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https://openalex.org/W2796661829 | OpenAlex | Open Science | CC-By | 2,017 | 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. (
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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
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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. | 50,887 |
W3170099297.txt_15 | German-Science-Pile | Open Science | Various open science | null | None | None | German | Spoken | 7,071 | 15,717 | [§ 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.
| 40,228 |
hal-03509136-gosud.txt_1 | French-Science-Pile | Open Science | Various open science | 2,022 | 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. ⟨hal-03509136⟩ | None | English | Spoken | 7,120 | 10,107 | 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. | 11,667 |
https://arxiv.org/abs/2404.14532 | arXiv | Open Science | CC-By | null | The class of Krasner hyperfields is not elementary | Piotr B{\l}aszkiewicz and Piotr Kowalski | English | Spoken | 5,021 | 12,913 | 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.
| 24,469 |
https://openalex.org/W4303622046_2 | Spanish-Science-Pile | Open Science | Various open science | 2,022 | Métodos cuantitativos para estudiar a las élites: Aplicaciones prácticas, sesgos y potencialidades | None | Spanish | Spoken | 4,719 | 10,189 | 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. Finalmente, algunas de las estrategias para superar estos
problemas pueden ser el uso de diagramas causales, técnicas de remuestreo y modelamientos paramétricos o semi-paramétricos.
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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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Kota Batam, salah satu kota di Provinsi Kepulauan Riau,
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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
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Dana Perimbangan, dan Lain-Lain Pendapatan Daerah yang Sah pada Belanja
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https://openalex.org/W2579335743 | OpenAlex | Open Science | CC-By | 2,017 | Urinary exosome-derived microRNAs reflecting the changes of renal function and histopathology in dogs | Osamu Ichii | English | Spoken | 10,368 | 19,811 | 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 μL 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 μL of Resuspension Buffer
(Exiqon) containing 2% paraformaldehyde for 10 min. After fixation, 10 μL 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 μA, 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
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The dog urines and kidney tissues were collected with the kind help from all staffs in Veterinary Teaching
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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
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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 | 8,456 |
https://openalex.org/W2319038020 | OpenAlex | Open Science | CC-By | 2,014 | Draft Genome Sequence of <i>Paenibacillus</i> sp. Strain MSt1 with Broad Antimicrobial Activity, Isolated from Malaysian Tropical Peat Swamp Soil | Yoong Kit Aw | English | Spoken | 1,174 | 2,385 | 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
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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
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4. Kim JF, Jeong H, Park S-Y, Kim S-B, Park YK, Choi S-K, Ryu C-M, Hur
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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
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e01024-14 Genome Announcements genomea.asm.org | 33,819 |
https://openalex.org/W3202065711 | OpenAlex | Open Science | CC-By | 2,021 | Live Cell Poration by Au Nanostars to Probe Intracellular Molecular Composition with SERS | Evelina I. Nikelshparg | English | Spoken | 8,137 | 15,555 |
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
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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
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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
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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
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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
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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] [
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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]
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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). This research was also partly supported by the Government of the Russian Federation, grant no. 14.Z50.31.0044. V.A.K. and B.N.K. acknowledge financial support from RSF (grant 18-14-00016-P). References Liang, O.; Wang, P.; Xia, M.; Augello, C.; Yang, F.; Niu, G.; Liu, H.; Xie, Y.H. Label-free distinction between p53+/+ and p53−/−
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https://openalex.org/W4221031114_7 | Spanish-Science-Pile | Open Science | Various open science | 2,022 | Estudio de los mecanismos de muerte celular en la mucosa de intestino delgado | None | English | Spoken | 7,965 | 21,700 | 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. A su vez, la liberación de
alarminas no solo amplificaría la inflamación local si no que podría potenciar el desarrollo
de mecanismos de daño en tejidos distantes.
La relevancia de estos resultados yace en la descripción por primera vez del rol de ejes
proinflamatorios en la mucosa del intestino delgado, permitiendo profundizar el
conocimiento de la biología de la mucosa intestinal, pudiendo ser utilizados en
la prevención de la EC o bien en la implementación de estrategias terapéuticas que
reduzcan la progresión o severidad de las complicaciones a largo plazo y el
desencadenamiento de las enfermedades asociadas.
