estratégicas de la organización (Longo, 2005). Las organizaciones deben reducir al mínimo estos errores para conseguir una evaluación del rendimiento lo más precisa posible. Una manera de contrarrestar estos errores podemos encontrarla en London et al. (2004). Para estos autores, una forma de mejorar la precisión del evaluador por parte de las organizaciones se encuentra en la diferenciación de las evaluaciones, el uso de instrumentos de evaluación apropiados y en la formación del evaluador. En este sentido, Curtis et al. (2005) proponen que la organización, para evitar los errores comentados determine correctamente la finalidad de la evaluación (fines meramente administrativos: retribución, formación, medidas disciplinarias, etc., o de mejora profesional del empleado a partir del feedback de la evaluación) y el instrumento de medida oportuno. Igualmente se debe considerar que la responsabilidad del evaluador, en todo proceso de evaluación del desempeño, es relevante para disminuir los errores en las calificaciones de rendimiento. LA GESTION DE RECURSOS HUMANOS EN LA ADMINISTRACIÓN PÚBLICA. LA NUEVA GESTIÓN PÚBLICA estudios A lo largo del tiempo, se han producido cambios en las actividades del Estado, pasando de ser meramente garantistas a prestacionales. La gestión del sector público es claramente compleja debido a la diversidad de actividades y a su tamaño (Albi et al., 1997). Ciertamente, la gestión pública es, en el fondo, gestión dentro del sector público con sus características diferenciadoras. Las profundas transformaciones en el ámbito de las Administraciones públicas, producidas desde la década de los ochenta, determinan la necesidad de articular nuevos procedimientos en las relaciones de dichas Administraciones con los usuarios de los servicios públicos y la introducción de la idea de que la permanencia de las instituciones públicas debe venir condicionada por la obtención de ciertos resultados (Yerga, 2003). Los procesos de reforma en las administraciones públicas, llevados cabo en los países de nuestro entorno, han sido estudiados por diversos autores (Pollitt, 2000; Pollitt, 2002; Box, 2001; Page, 2005; Minvielle, 2006; O´Flynn, 2007; Percebois, 2007; Corte-Real, 2008), existiendo consenso en cuanto a los elementos generales que conforman este “nuevo modelo” de gestión (Tabla 2). Gestión y Análisis de Políticas Públicas, Nueva Época, no 10 julio-diciembre 2013 ISSN: 1989-8991 – DOI: 10.24965/gapp.v0i10.10115 – 12 – La evaluación del rendimiento individual. Un instrumento... José M. Pablos José M. Biedma Ferrer TABLA 2 Principales elementos formales que conforman el nuevo modelo de gestión • Un cambio en el enfoque de los sistemas de gestión que deberán estar más centrados en los productos y en los resultados que en los factores y en los procedimientos. • Un cambio que implemente sistemas de valoración e indicadores de rendimiento estandarizados. • Preferencia por organizaciones más especializadas, “delgadas” y horizontales frente a las grandes y multifuncionales burocracias jerárquicas. • Uso de mecanismos de mercado más amplios (privatizaciones, subcontrataciones, desarrollo de mercados internos, etc.) para la prestación de los servicios públicos. • La ampliación y difuminación de la frontera entre los sectores público y privado, caracterizado por el aumento de acuerdos de colaboración público/privados y la proliferación de organizaciones de carácter “híbrido”. • Un desplazamiento en cuanto a la prioridad de valores como el universalismo, la igualdad o la seguridad hacia la eficiencia y el individualismo. Fuente: elaboración propia a partir de Pollitt (2002): 474 El cambio en la contextualización de la sociedad, caracterizada por la globalización, la incertidumbre, la complejidad, la dinamicidad, la máxima incertidumbre, la pluralidad, la sociedad de la información y del conocimiento, la retroalimentación y la innovación, exige un cambio en los paradigmas sobre los que se ha asentado la Gestión Pública. Es así como surge la Nueva Gestión Pública, cuyas ideas principales giran en torno a la pretensión de aproximar las formas de producción públicas a las propias del sector privado, introduciendo técnicas gerenciales privadas reconociendo las peculiaridades de lo público (González, 2008: 9). El término Nueva Gestión Pública (en adelante NGP), siguiendo a Olías de Lima (2001), responde por tanto, al intento de dar cuenta, reflexionar y discutir sobre cómo alcanzar fines públicos con la mayor eficiencia, eficacia y satisfacción del ciudadano. En el concepto de NGP destacan tres ideas principales (Ballart, 2001): en primer lugar cabe señalar que, en ocasiones, los