Monthly Archives: July 2019

The Effects of Nicardipine on the Onset Time and Intubating Conditions of Cisatracurium

DOI: 10.31038/JCRM.2019233

Abstract

Purpose: Both Cisatracurium and Rocuronium are intermediate-acting, neuromuscular blocking agents, commonly used worldwide. Nicardipine has been reported to shorten the onset time of Rocuronium. However, the molecular structure of Cisatracurium is different from that of Rocuronium, thus, the aim of this study is to examine the effects of Nicardipine on the onset time and intubating conditions of Cisatracurium.

Methods: Ninety-nine patients were randomized into one of three groups; NSS (C group), Nicardipine 10 mcg/kg (N10 group), and Nicardipine 20 mcg/kg (N20 group). After which, these patients were received the study drugs, according to the group they were assigned as, intravenously before the induction of anesthesia. Train of Four (TOF) ratio or count, blood pressure, pulse rate, laryngoscopic view, grade of intubation, intubating conditions, minimal mean arterial pressure, total propofol, and vasopressors doses were recorded.

Results: The onset times of Cisatracurium were 420, 420, and 360 seconds in the C, N10, and N20 groups respectively, with a p-value of 0.636, while, intubating conditions were acceptable in 93.8, 96.8 and 100% respectively with a p-value of 0.771. Heart rates were higher in the N10 and N20 groups than that of those in the C group. Additionally, mean arterial pressures were lower in N20 group than both N10 and C groups, which were comparatively the same. Total propofol, ephedrine and atropine doses were similar within all groups.

Conclusions: The use of Nicardipine neither reduces the onset time, nor improves intubating conditions of Cisatracurium. However, Nicardipine, probably, attenuates a hypertensive response after intubation.

Keywords

Cisatracurium, Nicardipine, Onset time, Intubation, Intubating condition

Introduction

Both cisatracurium and rocuronium are intermediate-acting, neuromuscular blocking agents, commonly used worldwide. Cisatracurium has a unique elimination property, with no histamine release, however, it has slow onset time. Several techniques have been reported to shorten the onset time of cisatracurium such as high dose cisatracurium [1], cisatracurium priming [2], rocuronium priming [3,4], ephedrine [5], and ketamine [6]. These techniques were associated with their own limitations such as prolonged duration [1-4], or the need to use combination drugs [5,6].

Multiple in-vitro and animal studies showed that calcium channel blockers potentiated non-depolarizing neuromuscular block, possibly by blocking L-type calcium channel or altering presynaptic calcium or altering acetylcholine release or postjunctional interaction [7-9]. Nicardipine has been shown to reduce the onset time of rocuronium [10], and improve hemodynamic stability after intubation [11]. However, the structure of cisatracurium differs from rocuronium. Thus, the aim of this study is to examine the effects of nicardipine on the onset time, and intubating conditions of cisatracurium.

Methods

After the approval from Office of Human Research Ethics Committee, faculty of medicine, Prince of Songkla University (REC 59-402-08-1) and study had been approved for registration at Thai Clinical Trial Registry (TCTR2017328002). This study was conducted at the operating theater of Songklanagarind Hospital, Thailand, from April 2017 to September 2017. Subjects were chosen from the elective schedule of the operations which required general anesthesia with oroendotracheal tube. The eligible patients were 18-65 years old, had ASA physical status 1 or 2, and normal blood pressure. The exclusion criteria were patients with cardiac diseases, history of allergy to nicardipine or cisatracurium, history of malignant hyperthermia or neuromuscular diseases, pregnant or morbidly obese (BMI ≥ 35 kg/m2) patients, and patients who could not communicate.

The informed consent was obtained by the research team. All patients were received pre-medication as appropriate. The patients were then randomized into 3 groups: control group (C group), nicardipine 10 mcg/kg (N10 group), and nicardipine 20 mcg/kg (N20 group). The study drugs were prepared by the research team, not involving in the patient care. The solution of the control group was normal saline (NSS) 10 mL, while the solution of the other two groups were calculated nicardipine based on the patients’ actual body weight, diluted with NSS to the total volume of 10 mL. The diluted mixture had clear color, similar to NSS. The patients were randomized by block-of-six randomization. Upon arriving at the operating theater, pulse oximetry, noninvasive blood pressure, 3-lead electrocardiograms, and nerve stimulator (TOF-Watch SX®, Organon, Ireland) were monitored. The site of the nerve stimulator was at the adductor pollicis muscle.

A bolus of 7 mL/kg of isotonic crystalloid were given to all patients, while they were being pre-oxygenated with 100% oxygen for 5 minutes. Then, the patients were received the study drugs according to their groups. After one minute, the patient was induced with fentanyl 1.5 mcg/kg, propofol 2 mg/kg intravenously. Additional propofol could be added by the attending anesthesiologist, if the depth of anesthesia was inadequate. When the patients lost their consciousness, manual face-mask ventilation was performed, three breaths of end tidal Carbon dioxide were identified as adequate ventilation, at this moment cisatracurium 0.15 mg/kg was injected intravascularly.

During the induction, the vital signs were recorded at 1 minute interval until five minutes after intubation. The Train of Four (TOF) ratio or counts were recorded after cisatracurium injection every 15 seconds twice then every 30 seconds until 3 minutes after cisatracurium injection. The intubation commenced when TOF count = 0 or at 3 minutes after cisatracurium injection if TOF count was still present. If the intubation happened before TOF count = 0, additional TOF ratio would be recorded at 1-minute interval until 6 minutes after the intubation. The intubation was performed by anesthesia providers with at least a year of experience in anesthesia service, using a Macintosh size 3 laryngoscopic blade, and an appropriate size of endotracheal tube. After the intubation, anesthesia was maintained with sevoflurane in a gas mixture of air and oxygen, and fentanyl or morphine with target of end tidal sevoflurane of 1 MAC age-adjusted value.

Hypotension, defined as Mean Arterial Pressure (MAP) <20% of baseline for 60 seconds, was treated with norepinephrine 5-10 mcg or ephedrine 3-6 mg intravenous bolus. Bradycardia, defined as heart rate <50 bpm for 60 seconds, was treated with atropine 0.3-0.6 mg intravenous bolus. Total propofol, ephedrine, norepinephrine, and atropine doses within 30 minutes were recorded. Also, minimum blood pressure within 30 minutes after cisatracurium injection was recorded.

Laryngoscopic view was graded using Cormack-Lehane classification, while intubating condition was graded as excellent, good or poor [12] (Table 1). Excellent and good intubating conditions were classified as clinically acceptable, while poor intubating condition was clinically unacceptable.

Table 1. Evaluation of intubating conditions

Variable assessed

Clinically acceptable

Not clinically acceptable

Excellent

Good

Poor

Laryngoscopy

Easy

Fair

Difficult

Vocal cords position

Abducted

Intermediate/

moving

Closed

Reaction to insertion of the tracheal tube and cuff inflation

(Diaphragmatic movement/

coughing)

None

Slight

Vigorous/sustained

The primary outcome of this study was the onset time of cisatracurium, which was defined as a duration since cisatracurium injection until the TOF count = 0. Secondary outcomes were intubation grades, intubating conditions, and hemodynamic value after intubation.

The sample size was calculated by two independent means, two-tailed test, formula; based on previous data [10]. Those authors reported that nicardipine 20 mcg/kg could shorten the onset of rocuronium from 204 seconds to 141.2 seconds. Alpha error was 0.05, whilst ß error was 0.2. The calculated sample size per group was 30, after adding 10% dropout the final sample size was 33 subjects per group. Since the study of the 10 mcg/kg of nicardipine group was not available, similar sample size was inferred. Data was analyzed by repeated measured analysis, performed by R language, version 2.13.0. Categorical variables were compared by Chi-square or Fisher’s exact test, whilst continuous variables were compared by ANOVA F-test, or Kruskal Wallis test. A p-value of less than 0.05 was considered statistically significant.

Results

Ninety-nine patients were enrolled in this study. The drop-out rates and reasons are shown in Figure 1. A patient in the N20 group, was excluded from the study due to the clinical suspicion of anaphylaxis including hypotension, rash and wheezing. Later, she was confirmed to be allergic to cisatracurium by skin prick test. Other patients’ exclusion was due to multiple intubation attempts. Patients’ characteristics were similar among three groups, except that there were more male patients in the N10 group (Table 2).

Table 2. Patients characteristics

C
(n=32)

N10
(n=31)

N20
(n=31)

p-value

Sex

0.032

Male

5 (15.6%)

14 (45.2%)

8 (25.8%)

Female

27 (84.4%)

17 (54.8%)

23 (74.2%)

Agea

46.3 ± 11.9

45.7 ± 12.2

41.5 ± 11.2

0.211

Body weighta (kg)

59.6 ± 10

59.7 ± 19.8

60.5 ± 7.1

0.922

Heighta (cm)

158.7 ± 6.3

159.7 ± 7.8

160.5 ± 7.9

0.558

BMIa (kg/m2)

23.6 ± 3.5

23.6 ± 3.6

23.5 ± 2.9

0.988

ASA classification

0.520

1

9 (28.1%)

5 (16.1%)

7 (22.6%)

2

23 (71.9%)

26 (83.9%)

24 (77.4%)

Intubator experienceb (years)

3 (2,5)

3 (2.5,5)

3 (2.5,5)

0.961

Operation type

0.582

General surgery

6 (18.8%)

10 (32.3%)

5 (16.1%)

Otolaryngologic surgery

5 (15.6%)

9 (29%)

5 (19.4%)

Urologic surgery

1 (3.1%)

1 (3.2%)

3 (9.7%)

Plastic surgery

1 (3.1%)

0 (0%)

2 (6.5%)

Gynecologic surgery

12 (37.5%)

8 (25.8%)

11 (35.5%)

Orthopedic surgery

3 (9.4%)

0 (0%)

1 (3.2%)

Eye surgery

4 (12.5%)

3 (9.7%)

3 (9.7%)

Data are presented as frequency (percentage) format unless stated otherwise.
a Data are presented as mean ± Standard Deviation
b Data are presented as median (Interquartile range)

JCRM 2019-111 - Pornwicha Chumak Thailand_F1

Figure 1. CONSORT flow diagram

RSI = Rapid Sequence Induction, NMBA = Neuromuscular Blocking Agent

Although, the onset time was shortest in the N20 group, the onset times were not statistically different among the three groups. Interestingly, within 5 minutes after cisatracurium injection, the probability that the TOF would be zero were 18.6%, 41.9%, and 38.7% in the C, N10, and N20 groups respectively with a p-value of 0.0498. By comparing the N10 and C groups, the p-value was 0.042, while comparing the N20 and C groups, the p-value was 0.075 (Figure 2). Intubating conditions were improved in the N10 and N20 groups, however, with no statistically significance. Laryngoscopic views were also similar among three groups. Only two patients received atropine 0.3 and 0.6 mg in the N20 group. While one patient received norepinephrine 10 mcg in both N10 and N20 groups. Also, propofol doses were comparable (Table 3).

Table 3. Comparisons of outcomes

C
(n=32)

N10
(n=31)

N20
(n=31)

p-value

Onset timeb (seconds)

420 (360,480)

420 (180,540)

360 (180,480)

0.636

Laryngoscopic view

0.918

Grade 1

18 (56.2%)

18 (58.1%)

20 (64.5%)

Grade 2

12 (37.5%)

11 (35.5%)

9 (29%)

Grade 3

1 (3.1%)

2 (6.5%)

2 (6.5%)

Grade 4

1 (3.1%)

0 (0%)

0 (0%)

Intubation grade

0.112

Excellent

19 (59.4%)

26 (83.9%)

25 (80.6%)

Good

11 (34.4%)

4 (12.9%)

6 (19.4%)

Poor

2 (6.2%)

1 (3.2%)

0 (0%)

Intubating condition

0.771

Clinically acceptable

30 (93.8%)

30 (96.8%)

31 (100%)

Not clinically acceptable

2 (6.2%)

1 (3.2%)

0 (0%)

Total propofol doseb (mg)

150 (130,185)

150 (126,160)

150 (130,190)

0.683

Total ephedrine doseb (mg)

0 (0,0)

0 (0,6)

0 (0,3)

0.587

Lowest MAPa* (mmHg)

64.2 ± 11.2

64 ± 10.9

61.5 ± 12.6

0.596

Data are presented as frequency (percentage) format unless stated otherwise.
MAP = Mean Arterial Pressure
* Lowest MAP stated here is the lowest MAP within 30 minutes after the study drug injection
a Data are presented as mean ± Standard Deviation
b Data are presented as median (Interquartile range)

JCRM 2019-111 - Pornwicha Chumak Thailand_F2

Figure 2. Probability of unsuccessful deep block

defining as TOF count > 0 after cisatracurium injection

JCRM 2019-111 - Pornwicha Chumak Thailand_F3

Figure 3. (A) Mean Arterial Pressure, (B) and heart rate since after induction Changes in (A) Mean Arterial Pressure, (B) and heart rate since after induction until 5 minutes after intubation, the numbers before the intubation are the duration after injection of study drugs, while the numbers after the intubation are the duration after intubation.

* p-value <0.05 when compared group N20 vs C
** p-value <0.05 when compared group N20 vs C and group N10 vs C

Blood pressures, heart rates after induction were shown in Figure 3. Mean Arterial Pressure (MAP) at baseline were 94.8, 93.4, and 90.9 mmHg in the C, N10, and N20 groups, respectively, while baseline heart rate (HR) were 80.1, 82.5, and 77.9, respectively. Mean MAP in the N20 group was significantly lower at 1 minute after induction and at 1 minute after intubation than those in the C group, which were 63.8, and 87.7 mmHg versus 79.5, and 102.1 mmHg respectively (p-value <0.001, and 0.014).

For heart rate comparison, between the N20 and C groups, the heart rates were significantly greater except at 3 minutes after induction (p-value <0.05). While, the heart rates in the N10 group were faster than those in the C group only at 1 minute after induction and 1 minute after intubation, which were 75.7, and 92.5 versus 66.4, and 79.5 beats per minute (p-value < 0.05).

Discussion

Overall, our results show that nicardipine could not significantly shorten the onset time of cisatracurium, whereas previous data reported that nicardipine 20 mcg/kg administered at 1 minute before induction could shorten the onset time of rocuronium [10, 13]. Surprisingly, when considering only within 5 minutes after cisatracurium injection, nicardipine at the dose of 10 mcg/kg improved the probability of successful deep block. We proposed 2 possible explanations. First, we had not chosen the optimal dose to produce the neuromuscular blockade potentiation. Second, nicardipine may only work with the aminosteroidal structure, but not the benzyl-isoquinolinium structure of cisatracurium.