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| 8,303 |
https://openalex.org/W2012258255 | OpenAlex | Open Science | CC-By | 2,012 | Heparan Sulfate Biosynthesis | Hinke A.B. Multhaupt | English | Spoken | 5,219 | 9,892 | 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
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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,
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work was supported by a pilot grant from the Mizutani Foundation. Support from the Danish National Research Foundation, Lundbeck
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https://openalex.org/W4206570672 | OpenAlex | Open Science | CC-By | 2,021 | Penghindaran Pajak Pada Industi Barang Konsumsi di Indonesia Sebelum Era Pandemi Covid19: Ukuran Perusahaan dan Profitabilitas | Jeremi Martinus | Indonesian | Spoken | 4,963 | 13,525 | 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
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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
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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
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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
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b l
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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
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P id j
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: 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
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https://openalex.org/W2799396763 | OpenAlex | Open Science | CC-By | 2,018 | MicroED structure of the NaK ion channel reveals a Na+ partition process into the selectivity filter | Shian Liu | English | Spoken | 6,453 | 11,658 | 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
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hal-03684892-ribbon.txt_1 | French-Science-Pile | Open Science | Various open science | 2,022 | Ribbons in Garside monoids. 2022. ⟨hal-03684892⟩ | None | English | Spoken | 4,782 | 7,164 | 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 | 40,704 |
https://openalex.org/W2900352403 | OpenAlex | Open Science | CC-By | 2,018 | Reading Needs Analysis of EFL Learners in the Saudi Context: Identifying Needs and Deficiencies | Asmaa A. AlGhamdi | Latin | Spoken | 6,979 | 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
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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
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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
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2018, Vol. 6, No. 2 International Journal of English Language Education
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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
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2018, Vol. 6, No. 2 International Journal of English Language Education
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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
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2018, Vol. 6, No. 2 6. Analysis and Discussion 6.1 Statistical Analysis International Journal of English Language Education
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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
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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
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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
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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
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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
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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
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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
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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
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7(11),
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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
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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
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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
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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
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2018, Vol. 6, No. 2 4
. مبهي اقترادبتك لتحسيه القراءة في المستوى الجبمعي؟ International Journal of English Language Education
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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 | 16,299 |
https://openalex.org/W2805904149 | OpenAlex | Open Science | CC-By | 2,018 | Rem2 stabilizes intrinsic excitability and spontaneous firing in visual circuits | Anna R. Moore | English | Spoken | 26,137 | 52,723 | 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
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l
i i
h
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f
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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
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1.5
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WT TR
WT 6d MD
% mEPSCs
0
50
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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
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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
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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
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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
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-0.5
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8-9d
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P0
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MD
Rem2flx/flx+AAV-GFP
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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
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5 s
40 mV A B AAV-GFP
2d MD
AAV-Cre
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2d MD
AAV-GFP
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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
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29 of 34 Decision letter and Author response
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9470483 34 of 34 | 2,578 |
https://openalex.org/W4226031981 | OpenAlex | Open Science | CC-By | 2,022 | GPR55 in B cells limits atherosclerosis development and regulates plasma cell maturation | Raquel Guillamat-Prats | English | Spoken | 16,005 | 31,338 | 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
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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). Acknowledgements We are deeply grateful to Maria Aslani for her advice in transcriptomic data visual presentation
and thank Diana Wagner, Yvonne Jansen, Rodrigo Carrasco-Leon, Blanca Dufner and Silviya
Wolkerstorfer for their excellent technical support. 26 26 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. Competing interests The authors declare no conflicts of interests. 27 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. 16. Puhl S-L. Cannabinoid-sensitive receptors in cardiac physiology and ischaemia. Biochim
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5181. 32 Role of B cell GPR55 in atherosclerosis Guillamat-Prats et al. Figure 1: Regulation and function of GPR55 signaling in atherosclerosis. (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 | 20,053 |
tel-04299443-BATIE_2023_archivage.txt_6 | French-Science-Pile | Open Science | Various open science | 2,023 | 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. ⟨NNT : 2023UMONG002⟩. ⟨tel-04299443⟩ | None | English | Spoken | 7,139 | 10,884 | 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. | 35,958 |
hal-03433089-2108.08390.txt_1 | French-Science-Pile | Open Science | Various open science | 2,021 | Characterizing Exoplanetary Atmospheres at High Resolution with SPIRou: Detection of Water on HD 189733 b. The Astronomical Journal, 2021, 162 (6), pp.233. ⟨10.3847/1538-3881/ac1f8e⟩. ⟨hal-03433089⟩ | None | English | Spoken | 7,160 | 10,941 | 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. | 40,499 |
https://openalex.org/W3210671422 | OpenAlex | Open Science | CC-By | 2,021 | Cross-Cultural Adaptation, Reliability, and Psychophysical Validation of the Pain and Sleep Questionnaire Three-Item Index in Finnish | Jani Mikkonen | English | Spoken | 13,193 | 23,962 | 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
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https://openalex.org/W2566529420_1 | Spanish-Science-Pile | Open Science | Various open science | null | None | None | Haitian Creole | Spoken | 1 | 2 | None | 31,936 |
https://openalex.org/W2062993691 | OpenAlex | Open Science | CC-By | 2,014 | The common ground of genomics and systems biology | Ana Conesa | English | Spoken | 9,984 | 16,320 | 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/
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[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
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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
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https://openalex.org/W4286493355_3 | Spanish-Science-Pile | Open Science | Various open science | 2,022 | La evolución conceptual de la ciudadanía: de Aristóteles a Hegel | None | Spanish | Spoken | 7,090 | 11,958 | 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.
| 50,630 |
tel-04383373-2023TOU30134b.txt_4 | French-Science-Pile | Open Science | Various open science | null | Teleconnections and dynamical influences on intraseasonal rainfall variability over Vietnam. Hydrology. Université Paul Sabatier - Toulouse III, 2023. English. ⟨NNT : 2023TOU30134⟩. ⟨tel-04383373⟩ | None | English | Spoken | 7,044 | 9,356 | 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. | 21,008 |
https://openalex.org/W4320925892 | OpenAlex | Open Science | CC-By | 2,022 | The Late Lithuanian Greimas: Intentions and Reception | Loreta Mačianskaitė | English | Spoken | 11,008 | 20,518 | 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
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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,
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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-
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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. Bijai Greimo, neik į Vakarus. A conversation in the editorial
office, participants: A. Andriuškevičius, A. Samalavičius, K. Stoškus, S. Žukas. Literatūra ir menas 9, pp. 12–13. Žukas, S. 1983. Poetinio teksto samprata J. Lotmano veikaluose. Literatūra
25 (1), pp. 3–20. 263 | 48,264 |
W2167005596.txt_2 | Open-Science-Pile | Open Science | Various open science | 2,014 | O nacional-socialismo do grupo Valhalla 88: a construção de um movimento nazista no Brasil | None | Unknown | Unknown | 1,383 | 3,316 | 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
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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,
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BARBOSA, Jefferson Rodrigues. Integralismo e ideologia autocrática chauvinista
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CALDEIRA NETO, Odilon. Breves reflexões sobre o uso da Internet em pesquisas
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CALDEIRA NETO, Odilon. Integralismo, neointegralismo e antissemitismo: entre
a relativização e o esquecimento. 2011. 234 f. Dissertação (Mestrado em História).
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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:
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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.