objetivos sociales de las organizaciones públicas se alcanzan mejor con financiación y regulación pública, pero cuya gestión se realiza a través de organizaciones privadas (o públicas que actúen con criterios empresariales y de competencia). Esta reforma pasa por la financiación flexible de las actuaciones públicas unido a sistemas de participación de los ciudadanos (gobernanza local) y de responsabilidad de los agentes intervinientes sobre los resultados obtenidos (Page, 2005); en segundo lugar, las actuaciones públicas son el resultado de decisiones que se adoptan en el seno de organizaciones públicas, a partir de ciertos procedimientos y siguiendo unos controles determinados. Las decisiones sobre los objetivos se toman por los órganos políticos y la Administración ejecuta sus funciones con la responsabilidad de tener a los ciudadanos como clientes de las intervenciones realizadas, ofreciéndoles el mejor servicio; finalmente, se debe tener en cuenta que el nuevo gestor, o directivo público, ha de ejecutar en este contexto, directrices políticas con criterios de servicio coste-efectivo. La gestión pública tiende así a la obtención de la máxima productividad de los recursos escasos empleados con un modelo de gestión empresarial en un marco público, que permita responsabilizar a los gestores de los resultados y motivarles adecuadamente (Ortún, 1992). Actualmente, las reformas, tienen como fin último la mejora del rendimiento y de la eficiencia de los agentes e instituciones públicas, también pretenden realizar reducciones en los presupuestos, con el consiguiente ahorro en costes y la mejora de los procesos de prestación de servicios públicos, a partir del incremento en la capacidad, flexibilidad y elasticidad de la Administración Pública en su conjunto (Pollitt, 2000). Se trata de conjugar el “reino de los beneficios” con el “reino de los costes” (Olías de Lima, 2001), todo ello rodeado de sistemas de control que otorguen una plena transparencia de los procesos, planes y resultados, para que, perfeccionen el sistema de elección y favorezcan la participación ciudadana (García, 2007:37-64). estudios Estas tendencias, en su conjunto, dan forma a una visión genérica del futuro del sector público. Así, para Percebois (2007:157), desde la década de los 70, la tendencia se ha invertido, y una gran mayoría de los países de la OCDE han decidido promover un sector público más pequeño pero más eficiente, a partir de lo que se conocen como las teorías de la Nueva Gestión Pública. Gestión y Análisis de Políticas Públicas, Nueva Época, no 10 julio-diciembre 2013 ISSN: 1989-8991 – DOI: 10.24965/gapp.v0i10.10115 – 13 – La evaluación del rendimiento individual. Un instrumento... José M. Pablos José M. Biedma Ferrer Siguiendo a Albi et al. (1997) y a López (2003), debemos considerar que una Administración Pública que pretenda adoptar la nueva perspectiva de gestión eficiente de los servicios públicos deberá concentrar su atención en el desarrollo de un cambio cultural sobre la base de estos nuevos principios. La gestión eficiente de los servicios públicos implica prestar atención a los circuitos de adopción de decisiones migrando de un enfoque tradicional de planificación y decisión a otro basado en los principios de la dirección por objetivos (DPO). Además, se trata de gestionar recursos humanos a través de su selección, pero también con su formación, capacitación, diseño de su carrera profesional y con sistemas de evaluación del rendimiento (Vivas y Fernández, 2011: 44). Desde la óptica de la gestión pública, las carreras profesionales no deberían estar tan cerradas como para imposibilitar la introducción de factores clave en la motivación, como son los elementos retributivos o las políticas de promoción, dentro de las restricciones financieras imperantes y del grado de estabilidad que se desee dar al empleo público. Es necesario flexibilizar las organizaciones, tanto desde un punto de vista puramente “organizativo” como jurídico, pues, contrariamente a lo que ha sido la tónica dominante en el pasado, cada vez son más numerosos los cambios en las configuraciones de las organizaciones públicas como un elemento más de persecución de la eficiencia. Por último, y a diferencia de la óptica administrativa, lo importante para la gestión es evaluar resultados más que realizar un seguimiento de los procedimientos utilizados. Esto implica un importante esfuerzo de medición de la actividad pública (Heinrich, 2002). En definitiva, la gestión exige “ajustar” el diseño institucional, los estilos de dirección y los organigramas organizativos al cambio en los contextos en los que se desarrolla la