Baseline patients’ characteristics were similar among the three groups, except for the gender in the N10 group. There were slightly more male patients in the N10 group. Despite this imbalance, the results seemed not to be affected. Adamus M and colleagues demonstrated that gender did not affect either onset or duration of cisatracurium [14].

Regarding the intubating conditions, our results showed that clinically acceptable intubating conditions in the N20 group were slightly better than other groups. Additionally, more subjects achieved excellent intubation grades in both the N10 and N20 groups. Unfortunately, these effects did not reach the statistically significance threshold. Our results support previous findings in the literature by Lee JH and colleagues, when they used lidocaine 1 mg/kg in their study [13]. In contrast, Lee SY and colleagues found that nicardipine improved intubating conditions of rocuronium [10]. It should be noted that they did not use either fentanyl or lidocaine in their study. Thus, from these results, it seemed that nicardipine provided no added benefit in improving intubating conditions, when either fentanyl or lidocaine were used.

Nicardipine at the dose of 20 mcg/kg in our study decreased MAP after intubation, with concomitant tachycardia, in contrast, the dose of 10 mcg/kg failed to produce the same effect. This result was consistent with the previous reports [10, 11, 13, 15-17]. It should be noted that the patterns of blood pressure changes were similar in every group. From these results, it seemed that nicardipine at the dose of 20 mcg/kg had attenuated the hypertensive response after intubation, however it produced a tachycardia response instead.

Our study has several strengths, the two different doses of nicardipine were used to investigate their effects. Also, our actual sample size is adequate even after the dropout. Finally, our study was a double-blinded randomized controlled study, and the study drugs were carefully prepared so the color of the drugs cannot be visually distinguished.

One downside regarding our methodology is that the anesthesia personnels who intubated the patients, consisted of anesthesiologists, anesthesia residents, and nurse anesthetists. The different level of experiences may affect the laryngoscopy difficulty, even the working experience years were similar in all groups. Furthermore, our study consists of only ASA physical status 1 and 2 patients only, so the results should not be generalized to patients with cardiovascular diseases. Finally, we choose to monitor TOF response at the adductor pollicis muscles to follow the guideline [12]. Although the onset of the neuromuscular blockade would be faster if we choose the orbicularis oculi muscles [18], the intubating conditions in our study would be different [19]. Thus, our absolute value of the onset time of cisatracurium need to be interpreted with caution.

In conclusion, nicardipine at the dose of 10, and 20 mcg/kg can neither shorten the onset time of cisatracurium nor improve intubating conditions of cisatracurium, although the dose of 20 mcg/kg may attenuate hypertensive response after intubation. Higher probability of successful deep block within 5 minutes by nicardipine at the dose of 10 mcg/kg is an interesting issue for future research.

Acknowledgements: First and foremost the authors would like to express our sincere gratitude to all of our colleagues for their cooperation. This study could not have been successfully completed without their kind support, especially Nannapat Pruphetkaew who helped us calculate the sample size.

Conflict of Interest Statement: This research did not receive any specific grant from funding agencies in the public, commercial, or not-for-profit sectors.

References

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  2. Deepika K, Kenaan CA, Bikhazi GB, Martineau DB. (1999) Influence of the Priming Technique on Pharmacodynamics and Intubating Conditions of Cisatracurium. J Clin Anesth. 11: 572-5. [Crossref]
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  5. Leykin Y, Dalsasso M, Setti T, Pellis T. (2010) The effects of low-dose ephedrine on intubating conditions following low-dose priming with cisatracurium. J Clin Anesth. 22: 425-31. [Crossref]
  6. Ahn BR, Kim SH, Yu BS, Lim KJ, Sun JJ. (2012) The effect of low dose ketamine and priming of cisatracurium on the intubating condition and onset time of cisatracurium. Korean J Anesthesiol. 63: 308-13. [Crossref]
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  10. Lee SY, Kim YH, Ko YK, Park SI, Lee JU, Chung WS, et al. (2016) Effects of nicardipine on the onset time and intubation conditions of rocuronium-induced neuromuscular blockade. J Clin Anesth. 32: 112-8. [Crossref]
  11. Song D, Singh H, White PF, GAdhiali M, Griffin JD, Klein KW. (1997) Optimal Dose of Nicardipine for Maintenance of Hemodynamic Stability After Tracheal Intubation and Skin Incision. Anesth Analg. 85: 1247-51. [Crossref]
  12. Fuchs-Buder T, Claudius C, Skovgaard LT, Eriksson LI, Mirakhur RK, Viby-Mogensen J. (2007) Good clinical research practice in pharmacodynamic studies of neuromuscular blocking agents II: the Stockholm revision. Acta Anaesthesiol Scand. 51: 789-808. [Crossref]
  13. Lee JH, Kim Y, Lee KH, Rim SK, Lee JY, Lee C. (2015) The effects of nicardipine or esmolol on the onset time of rocuronium and intubation conditions during rapid sequence induction: a randomized double-blind trial. J Anesth. 29: 403-8. [Crossref]
  14. Adamus M, Gabrhelik T, Marek O. (2008) Influence of gender on the course of neuromuscular block following a single bolus dose of cisatracurium or rocuronium. Eur J Anaesthesiol. 25: 589-95. [Crossref]
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  16. Wig J, Sharma M, Baichoo N, Agarwal A. (1994) Nicardipine and verapamil attenuate the pressor response to laryngoscopy and intubation. Can J Anaesth. 41: 1185-8. [Crossref]
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  18. Donati F, Meistelman C, Plaud B. (1990) Vecuronium neuromuscular blockade at the diaphragm, the orbicularis oculi, and adductor pollicis muscles. Anesthesiology. 73: 870-5. [Crossref]
  19. Lee HJ, Kim KS, Jeong JS, Cheong MA, Shim JC. (2009) Comparison of the adductor pollicis, orbicularis oculi, and corrugator supercilii as indicators of adequacy of muscle relaxation for tracheal intubation. Br J Anaesth. 102: 869-74. [Crossref]

Patient-oriented Biobanking for Cancer Research

DOI: 10.31038/CST.2019434

Commentary

Research studies aimed at advancing cancer prevention, diagnosis, and treatment depend on a number of key resources, including a ready supply of high-quality annotated biospecimens that can be used to test new drugs, assess the validity of prognostic biomarkers, and develop tailor-made therapies. The development of more effective interventions against cancer requires a better understanding of its molecular basis and a more rapid translation of laboratory findings into improved patient care. One of the most precious resources for patient-directed cancer research is the collection of biospecimens that are appropriately stored in a biobank or biorepository. When donated with informed consent, thereby respecting patient confidentiality and privacy, such samples enable examination of the molecular basis of disease in addition to the identification of novel biological targets. In order to achieve essential added value, research data must be correlated to clinic-pathological and survival data. As the area of molecular diagnostics and personalized medicine is rapidly increasing and is central to identifying new targeted therapies for lung cancer patients, the participation of patients in the biobanking process is of important significance. This broad definition therefore includes all collections that are associated with research projects, studies, clinical trials or formal infrastructure projects. Patients and the general public are both key to the success of such initiatives. Patients consent to the use of biological samples on which current and future research is based, and importantly play at key role in relation to influencing public and government opinions. Therefore, one of the essential roles of a biobank is to ensure that people understand how their contributions, together with the development of research excellence, will be of benefit to them and future generations.

Biospecimens are obtained through biobanking which can encompass many steps including patient enrolment and consent, biospecimen collection, processing, annotation, storage, and distribution. The ways in which these are conducted continue to change as research advances and new assays and technologies become available [1]. However, advances in technology have meant that the value of biospecimens, such as frozen tissue, are diminishing, in contrast to access of formalin-fixed and paraffin-embedded cell and tissue blocks in pathology archives which are growing [2]. Pathology archives themselves are becoming a highly valued biobank resource for discovery phase research in addition to other phases. A current and novel theme in translational phase research for example, is the exploration of blood plasma factors such as circulating tumor DNA in gene mutation analysis and targeted therapies [3].

More personalized decisions together with greater access to targeted therapies which are guided by more informative biomarkers, have brought the era of personalised medicine to the forefront of cancer medicine in which biobanks have played, and continue to play, a role in this process [4]. In a study by Castillo-Pelayo et al [5], grants received (2010–2011) by investigators from the Cancer Research Society (CRS), a Canadian organization that funds studies across the spectrum of cancer research were selected. Publications arising from these grants between 2010 and 2014 were analysed and categorized by a number of factors such as research area, the acknowledged source of funding, specific scientific focus and the presence of any data that involved specific indicators. These incorporated human biospecimens, cell lines, animal models, advanced microscopy, flow cell sorters, and next generation sequencing. Publications involving biobanking were classified by biospecimen provenance and the type of biospecimen used. The authors reported that biorepositories that coordinate the activity of biobanking rank amongst the most important of established health research infrastructures as contributors to research publications. Furthermore, the study suggested that biospecimen-derived data was obtained directly from biorepositories in approximately 30% of publications. Of interest, biorepositories that coordinated the use of biobanks, as indicated by the use of human biospecimens, ranked second only to cell culture facilities and had a similar level of importance to the use of animal care facilities when considered relative to these and other better recognized forms of health research infrastructures. The Biobanking and BioMolecular Resources Research Infrastructure-European Research Infrastructure (BBMRI-ERIC) consortium provides fair access to quality-controlled human biological samples and associated biomedical and biomolecular data, thereby enabling the investigation of basic mechanisms underlying diseases such as cancer. Such consortia are indispensable for the development of new biomarkers and drugs.

In the last decade, the importance of biobanks in the field of cancer research has increased with the emergence of big data collection [6]. Maintaining privacy and confidentiality while protecting and conserving personal data are all fundamental duties of a biobank. Impacting on biobanks within Europe is the European General Data Protection Regulation (GDPR) which came into force in May 2018. While this directive aspires to providing a high level of protection to safeguard individuals’ personal data, this in turn has the potential to incur considerable constraints on scientific and clinical research involving biobanks. Some of the more restrictive impositions of local regulations in specific European countries are the issues surrounding re-consenting, which in the long term, could pose a serious threat to health research progression and subsequent treatments for patients affected by a wide variety of health conditions such as cancer [7].

If human biospecimens are as commonly used and important to the generation of data in translational cancer research as are animal models and cell lines, one would envisage biobanking to be governed in such a way that facilitates improved access, utilization, standardization and quality of samples while biorepositories should become a central component of the health research infrastructure across all medical and research institutions.

References

  1. Cole A, Cheah S, Dee S, Hughes S, Watson PH. Biospecimen use correlates with emerging techniques in cancer research: Impact on planning future biobanks. Biopreserv Biobank 2012; 10: 518–525.
  2. Gaffney EF, Riegman PH, Grizzle WE, Watson PH. Factors that drive the increasing use of FFPE tissue in basic and translational cancer research. Biotech Histochem 2018; 93: 373–386.
  3. Wan JCM, Massie C, Garcia-Corbacho J, Mouliere F, Brenton JD, Caldas C, Pacey S, Baird R, Rosenfeld N. Liquid biopsies come of age: Towards implementation of circulating tumour DNA. Nat Rev Cancer 2017; 17: 223–238.
  4. Rush A, Matzke L, Cooper S, Gedye C, Byrne JA, Watson PH. Research Perspective on Utilizing and Valuing Tumor Biobanks. Biopreserv Biobank. 2018; 1–11.
  5. Castillo-Pelayo T, Babinszky S, LeBlanc J, Watson PH. The importance of biobanking in cancer research. Biopreserv Biobank. 2015; 13: 172–177.
  6. Hofman P, Dagher G, Laurent-Puig P, Marquette CH, Barlesi F, Bibeau F, Clément B. Tumor banks and complex data management: Current and future challenges. Ann Pathol. 2019; 39(2): 137–143.
  7. Clarke N, Vale G, Reeves EP, Kirwan M, Smith D, Farrell M, Hurl G, McElvaney NG. GDPR: an impediment to research? Ir J Med Sci. 2019; doi.org/10.1007/s11845-019-01980-2.

Quantitative Imaging Features of Habitats in Soft Tissue Sarcomas are Associated with Treatment Response: A Pilot Study

DOI: 10.31038/CST.2019433

Abstract

Objective: To determine if tumor habitat perfusion and diffusion characteristics are related to treatment response in soft tissue sarcoma patients.

Methods: Eight patients (58.6 ± 10.2 y/o) with soft tissue sarcomas underwent pre-treatment Dynamic Contrast Enhanced- (DCE-) and Diffusion Weighted-MRI and post-treatment resection allowing pathology to determine treatment response. Tumors were manually segmented from T1-weighted post-contrast images. Tumor habitats, classified as well-perfused, hypoxic and necrotic, were determined from DCE-MRI using a pattern recognition technique. Each habitat was characterized with pharmacokinetic parameters, kep and Ktrans, calculated from the DCE-MRI sequence and the apparent diffusion coefficients from the co-registered Diffusion Weighted-MRI. The quantitative imaging features were examined for associations with treatment response. Patients were classified as responders and nonresponders based on histopathology.

Results: Using unsupervised clustering on the imaging features, the patients were divided accurately between responders and nonresponders. Out of all determined features, kep (p = 0.04), Ktrans (p < 0.01), and percent volume (p = 0.02) for well-perfused habitats were significantly lower in nonresponders, whereas volume (p = 0.04) and percent volume (p < 0.01) for necrotic habitats were significantly higher in responders.

Conclusion: Prediction of treatment response in soft tissue sarcoma patients yielded promising results when utilizing differences in Dynamic Contrast Enhanced- and Diffusion Weighted-MRI features between unique tumor habitats.

Keywords

Pattern Recognition; DCE-MRI; DW-MRI; mpMRI; Soft Tissue Sarcoma

Introduction

Soft tissue sarcomas are a rare but diverse form of cancer with over 50 different subtypes [1]. Due to the heterogeneity of sarcomas, patients often require personalized treatment plans involving radiation, chemotherapy, and surgery, but treatment often is ineffective with a five year survival rate of 64% [2]. Methods to evaluate and monitor soft tissue sarcomas are needed to improve management of the disease. Among potential prognostic factors, the amount of necrosis in soft tissue sarcoma tumors has been found to be predictive of local outcome and recurrence based on resected tumor samples [3]. An in vivo technique to identify tumor composition would potentially allow prediction of patient response to treatment. In imaging, the concept of “habitats” was introduced to map tumor heterogeneity and quantify amounts of each different microenvironment [4–6].