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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=.
| 33,298 |
https://openalex.org/W2559053446 | OpenAlex | Open Science | CC-By | 2,016 | Correlates of meal skipping in young adults: a systematic review | Felicity J. Pendergast | English | Spoken | 11,687 | 20,906 | 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
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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
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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
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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
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https://openalex.org/W4200632962 | OpenAlex | Open Science | CC-By | 2,022 | 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 | English | Spoken | 43,893 | 103,233 | 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
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0.85
0.9
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Higgs candidate DNN-tagger P(H)
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100
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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
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1.25
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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
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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
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800
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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
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600
[GeV]
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Higgs boson candidate p
0.5
0.75
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= 13 TeV, 139 fb
s
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tt
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tt
1b
≥
+
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tH
1c
≥
+
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+ V
tt
+ light
tt
Other
Uncertainty
*: normalised to total Bkg. (b)
300
350
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500
550
600
[GeV]
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Higgs boson candidate p
0.5
0.75
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1.25
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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]
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Higgs boson candidate p
0.5
0.75
1
1.25
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200
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1000
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ATLAS
-1
= 13 TeV, 139 fb
s
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boosted
SR
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Data
H
tt
H *
tt
1b
≥
+
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tH
1c
≥
+
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+ V
tt
+ light
tt
Other
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*: normalised to total Bkg. (c) 0
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600
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Higgs boson candidate p
0.5
0.75
1
1.25
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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
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500
600
[GeV]
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Higgs boson candidate p
0.5
0.75
1
1.25
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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
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-1
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4j
≥
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[200,300) GeV
∈
H
T
p
Post-Fit
Data
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tt
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tt
1b
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Other
Uncertainty
*: normalised to total Bkg. (c) 1
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ATLAS
-1
= 13 TeV, 139 fb
s
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4j
≥
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[120,200) GeV
∈
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T
p
Post-Fit
Data
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H *
tt
1b
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ATLAS
-1
= 13 TeV, 139 fb
s
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4j
≥
4b
≥
SR
) GeV
∞
[300,
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H
T
p
Post-Fit
Data
H
tt
H *
tt
1b
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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
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-1
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s
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4b
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[0,120) GeV
∈
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p
Post-Fit
Data
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H *
tt
1b
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Uncertainty
*: normalised to total Bkg. (a)
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ATLAS
-1
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s
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4b
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[120,200) GeV
∈
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T
p
Post-Fit
Data
H
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H *
tt
1b
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Uncertainty
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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
≥
+
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1c
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+ V
tt
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Other
Uncertainty
*: normalised to total Bkg. (c)
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-1
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s
Single lepton
4b
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[300,450) GeV
∈
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p
Post-Fit
Data
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Uncertainty
*: normalised to total Bkg. (d)
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Events
ATLAS
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s
Single lepton
4b
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SR
) GeV
∞
[450,
∈
H
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p
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Data
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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
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Uncertainty
*: normalised to total Bkg. (f)
0.05
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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
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30
40
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80
90
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ATLAS
-1
= 13 TeV, 139 fb
s
Single lepton
boosted
SR
) GeV
∞
[450,
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H
T
p
Post-Fit
Data
H
tt
H *
tt
1b
≥
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+ V
tt
+ light
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Other
Uncertainty
*: normalised to total Bkg. (g) b)
(
0.05
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-1
= 13 TeV, 139 fb
s
Single lepton
boosted
SR
[300,450) GeV
∈
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T
p
Post-Fit
Data
H
tt
H *
tt
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+ V
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Uncertainty
*: normalised to total Bkg. (f) (a)
0.75
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Data / Pred. 0
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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
∆
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1
1.25
1.5
Data / Pred. 7 Results The uncertainty band includes all uncertainties and their correlations. 1
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ATLAS
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s
Single lepton
4b
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p
Post-Fit
Data
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H *
tt
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p
Post-Fit
Data
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tt
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Uncertainty
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Events
ATLAS
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s
Single lepton
4b
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[200,300) GeV
∈
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T
p
Post-Fit
Data
H
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H *
tt
1b
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Other
Uncertainty
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ATLAS
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s
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4b
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∈
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p
Post-Fit
Data
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1b
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Uncertainty
*: normalised to total Bkg. (b) (c) (a) (b) (d) c)
(d)
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s
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CR
Post-Fit
Data
H
tt
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Uncertainty
*: normalised to total Bkg. 0
(a)
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s
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CR
Post-Fit
Data
H
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tt
1b
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tH
1c
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+
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+ V
tt
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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
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bb
R
∆
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= 13 TeV, 139 fb
s
Single lepton
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≥
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CR
Post-Fit
Data
H
tt
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Uncertainty
*: normalised to total Bkg. 0
(b) 1.6
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s
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CR
Post-Fit
Data
H
tt
H *
tt
1b
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tH
1c
≥
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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
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Data / Bkgd
=1.0) + Bkgd
SM
µ
H (
tt
=0.35) + Bkgd
fit
µ
H (
tt
2
10
3
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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
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Data / Bkgd
=1.0) + Bkgd
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µ
H (
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µ
H (
tt
2
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4
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5
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Events / 0.2
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=1.0)
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µ