actividad pública. La gestión de recursos humanos en la Administración Pública La gestión de los recursos humanos (en adelante, GRH) es un área clave para el buen funcionamiento de la organización que pretenda la excelencia en la oferta de sus productos y servicios (Longo, 2005; Villoria y del Pino, 2009; Barba y Serrano, 2012). La GRH se ocupa de uno de los activos más importantes de la organización: las personas. Dicha gestión puede definirse como una inversión en las personas para obtener su mayor utilidad, lo que en términos organizativos se traduce en la consecución de los resultados planificados por la organización (García, 2007; Serrano, 2010; Vivas, 2011). Este proceso, como se ha visto anteriormente, está repleto de actividades encaminadas a obtener y coordinar los recursos humanos de la organización. La forma de organizar y ordenar los recursos humanos es el primer elemento y escalón del sistema de empleo público. Definir el tipo de organización que queremos, delimitando su campo de actuación, conocer los principios organizativos que la inspiran, etc., va a influir en la regulación jurídica de la función pública (Yerga, 2003). El tratamiento de los recursos humanos en el ámbito de la Administración Pública está adquiriendo cada vez más importancia. Se ha evolucionado de forma paulatina de una “administración de personal” (basada en contratos laborales, reclutamiento, gestión de nóminas y seguros sociales, tramitación de vacaciones y permisos, adiestramiento en actividades estandarizadas o habilidades del puesto) a una “gestión integral de recursos humanos”, que tiene como referente el desarrollo de las personas en la organización, la adecuación de los regímenes de personal a las características de las tareas que tienen que desarrollar las diferentes organizaciones públicas, y el aumento constante de la profesionalización a través principalmente de mecanismos como: la provisión de puestos, el sistema de carrera, la formación y las retribuciones (OCDE, 1995). En consecuencia, parece necesario, poner en marcha una nueva gestión de recursos humanos de carácter más descentralizado, incorporando técnicas de gestión privadas como las del tipo de “dirección por objetivos”, sistemas de dirección estratégica, programas de gestión de la calidad o de la excelencia organizativa (Modelo Europeo de Gestión de Calidad, EFQM) o la implementación de técnicas directivas de control de gestión o de evaluación del rendimiento (Modelo Europeo de Excelencia para Organismos Públicos, MEEOP) (García, 2007). Los estudios realizados en lo últimos años sobre la reforma de la función pública demuestran la preocupación existente sobre la EDD (Muñoz, 1999; Ministerio de Administración Pública, 2000; Longo, 2005; Walker y Boyne, 2009; Torres; Pina y Martí, 2010; Serrano y Barba, 2010). estudios LA EVALUACIÓN DEL DESEMPEÑO EN LAS ADMINISTRACIONES PÚBLICAS Actualmente, la presión hacia el cambio o la “adaptación del paradigma burocrático” es imparable (Villoria, 2009: 572). A la administración ya no se le pide solo que actúe conforme a las leyes; además, se le demanda eficacia, eficiencia, equidad en el trato, calidad en el servicio, etc. Por todo ello la Administración española debe incorporar a su gestión el control del rendimiento y la evaluación como parte de sus actuaciones cotidianas. El estudio de la medida del rendimiento de los empleados en las administraciones públicas es un tema de investigación novedoso en el ámbito de los recursos humanos (Cederblom y Pemerl, 2002; McAdam et al., 2005; Gestión y Análisis de Políticas Públicas, Nueva Época, no 10 julio-diciembre 2013 ISSN: 1989-8991 – DOI: 10.24965/gapp.v0i10.10115 – 14 – La evaluación del rendimiento individual. Un instrumento... José M. Pablos José M. Biedma Ferrer de Groot y van Hulst; Heinrich, 2005; Bilgin, 2007; Sole y Schiuma, 2010; Brown, 2010; Torres et al., 2010; Salgado y Cabal, 2011; Barba y Serrano, 2012). Los requisitos a los que obliga la gestión del rendimiento basada en resultados (Heinrich, 2002), está incrementando la necesidad de evaluar las actividades realizadas por los empleados públicos en todos los niveles gubernamentales, con instrumentos de medida que realmente sean útiles para el directivo público y efectivos, para mejorar el rendimiento de las actuaciones de los gobiernos. El “Libro blanco para la mejora de los servicios públicos” (2000:119) reconoce que el desarrollo profesional de los empleados públicos ha de estar basado necesariamente sobre dos claves: el conocimiento experto y el desempeño. La gestión del rendimiento no es un fin en sí mismo sino un instrumento que, conectado con otras herramientas