Several studies have explored the use of Dynamic Contrast Enhanced-MRI (DCE-MRI) for prediction of treatment response in soft tissue sarcoma patients [7–10]. DCE-MRI measures perfusion by observing the flow of contrast through tissue over time, producing signal-versus-time curves. Pharmacokinetic fitting of signal-versus-time curves in tumor voxels revealed parameters that allowed prediction of treatment response with promising results [7, 9, 10]. Another functional technique, Diffusion Weighted Imaging (DWI), may provide additional predictive parameters. DWI offers a measure of cellularity by observing water diffusion patterns in tissue, producing Apparent Diffusion Coefficient (ADC) values. DWI has never been demonstrated on pre-treatment prediction of response in sarcoma patients but has shown promise in treatment monitoring [11–15]. However, analyses of both DCE-MRI and DWI datasets in these studies are still performed on the whole tumor ROI, considering the tumor as a homogenous region. The presence of heterogeneous habitats could potentially be masked by an analysis averaging over the entire area of the tumor.

Consideration of signal-versus-time curves and ADC values from different tumor habitats would offer additional features for prediction while providing a more accurate depiction of tumor state than grouping curves from different habitats in the same analyses. Using pattern recognition techniques, a method to determine the location and distribution of tumor habitats from DCE-MRI datasets has been previously demonstrated [5]. Well-perfused, hypoxic, and necrotic habitats were determined in pre-clinical prostate and brain tumor models, as well as in clinical sarcoma and prostate datasets. Habitat quantitative features, extracted from DCE-MRI and DWI sequences, could potentially be associated with the treatment outcomes of soft tissue sarcomas through a radiomics approach. Radiomics data have proven capable for building descriptive and predictive models relating image features to outcomes, including in sarcomas [16].

In this paper, we utilize knowledge of the location and volumes of tumor habitats in soft tissue sarcomas to generate habitat-specific features for use in prediction of treatment response. Features include pharmacokinetic parameters from modeling of signal-versus-time curves from DCE-MRI and ADC values. The use of multiple features and features native to individual habitats is explored to provide more accurate prediction that may facilitate effective treatment management for soft tissue sarcoma patients.

Methods

Study Protocol

All procedures performed in studies involving human participants were in accordance with the ethical standards of the institutional and/or national research committee and with the 1964 Helsinki declaration and its later amendments or comparable ethical standards. Eight patients (58.6 ± 10.2 y/o) diagnosed with soft tissue sarcomas were enrolled in an Institutional Review Board-approved study. For this retrospective study, informed consent was waved. DCE- and DWI sequences were acquired for each patient, prior to receiving neoadjuvant chemo/radiation therapy. Pathology was performed upon resection of tumors, revealing percent necrosis of sample by which response was determined and by which results from MRI analysis could be compared. Patients’ clinical information and treatment response are described in Table 1.

Table 1. Patient clinical information and treatment response.

Patient

Response

Age

Gender

Diagnosis

% Necrosis on Path

Treatment

1

y

56

F

Extraskeletal osteosarcoma

99

4 cycles neoadjuvant chemo

2

y

65

F

Pleomorphic fibrosarcoma

100

unplanned excision then got chemo/XRT

3

y

67

F

Myxofibrosarcoma

100

neoadjuvant chemo/XRT

4

y

56

F

Pleomorphic Rhabdomyosarcoma

30

VAI cycle

5

n

67

M

Extraskeletal osteosarcoma

25

history of unplanned excision then Carboplatin/Adriamycin

6

y

67

M

Pleomorphic fibroblastic sarcoma

40

neoadjuvant chemo/XRT then amputation

7

n

53

F

Synovial sarcoma

10

neoadjuvant chemo

8

n

38

M

Fibrosarcoma

10

3 cycles adriamycin/ifos and 2 cycles gem/tax then amputation

MRI Protocol

Imaging parameters for DW and DCE-MRI scans for each patient are listed in detail in Table 2. Briefly, were carried out either on a 3T Skyra or 1.5T Symphony MR Scanner (Siemens, Erlangen, Germany).

Table 2. Patient imaging parameters.

Patient

1

2

3

4

5

6

7

8

MRI

Siemens Trio

Siemens Trio

Siemens Symphony

Siemens Trio

Siemens Trio

Siemens Trio

Siemens Skyra

Siemens Skyra

Field (T)

3

3

1.5

3

3

3

3

3

DCE-MRI

TR/TE (ms)

6.87/3.15

6.87/3.15

5.05/2.4

6.95/3.05

6.85/3.2

6.85/3.2

4.1/1.87

4.1/1.87

Image Cube

192 × 174 × 32

192 × 174 × 40

256 × 256 × 60

192 × 114 × 36

192 × 174 × 28

174 × 192 × 28

384 × 384 × 52

384 × 384 × 52

Voxel Size (mm)

1.35 × 1.35 × 5

1.35 × 1.35 × 5

0.86 × 0.86 × 3.5

1.88 × 1.88 × 5

1.20 × 1.20 × 5

1.20 × 1.20 × 5

0.52 × 0.52 × 5

0.52 × 0.52 × 3.5

Flip Angle (deg)

10

10

10

10

10

10

10

10

Time Between Scans (s)

10

11

40

8

14

8

25

25

Number of Image Sets

32

34

11

25

23

44

13

13

Scan Duration (min)

5.2

6.1

6.7

3.2

5.1

5.7

5

5

Time Before Contrast (min)

~0.5

~0.5

~1.5

~0.5

~0.5

~0.5

~1

~0.5

DW-MRI

TR/TE (ms)

4200/71

4411/71

5800/94

5900/63

4600/85

3500/71

5500/59

6470/84

Image Cube

128 × 128 × 30

128 × 128 × 32

256 × 256 × 40

128 × 78 x50

128 × 128 × 20

128 × 128 × 25

160 × 160 × 30

160 × 160 × 33

Voxel Size (mm)

1.88 × 1.88 × 6

1.88 × 1.88 × 6

0.86 × 0.86 × 7.2

2.81 × 2.81 × 5

1.56 × 1.56 × 5

1.88 × 1.88 × 5

1.38 × 1.38 × 7.2

1.38 × 1.38 × 4

Flip Angle (deg)

180

102

90

180

180

180

180

180

b-value

0, 400

0, 400

0, 450

0, 400

0, 400

0, 400

0, 600

0, 600

Abbreviations: TR = Repetition time; TE = Echo time.

DCE-MRI analysis

Tumor Volumes of Interest (VOIs) for each patient were contoured manually in MIM (MIM, Cleveland, Ohio) by an experienced skeletomuscular radiologist (T.S.). DCE-MRI signal-versus-time curves from VOIs were analyzed using Constrained Non-Negative Matrix Factorization (cNMF), as detailed in previous publications [5, 17], to reveal the distribution of habitats. The method uncovers the main patterns underlying the signal-versus-time curves and the weights of these constituent patterns in each voxel. The number of these patterns, associated with different tumor habitats was set to three to account for well-perfused, hypoxic, and necrotic habitats.

To assign voxels to specific habitats, a threshold of 60% was applied to the cNMF weights, whereby voxels containing a given habitat at a greater fraction than the threshold were assigned to that habitat. For instance, if for a given voxel the fraction of hypoxic, necrotic and well-perfused habitats were 10%, 20% and 70%, the voxel was considered part of the well-perfused habitat. Conversely, if the contribution of the habitats were 30%, 30% and 40%, the voxel was not assigned to any habitat. The signal-versus-time curves for the voxels corresponding to a given habitat were averaged together, producing a representative curve for each habitat. Pharmacokinetic modeling was performed on these representative curves using a Tofts model [18, 19]. Using the synthetic Parker fixed population average Arterial Input Function (AIF) [20] the volume transfer constant between plasma and Extracellular Extravascular Space (EES), Ktrans (related to perfusion and permeability per unit volume of tissue), the fractional volume ve of the EES and kep, the ratio of Ktrans and ve, also known as the efflux rate constant, were quantified. In addition, the volume of each habitat was determined and also divided against the overall tumor volume to obtain percent volume of habitats.

ADC analysis

DCE-MRI and ADC maps were co-registered in MIM. The same tumor VOIs and tumor habitats determined from the DCE-MRI analysis were applied to the ADC. Average ADC values for voxels corresponding to well-perfused, hypoxic, and necrotic habitats were determined.

Prediction of patient response

The association between (i) the imaging features for each habitat: Ktrans, kep, volume, percent from tumor volume, and ADC and (ii) patient response to neoadjuvant therapy was investigated using hierarchical clustering of patient features. Features involving habitats that were not present in a given tumor were set to 0. The final two clusters at the top level of the clustergram were determined to be the groups of patients corresponding to patients predicted to be responders and nonresponders.

Results

Quantitative measures, including habitat-specific Ktrans, kep, volume, percent volume, and mean ADC for well-perfused, hypoxic, and necrotic habitats are listed in Table 3. Three habitats were identified in 7 patients and 2 habitats in one patient. Roughly, similar fractions of necrotic habitats were determined between the present approach and pathology. An example of habitat locations and signal-versus-time curves in a patient is shown in Figure 1. Ktrans showed an increasing trend from necrotic to hypoxic to well-perfused habitats, which generally contained voxels with curves with the highest Ktrans. Similarly, kep showed a decreasing trend from necrotic to hypoxic to well-perfused habitats, which generally contained voxels with curves with the lowest kep. Volume, percent volume, and mean ADC did not have an apparent trend with habitat type.

Table 3. Quantitative measures for patients based on analysis of DCE-MRI data.

Patient

1

2

3

4

5

6

7

8

AUCs

ADC P

1698.80

1068.13

1661.21

1409.64

895.34

1174.13

1228.84

869.90

0.87

ADC H

1799.99

893.60

1699.28

1579.02

1094.47

1373.16

858.20

0.87

ADC N

1981.61

773.29

1803.19

1427.77

824.05

1042.94

1531.73

992.00

0.67

kep P

0.29

0.04

0.23

0.40

0.31

0.33

0.89

1.23

0.87

kep H

0.34

0.07

0.19

0.71

0.48

0.59

0.88

0.60

kep N

0.09

0.41

0.10

0.26

0.13

0.01

0.10

0.50

0.67

Ktrans P

0.05

0.00

0.23

0.04

0.31

0.05

0.49

0.40

1.00

Ktrans H

0.03

0.00

0.19

0.03

0.05

0.16

0.28

0.60

Ktrans N

0.01

0.00

0.10

0.01

0.10

0.01

0.06

0.14

0.87

Tumor Vol

180.94

45.93

215.40

386.74

15.09

362.08

40.37

64.00

0.93

P Vol

18.40

6.86

38.82

46.59

6.24

33.49

8.51

15.91

0.87

H Vol

24.90

5.99

42.23

53.42

91.92

7.32

13.74

0.87

N Vol

137.64

33.74

134.34

286.74

8.85

236.66

11.61

15.44

1.00

P Per

0.10

0.15

0.18

0.12

0.41

0.09

0.21

0.25

1.00

H Per

0.14

0.13

0.20

0.14

0.25

0.18

0.21

0.53

N Per

0.76

0.73

0.62

0.74

0.59

0.65

0.29

0.24

1.00

Abbreviations: P = Well-perfused; H = Hypoxic; N = Necrotic; Vol = Volume; Per = Percent Volume.

CST 2019-114 - Radka Stoyanova USA_F1

Figure 1. (A) Axial DCE-MRI of responding 56 year-old extraskeletal osteosarcoma female patient post-treatment. Well-perfused, hypoxic, and necrotic habitats determined in the patient are overlaid with red, green, and blue respectively. Early enhancing image from DCE-MRI (left) and ADC (right) are shown in inset from left to right. (B) Axial DCE-MRI of nonresponding 53 year-old synovial sarcoma female patient post-treatment. Well-perfused, hypoxic, and necrotic habitats determined in the patient are overlaid with red, green, and blue respectively. Early enhancing image from DCE-MRI (left) and ADC (right) are shown in inset from left to right. (C) Corresponding average signal-versus-time curves for each habitat are shown below for Fig. 1a. (D) Corresponding average signal-versus-time curves for each habitat are shown below for Fig. 1b.

Hierarchical clustering was performed on subject data using the quantitative measures described above (Figure 2). Two clusters were readily apparent, separating responding from non-responding patients. Parameters which were significantly correlated with response after correction for multiple comparison with Tukey’s honest significant difference test were kep well-perfused (p = 0.04), Ktrans well-perfused (p < 0.01), volume necrotic (p = 0.04), percent well-perfused (p = 0.02), and percent necrotic (p < 0.01). The well-perfused habitat’s characteristics: kep, Ktrans, and percent volume were lower in responders whereas volume necrotic and percent necrotic were higher in responders.

CST 2019-114 - Radka Stoyanova USA_F2

Figure 2. Heatmap showing hierachical clustering of 8 patients using quantitative imaging features. Nonresponders, patients 5, 7, and 8, are shown to be in a separate cluster from responders, patients 1, 2, 3, 4, and 6.

Discussion

In this feasibility study, a radiomics approach utilizing perfusion, diffusion and volumetric information from unique tumor habitats was applied to the prediction of treatment response in soft tissue sarcoma patients. Patients from a small sample set were correctly classified into responders and nonresponders, and habitat-related features were identified that had differentiating potential for the two populations. The success of the approach suggests that consideration of tumor heterogeneity is important for treatment prediction and that the state of the tumor may not be accurately represented by analyses of the whole tumor.

This importance of analysis of unique habitats to prognosis has primarily been recognized in breast cancer tumors. DCE-MRI studies of breast cancer have shown tumors with a larger proportion of voxels with fast washin and a steady plateau of washout, corresponding to the shape of curves in well-perfused habitats, are more likely to be malignant [21]. Numerous studies on breast cancer tumors have focused analyses on these ‘hot spots’ in tumors [22–27], determined by looking for contiguous ROIs of high enhancement in DCE-MRI datasets. Similar analyses have been performed on soft tissue sarcoma tumors [9, 28]. However, although ‘hot spot’ methods begin to consider the heterogeneity in tumors, they only focus on well-perfused habitats, whereas identification and analysis of additional tumor habitats can provide additional discriminatory features for treatment prediction as in the present study and offer a broader understanding of circumstances in the tumor. In addition, common problems with analysis of ‘hot spots’ include the selected ROIs are often manually contoured [22–26, 28] although semi-automated [29, 30] and automated methods [27] have been proposed. Manual contours produce significant variability in measurements derived from selected ROIs [30]. Analysis of ‘hot spots’ also often precludes the inclusion of anatomical features as only the highest enhancing voxels are selected, which may not extend to the whole extent of the habitat. The present approach has the benefit of addressing the two issues by automating delineation of tumor habitats, avoiding variability with manual selection of ROIs. The approach also allows detection of habitats at a subpixel resolution [5], leading to more accurate determination of habitat locations and allowing the analysis of both habitat-specific pharmacokinetic and anatomical parameters. Specifically, in sarcoma, a similar pattern recognition approach on DCE-MRI data has been applied with good agreement between determined habitats and histopathology [31].