H (
tt
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fit
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H (
tt
Background
Bkgd Unc. ATLAS
-1
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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
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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
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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
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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
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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
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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
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includes all uncertainties and their correlations. 24 0.6
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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
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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
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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
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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
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Number of small-R jets
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50
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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
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Data / Pred. 7 Results 0
200
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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
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[GeV]
T
Higgs boson candidate p
0.5
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-1
= 13 TeV, 139 fb
s
Single lepton
4b
≥
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≥
SR
Post-Fit
Data
H
tt
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tt
1b
≥
+
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tH
1c
≥
+
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+ V
tt
+ light
tt
Other
Uncertainty
*: normalised to total Bkg. (b)
300
350
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600
[GeV]
T
Higgs boson candidate p
0.5
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Events
ATLAS
-1
= 13 TeV, 139 fb
s
Single lepton
boosted
SR
Post-Fit
Data
H
tt
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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. 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. 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. References [1]
F. Englert and R. Brout, Broken Symmetry and the Mass of Gauge Vector Mesons,
Phys. Rev. Lett. 13 (1964) 321. [1]
F. Englert and R. Brout, Broken Symmetry and the Mass of Gauge Vector Mesons,
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P. W. Higgs, Broken Symmetries and the Masses of Gauge Bosons, Phys. Rev. Lett. 13 (1964) 508. [2]
P. W. Higgs, Broken Symmetries and the Masses of Gauge Bosons, Phys. Rev. Lett. 13 (1964) 508. [3]
G. Guralnik, C. Hagen and T. Kibble, Global Conservation Laws and Massless Particles,
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boson with the ATLAS detector at the LHC, Phys. Lett. B 716 (2012) 1,
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Observation of a new boson at a mass of 125 GeV with the CMS experiment at the LHC,
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ATLAS and CMS Collaborations, Combined Measurement of the Higgs Boson Mass in 𝑝𝑝
Collisions at √𝑠= 7 and 8 TeV with the ATLAS and CMS Experiments,
Phys. Rev. Lett. 114 (2015) 191803, arXiv: 1503.07589 [hep-ex]. [7]
L. Evans and P. Bryant, LHC Machine, JINST 3 (2008) S08001. [7]
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J. Phys. G 41 (2014) 113001, arXiv: 1403.7191 [hep-ph]. [9]
ATLAS and CMS Collaborations,
Measurements of the Higgs boson production and decay rates and constraints on its couplings
from a combined ATLAS and CMS analysis of the LHC 𝑝𝑝collision data at √𝑠= 7 and 8 TeV,
JHEP 08 (2016) 045, arXiv: 1606.02266 [hep-ex]. [10]
ATLAS Collaboration, Cross-section measurements of the Higgs boson decaying into a pair of
𝜏-leptons in proton–proton collisions at √𝑠= 13 TeV with the ATLAS detector,
Phys. Rev. D 99 (2019) 072001, arXiv: 1811.08856 [hep-ex]. [11]
CMS Collaboration,
Observation of the Higgs boson decay to a pair of 𝜏leptons with the CMS detector,
Phys. Lett. B 779 (2018) 283, arXiv: 1708.00373 [hep-ex]. [12]
ATLAS Collaboration,
Observation of 𝐻→𝑏¯𝑏decays and 𝑉𝐻production with the ATLAS detector,
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CMS Collaboration, Observation of Higgs Boson Decay to Bottom Quarks,
Phys. Rev. Lett. 121 (2018) 121801, arXiv: 1808.08242 [hep-ex]. 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. For variables depending
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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
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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( )
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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,
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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
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60(𝑎)Department of Physics, Chinese University of Hong Kong, Shatin, N.T., Hong Kong;(𝑏)Department
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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
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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
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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
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121Department of Physics, New York University, New York NY; United States of America. The ATLAS Collaboration 122Ochanomi
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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
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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
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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
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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
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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
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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 | 14,733 |
https://openalex.org/W1907436083 | OpenAlex | Open Science | CC-By | 2,011 | 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
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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= AuthEncD
a1
D
a2 D
b1
P
P=AuthEncP
b2
P
D=DecVerD
D=GarbleD
2D
1D
P=DecVerP
C=CompileP
C=CreateGCC
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=Verifyr
c2
q
c3
r
q=Garbleq
r=C q, D
c1
q
c4
r=Pq , 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)
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https://openalex.org/W4205331455 | OpenAlex | Open Science | CC-By | 2,022 | Chemical Group-Based Metabolome Analysis Identifies Candidate Plasma Biomarkers Associated With Residual Feed Intake in Beef Steers | Godstime Taiwo | English | Spoken | 8,386 | 16,942 | 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
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M. (2020). SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found
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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 | 15,340 |
https://openalex.org/W3047922794 | OpenAlex | Open Science | CC-By | 2,020 | A implementação do Auxílio Emergencial como medida excepcional de proteção social | Bruno Baranda Cardoso | English | Spoken | 6,775 | 10,718 | 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 | 12,461 |
https://openalex.org/W4379374968 | OpenAlex | Open Science | CC-By | 2,023 | Ultra High Performance Concrete - A Technical Study | J Sreelakshmi | English | Spoken | 5,932 | 10,705 | 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 | 1,696 |
W4251085798.txt_6 | German-Science-Pile | Open Science | Various open science | null | None | None | German | Spoken | 7,263 | 20,782 | ..
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.
| 19,866 |
https://openalex.org/W4312303960_1 | Spanish-Science-Pile | Open Science | Various open science | null | None | None | Spanish | Spoken | 539 | 986 | 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.
| 10,075 |
https://openalex.org/W3046309837_2 | Spanish-Science-Pile | Open Science | Various open science | 2,020 | Claves antropológicas del pensamiento de Clemente de Alejandría | None | Spanish | Spoken | 3,531 | 6,560 | 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.
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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).
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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.
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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.
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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.
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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.
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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.
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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.
| 21,977 |
tel-04482520-ENSAM_BROT_2023_archivage.txt_5 | French-Science-Pile | Open Science | Various open science | null | 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. ⟨NNT : 2023HESAE060⟩. ⟨tel-04482520⟩ | None | French | Spoken | 7,359 | 11,943 | 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. | 47,156 |
https://openalex.org/W3038279442_1 | Spanish-Science-Pile | Open Science | Various open science | 2,020 | Manipulación de lesiones en pacientes con leishmaniasis cutánea: serie de casos en un hospital peruano | None | Spanish | Spoken | 3,796 | 8,486 | 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
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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.
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https://openalex.org/W4221034841 | OpenAlex | Open Science | CC-By | 2,022 | 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 | English | Spoken | 9,983 | 19,888 | 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. Validation: Tobias F. Rinke de Wit, Dawit Wolday. Validation: Tobias F. Rinke de Wit, Dawit Wolday. PLOS ONE | https://doi.org/10.1371/journal.pone.0263627
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https://openalex.org/W2598965498 | OpenAlex | Open Science | CC-By | 2,017 | Abstract Concepts and Aging: An Embodied and Grounded Perspective | Anna M. Borghi | English | Spoken | 2,989 | 5,206 | 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
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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 | 47,348 |
https://openalex.org/W4312789394_2 | Spanish-Science-Pile | Open Science | Various open science | 2,022 | La ley de Impulso para la Sostenibilidad del Territorio de Andalucía. Las clases de suelo y las actuaciones de transformación urbanística. | None | Spanish | Spoken | 7,442 | 12,981 | 16
34
Informe Consejo Consultivo de Andalucía 214/2021, p. 139.