de gestión de personas, facilita la consecución de los objetivos organizativos. En este sentido, como recuerdan Villoria y del Pino (2009), los directivos de la organización son los responsables de la consecución de los objetivos organizativos y los gestores de niveles inferiores tienen encomendada la consecución de los objetivos respectivos de sus unidades. Por ello, la gestión del rendimiento supone el enlace entre el “qué” (objetivo, resultado y estándar de rendimiento) y el “cómo” (proceso, competencia y comportamiento) del rendimiento del individuo (Bilgin, 2007). Es decir, la EDD debe considerar también las conductas que tienen que emplear las personas para cumplir con los objetivos, así como el grado de adquisición de competencias óptimas para mejorar y optimizar los procesos de gestión en la organización (Vivas, 2011). La utilidad de la evaluación del rendimiento se puede entender en un doble sentido: interno y externo (Torres, 2010). Desde el punto de vista interno, el uso de sistemas de medida del rendimiento crea incentivos que ayudan a alinear los objetivos individuales con los de la administración, marcando el progreso de consecución de dichos objetivos y sentando las bases para una mejor, y más efectiva, toma de decisiones. Desde el punto de vista externo, la utilización de herramientas de medida del rendimiento se corresponde con la idea de transparencia y de responsabilidad que las administraciones públicas deben dar hacia los ciudadanos (Sole y Schiuma, 2010). No debemos olvidar que en las actuaciones de la Administración tan importante es el cumplimiento de los objetivos, como la forma en la que se cumplen dichos objetivos (Villoria y del Pino, 2009). Por tanto, y siguiendo a Yerga (2003), podemos afirmar que la finalidad del sistema de evaluación del desempeño en la Administración Pública debe permitir: Conocer el rendimiento del empleado público, tanto individual como en conjunto con su unidad de trabajo, en relación con los objetivos de la organización en que prestan sus servicios. Determinar sus requerimientos, insuficiencias, posibilidades de desarrollo y necesidades de formación, proporcionando información relevante en orden al diseño de carrera profesional o régimen disciplinario, entre otros. Proporcionar información a los empleados públicos a fin de que conozcan su desempeño y sugerirles los cambios que necesitan realizar en sus comportamientos, actitudes o capacidades en relación con los objetivos de la organización. Integrar los intereses individuales con los del organismo público, mejorando su sentido de afiliación y pertenencia. LA EVALUACIÓN DEL DESEMPEÑO EN EL ESTATUTO BÁSICO DEL EMPLEADO PÚBLICO estudios El Estatuto Básico del Empleado Público (en adelante, EBEP) fue aprobado por Ley 7/2007, de 12 de abril. En la función pública española se han producido reformas parciales y reformas integrales. Echando una mirada al pasado, esta reforma de la Ley 7/2007 sería la cuarta reforma integral de la Función pública en España (Pinto, 2009:107-108)1. Sin duda, se puede afirmar que constituye un importante paso hacia adelante. Pese a la vocación integral que tiene el Estatuto, cabe afirmar que mientras no se produzca el desarrollo completo de éste, ya sea a través de la legislación estatal o autonómica, no se puede afirmar que el marco regulador del empleo público está completo. Como señalan Sánchez y Molina (2012), el desarrollo del EBEP no se ha producido ni a nivel estatal ni en la mayoría de las Comunidades Autónomas2.
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Maria Isabel del Val Valdivieso, Isabel la Católica (1451-1504)
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Clio. Femmes, Genre, Histoire 27 | 2008 Amériques métisses Maria Isabel del Val Valdivieso, Isabel la Católica (1451-1504) Madrid, Ediciones del Orto, 2004, 94 pages. Covadonga Valdaliso Casanova Édition électronique URL : http://journals.openedition.org/clio/7522 DOI : 10.4000/clio.7522 ISSN : 1777-5299 Éditeur Belin Édition imprimée Date de publication : 1 janvier 2008 Pagination : 245-246 ISBN : 978-2-85816-973-3 ISSN : 1252-7017 Référence électronique Covadonga Valdaliso Casanova, « Maria Isabel del Val Valdivieso, Isabel la Católica (1451-1504) », Clio. Histoire‚ femmes et sociétés [En ligne], 27 | 2008, mis en ligne le 06 août 2008, consulté le 21 septembre 2020. URL : http://journals.openedition.org/clio/7522 ; DOI : https://doi.org/10.4000/clio. 7522 Ce document a été généré automatiquement le 21 septembre 2020. Tous droits réservés Maria Isabel del Val Valdivieso, Isabel la Católica (1451-1504) Maria Isabel del Val Valdivieso, Isabel la Católica (1451-1504) Madrid, Ediciones del Orto, 2004, 94 pages. Covadonga Valdaliso Casanova 1 Dans la Biblioteca de Mujeres – une collection de brèves biographies de femmes éminentes, éditée grâce à l’aide de l’Institut de la Femme et dirigée par Cristina Segura Graiño –, a été publiée en 2004 une étude consacrée à Isabelle la Catholique, l’auteure, Maria Isabel del Val Valdivieso, comptant parmi les plus grandes spécialistes de ce personnage. Isabelle la Catholique, considérée depuis des siècles comme le symbole des origines de l’Espagne moderne, du catholicisme le plus intransigeant et de l’unité politique hispanique, dépasse largement les limites qui séparent le personnage de la personne, l’être humain de la figure. Elle fut une femme, mais avant tout et surtout, elle fut une reine. Elle le fut à tel point, qu’elle est parvenue à créer une personnalité politique si soigneusement construite et si bien mise en avant, que celle-ci perdure jusqu’à nos jours, bien qu’étant le plus souvent mal interprétée, et parfois même déformée. Tout au long des cinq derniers siècles, l’historiographie d’Isabelle la Catholique n’a cessé de s’amplifier, pour atteindre une dimension quasi inaccessible. Le grand défi du livre qui nous occupe est de synthétiser, en un volume d’un peu plus de cinquante pages, la vie de ce personnage extrêmement singulier, tant comme femme que comme reine. 2 D’emblée, nous devons préciser qu’il s’agit d’une courte biographie. Cela signifie que de nombreux aspects de la vie politique d’Isabelle la Catholique faisant l’objet de débats entre historiens : les doutes quant à sa légitimité, comment elle accéda au trône, comment elle partagea le pouvoir avec son époux, ne sont pas analysés. Seuls les faits sont exposés avec objectivité, par ordre chronologique. De ce fait, le livre est très intéressant pour qui désire comprendre la figure de la reine, repérer les événements essentiels ou s’informer sur des épisodes précis. En ce sens, aussi bien le vaste tableau chronologique publié au début du livre, que la sélection de textes et la synthèse bibliographique incluses dans les dernières pages, sont d’une grande utilité : des fragments de lettres, des chroniques et des documents proposant des descriptions Clio. Femmes, Genre, Histoire, 27 | 2008 1 Maria Isabel del Val Valdivieso, Isabel la Católica (1451-1504) d’époque, et une bibliographie divisée en trois sections reprenant surtout les dernières publications. Tout ceci entourant, comme une parenthèse, l’essentiel du livre : le récit de la vie d’Isabelle la Catholique. 3 Récit qui pourrait s’inscrire dans la tradition bibliographique la plus classique : la description des faits, le constat suite à l’analyse, la narration, mais surtout la synthèse. Car l’approche biographique d’un personnage aussi complexe exige, en plus d’une grande connaissance du sujet, une vision claire de tous les aspects qui l’entourent. Ce qui, concernant Isabelle la Catholique, est particulièrement complexe. D’une part, parce que l’historiographie franquiste voulut, à travers cette reine, transmettre l’image d’une Espagne unique, sans fissures, intrinsèquement liée au catholicisme et profondément associée à certains éléments de l’Espagne moderne que le régime de Franco crut bon de mettre en valeur et même de relancer : l’impérialisme, l’unité politico-religieuse, la puissance internationale. D’autre part, parce que, en raison de ce fait, nombreux sont ceux qui identifient Isabelle la Catholique avec l’intolérance, le totalitarisme, et le fanatisme. Par conséquent, l’étude de cette reine, signifie que l’on doit se plonger dans un passé lointain, en tenant compte des différentes images qui, à son propos, ont pu être échafaudées, aussi bien dans un passé récent qu’au moment présent. 4 L’ouvrage trouve la solution dans sa propre organisation. La perspective pour aborder le récit de la vie du personnage se concentre tout particulièrement sur l’idée qu’il s’agit d’une femme consacrée corps et âme à la politique. C’est pourquoi, ce sont ses succès politiques qui sont mis en relief dans le texte. Divisé en quatre parties, le livre aborde tout d’abord son accès au trône, puis la guerre, troisièmement – et plus longuement –, ses décisions politiques, et enfin ses relations familiales, toujours associées à la politique. Ainsi, après lecture, nous obtenons une vision complète d’une femme qui réussit à gouverner au sein d’une société profondément patriarcale. Un personnage unique, singulier, fondamental, aussi bien pour la compréhension de son époque que de la nôtre. Clio. Femmes, Genre, Histoire, 27 | 2008 2.
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