Significant differences were seen in perfusion, diffusion and volumetric parameters from necrotic and well-perfused habitats between responders and nonresponders. The relation of treatment response with features in necrotic habitats may be expected due to the correlation of response to necrosis in pathological samples [3]. Percent volume and volume of necrosis directly relate to the amount of necrosis in tumors, whereas kep and Ktrans of necrotic habitats may represent how ‘necrotic’ those areas are, with lower values representing greater extent of cell death. Similarly, features associated with well-perfused regions may be expected to correlate with response based on past DCE-MRI findings. As mentioned, in breast cancer tumors, a greater proportion of well-perfused habitats have correlated with a greater chance of malignancy [21]. Since vascularity is necessary for growing tumors, well-perfused habitats would offer a window into the ‘health’ of tumors. In the case of sarcomas, lower kep and Ktrans in well-perfused habitats indicate slower diffusion from vessels into the extracellular space, suggesting a tumor lagging in growth and potentially less active. In the present study, no significant differences in parameters from DW-MRI, namely ADC, were found between responders and responders. Given prior work linking ADC to treatment monitoring in soft tissue sarcoma patients [11–15], the lack of discriminatory ability for ADC was unexpected. A possible explanation may the use of multiple b-values across multiple MR systems in DW-MRI acquisition. Different patients would potentially have datasets with different diffusion weighting and signal-to-noise confounding ADC values between responders and nonresponders. Standardized imaging parameters would allow more definitive assessment of the value of ADC to prediction of treatment response.

The study has several limitations that are typical for such pilot investigations. It is retrospective and includes a small number of patients. The analyzed patients had different types of sarcoma and varying treatment plans and imaging exam parameters. However, despite the heterogeneity in the dataset, results are promising on the limited samples. The nature of the approach provides quantitative measures robust to the variety of cases likely to be seen in sarcoma patients. Both ADC and pharmacokinetic parameters are derived to measure true physiological characteristics of the tumor (diffusion, contrast-to-tissue exchange rates) and thus can be assumed to be relatively independent from the imaging sequences.

The appeal of the proposed approach is the non-invasive way it can identify tumor habitats in vivo. For this purpose, a pattern recognition method was utilized that was previously validated on pre-clinical [5, 32] and clinical data [5]. The method assumed the presence of three habitats in tumors which corresponded well with results seen in the pre-clinical model [5, 32] as well as with literature where three shapes of curves have been observed in tumors [21]. Finally, patients enrolled in the study had heterogeneous presentations of sarcomas, including location, tissue types, and stage of sarcomas. Although differences in the patient population could provide a confounding factor in prediction of treatment response, these differences should serve to negatively impact prediction as prediction would be more difficult on a diverse set of patients.

In conclusion, in this pilot study the feasibility for prediction of treatment response in soft tissue sarcoma patients was demonstrated based on identification and analysis of tumor heterogeneity from mpMRI. Pharmacokinetic and anatomical information extracted from unique tumor habitats provided features that could separate responders and nonresponders, the combination of which provided more discriminatory ability than a single feature. A more extensive study will be needed in the future to validate the performance of this approach. For soft tissue sarcomas which encompass a broad range of tumors, additional information derived from the state and characteristics of tumor habitats may lead to a more accurate prediction of treatment response in patients.

Funding: NEI F30-EY027162 (sponsor had no role in the study design; in the collection, analysis and interpretation of the data; in the writing of the report; and in the decision to submit the paper for publication).

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Ovicidal Activity and Repellent of Essential Oils on the Oviposition of Aedes Aegypti and Aedes Albopictus (Diptera: Culicidae)

DOI: 10.31038/IJVB.2019314

Abstract

Background and aims: The evaluation of the insecticidal activity of plants constitutes a novel approach for the development of new natural and bioavailable products for the control of vectors. The objective of this work was to evaluate the ovicidal activity and the repelllency to oviposition of Aedes aegypti and Aedes albopictus  at different breeding sites of six essential oils; Bursera graveolens (Kunth) Triana & Planch, Citrus aurantium L., Eucalyptus globulus Labill, Melaleuca quinquenervia (Cav.) ST Blake, Ocimum basilicum L., Piper aduncum subsp ossanum (C. DC.) Saralegui.

Methods: Two strain of Ae. aegypti (susceptible and one from the field), one strain of Ae. albopictus collected in one municipality of Havana province and six essential oil were used during the study. The ovicidal activity and the repellency for the selection of the oviposition sites of the oils were determined following the methodology described by the literature.

Results: There was low ovicidal activity of all the evaluated oils, on Ae. aegypti and Ae. albopictus. All the essential oils generated repellency to the oviposition in both species, being C. aurantium and P. aduncum subsp ossanum those that showed a total repellence.

Conclusions: With knowledge of the behavior of oviposition of mosquitoes and the mode of action of essential oils from Cuban flora, formulations could be developed to contribute to the ovicidal action and / or to discourage the oviposition of these insects.

Keywords

Mosquitoes, Piper, Citrus, Bursera, Eucalyptus, Ocimum, Melaleuca, chemoreception

Introduction

In the last decade, arboviruses such as, dengue, chikungunya and zika show a tendency to increase their incidence and spread to new geographic areas [1], including the reemergence of yellow fever in several countries of the Americas [2]. One of the causes of the spread of these viruses is attributed to the geographic expansion of Aedes aegypti (Linnaeus, 1762) which is an effective vector of various arboviruses. Its major epidemiological importance is linked to its role as a transmitter of dengue and yellow fever, in addition to Zika [1]. On the other hand Aedes albopictus (Skuse, 1895) is another mosquito of great epidemiological importance. This species has been detected naturally infected with DENV-1 and DENV-2 in Colombia [3–4] and in Ceará, Brazil by DENV-2 and DENV-3 [5], so its participation in the dynamics of transmission of dengue to humans is not it can be discarded. It was also linked to chikungunya outbreaks in Reunion Island, French Republic [6] in 2003 and with outbreaks in 2007 in northern Italy [7] and Spain [8] as a result of the invasion and expansion of this species since the beginning of the 2000s in these countries.

Unfortunately, due to the lack of effective vaccines (except for yellow fever) that allow us to protect the human population, the application of insecticides is the most widely used strategy to reduce the incidence of the rest of arboviruses diseases [9–10].

Despite the availability of chemical formulations and equipment [11], in many geographical areas, the chain of transmission cannot be stopped. Among the elements that propitiate it are; operational factors, the lack of involvement of the community, the resistance of the vectors to available insecticides, among others [12]. The World Health Organization (WHO) motivates the search and implementation of new control alternatives [13], so that the development of new products natural and bioavailable for our country constitutes a novel approach with possible practical applications in Cuba.

Some authors study the insecticidal activity of plants, but there are few studies on the ovicidal activity of plant extracts and essential oils as a form of vector control [14], without discarding the repellent effect that a natural product could cause in the selection of oviposition sites [15].

Due to this, the objective in this work was to evaluate the ovicidal activity of six essential oils on eggs of Ae. aegypti and Ae. albopictus, in addition to the repellency in the selection of oviposition sites by both mosquito species.

Materials and Methods

Biological material used in the research

For the study eggs from the:

  • Rockefeller strain (Ae. aegypti): reference strain susceptible to insecticides, supplied by the Center for Disease Control and Prevention (CDC), San Juan, Puerto Rico, 1996.
  • Marianao population 2013 (Ae. aegypti): collected in larva and pupa stages, in low tank containing temefos, Marianao municipality, Finlay health area, Havana, Cuba, in 2013 during an intensive phase of vector control.
  • Fraga 2012 population (Ae. albopictus): larvae and pupa collected in a surveillance device (larvitrampa) in Juan de Dios Fraga neighborhood, Pulido Humaran health area, La Lisa, Havana, Cuba, 2012.

The plants used in the study were the following:

  • Bursera graveolens (Kunth) Triana & Planch. (Burseraceae) Common name: Sasafrás. It was collected in La Lisa, Havana, 2014. The herborization was taken as reference [16] because it is a sample, from the same source.
  • Citrus aurantium L. (Rutaceae), common name: sweet orange. The oil was obtained industrially in the Combinado Citrícola Victoria de Girón, Jagüey Grande, Matanzas (Lot 13700, year 2016).
  • Eucalyptus globulus Labill (Myrtacaeae) Common name: eucalyptus. It was collected, between the months of November and December of the year 2014 in the IFAL. A representative specimen was herborized and deposited in the Institute of Ecology and Systematics HB 88667.
  • Melaleuca quinquenervia (Cav.) S. T. Blake (Myrtaceae) common name: melaleuca. It was collected in the Laguna del Tesoro, Ciénaga de Zapata, 2011. A representative specimen was herborized and deposited in the Institute of Ecology and Systematics with the identification HB 42678.
  • Ocimum basilicum L. (Lamiacaeae), common name: basil. It was collected, between the months of December of the year 2014 in the IFAL. A representative specimen was herborized and deposited in the National Botanical Garden HFC-087057.
  • Piper aduncum subsp ossanum (C. DC.) Saralegui (Piperaceae) common name: platanillo. It was collected, between the months of September of the year 2013 in the Artemisa province. A representative specimen was herborized and deposited in the National Botanical Garden HFC-87641.

The essential oils of B. graveolens, E. globulus, O. basilicum and P. aduncum subsp ossanum were extracted by hydrodistillation and M. quinquenervia was extracted by steam trawling from the aerial parts. Citrus aurantium, was obtained by expression, from the pericarp of the fruit. The methods used to obtain the oils were governed by the ISO 65–71: 84 standard of the Ministery of Public Health in Cuba [17]. The essential oils were kept at 4°C until the preparation of the solutions for the corresponding bioassays.

The chemical composition of the essential oils was determined by gas chromatography coupled to mass spectrometry (GC-MS), in a gas chromatograph of the series Agilent 6890 with an injector of the type “split splitless” (split ratio 20: 1) coupled with a mass spectrometer of the Agilent 05973 series (both from Agilent Technologies, Palo Alto, CA, USA). The identification of the compounds was carried out through the combined use of the automated databases NBS-NISTASCI and Wiley 275 and the Atlas Registry of Mass Spectra Dat

Determination of the ovicidal activity of essential oil solutions against Ae. aegypti and Ae. albopictus.

The ovicidal activity was determined following the methodology of Prajapathi et al., [18]. Filter paper strips were used that contained an average of 300 oviposited eggs a week previously observed under the stereoscope to confirm the absence of collapse and the presence in appearance of the embryo. The filter paper strips with eggs were exposed to the lethal concentration of the oils that caused 90% mortality of the previously treated individuals from each population (CL90) (Table 1). The eggs were immersed in containers containing 1 mL of each oil solution (those prepared in ethanol) in 99 mL of dechlorinated water for 24 hours. A control was used, which consisted of exposing eggs to 1 mL of ethanol in 99 mL of dechlorinated water. 1 control and three replications were used for oil. Later the strips with eggs were extracted from the medium, placed to dry in a tray at 25oC and the total number of eggs hatched under a stereoscope was counted.

Table 1. Lethal concentrations values CL90 (mg / L) and reliability limits  obtained in previous studies with the Rockefeller strain and the populations Marianao 2013 (Ae. aegypti) and Fraga 2012 (Ae. albopictus).

Essentials Oils

Rockefeller
(Ae. aegypti)

Marianao 2013
(Ae. aegypti)

Fraga 2012
(Ae. albopictus)

Bursera graveolens

27,4
(9,2–33,7)

64,3
(60,1–66,3)

58,5
(46,5–171,3)

Ocimun  basilicum

87,6
(60,7–95,7)

93,3
(63,1–70,1)

27,0
(17,8–30,5)

Melaleuca quinquenervia

59,2
(56,4–62,8)

140
(75,5–155,3)

89,4
(84,3–94,2)

Eucalyptus globulus

81,8
(86,2–92,2)

15,5
(14,7–17,2)

128,7
(108,6–3283)

Piper aduncum subsp. ossanum

63,5
(60,4–75,5)

64,8
(59,8–71,6)

82,3
(76,2–84,3)

Citrus aurantium

19,5
(18,5–21,5)

22,3
(20,4–25,6)

52,5
(39,8–143,1)

For the analysis of the normality of the data the Shapiro Wilk test was used and for the analysis of the data an ANOVA (p <0.05). The Statistica version 7 program was used.

Determination of oviposition repellency in populations of Ae. aegypti and Ae. albopictus before essential oil solutions.

To determine the oviposition repellency before oil solutions, 3 replicas were used for each population and for oil. In each cage, 25 females and 25 males were placed and three containers containing:

  1. 500 mL dechlorinated water,
  2. 500 mL dechlorinated water with 20 second stage larvae to simulate hatchery
  3. Another container containing 1 mL of oil solution in 499 mL of dechlorinated water.

They were given blood feed for 3 hours 2 times a week. A strip of paper was placed on the containers to collect the egg. The paper filter strips with eggs were extracted and placed on a wet surface in trays for 24 hours to allow the proper development of embryogenesis and then put to dry at 25 oC. Subsequently, they were placed in dechlorinated water with 0.1 g of fishmeal to promote hatching. At 24 hours, under a stereoscope, the total number of eggs was recorded as fecundity and the fraction of eggs hatched as fertility. The “Student’s T” test was applied to compare the mean of the eggs laid and hatched for each species (p <0.05), using the statistical package Statistica 7.0

Results

Ovicidal activity of essential oils on Ae. aegypti and Ae. albopictus

When submitting eggs from the populations of Ae. aegypti and Ae. albopictus at CL90, a significant difference was found in the hatching percentage of the controls with respect to those exposed (Figure 1). Although hatching was greater than 50%, no larvae survived the exposed concentrations.

IJVB 2019-106 - María del Carmen Marquetti Cuba_f1

Figure 1. Ovicide activity of essential oils on eggs of the Rockefeller strain and the Marianao 2013 (Ae. aegypti) and Fraga 2012 (Ae. albopictus) populations F (10,30) = 4,27 p = 0,00094. Stocks with a common letter are not significantly different (p> 0.05)

Oviposition repellency of Ae. aegypti and Ae. albopictus before solutions of essential oils.

In the study carried out, significant differences were found regarding oviposition in the solutions of the different essential oils (F =, 06625 p = 1.0000). The populations used preferred egg laying in dechlorinated water and dechlorinated water containing larvae, rather than placing the eggs in solutions of the essential oils (Figure 2). Citrus aurantium and P. aduncum subsp.ossanum provoked total oviposition repellency on the part of the females of both Aedes species. Oviposition in the solutions of the rest of the oils occurred with an increasing trend in B. graveolens, O. basilicum, E. globulus and M. quinquenervia but at very low percentages, mostly less than 8%.