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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).
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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-
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José Zamorano Wisnes
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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
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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,
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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
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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.
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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
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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.
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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.
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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).
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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).
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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.
| 42,458 |
https://openalex.org/W2273732083 | OpenAlex | Open Science | CC-By | 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
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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)
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1178. DOI: 10.1021/ic00150a006 3. Malstrom RA, Hirschfeld T. On-Line uranium determination
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absorbance spectroscopy of the uranyl ion in nitric acid for
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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
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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
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W4250012437.txt_9 | German-Science-Pile | Open Science | Various open science | null | None | None | English | Spoken | 8,474 | 16,303 | 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.
| 42,003 |
tel-04264261-Manuscrit%20de%20the%CC%80se.txt_9 | French-Science-Pile | Open Science | Various open science | 2,023 | 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. ⟨NNT : ⟩. ⟨tel-04264261⟩ | None | French | Spoken | 7,079 | 11,823 | 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).
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- 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). | 27,667 |
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. | 24,119 |
https://openalex.org/W4256482548 | OpenAlex | Open Science | CC-By | 2,020 | Algorithm for Computation of DCT and its Implementation using a Systolic Architecture | null | Latin | Spoken | 5,491 | 14,409 | I. 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
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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
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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
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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
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using DCT” International conference on Advances in Computational
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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
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Journal Website: www.ijeat.org | 42,770 |
https://openalex.org/W4289754386 | OpenAlex | Open Science | CC-By | 2,018 | 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 | English | Spoken | 5,061 | 10,526 | 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
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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
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Analysis of the perception of practising Estate Surveyors and Valuers. International Journal of humanities and
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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
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g
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17. Umeh, J. A. (2014). Valuation of plant and machinery.Second Edition. Enugu. Ezu Books Ltd. 901 | 11,996 |
https://openalex.org/W3029305682 | OpenAlex | Open Science | CC-By | 2,020 | Biomechanical influences of gait patterns on knee joint: Kinematic & EMG analysis | Jin Ju Kim | English | Spoken | 8,421 | 14,341 | 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,
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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
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https://openalex.org/W4288039800_2 | Spanish-Science-Pile | Open Science | Various open science | 2,022 | Caracterización y análisis del desempeño de la red de datos de la Pontificia Universidad Javeriana | None | Spanish | Spoken | 7,569 | 16,161 | 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.
| 30,361 |
https://openalex.org/W2513493502 | OpenAlex | Open Science | CC-By | 2,016 | Diagnosis of subglottic stenosis in a rabbit model using long‐range optical coherence tomography | Olubunmi Ajose-Popoola | English | Spoken | 5,252 | 9,582 | 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. 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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" | 25,041 |
W2046955223.txt_3 | German-Science-Pile | Open Science | Various open science | null | None | None | German | Spoken | 3,971 | 8,602 | 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
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Liohtdruck von Msrttn Rommel & Co., Stuttgart.
| 32,307 |
https://openalex.org/W4226063960_1 | Spanish-Science-Pile | Open Science | Various open science | null | None | None | Spanish | Spoken | 308 | 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.
| 40,847 |
https://openalex.org/W3095391161 | OpenAlex | Open Science | CC-By | 2,020 | The Church of England Advisory Council of Empire Settlement and Post-War Child Migration to Australia | Gordon Lynch | English | Spoken | 18,971 | 40,474 | 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 | 3,633 |
a5842c801de8c6b2c06a4189b9be44e2_1 | French-Science-Pile | Open Science | Various open science | 2,023 | 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. ⟨hal-04300873⟩ | None | French | Spoken | 1,792 | 2,929 | 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. | 44,769 |
20/tel.archives-ouvertes.fr-tel-02078307-document.txt_3 | French-Science-Pile | Open Science | Various open science | null | None | None | French | Spoken | 9,211 | 13,243 | 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
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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. | 6,265 |
https://openalex.org/W2726805505_1 | Spanish-Science-Pile | Open Science | Various open science | 2,017 | Experiencias Teórico-Prácticas de Física en un Entorno Virtual 3.0 | None | Spanish | Spoken | 4,034 | 7,715 | 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.
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| 38,648 |
https://openalex.org/W4321377343 | OpenAlex | Open Science | CC-By | 2,023 | BlenderProc2: A Procedural Pipeline for Photorealistic Rendering | Maximilian Denninger | English | Spoken | 1,301 | 2,694 | 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
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Submitted: 21 September 2022
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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. Proceedings of the IEEE/CVF International Conference
on Computer Vision (ICCV). https://doi.org/10.1109/ICCV.2019.00943 Morrical, N., Tremblay, J., Lin, Y., Tyree, S., Birchfield, S., Pascucci, V., & Wald, I. (2021). NViSII: A scriptable tool for photorealistic image generation. https://arxiv.org/abs/2105. 13962 Schwarz, M., & Behnke, S. (2020). Stillleben: Realistic scene synthesis for deep learning in
robotics. https://doi.org/10.48550/ARXIV.2005.05659 To, T., Tremblay, J., McKay, D., Yamaguchi, Y., Leung, K., Balanon, A., Cheng, J., Hodge,
W., & Birchfield, S. (2018). NDDS: NVIDIA deep learning dataset synthesizer. | 5,394 |
https://openalex.org/W2981922523 | OpenAlex | Open Science | CC-By | 2,019 | Inherited and Environmental Factors Influence Human Monocyte Heterogeneity | Amit A. Patel | English | Spoken | 8,124 | 16,806 | 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). Taken together, these studies establish that both internal
and external body clocks influence monocyte behavior and
emphasize the importance of appropriate time controls when
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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. It
is important to examine these variables from a holistic
stance using defined objective criteria to avoid bias that
may have crept into previous studies. Historically, research
into the impact of lifestyle choices was performed on a
limited
cohort
with
certain
subjective
evaluations. The
adoption of electronic health records will provide greater
insight into how sex and environmental and lifestyle choices impact monocytes and additional leukocyte populations on a
previously unimaginable scale. FUNDING AP was supported by an EPSRC studentship. AUTHOR CONTRIBUTIONS All authors listed have made a substantial, direct and intellectual
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chemokine pathways in healthy adults. BMC Immunol. (2010) 11:30. doi: 10.1186/1471-2172-11-30 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
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glv121 Copyright © 2019 Patel and Yona. 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. November 2019 | Volume 10 | Article 2581 Frontiers in Immunology | www.frontiersin.org 9 | 13,273 |
https://openalex.org/W3007490837 | OpenAlex | Open Science | CC-By | 2,020 | Strategic communication for women entrepreneurs: a case study of India | Maharaja Thandabhani | English | Spoken | 7,043 | 14,362 | 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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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 | 5,653 |
W2461509213.txt_1 | German-Science-Pile | Open Science | Various open science | null | None | None | German | Spoken | 487 | 1,165 | 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.).
| 43,355 |
https://openalex.org/W2996530282_1 | Spanish-Science-Pile | Open Science | Various open science | 2,018 | J. Mª. Rodríguez Paniagua. Moralidad, derechos, valores. Civitas, Madrid, 2003, 106 pp. | None | Spanish | Spoken | 3,495 | 5,615 | 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-.
| 1,309 |
https://openalex.org/W3133323837 | OpenAlex | Open Science | CC-By | 2,021 | Soil Phosphorus Speciation and Availability in Meadows and Forests in Alpine Lake Watersheds With Different Parent Materials | Thomas Heron | English | Spoken | 16,524 | 29,412 | 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
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soil
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flowpaths
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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. This information can be
used to better understand which ecosystems present the most
risks for P loading into Lake Tahoe, which will allow for
better forest management practices to prevent P export into
feeder streams and groundwater that discharge into the lake. Current management strategies use controlled burns and erosion
prevention strategies to prevent P loss from Lake Tahoe Basin
soils into the lake. Resource managers need to consider the highly
variable sources of P in the Basin to decide which watersheds are
most vulnerable to P loss, such as the granitic forest watersheds,
and match management strategy to site properties to optimize the
site management for decreased P loss. REFERENCES Characterization of phosphorus
in sub-alpine forest and adjacent grassland soils by chemical extraction and
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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
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reproduction in other forums is permitted, provided the original author(s) and the
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is cited, in accordance with accepted academic practice. No use, distribution or
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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
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https://openalex.org/W2081301114 | OpenAlex | Open Science | CC-By | 2,013 | Circles within circles: crosstalk between protein Ser/Thr/Tyr-phosphorylation and Met oxidation | R. Shyama Prasad Rao | English | Spoken | 8,544 | 15,193 | © 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
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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
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structures and structural ensembles under functional constraint. Genes
2011, 2:748-762. | 1,067 |
66/tel.archives-ouvertes.fr-tel-00010435-document.txt_3 | French-Science-Pile | Open Science | Various open science | null | None | None | French | Spoken | 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. | 21,103 |
https://openalex.org/W3034517777 | OpenAlex | Open Science | CC-By | 2,020 | Expert Elicitation on Wind Farm Control | Jan‐Willem van Wingerden | English | Spoken | 7,114 | 12,222 | 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.
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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
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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
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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)
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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
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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)
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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
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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)
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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)
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doi:10.1088/1742-6596/1618/2/022025 QUE 2020)
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)
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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)
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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)
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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
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2
4
2
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3
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2
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3
1
1
2
3
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0
4
13
2
3
5
3
3
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3
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3
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1
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12
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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. Experimental investigation of wake effects on wind
turbine performance. Renewable Energy, 36(8):2078 – 2086, 2011. [2] J Bartl, F M¨uhle, and L Sætran. Wind tunnel study on power output and yaw moments
for two yaw-controlled model wind turbines. Wind Energy Science, 3(2):489–502, 2018. 4. Conclusions WFC is an active and growing field of research where consensus of research findings, best
practices, and identification of open research questions are needed. References [1] M S Adaramola and P A Krogstad. Experimental investigation of wake effects on wind
turbine performance. Renewable Energy, 36(8):2078 – 2086, 2011. [2] J Bartl, F M¨uhle, and L Sætran. Wind tunnel study on power output and yaw moments
for two yaw-controlled model wind turbines. Wind Energy Science, 3(2):489–502, 2018. 9 The Science of Making Torque from Wind (TORQUE 2020)
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doi:10.1088/1742-6596/1618/2/022025 [3] M Bastankhah and F Port´e-Agel. Wind farm power optimization via yaw angle control: A
wind tunnel study. Journal of Renewable and Sustainable Energy, 11(2):023301, 2019. [4] S Boersma, B M Doekemeijer, P M O Gebraad, P A Fleming, J Annoni, A K Scholbrock,
J A Frederik, and J W van Wingerden. A tutorial on control-oriented modeling and control
of wind farms. American Control Conference (ACC), pages 1–18, 2017. [5] F. Campagnolo, V. Petrovi´c, C. L. Bottasso, and A. Croce. Wind tunnel testing of wake
control strategies. Proceedings of the American Control Conference (ACC), pages 513–518,
2016. [6] F Campagnolo, V Petrovi´c, J Schreiber, E M Nanos, A Croce, and C L Bottasso. Wind
tunnel testing of a closed-loop wake deflection controller for wind farm power maximization. Journal of Physics: Conference Series, 753(3), 2016. [7] B M Doekemeijer, P A Fleming, and J W van Wingerden. A tutorial on the synthesis
and validation of a closed-loop wind farm controller using a steady-state surrogate model. American Control Conference (ACC), 2019. [8] B M Doekemeijer, S Kern, S Maturu, S Kanev, B Salbert, J Schreiber, F Campagnolo, C L
Bottasso, S Schuler, F Wilts, T Neumann, G Potenza, F Calabretta, F Fioretti, and J W
van Wingerden. Field experiment for open-loop yaw-based wake steering at a commercial
onshore wind farm in italy. Wind Energy Science Discussions, 2020:1–22, 2020. [9] P A Fleming, J Annoni, J J Shah, L Wang, S Ananthan, Z Zhang, K Hutchings, P Wang,
W Chen, and L Chen. Field test of wake steering at an offshore wind farm. Wind Energy
Science, 2(1):229–239, 2017. [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)
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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 | 23,892 |