The chromatographic analysis of the samples showed that C. aurantium oil, used in this study, showed a relative abundance of 97.5% for limonene and 1.5% myrcene. For B. graveolens, the compounds with the highest relative abundance (> 1%), limonene (21.8%) and β-elemene (12.5%) were identified. For E. globulus, eucalyptol and p-cymene accounted for 63.1% of the oil, followed by γ terpinene (16.7%), 4-terpineol (6.6%) and thymol (1.4%). In the essence of O. basilicum evaluated, estragole (50.8%), linalool (30.3%) and 1,8-cineol (6.2%) were identified as major components. For M. quinquenervia we identified 1.8 cineol (28.8%),viridiflorol (25.3%), together with α-pinene (8.9%), β-pinene (2.2%), and limonene (13.6%). The oil of P. auncum subsp ossanum highlighted a relative abundance of linalool (32.6%), estragole (43.4%), 1,8 cineol (5.9%)

IJVB 2019-106 - María del Carmen Marquetti Cuba_f2

Figure 2. Oviposition repellency against different oil solutions on eggs of the Rockefeller strain and the Marianao 2013 (Ae. aegypti) and Fraga 2012 (Ae. albopictus) populations used in the study. F (21,184) = 0.66 p = 1.0000. Stocks with a common letter are not significantly different (p> 0.05)

Discussion

Ovicide activity of essential oil solutions on Ae. aegypti and Ae. albopictus

The high percentage of hatching at the dose used showed low ovicidal action of the oils evaluated. With P. aduncum, B. graveolens and E. globulus, no studies were found that allowed us to compare our results. Studies carried out with O. basilicum [20,21] show that this oil inhibited the hatching of Ae. aegypti and Cx. quinquefasciatus to different in 45 and 79% respectively.

Some authors suggest that the mechanism of general action that essential oils possess is given by their lipophilic nature [20]. The components present in the oils interact with cellular lipid membranes, destabilizing their integrity and that of other structures rich in lipopolysaccharide molecules. It has also been proposed the spontaneous formation of molecular complexes that facilitate an increase in cellular permeability favoring the circulation of ions and macromolecules and causing death due to functional failure in the organism [22,23].

The mosquito eggs have an outer membrane called chorion that confers protection to the embryo, which allows, among other functions, the exchange of gases and water with the outside through the aeropils [24,25]. It has been described that the ovicidal compounds can cross this barrier, block the hatching of the egg or interrupt the development of the embryo, and thus the survival of the larva inside the egg [26]. Most of the studies with essential oils evaluating the ovicidal activity, pose the bioactivity found, but not the mechanism by which this effect is provoked [27,28]. However, what was previously raised by other authors about the lipoficity of oils and the interaction with lipid membranes [21] could be related to the mechanism of action.

Studies carried out by Jarial et al. (2001) showed that the non-detachment of the exocorion in the eggs after being exposed to extracts of Allium sativum caused the non-hatching of the embryos [29]. Some authors [30,31] suggest that once the eggs harden, they are waterproofed, so the ovicidal action becomes more difficult as the time of oviposition increases, achieving an inversely proportional relationship between concentration and hatching in young eggs. De Lima Santos et al., (2013) [32] propose the interaction between the lectin of M. oleifera with the chitin present in the oocytes and the chorion of the eggs as an ovicidal mode of action, achieving the dissolution of the embryo in eggs of different times of life and subjected to the ovicide solution for 72 hours.

The doses used in this work, caused a high percentage of hatching of the exposed eggs and caused the subsequent death of the newly hatched larvae. We can infer that the essential oil solutions studied were able to cross the barriers of the chorion, causing the larvae to emerge as a survival mechanism. However, the same condition that led to the emergence was the same medium for which they emerged, which caused the death of first-stage individuals as a secondary effect. Although there are no studies of ovicidal activity with isolated compounds, several authors report activity on mosquito larvae of compounds present in the oils studied. Metabolites such as limonene and 1,8 cineol [34], estragole and linalool [35,36], b-elemeno [37] and p-cimeno [36] manifest insecticidal activity on immature stages of mosquitoes. In depth studies should be done later with lower doses and their effect on embryos.

Oviposition repellency of Ae. aegypti and Ae. albopictus before essential oil solutions

In the case of adult mosquitoes, the capacity for chemo-perception is well established through their tarsals and maxillary palps, which allows them to capture synthetic and natural chemicals at oviposition sites [38–40]. In the present investigation, the oil of C. aurantium, totally inhibited the oviposition by females of Ae. aegypti, however, like the rest of the oils evaluated, did not act as an ovicide. Kassir et al., (1989) [41] suggested that water treated with limonene (the majority compound present in this essence) was unfavorable for the oviposition of Cx. quinquefasciatus females. Similar results were found for Ae. Aegypt I [42].

The oil of P. aduncum subsp. ossanum showed similar results as C. aurantium. The essential oil obtained from P. nigrum, showed a moderate degree of dissociation at oviposition (82%) and P. marginatum, although it showed effectiveness as a larvicide, it did not interfere significantly in the oviposition of Ae. Aegypti [43–44].

Other studies have shown a high dissociation of oviposition with Melaleuca cajeputi (87.9%) on Ae. Aegypti [43]. Warikoo et al., (2011) found a directly proportional relationship between the evaluated concentration of O. basilicum and the effective repellency of Ae. aegypti to oviposit19. Similarly, it was found in studies with the essential oils of Lippia alba ((Mill.) NEBr. Ex Britton & P. Wilson), Corymbia citriodora ((Hook.) KD Hill & L.A.S Johnson) and Cananga odorata ((Lam.) Hook.f. & Thomson) that gravid females of Ae.aegypti showed some repellency to deposit their eggs in the treatments when compared with the controls15.

Studies carried out with the oil of M. quinquenervia produced a repellent and dissociative effect of the minced [45], and yet in our results offered partial repellency in the oviposition vessel. This result coincides with studies with the hexanic extract of leaves of Moringa oleifera Lamarck where they reported repellency to the bite of An. stephensi [46], while other studies [32] found a moderate dissociation to the oviposition of the lectin isolated from this plant against Ae. aegypti.

The variations in the repellent responses can be modulated mainly by the chemical composition of the oils and their major components, in addition to the response to the chemical signals received by the sensory organs that can vary according to the species of mosquito. There are families of plants that show high repellent activity [47] given by compounds such as α-pinene, limonene, citronellol, citronellal, camphor and thymol [48] where the presence of major and minor active compounds can generate additive or synergistic effects within the oils [49–50].

Conclusion

The doses used in this work proved to be effective in the protection of containers that these vectors use for their breeding, since it discourages females from continuing oviposition and in the event that an oviposition occurs in unprotected containers, at the time of application It will be able to favor the hatching of the eggs and eliminate the newly emerged larvae. With knowledge of the behavior of oviposition of mosquitoes and the mode of action of essential oils from Cuban flora, formulations could be developed to contribute to the ovicidal action and / or to discourage the oviposition of these insects.

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  49. Regnault-Roger C, Vincent C, Arnason JT (2012) Essential oils in insect control: low-risk products in a high-stakes world. Annu Rev Entomol 57: 405–424. [crossref]
  50. Koul O, Singh R, Kaur B, Kanda D (2013) Comparative study on the behavioral response and acute toxicity of some essential oil compounds and their binary mixtures to larvae of Helicoverpa armigera, Spodoptera litura and Chilo partellus. Ind Crops Prod 49: 428–436.

Ultrasound Localization of Intercostal Perforating Vessels Reduces Skin Necrosis Complications from Nipple-Sparing Mastectomy

DOI: 10.31038/JCRM.2019232

Synopsis

Skin necrosis of the nipple-areolar complex (NAC), as a result of ischemia is a well-documented complication of nipple-sparing mastectomy. Ultrasound localization of the intercostal perforating vessels, which are essential to NAC viability, can reduce necrosis complications.

Abstract

Background: Complications of nipple-sparing mastectomy (NSM) are well documented, particularly skin necrosis of the nipple-areolar complex (NAC), as a result of ischemia. The intercostal perforating vessels (IPV) provide a significant proportion of the blood supply to the NAC. We propose that ultrasound (US) localization of the IPV will reduce the incidence and severity of NAC necrosis following NSM.

Methods: 168 mastectomies were performed in 101 patients between Feb. 2015 and Feb. 2017. In Feb. 2016, prospective data was collected in 35 NSM with US localization of the IPV. Rate and severity of skin or NAC necrosis was objectively measured using the skin ischemic necrosis (SKIN) score. Retrospective data and SKIN score were obtained on 52 consecutive historical control NSM from the prior 12 month period.

Results: 20 women underwent 35 NSM with US localization. Preservation of the localized IPV was 100% with significant variability observed in the intercostal space location. Comparison of SKIN scores between the study group and historical controls demonstrated a trend towards fewer and less severe complications with utilization of US localization. Grouping clinically significant complications together for statistical comparison with no or minimal complications did not show statistical significance (p=0.77).

Conclusions: Our prospective study demonstrates that US localization of the IPV can reduce NAC and skin necrosis complications in NSM. Although grouping of the data into clinically meaningful categories did not show evidence of statistical significance, reduced rates of necrosis, as measured by SKIN score, were observed.

Introduction

Complications of nipple-sparing Mastectomy (NSM) are well documented, particularly skin necrosis of the nipple-areolar complex (NAC), as a result of ischemia. NAC necrosis rates are reported in the literature from 20–43% 1 [1–3]. Carlson et al. reported a 28.2% rate of partial nipple necrosis in 71 consecutive NSM [1]. Cho et al. performed an analysis of 85 women undergoing NSM [2].Thirty-six total cases of NAC necrosis occurred at a rate of 43.4% among the patients. A nipple necrosis rate of 20% was reported by Gould et al. in a series of 113 NSM [3].Risk factors for NAC necrosis include: age, smoking, prior radiation therapy (RT), body mass index (BMI), incision location, and cancer versus prophylactic procedure [1–4].

The intercostal perforating vessels (IPV) have been demonstrated to provide a significant proportion of the blood supply to the NAC [4–7]. O’Dey et al. performed a microdissection study to better understand vascular reliability of NAC pedicles on six different arterial sources: the internal mammary artery, the highest thoracic artery, the anterior and posterior intercostal artery branches, the thoracoacromial artery, the superficial thoracic artery, and the lateral thoracic artery [8]. While acknowledging the considerable variability among individuals in arterial development and vascular reliability of the NAC, this study produced findings consistent with others— namely, in most cases the lateral thoracic and internal mammary arteries are the most important suppliers of blood to the NAC. The complexity and variability of NAC vascularity are well-demonstrated in the comprehensive review of anatomical studies by van Deventer and Graewe [9]. They emphasize in their review that an awareness of the vascular anatomy and its variability will be helpful to reduce the risk of NAC necrosis.

To our knowledge, no data has been published on US localization of the vasculature to the NAC to reduce skin necrosis in NSM. A recent report suggested that identification of blood supply to the NAC on preoperative MRI could limit necrosis rates in NSM [10].

Our objective is to reduce the significant rates of NAC necrosis observed in NSM, even in lower risk individuals. We propose that US localization of the IPV will reduce the incidence and severity of NAC necrosis following NSM.

Materials and Methods

Approval for our study was obtained from our local IRB. 168 mastectomies were performed by the author in 101 patients between Feb. 2015 and Feb. 2017. Of these, 90 NSM (54%) were performed in 51 patients. Starting in Feb. 2016, prospective data collection was performed in all women scheduled for NSM and providing consent for the study. US was performed at the beginning of the procedure, with a Sonosite™ US, 5–12 mHz transducer, using the Doppler mode. The IPV were identified by scanning each intercostal space near the sternal border. If an IPV was clearly identified (Figure 1), the skin was marked at that location as an aid to the surgeon during dissection. All incisions were performed in the lateral infra-mammary fold (IMF). Data monitored included: age, smoking history, BMI, prior RT, reconstruction technique, success of localization, location of IPV, and success of preservation of IPV during the procedure. Rate and severity of necrosis of the skin or NAC was objectively measured using the skin ischemic necrosis (SKIN) score [11]. Retrospective data was collected from our dedicated breast cancer database and electronic medical records on 52 consecutive NSM in 29 patients from the prior 12 month period to provide a historical control group. Statistical analysis was performed comparing none or superficial necrosis (SKIN A1 and B2) with major necrosis (SKIN B3, C2, C3, D3) in the historical controls versus the study group using Fisher’s Exact Test.

Results

38 NSM were performed in 22 patients during the study period. Two women (3 NSM) (8%) declined participation in the study, thus, the study group consisted of 20 women undergoing 35 NSM who had US for localization of the IPV. The indication for surgery overall was malignancy in 18 (51%) and prophylaxis in 17 (49%). The control and study groups were well-matched for known risk factors including: age, prior RT, history of smoking (current or >10 pk./yrs.), BMI, reconstruction technique, and indication (Table 1). Localization was successful in 33 (96%), the two failed localizations occurred in the same woman. Preservation of the localized IPV was 100%. We identified significant variability in the location of the primary IPV: nearly equal frequency in the 2nd intercostal space (ICS) (37%) and 3rd ICS (34%); multiple ICS locations in 14.3%, and less commonly, in the 1st ICS (8.6%) (Table 2). These findings are consistent with previously published anatomical studies [5–9]. Complication rates and severity, as measured by SKIN score, are shown in Table 3. Rates of necrosis observed in the control group were consistent with the published literature [1–3]. No NAC or skin necrosis was observed in 63% of the study group compared with 42% of the controls. A SKIN score of B2, representing minimal, uncomplicated superficial necrosis, was observed in 23% of women having US localization versus 38% in the control group. Rates of more significant necrosis (SKIN scores B3, C2, C3, & D3) were found in 14% of the study cases compared with 20% of the controls. The data demonstrates a trend towards fewer and less severe complications in NSM cases utilizing US localization of the IPV. We elected to group more clinically significant complications (SKIN B3, C2, C3, & D3) together for statistical comparison with no or minimal complications (SKIN A1 & B2). The results of this analysis are presented in Table 4. No statistically significant difference was observed in this analysis. (p = 0.77)

Table 1. Risk Factor Matching

Study

Control

Age (average)

45.1

46.0

(standard deviation)

8.0

8.7

Age>65

2

1

BMI (average)

24.4

24.8

(standard deviation)

4.1

5.1

Prior RT

6%

6%

Smoking (Current or >10 pack/years)

14%

13%

Reconstruction Technique

Tissue Expander

83%

83%

Direct Implant

14%

17%

Autologous

3%

0%

Indication

Malignancy

51%

54%

Prophylaxis

49%

46%

Table 2. Ultrasound Localization of Intercostal Perforator Vessel

Localization Success

Yes

33

96%

No

2

4%

Primary ICS Location

3

13

37.1%

2

12

34%

1

3

8.6%

Multiple

5

14.3%

NA

2

5.7%

Table 3. Skin ischemic necrosis (SKIN) score

SKIN Score
n

Study

Control

%

n

%

None or Minor

None (A1)

22

63%

22

42%

B2

8

23%

20

38%

Major

B3

4

11%

6

12%

C2

1

3%

3

2%

C3

0

0%

0

0%

D3

0

0%

1

6%

Table 4. Statistical analysis of none or minor necrosis with major necrosis

None or superficial necrosis (A1 or B2)
Major necrosis (B3, C2, C3, D3)

SKIN Score Category

Total

Use of Ultrasound in the Nipple Sparing Mastectomy?