halshs-03887980-RABOT_2015_La%20construction%20de%20la%20visibilite%CC%81%20litte%CC%81raire.txt_18 | French-Science-Pile | Open Science | Various open science | 2,022 | La construction de la visibilité littéraire en bibliothèque. 2015, 9791091281423. ⟨10.4000/books.pressesenssib.3948⟩. ⟨halshs-03887980⟩ | None | French | Spoken | 6,726 | 10,109 | 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
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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. | 5,526 |
https://openalex.org/W2610343482 | OpenAlex | Open Science | CC-By | 2,017 | A comparison of SERS and MEF of rhodamine 6G on a gold substrate | Elizabeth Kohr | English | Spoken | 7,061 | 13,178 | 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
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Recommended Citation Recommended Citation
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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. The views and conclusions contained in this
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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.;
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https://openalex.org/W3035712976 | OpenAlex | Open Science | CC-By | 2,020 | Reflections on a First-Time Flip in a Differential Equations Classroom | Mel Henriksen | English | Spoken | 439 | 644 | * 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
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https://openalex.org/W4312125825 | OpenAlex | Open Science | CC-By | 2,022 | Eight-year single-center experience with transcatheter aortic valve implantation (TAVI) | Ivo Petrov | Bulgarian | Spoken | 5,528 | 15,177 | 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 | 28,779 |
2018GREAI100_1 | French-Science-Pile | Open Science | Various open science | 2,018 | Une étude expérimentale des bandes de compaction dans les roches très poreuses : l'exemple du Tuffeau de Maastricht | None | English | Spoken | 5,142 | 8,166 | 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
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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.................................... | 17,673 |
hal-03145860-srep43241.txt_1 | French-Science-Pile | Open Science | Various open science | 2,021 | 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. ⟨10.1038/srep43241⟩. ⟨hal-03145860⟩ | None | English | Spoken | 7,136 | 10,951 | 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. | 45,768 |
https://openalex.org/W3177084013_2 | Spanish-Science-Pile | Open Science | Various open science | 2,021 | CLÁUSULAS ABUSIVAS EN CONTRATOS DE PROMESA DE COMPRAVENTA. ANÁLISIS A PARTIR DEL CASO SERNAC CON CONSTRUCTORA SANTA BEATRIZ | None | Spanish | Spoken | 3,819 | 6,856 | 187
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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
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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.
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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.
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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.
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| 44,636 |
https://openalex.org/W4223489448 | OpenAlex | Open Science | CC-By-SA | 2,022 | Comparative Analysis of Curcuma longa Rhizome and Tectona grandis Leaves Extracts as Green Indicators versus some Synthetic Indictors in Acid-Base Titration | Kaana Asemave | English | Spoken | 4,306 | 8,650 | 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 | 2,755 |
https://openalex.org/W4307319292 | OpenAlex | Open Science | CC-By | 2,022 | The impact of idiosyncratic volatility on the investors' herd behavior in the Chinese Stock Market | Khalil NAIT BOUZID | English | Spoken | 16,207 | 45,208 | 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
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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
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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,
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dumas-03830592-A-2022-011.txt_5 | French-Science-Pile | Open Science | Various open science | 2,022 | 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. ⟨dumas-03830592⟩ | None | French | Spoken | 6,799 | 15,079 | 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. Enfin, les résultats constatés dans cette étude et les tendances soulignées ont permis d’émettre un certain nombre de recommandations aux centres de soins quant à l’existence et à la gestion du risque d’hémoparasitisme dans leurs structures et de proposer de nouvelles perspectives d’études concernant les espèces aviaires et les régions étudiées afin de comparer les résultats obtenus chez des oiseaux appartenant à des espèces et biotopes différents. Liste des r
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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.
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## 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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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.
| 42,640 |
https://openalex.org/W2771790760 | OpenAlex | Open Science | CC-By | 2,017 | Rethinking our refugee crisis with Hannah Arendt | Helgard Mahrdt | English | Spoken | 10,600 | 19,272 | * 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
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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
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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
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hal-03287896-paper_risk_2021.txt_1 | French-Science-Pile | Open Science | Various open science | 2,021 | 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⟩ | None | English | Spoken | 7,189 | 11,038 | 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.
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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.
| 22,008 |
https://openalex.org/W4299512574_1 | Spanish-Science-Pile | Open Science | Various open science | 2,005 | DISTRIBUCIÓN Y ESPECIACIÓN DE METALES PESADOS EN EL MATERIAL EN SUSPENSIÓN DE LAS AGUAS SUPERFICIALES DE LA PLUMA DEL RÍO MANZANARES, EDO. SUCRE, VENEZUELA | None | Spanish | Spoken | 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.
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MAGNUSSON, B. & L. RASMUSSEU. 1982. Trace metal levels
in coastal sea water. Mar. Poll. Bull. 13 (3): 81-84.
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M ÁRQUEZ, A. 1997. Comportamiento y distribución de
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RIEDEL, G. & J. SANDERS. 1998. Trace element speciation
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________, W. SENIOR & G. MARTÍNEZ. 2000. Concentraciones
y comportamiento de metales pesados en una zona
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| 931 |
https://openalex.org/W3023372206 | OpenAlex | Open Science | CC-By | 2,020 | A new method for Rayleigh wave inversion by geological unit merging | Shu Wang | English | Spoken | 2,461 | 4,714 | 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,
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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 | 26,745 |
https://openalex.org/W4251668926 | OpenAlex | Open Science | Public Domain | 1,908 | The American Society of Agronomy | T. L. Lyon | English | Spoken | 1,392 | 2,385 | 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 | 16,864 |
https://openalex.org/W2804117725_1 | Spanish-Science-Pile | Open Science | Various open science | null | None | None | Spanish | Spoken | 5,398 | 10,831 | 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.