No

n

42a

10a

52

(Control Group)

%

80.8%

19.2%

100.0%

Yes

n

30a

5a

35

 (Study Cohort)

%

85.7%

14.3%

100.0%

Total
%

n

72

15

87

82.8%

17.2%

100.0%

a denotes subset of SKIN Score Category categories whose column proportions do not differ significantly from each other at the 0.05 level. Fisher’s Exact Test: p = 0.77

Discussion

Previous evidence suggests that skin and NAC necrosis rates are significant in the range of 20–40% [1–3]. Our personal experience with these complications is that many occurrences are superficial and resolve with minimal intervention, however a significant proportion are significant and can have devastating effects. Risk factors are well established for NAC necrosis in NSM [1–4]. We have selected NSM candidates carefully for these risk factors in our practice as evidenced by the younger age, lower incidence of smoking history or prior RT, relatively lower BMI, and use of infra-mammary incisions. Our objective was to monitor our NAC necrosis complications and continually adopt or develop methodologies to reduce these complications.

The importance of the IPV to reducing NAC complications is historically founded in the plastic surgery literature as relates to developing vascular pedicles for aesthetic surgery. The advent of contemporary NSM reintroduced the importance of preservation of the IPV to reduce NAC complications. Recognizing the importance of the IPV and well-documented variability, we developed the US localization procedure to aid in the identification and preservation of these vessels to reduce NAC complications in NSM.

Our study has several limitations. Although we have a prospective design, use of historical controls introduces potential inaccuracies related to retrospective data collection. We did not control for several different plastic surgeons and the potential for variability in their technique including fill volume of tissue expanders. We did not examine cost effectiveness of our technique. However, we believe that reducing NAC necrosis complications is inherently cost effective. Lastly, in our statistical analysis of two grouped categories, no or minor complications versus major complications, we did not achieve statistical significance.

We did demonstrate a reduction in the number of women experiencing necrosis and more severe types of necrosis as measured by SKIN score. Localization was highly successful and performed with equipment already available in the operating room. Many surgeons who regularly perform breast surgery are adept at US and would be capable of readily employing this technique.

Conclusions

Our prospective study provides preliminary evidence that US localization of the IPV can reduce NAC and skin necrosis complications in NSM. Localization of the IPV was highly successful with US suggesting that surgeons facile with breast US can readily employ this technique to reduce skin necrosis and related complications. The observed variable location of the primary IPV, consistent with previously published literature, contributes to the value of localization. Although grouping of the data into clinically meaningful categories did not show evidence of statistical significance, reduced rates of necrosis, as measured by SKIN score, were observed in women undergoing NSM with US localization of the IPV. The findings are consistent with our hypothesis that localization of the IPV leads to preservation of the primary vasculature of the NAC and reduced necrosis. Future efforts will be directed at performing US localization pre-operatively to improve efficiency, incorporation of indocyanine green fluorescence angiography to further reduce necrosis rates of NSM, and examining the effect of pre-pectoral implant placement.

Acknowledgment

We would like to acknowledge Todd Foster, Isaac Janson, and Jessica Wolfe, St. Vincent Hospital, Indianapolis, IN for their input and kind assistance with the statistical analysis.

References

  1. Carlson GW, Chu CK, Moyer HR, Duggal C, Losken A. (2014) Predictors of nipple ischemia after nipple sparing mastectomy. Breast J. 20(1): 69–73. [Crossref]
  2. Cho JW, Yoon ES, You HJ, Kim HS, Lee BI, Park SH. (2015) Nipple-Areola Complex Necrosis after Nipple-Sparing Mastectomy with Immediate Autologous Breast Reconstruction. Arch Plast Surg. 42(5): 601–7. [Crossref]
  3. Gould DJ, Hunt KK, Liu J, Kuerer HM, Crosby MA, Babiera G, Kronowitz SJ. (2013) Impact of surgical techniques, biomaterials, and patient variables on rate of nipple necrosis after nipple-sparing mastectomy. Plast Reconstr Surg. 132(3): 330e-8e. [Crossref]
  4. Frey JD, Alperovich M, Levine JP, Choi M, Karp NS. (2017) Does Smoking History Confer a Higher Risk for Reconstructive Complications in Nipple-Sparing Mastectomy? Breast J. [Crossref]
  5. Stone K, Wheeler A. (2015) A Review of Anatomy, Physiology, and Benign Pathology of the Nipple. Ann Surg Oncol 22: 3236–3240. [Crossref]
  6. Skandalakis J. Breast. In: Skandalakis J, editor. (2004) Skandalakis’ surgical anatomy: the embryologic and anatomic basis of modern surgery. Athens: PMP; pp. 106–107.
  7. Palmer JH, Taylor GI. (1986) The vascular territories of the anterior chest wall. Br J Plast Surg. 39: 287–99. [Crossref]
  8. O’Dey D, Prescher A, Pallua N. (2007) Vascular reliability of nipple-areola complex-bearing pedicles: an anatomical microdissection study. Plast Reconstr Surg. 119(4): 1167–77. [Crossref]
  9. van Deventer PV, Graewe FR. (2016) The Blood Supply of the Breast Revisited. Plast Reconstr Surg. 137(5): 1388–97. [Crossref]
  10. Bahl M, Pien I, Buretta K, Hwang S, Greenup, R, Ghate S, Hollenbeck S. (2016) Can Vascular Patterns on Preoperative Magnetic Resonance Imaging Help Predict Skin Necrosis after Nipple-Sparing Mastectomy? J Am Coll Surg 223(2): 279–85. [Crossref]
  11. Lemaine V, Hoskin T, Farley D, Grant C, Boughey J, Torstenson T, Jacobson S, et al. (2015) Introducing the SKIN Score: A Validated Scoring System to Assess Severity of Mastectomy Skin Flap Necrosis. Ann Surg Oncol 22: 2925–2932. [Crossref]

Ribosomal S6 Kinase 2 Promotes Survival of Triple- Negative Breast Cancer Cells to Apoptotic Stimuli

DOI: 10.31038/CST.2019432

Abstract

Triple-negative breast cancers (TNBC) lack estrogen receptor (ER), progesterone receptor and epidermal growth factor receptor HER2 and share many features of basal-like breast cancer (BLBC). Therefore, these patients have to rely on chemotherapy. The mechanistic target of rapamycin complex 1 (mTORC1) as well as its downstream targets p70 S6 kinase (S6K1) and S6K2 have been implicated in breast cancer. The 40S ribosomal protein S6 kinase 2 (S6K2) has been associated with endocrine resistance. We have previously shown that S6K2 protects against apoptotic cell death in ER-positive breast cancer cells. In the present study, we investigated if S6K2 could serve as a potential target for TNBC. Our analysis of TCGA dataset as well as immunohistochemistry of patient samples revealed that S6K2 is overexpressed not only in ER-positive but also in TN breast tumors compared to normal breast tissues. Silencing of S6K2 by siRNA enhanced sensitivity of BLBC MCF10CA1d cells to chemotherapeutic drugs cisplatin and doxorubicin. S6K2 knockdown also increased sensitivity of BLBC MCF10CA1a and TNBC HCC1395 cells to TRAIL. While S6K2 knockdown alone had little effect on apoptosis, it enhanced TRAIL-induced apoptosis as judged by the increase in caspase-3 activity, PARP cleavage and annexin V/PI staining. Overexpression of constitutively-active S6K2 construct in MDA-MB-231 cells protected against TRAIL-induced apoptosis. These results suggest that S6K2 also promotes survival of TNBC. Therefore, targeting S6K2 in combination with chemotherapeutic agents could improve therapy of TNBC.

Keywords

Triple-negative breast cancer, basal-like breast cancer, S6K2, chemotherapeutic drugs, apoptosis

Introduction

Breast cancer is the second leading cause of cancer-related death among women in the United States. The major breast cancer subtypes include hormone receptor-positive, human epidermal growth factor receptor 2 (HER2)-enriched and triple-negative or basal-like breast cancer [1]. Triple-negative breast cancers (TNBC), which account for approximately 20% of all breast cancers, are a highly aggressive form of breast cancer with high mortality and poor prognosis [2]. They share many features of basal-like breast cancer (BLBC) subtype and they are often used synonymously [3]. No targeted therapy exists to treat majority of patients with TNBC because they lack estrogen receptor (ER), progesterone receptor (PR) and HER2/neu [4, 5].

The PI3K/Akt/mTOR pathway is most frequently altered in breast cancers and has been associated with drug resistance [6, 7]. The mechanistic target of rapamycin (mTOR), which acts downstream of PI3K/Akt, is an important target for breast cancer therapy since it is frequently deregulated in breast cancers and plays a critical role in tumorigenesis [8]. mTOR forms complexes with either raptor (mTORC1) or rictor (mTORC2). mTORC1 mediates its function via its downstream targets ribosomal S6 kinase (S6K1 and S6K2) and 4E-binding protein 1 (4E-BP1) [9].

40S ribosomal protein S6 kinase 2 or S6K2 encoded by RPS6KB2 is localized on chromosome 11q13 [10, 11], which constitutes a high-risk subgroup of ER-positive breast cancers [12]. RPS6KB2 gains/amplifications have been associated with poor prognosis and resistance to endocrine therapy [10, 11]. A recent study showed high levels of S6K2 was associated with ER-positive breast cancers [13]. We have shown that S6K2 promotes survival of ER-positive breast cancers to apoptotic stimuli [14].

 The PI3K/Akt/mTOR pathway is also frequently deregulated in TNBC [2]. Since chemotherapy continues to be the standard-of-care treatment for TNBC but unacceptable side effects are major problems in the treatment, we examined if targeting S6K2 could enhance sensitivity of TNBCs to chemotherapeutic agents. Our results show that S6K2 is overexpressed in TNBC and depletion of S6K2 sensitized TNBC cells to apoptotic stimuli.

Methods and Materials

Cell Culture

The MCF-10A series developed by Dr. Fred Miller and colleagues [15], was purchased from the Barbara Ann Karmanos Cancer Institute (Detroit, MI). MCF10A, MCF10AT and MCF10AT3G cells were cultured as described previously [16]. MCF-10CA1a and MCF10-CA1d cells were maintained in DMEM-F12 medium supplemented with 5% horse serum. MDA-MB-231 and HCC1395 (obtained from Drs. Adi Gazdar and John Minna, UT Southwestern Medical Center) cells were maintained in RPMI 1640 medium supplemented with 5% fetal bovine serum and 2 mM glutamine. Cells were kept in a humidified incubator at 370C with 95% air and 5% CO2.

Transfection

Cells were transfected with control non-targeting or target-specific siRNAs (GE Dharmacon, Chicago, IL) using Lipofectamine RNAiMax transfection reagent (Invitrogen, Carlsbad, CA) as described before [17]. We overexpressed S6K2 in MDA-MB-231 cells. We purchased pcDNA3 S6K2 E388 D3E (a gift from Dr. John Blenis) from Addgene plasmid#17731; http: //n2t.net/addgene: 17731; RRID: Addgene_17731) [18] and cloned into pLVX-mCherry-C1 lentiviral vector (Clontech). MDA-MB-231 cells were infected with either the empty vector pLVX or vector containing S6K2 construct. The extent of gene knockdown or overexpression was determined by Western blot analysis.

Immunoblot Analysis

Cells were harvested by trypsinization, washed twice with PBS and lysed in buffer containing 20 mM Tris-HCl, pH 7.4, 0.15 M NaCl, 1 mM EGTA, 1 mM EDTA, 1.0% Triton X-100, 0.5% Nonidet-40, 10 mM β-glycerophosphate, protease inhibitor cocktail and phosphatase inhibitor cocktail (Calbiochem/EMD-Millipore, Bedford, MA). Equivalent amounts of total proteins were electrophoresed by SDS-PAGE and transferred electrophoretically to polyvinylidene difluoride membrane (EMD Millipore, Bedford, MA). Immunoblot analyses were performed with 1: 1, 000 dilution of S6K1, P-S6 (Cell Signaling Technology, Danvers, MA) and S6K2 (R&D Systems, Minneapolis, MN) or 1: 5, 000 dilution of PARP (Pharmingen, San Diego, CA) and actin antibodies (Sigma, St. Louis, MO) as described before [19]. 1: 10, 000 dilution of horseradish-peroxidase-conjugated donkey anti-rabbit or goat anti-mouse secondary antibodies (Jackson ImmunoResearch Laboratories, Inc., West Grove, PA) were used. The blots were visualized using the enhanced chemiluminescence detection kit (Amersham, Arlington Heights, IL) and the manufacturer’s protocol. The intensities of immunoreactive proteins were quantified using ImageJ software. The blots were probed with actin to control for equal loading.

Immunohistochemistry (IHC)

Formalin-fixed paraffin-embedded tissue microarrays (TMA) obtained from US BioMax, Inc. were deparaffinized with successive washes of xylene and ethanol, and rehydrated. The endogenous peroxidase was blocked by incubation with 0.3% H2O2 and antigen retrieval was performed by heating in citrate buffer (pH 6.0). Immunohistochemistry was performed with anti-S6K2 antibody and immunodetection was performed using a Vecstatin ABC Elite kit and a DAB peroxidase substrate kit from Vector laboratories according to the manufacturer’s protocol.

Caspase activity assay

Cells transfected with control non-targeting or S6K2 siRNA were treated with or without TRAIL. DEVDase activity was determined at 370C using an Ac-DEVD-AFC assay kit (BioVision, Palo Alto, CA, USA) and the manufacturer’s protocol [19]. The fluorescence liberated from DEVD-AFC was measured using a SpectraMax GeminiXS fluorometer and SOFTmax PRO 3.1.1 software (Molecular Devices, Sunnyvale, CA, USA) with an excitation wavelength of 400-nm and emission wavelength of 505 nm.

Annexin V/Propidium Iodide Binding Assay

Cells were treated with or without 0.1 nM TRAIL (R&D Systems, Minneapolis, MN) for 14 h. At the end of the incubation, both detached and attached cells were collected and washed with phosphate-buffered saline. Cells were then stained with annexin V-Alexa 488 conjugate and propidium iodide (Molecular Probes, Eugene, OR) according to the manufacturer’s protocol and analyzed using a flow cytometer (Coulter Epics) [14].

Statistical analysis

Statistical significance was determined by paired Student’s t-test using Microsoft Excel. A p-value < 0.05 was considered statistically significant.

Results

Comparison of S6K2 expression in ER-positive and triple-negative breast cancers

Both S6K1 and S6K2 have been implicated in breast cancer [20, 21]. Therefore, we compared the expression of S6K1 and S6K2 in breast tumor tissues. We analyzed 106 normal and 813 breast tumor tissues from TCGA dataset. The expression of S6K2 but not S6K1 is increased by approximately 2-fold in breast tumor tissues (Fig. 1A), including both ER-positive (n=575) and triple-negative (TN) (n=118) subtypes (Fig 1B). This correlation holds true when tumor tissues are compared with matched normal tissues (Fig. 1C).

CST 2019-115 - Alakananda Basu USA_F1

Figure 1. Analysis of S6K1 and S6K2 expression in the TCGA dataset. mRNA expression was measured by RNA-seq in TCGA breast tissue samples. A, S6K1 and S6K2 in all breast tumors (789) and normal (103) samples. B, S6K2 in either ER+ (ER) or triple-negative (TN) subtypes (ER+, N=575, TN, N=118) comparing with those in the normal samples from ER+ (73) or TN (12) patients. C, S6K2 in matched tumor-normal sample pairs of ER+ (73) and TN (12) patients. The error-bar shows the standard deviation of mRNA level. Except for the comparison of S6K1 between normal and tumors samples, all of the comparison for S6K2 levels between tumor and normal samples are significant (p-value < 0.0005), with the fold-change near two (1.74~1.92).

We also analyzed 112 breast tumor specimens and 12 normal tissues in a tissue microarray (TMA) by immunohistochemistry (IHC) (Fig. 2). S6K2 staining is low in normal mammary epithelial cells (Fig. 2A). The staining of S6K2 was intense in both ER-positive (Fig. 2B) and TN (Fig. 2C) breast cancer cells. Thus, analysis of both TCGA and IHC show that S6K2 level is elevated not only in ER-positive breast cancer but also in TNBC.

CST 2019-115 - Alakananda Basu USA_F2

Figure 2. S6K2 expression in normal versus breast tumor tissues. IHC was performed with tissue microarrays. Representative images are shown. A, Cancer adjacent normal breast tissue; B, ER-positive breast tumor (Stage IIb); C, TNBC (Stage IIb). We did not counterstain the slides with hematoxylin since it may obscure S6K2 staining.

We then examined the status of S6K2 in several breast cancer cell lines. We have used progressive basal-like MCF10A series, which include immortalized but non-tumorigenic MCF10A cells as well as highly aggressive metastatic MCF10CA1a and MCF10CA1d variants. These cells do not express hormone receptors. We also included TNBC MDA-MB-231 and ER-positive MCF-7 cells in our comparison. S6K2 but not S6K1 level was increased modestly in MCF10CA1a and MCF10CA1d cells (Fig. 3). In contrast, S6K2 level was low in MDA-MB-231 cells. p70S6K1 gene is amplified in MCF-7 cells and the upper band represents the p85 form of S6K1. Both Akt which acts upstream of mTOR as well as P-S6 which acts downstream of mTORC1/S6K were elevated in MCF10CA1a and MCF10CA1d cells compared to non-tumorigenic MCF10A cells, suggesting that mTORC1 signaling is activated in these cells. In subsequent studies, we depleted S6K2 from MCF10CA1a and MCF10CA1d cells and overexpressed S6K2 in MDA-MB-231 cells.

CST 2019-115 - Alakananda Basu USA_F3

Figure 3. Comparison of Akt and S6K levels in breast cancer cells. Western blot analysis was performed with the indicated antibodies with total cell lysates. The upper band in S6K1 blot represents the p85 form of S6K1.

Effect of S6K2 knockdown on the sensitivity of TNBC cells to apoptotic stimuli

We examined if depletion of S6K2 enhances cell death in TNBC cells by monitoring the cleavage of PARP, a substrate for caspase-3 and -7. Figure 4 shows that while silencing of S6K2 by siRNA alone had little effect on PARP cleavage, it increased the levels of cleaved PARP in response to chemotherapeutic drugs cisplatin and doxorubicin.

CST 2019-115 - Alakananda Basu USA_F4

Figure 4. Depletion of S6K2 enhanced cisplatin- and doxorubicin-induced PARP cleavage in MCF10CA1d breast cancer cells. MCF10CA1d cells transfected with control non-targeting or S6K2 siRNAs were treated with or without indicated concentrations of cisplatin or doxorubicin and Western blot analysis was performed with indicated antibodies.

We then examined if depletion of S6K2 increases sensitivity of MCF10CA1a cells to another apoptotic stimulus TRAIL (TNF-related apoptosis-inducing ligand). Knockdown of S6K2 increased TRAIL-induced PARP cleavage as well as the level of cleaved caspase-9 (Fig. 5A), suggesting that S6K2 depletion increased TRAIL-induced apoptosis. To directly determine the effect of S6K2 knockdown on apoptosis, we monitored caspase-3 activity by using fluorogenic DEVD-AFC substrate. Cells transfected with control non-targeting or S6K2 siRNA were treated with TRAIL and the time-course of caspase-3 activation was monitored. As shown in Figure 5B, S6K2 knockdown alone (unfilled triangle) caused a slight increase in caspase-3 activity as compared to control siRNA-transfected cells (unfilled circle). While TRAIL treatment had little effect on caspase-3 activity in control siRNA-transfected cells (filled circle), it dramatically enhanced time-dependent increase in caspase-3 activity in S6K2 siRNA-transfected cells (filled triangle).

PowerPoint Presentation

Figure 5. Depletion of S6K2 enhanced TRAIL-induced apoptosis in MCF10CA1a cells. A, MCF10CA1a cells were transfected with control non-targeting or S6K2 siRNA and treated with or without TRAIL. Western blot analysis was performed with indicated antibodies. B, MCF-10CA1a cells transfected with control non-targeting (circle) or S6K2 (triangle) siRNA were treated without (unfilled) or with (filled) TRAIL. Caspase activity assay was performed with DEVD-AFC as the substrate. Fluorescent intensity was calculated for equal amount of protein.

To further examine the effect of S6K2 knockdown on apoptosis, we examined the consequence of S6K2 knockdown on TRAIL-induced apoptosis in HCC1395 cells, which were derived from patients with TNBC. Figure 6 shows that knockdown of S6K2 caused a modest increase in TRAIL-induced PARP cleavage. Similar results were obtained when we monitored apoptosis by Annexin V/PI dye binding assay (Fig. 5B).

PowerPoint Presentation

Figure 6. Depletion of S6K2 enhanced TRAIL-induced apoptosis in HCC1395 cells. HCC1395 cells were transfected with control non-targeting or S6K2 siRNA and treated with indicated concentrations of TRAIL. A, Western blot analysis was performed with indicated antibodies. B, Annexin V/PI staining was performed to determine cell death by flow cytometry.

Effect of S6K2 overexpression on the sensitivity of TNBC cells to apoptotic stimuli

To further demonstrate the effect of S6K2 on apoptosis, we overexpressed S6K2 in MDA-MB-231 cells, which express low levels of S6K2. We used an S6K2 construct in which Thr388 was mutated to Glu, and Ser residues at 410, 417 and 423 were mutated to Asp. This phosphomimicking constitutively active form of S6K2 is resistant to mTORC1 inhibitor rapamycin. As shown in Figure 7A, overexpression of S6K2 attenuated TRAIL-induced PARP cleavage. Moreover, while treatment of MDA-MB-231 cells with TRAIL caused a substantial increase in caspase-3 activity, overexpression of S6K2 blunted this increase. These results suggest that S6K2 protects MDA-MB-231 cells against apoptotic stimuli.

PowerPoint Presentation

Figure 7. Overexpression of S6K2 attenuated TRAIL-induced apoptosis in MDA-MB-231 cells. MDA-MB-231 breast cancer cells expressing either control vector or rapamycin-resistant (RR) S6K2 were treated with or without TRAIL. A, Western blot analysis was performed with indicated antibodies. B, Caspase activity assay was performed with DEVD-AFC as the substrate.

Discussion

There has been significant advancement in the treatment of breast cancer. The presence of hormone receptors in ER-positive breast cancers suggests a favorable prognosis since the patients can be treated with anti-estrogens or aromatase inhibitors [22]. Similarly, HER2-enriched breast cancers could be treated with herceptin (tratuzumab), a monoclonal antibody against HER2 receptors. TNBCs remain a clinical challenge due to lack of appropriate FDA-approved targeted therapies for most patients with TNBC [3, 4]. Chemotherapy continues to be the standard-of-care treatment for systemic therapy in TNBC patients [23]. However, progression-free survival is short and patients often advance to aggressive metastatic disease [3]. In addition, unacceptable toxicity of cytotoxic chemotherapeutic drugs is a serious problem in the management of the disease.

The PI3K/Akt/mTOR pathway is frequently deregulated in breast cancers and there have been numerous attempts to target this pathway albeit with limited efficacy [24, 25]. While mTORC1 and its downstream target S6K1 have been studied extensively, little attention has been paid to S6K2 [26, 27]. Because of the high degree of homology between S6K1 and S6K2, it was generally believed that the function of these two homologs is similar [26, 27]. Emerging studies identified S6K2 as a novel candidate oncogene and overexpression of S6K2 was associated with poor prognosis and resistance to endocrine therapy [10, 11]. We have shown that S6K1 and S6K2 have opposite effect on the survival of ER-positive breast cancers [14]. Knockdown of S6K2 but not S6K1 enhanced cell death in response to apoptotic stimuli in ER-positive breast cancer cells [17].

The results of our present study show that S6K2 also plays an important role in promoting the survival of TNBC. Based on the analysis of the TCGA dataset, the expression of S6K2 but not S6K1 is increased in both ER-positive and TN breast cancers. Consistent with the TCGA data, immunohistochemical staining of patient samples also revealed that S6K2 protein expression was higher in both ER-positive and TN subtypes. Moreover, in the progressive MCF10A breast cancer model, S6K2 levels appear to be higher in aggressive cell lines compared to non-malignant cells. However, S6K2 level was low in MDA-MB-231 cells, which may rely on other oncogenic signaling pathways for survival.

We found that depletion of S6K2 alone had little effect on cell death but S6K2 knockdown enhanced cell death in MCF10ACA1a, MCF10CA1d and HCC1395 cells that lack ER, PR and HER2/neu. We have used chemotherapeutic drugs, such as doxorubicin and cisplatin that act via the mitochondrial pathway as well as TRAIL, which acts via the receptor-initiated pathway. S6K2 knockdown enhanced cell death by apoptosis as evident by the cleavage of PARP, caspase-3 activity and annexin V/PI staining. Furthermore, overexpression of S6K2 in MDA-MB-231 cells attenuated TRAIL-induced apoptosis reinforcing our notion that S6K2 promotes survival in TNBC cells.

The PI3K/Akt and Ras/MAPK pathways are often deregulated in breast cancers [22, 30]. We have previously shown that S6K2 promotes survival of ER-positive breast cancer MCF-7 cells partly via activation of the Akt signaling pathway [14]. It remains to be seen if S6K2 promotes survival of TNBC cells via Akt-dependent or -independent pathway. P-Akt could be detected in malignant MCF10ACA1a and MCF10CA1d cells but not in non-malignant MCF10A cells. During the generation of MCF-10CA1a cells, MCF10A cells were transfected with T24 Ha-Ras [15]. Therefore, ERK signaling pathway is also activated in these cells. Thus, the observation that S6K2 KD induced cell death in MCF10CA1a and MCF10CA1d cells with activated Akt/mTOR and Ras/Raf/MAPK pathway [16] is significant.

Given that chemotherapy continues to be the major treatment option for TNBC patients and S6K2 knockout mice are viable and exhibit normal development and homeostasis [26, 28–30], intervention with S6K2 in combination with other chemo- or biological therapeutic agents is expected to provide a novel non-toxic therapy for TNBCs.

Author Contributions: AB and SS designed and performed experiments, ZX analyzed TCGA dataset, AB wrote the manuscript and SS edited the manuscript.

Abbreviations:

BC, Breast cancer;

BLBC, Basal-like breast cancer;

4E-BP1, Eukaryotic translation initiation factor 4E (eIF4E)-binding protein 1;

ERK, Extracellular signal-regulated kinase;

ER, Estrogen receptor;

HER2, Human epidermal growth factor receptor 2;

IHC, Immunohistochemistry;

mTORC1, Mechanistic target of rapamycin complex 1;

PARP, Poly (ADP-ribose) polymerase;

PI, Propidium iodide;

PI3K, Phosphatidylinositol-3-kinase;

PR Progesterone receptor;

p70 S6 kinase 1 (S6K1);

S6K2, 40S ribosomal protein S6 kinase 2;

TCGA, The cancer genome atlas;

TNBC, Triple-negative breast cancer;

TMA, Tissue microarray;

TNF, Tumor necrosis factor-α;

TRAIL, TNF-related apoptosis-inducing ligand;

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Depression and Anxiety Analysis from Elder Population in A Beijing Rural Area

DOI: 10.31038/ASMHS.2019331

Abstract

The paper aims to investigate the mental health status of elderly people in Beijing rural area, and look for possible factors that affect the depression and anxiety levels. 204 ordinary elderly residents over 60 years old without major diseases are randomly selected from a rural area of Beijing. The factors influencing the level of depression and anxiety of the sample are investigated by the Daily Living Ability Scale, the Marital Attachment Questionnaire and the Social Support Rating Scale. Our results show that the degree of depression is influenced by 12 factors (including age, marriage, education, monthly income, source of income, type of health care, daily living ability, number of chronic diseases, couple attachment, parent-child contact, social support and frequency of Internet use), among which the top three most significant factors are social support, marriage and couple attachment. The degree of anxiety is generally influenced by 10 factors (age, marriage, education, monthly income, source of income, daily living ability, number of chronic diseases, couple attachment, social support and frequency of Internet use), among which the top three most significant factors are the number of chronic diseases, age and daily living ability. Our results indicate that the depression level is affected by the relationship between oneself and other people; while the anxiety degree is mainly affected by the basic daily life and relationship between oneself. Our research results suggest that, the society shall focus on especially the vulnerable elderly groups with poor daily living ability and many chronic diseases, and efforts should be made to optimize primary medical care services for the aged population; family and society emotional support for the elderly should be strengthened to relieve the depression level.