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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.
| 5,015 |
https://openalex.org/W2965118949 | OpenAlex | Open Science | CC-By | 2,019 | Influence of benzalkonium chloride on tear film lipid layer stability: a molecular level view by employing in silico modeling | Kamila Riedlová | English | Spoken | 3,166 | 6,139 | 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-
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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/
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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. | 38,862 |
hal-03622642-nutrients-14-00046.txt_2 | French-Science-Pile | Open Science | Various open science | 2,022 | Online Consumer Survey Comparing Different Front-of-Pack Labels in Greece. Nutrients, 2022, 14 (1), pp.46. ⟨10.3390/nu14010046⟩. ⟨hal-03622642⟩ | None | English | Spoken | 1,680 | 3,724 | 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. 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https://openalex.org/W2781526527 | OpenAlex | Open Science | CC-By | 2,018 | 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
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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
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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
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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
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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). Secondary structure prediction was performed using the PSIPRED server (http://bioinf.cs.ucl.ac.uk/
psipred/). Statistical analyses. One-Way ANOVA was employed to compare mean values (Tukey-Kramer HDS). Data
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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
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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 | 7,145 |
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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:
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http://dx.doi.org/10.1590/1980-85852503880005314 REMHU, Rev. Interdiscip. Mobil. Hum., Brasília, v. 26, n. 53, ago. 2018, p. 219-234 234 | 22,913 |
dumas-03465515-Med_Generale_2021_Teuira.txt_2 | French-Science-Pile | Open Science | Various open science | 2,021 | Dispositif d’annonce culturel en oncologie thoracique intégrative en Polynésie. Médecine humaine et pathologie. 2021. ⟨dumas-03465515⟩ | None | French | Spoken | 7,611 | 12,133 | 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. | 28,912 |
https://openalex.org/W1972992576 | OpenAlex | Open Science | CC-By | 2,010 | Evidence for an Essential Deglycosylation-Independent Activity of PNGase in Drosophila melanogaster | Yoko Funakoshi | English | Spoken | 10,791 | 20,432 | 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
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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
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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:
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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-
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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
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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
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36. Chantret I, Moore SE (2008) Free oligosaccharide regulation during mammalian
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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
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an a-mannosidase, is involved in the trimming of free oligosaccharides in the
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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 | 22,921 |
https://openalex.org/W4385433335 | OpenAlex | Open Science | CC-By | 2,023 | Experimental Study on Stress Sensitivity Evaluation and Permeability Anisotropy of Shales in Songliao Basin | C.P. Ju | English | Spoken | 3,090 | 5,786 | 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
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406 E3S Web of Conferences
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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
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406 E3S Web of Conferences
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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)
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11527-11535 5 5 | 40,455 |
https://openalex.org/W3080345506 | OpenAlex | Open Science | CC-By | 2,020 | Effect of Nutrient Enrichment and Turbidity on Interactions Between Microphytobenthos and a Key Bivalve: Implications for Higher Trophic Levels | Julie A. Hope | English | Spoken | 15,136 | 27,921 | 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
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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
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https://openalex.org/W4382752643_2 | Spanish-Science-Pile | Open Science | Various open science | null | None | None | Spanish | Spoken | 2,403 | 5,690 | 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
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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
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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
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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.
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| 20,502 |
https://openalex.org/W2074235033 | OpenAlex | Open Science | CC-By | 2,013 | 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
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p(E6
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p
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)
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8
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3.07
165
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1.21
2.54
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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
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0.0
0.0
―
―
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y | 27,853 |
https://openalex.org/W2768989688_1 | Spanish-Science-Pile | Open Science | Various open science | 2,005 | Competitividad: reto interconectado Empresa-País | None | Spanish | Spoken | 7,629 | 14,365 | 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.
| 8,547 |
https://openalex.org/W2286886589 | OpenAlex | Open Science | CC-By | 2,015 | A novel role for atypical MAPK kinase ERK3 in regulating breast cancer cell morphology and migration | Rania Al-Mahdi | English | Spoken | 12,744 | 23,877 | 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
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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
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the work immediately and investigate your claim. Download date: 24. 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
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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
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10.1006/meth.2001.1262 494 Cell Adhesion & Migration Volume 9 Issue 6 | 24,679 |
W4241739209.txt_12 | German-Science-Pile | Open Science | Various open science | null | None | None | English | Spoken | 8,205 | 15,562 | 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.
| 31,930 |
https://openalex.org/W4313243300 | OpenAlex | Open Science | CC-By | 2,022 | '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 | 9,344 | 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
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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
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22. Henshall AC. 2018. English language policies in scientific journals:
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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,
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Cham. pp. 185–205. https://doi.org/10.1007/978-3-031-06519-
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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-
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2. Roe J, Perkins M. 2022. What are automated paraphrasing tools
and how do we address them? A review of a growing threat to
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31. 8 Page 6 of 6 | 42,137 |
https://openalex.org/W2106911423_1 | Spanish-Science-Pile | Open Science | Various open science | 2,014 | La evaluación del rendimiento individual. Un instrumento válido para lograr la eficiencia en la gestión de los Recursos Humanos en las Administraciones Públicas | None | Spanish | Spoken | 7,249 | 11,793 | 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
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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.
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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
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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.
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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
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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
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•
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.
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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
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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).
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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).
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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.
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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.
| 46,580 |
https://openalex.org/W4247550706_1 | Spanish-Science-Pile | Open Science | Various open science | 2,008 | Maria Isabel del Val Valdivieso, Isabel la Católica (1451-1504) | None | French | Spoken | 844 | 1,559 | 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.
| 37,559 |
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