Keywords:

Mental Health; Depression; Anxiety; Elderly People; Influencing Factors; Uni-variable Analysis; Dependent Variable; Independent Variable; SPSS

Preface

Aging is a principle trend of population development in the world today. In China, one of the most populous countries in the world, the problem of population aging began to appear gradually since the 1980s, and showed accelerating velocity nowadays. The aggravation of population aging has an important impact on the function and management of the society. In comparison to the developed countries in the western world, the aged population in China has a large base, which develops even rapidly, while the system for elderly care and medical service is obviously lagging behind. With the development of social environment, the family structure also has a rapid transformation, weakening the original intergenerational support and care ability. This requires the elderly not only to deal with the physiological and psychological pressure brought by their aging but also to face the problems including insufficiency of family and social support, which lead them easily to fall into depression, anxiety and other psychological problems [1–4]. The mental health problem of the elderly not only bring painful experience to themselves and their families, but also increase the economic burden of the whole society and eventually slow down the development, therefore it becomes to be a more and more severe social problems and cannot be ignored. This paper focuses on two basic mental health problems: depression and anxiety, and attempts to find out the main factors that affect them.

The research of mental health of the elderly began much earlier in western countries, which divided the factors affecting the mental health of the elderly mainly into demographic factors, socio-economic factors, lifestyle factors, diseases and medical and health care factors [5–9].

From the domestic research in China, Wu Zhenyun pointed out that the mental health of the elderly is affected by factors which can generally be summarized as objective factors and subjective factors [10]. Objective factors mainly include the demographic characteristics and health status of the elderly number of diseases, number of life events and other social factors (such as family, economic status, etc.) Subjective factors include mainly a variety of measures on feeling of satisfaction and happiness [10, 11]. Besides, Yang Jingjing addressed that intergenerational relationship has an important impact on the mental health of the elderly, and a harmonious and intimate intergenerational relationship helps to improve the degree of happiness and satisfaction for the elder population [5, 12].

The sample of the research object is generally selected in a certain region, and questionnaire survey is carried out for the data collection, then the empirical and quantitative analysis is implemented [10, 13–15]. In this work, the same working paradigm is applied, and the research content mainly includes the following sections. Firstly, we evaluate of the present situation of depression and anxiety levels of the elderly by the survey result and questionnaire analysis; secondly, we analyze the influencing factors of the depression and anxiety of the elderly and find out the sequence of significance of affecting factors and differentiate the affecting factors for depression and anxiety; finally we suggest potential policies and possible strategy to improve the mental health level of the elderly.

Objects and Methods

As the conceptions of mental health are difficult to quantify, international experts have developed certain scales to measure mental health, such as the Symptom CheckList-90(SCL-90) [6], Self-rating Depression Scale [7,8], Activities of Daily Living Scale (ADL) [9].Research on mental health in China started in the 1960s and the scales developed by domestic experts include Social Support Rating Scale (SSRS) [16],Daily Living Ability Scale [3], mental health questionnaire for the elderly [10] and couple relationship questionnaire [5]. These scales and questionnaires are abstracted and simplified by the researchers and easy to carry out, which greatly promote the research process. In this work, both international and domestic scales and questionnaires have been adopted and integrated.

To better understand the mental health status of elderly, 204 ordinary elderly local residents without major diseases (from 60 to 84 years old) are randomly selected from a rural area of Beijing with a well-off level of economic status as research objects. The household questionnaire survey has been carried out from door to door and interviews were made. The content of the questionnaire mainly contains questions related to mental health measurement (GDS and SAS) and factors affecting depression and anxiety levels, including demographic factors, economic basis, physiological health condition, living environment support and new factors. In specific, demographic factors include gender, age, marriage and education. Economic basis is measured by monthly income, source of income and type of medical insurance. Physical health condition is measured by daily living ability and the number of chronic diseases. Living environment support includes couple attachment, parent-child contact and social environment support. The frequency of Internet use is considered as the new factor. The scales used mainly include Daily Living Ability Scale, Couple Attachment Questionnaire and Social Support Rating Scale (SSRS). The results from questionnaire are collected into Excel and processed by SPSS software.

Results

Basic Results

The statistical data of basic conditions of the sample and the scores of depression and anxiety are shown in (Table 1). The proportion of male in the survey is slightly higher than that of female. The results show that the average score of depression in the elderly is 10.42 ± 9.712, and the average score of anxiety is 49.23 ± 16.468. Among them, 60.3% of the population is normal without depression, 22.5% is mild depressed, and 17.2% is moderate-severe depressed. On the other hand, 56.4% of the population is normal without anxiety, 19.6% is with mild anxiety, 8.8% is with moderate anxiety, and 15.2% is with severe anxiety, as can be seen in Table 1.

Table 1. Statistical results of basic conditions and scores of depression and anxiety of the elderly.

Item

Amount

Percentage

Average score of depression

Average score of anxiety

Age

1(60~64)

63

30.9%

6.70 ± 8.462

40.38 ± 11.715

2(65~69)

71

34.8%

9.17 ± 9.307

47.15 ± 12.478

3(70~74)

14

6.9%

9.93 ± 8.810

42.36 ± 12.659

4(75~79)

35

17.2%

14.40 ± 9.802

60.11 ± 14.766

5(80+)

21

10.3%

19.52 ± 7.366

69.24 ± 19.611

Gender

1(male)

106

52.0%

11.12 ± 10.476

47.39 ± 16.493

2(female)

98

48.0%

9.66 ± 8.801

51.22 ± 16.289

Marriage

1(married and the spouse is alive)

141

69.1%

7.00 ± 7.727

45.77 ± 14.005

2(married but the spouse is dead)

48

23.5%

16.06 ± 9.447

57.77 ± 19.750

3(not married)

15

7.4%

24.53 ± 5.527

54.40 ± 16.190

Education

1(have never attended school)

31

15.2%

19.06 ± 9.764

59.97 ± 18.691

2(primary education)

66

32.4%

11.47 ± 8.692

54.62 ± 17.601

3(junior high school education)

43

21.1%

10.35 ± 9.786

46.93 ± 13.165

4(senior high school education)

62

30.4%

5.37 ± 7.205

40.02 ± 9.915

5(bachelor and above)

2

1.0%

0.00 ± 0.000

40.00 ± 1.414

Monthly income

1(1000 yuan and below)

89

43.6%

14.43 ± 9.886

55.79 ± 44.05

2(1000~3000 yuan)

78

38.2%

8.99 ± 9.357

44.05 ± 13.013

3(3000~5000 yuan)

36

17.6%

3.92 ± 4.087

44.47 ± 15.219

5(10000 yuan and above)

1

0.5%

0.00 ± 0.000

41.00 ± 0.000

Source of income

1(oneself)

132

64.7%

8.83 ± 9.307

44.51 ± 13.301

2(spouse)

26

12.7%

7.31 ± 6.632

49.08 ± 14.419

3(children)

40

19.6%

16.13 ± 9.952

62.30 ± 18.287

4(society)

6

2.9%

20.83 ± 7.757

66.67 ± 20.156

Type of medical insurance

1(medical insurance for urban employees)

66

32.4%

4.82 ± 5.162

45.83 ± 14.730

2(medical insurance for urban and rural residents)

138

67.6%

13.10 ± 10.235

50.86 ± 17.049

Daily living ability

1(normal)

142

69.6%

8.14 ± 9.142

43.12 ± 12.246

2(mild living obstacle)

37

18.1%

8.73 ± 6.119

53.00 ± 11.477

3(obvious living obstacle)

25

12.3%

19.42 ± 8.025

68.85 ± 16.114

Number of chronic diseases

0(0 kind)

69

33.8%

8.00 ± 9.191

37.90 ± 10.062

1(1 kind)

73

35.8%

8.19 ± 8.896

48.08 ± 11.791

2(2 kinds)

33

16.2%

11.33 ± 8.612

54.94 ± 13.306

3(3 kinds and above)

29

14.2%

20.79 ± 7.098

72.59 ± 15.394

Couple attachment

1(normal)

93

45.6%

5.86 ± 6.924

43.87 ± 12.168

2(mild)

29

14.2%

8.90 ± 7.494

50.76 ± 16.745

3(moderate-severe)

13

6.4%

13.62 ± 10.548

49.69 ± 16.825

4(no spouse)

69

33.8%

16.61 ± 10.182

55.72 ± 18.992

Parent-

child contact

1(living together)

74

36.3%

11.11 ± 9.518

47.58 ± 16.120

2(contact every few days)

115

56.4%

8.14 ± 8.627

49.62 ± 16.699

3(have no child)

15

7.4%

24.53 ± 5.527

54.40 ± 16.190

Social support

1(lower)

50

24.5%

20.82 ± 8.166

59.26 ± 18.074

2(normal)

109

53.4%

8.30 ± 7.727

47.37 ± 15.261

3(higher)

45

22.1%

4.00 ± 6.175

42.60 ± 12.157

 Frequency of Internet use

0(never)

166

81.4%

12.08 ± 9.856

51.59 ± 16.818

1(occasionally)

9

4.4%

5.89 ± 6.716

40.22 ± 8.452

2(often)

29

14.2%

2.34 ± 2.832

38.52 ± 10.045

Depression

1(normal)

123

60.3%

2(mild)

46

22.5%

3(moderate-severe)

35

17.2%

Anxiety

1(normal)

115

56.4%

2(mild)

40

19.6%

3(moderate)

18

8.8%

4(severe)

31

15.2%

The Influence of Demographic Characteristics on Depression and Anxiety of the Elderly

It can be seen from table 1 that age, marital status and education have significant influence on the degrees of depression and anxiety. With the growth of age, the depression degree of the elderly tends to deepen, while the anxiety degree declines in the middle but generally becomes more severe. Specifically, the depression scores of the elderly in the two stages of 65–69 and 70–74 years old are almost the same. However, age 75 seems to be a dividing line, people older than 75 years old have their scores of depression and anxiety significantly higher than those who are younger than 75. In terms of marital status, people who have a spouse but his/her spouse is already dead have the highest level of anxiety, scoring even higher than those who never have a spouse. To certain extent, our result indicates that the death of a spouse increases the feeling of loneliness and anxiety. The highest score of depression is found in the elderly without a spouse, whose average score is significantly higher than those with a spouse (regardless of whether the spouse is alive or not), indicating that the level of depression is significantly increased in the elderly living without a spouse. From the aspect of education, with the improvement of the education level, the level of depression and anxiety tends to decline. Among them, the elderly who have never attended school account for about 15%, and their anxiety and depression degrees are significantly higher than those who have received primary education and above. Primary education can be seen as a dividing line. The scores of anxiety and depression of the elderly group with primary and junior middle school education are similar without significant difference. The depression score of the elderly with senior high school education is significantly lower than those with primary and middle school education.

The Influence of Economic Basis on Depression and Anxiety Status of the Elderly

Monthly income, source of income and type of medical insurance have significant influence on depression degree of the elderly, while monthly income and source of income have significant influence on anxiety degree of the elderly. With the increase of monthly income, the depression degree of the elderly tends to decrease, while the anxiety degree increases in the middle but generally declines. It is worth pointing out that the degrees of anxiety and depression in the elderly group with a monthly income of less than 1,000 yuan are significantly enhanced. It may indicate that monthly income of 1,000 yuan can provide basic living security, while there is basically no difference in anxiety scores of the elderly group with a monthly income of 1000–3000 and 3000–5000. With different sources of income, the elderly have different degrees of depression: when the economic source is not from oneself, the depression and anxiety levels of the elderly tend to increase. It may suggest that the income dependency on children or the society would induce certain strange and complex psychological feelings, a certain amount of guilt, insecurity and so on, which could enhance the level of anxiety and depression. In terms of type of medical insurance, the depression degree of the elderly covered by medical insurance for urban employees is much lower, the depression score of the elderly covered by medical insurance for urban and rural residents is significantly higher (while the anxiety level is just a little bit higher) than those covered by medical insurance for urban employees.

Influence of Physical Health on Depression and Anxiety Status of the Elderly

Daily living ability and the number of chronic diseases have significant influences on the depression and anxiety degree of the elderly. People with higher daily living ability and less number of chronic diseases, their depression and anxiety degrees of the elderly is lower. Among them, the depression score of the elderly with obvious living obstacles, which seriously affect the psychological and health level, is more than twice compared to those with normal status and mild living obstacles. The anxiety score of the elderly with chronic diseases of 1–2 types are basically similar, while the scores of depression with 3 or more types of chronic diseases are much higher than those with 2 types of chronic diseases. Therefore, the physical health condition of the elderly people has a very important impact on mental health. Anxiety degree increases with the number of chronic diseases.

Influence of Living Environment on Depression and Anxiety Status of the Elderly

The relationship between husband and wife, parent-children contact, as well as social support have significant influence on the depression degree of the elderly; while the relationship between husband and wife and social support have significant influence on the anxiety degree of the elderly. The weaker the couple attachment is, the higher the depression and anxiety levels tend to be. 45.6% of the surveyed elderly have normal couple relationship, with the lowest scores for anxiety and depression degree, and 33.8% of the population with no spouse have the highest scores for depression and anxiety degree, indicating the deepest feelings of loneliness. When children contact their parents every few days, the elderly has the lowest depression level, even lower than those who are living with their children, indicating that the elderly also need certain personal space, and living with their children is not necessarily the most appropriate. It suggests that children should come home every several days to visit their parents, which will reduce parents’ depression level. In addition, the higher the social support level is, the lower the degrees of depression and anxiety of the elderly become.

The Influence of Internet Use on Depression and Anxiety Status of the Elderly

Due to the small number of the elderly who use the Internet in the sample, which only accounts for 18.6%, the relationship between the time and purpose of Internet use and the mental health of the elderly cannot be concluded effectively. Therefore, we will not draw a conclusion on this point.

Uni-variable Analysis for Top Significant Factors

The Uni-variable Analysis

Taking depression and anxiety scores of the elderly as the dependent variables, the factors influencing mental health (age, gender, marriage, education, monthly income, source of income, type of medical insurance, daily life ability, the number of chronic disease, couple attachment, parent-child contact, social support and Internet use frequency) as the independent variables, we carry out the uni-variable analysis. Because the independent variables include ordered categorical and disordered categorical ones, while the dependent variable is the ordered categorical variables, uni-variance analysis requires the dependent variable to be a continuous variable obeying normal distribution. Therefore, we use chi-square test to determine whether there will be significant changes in dependent variable when independent variables take different values, namely, whether there is a significant correlation between independent variables and dependent variable. The higher the chi-square value, the greater the correlation is.

The Top Three Highest Correlation Factors to Depression

Uni-variable analysis is carried out on the depression analysis. The correlation between depression degree and various factors is shown in (Table 2). Age, marriage, education, monthly income, source of income, type of medical insurance, daily living ability, the number of chronic diseases, couple attachment, parent-child connection, social support and Internet use frequency are the significant factors influencing the depression status of elder people. However, the top three factors that have the most significant influence on depression is social support, marriage, and couple attachment. Even though number of chronic diseases and daily living ability list at the fourth and fifth in the order of significance, the degree of depression is mainly connected to how to deal with relationship between oneself and the others. This indicates that dealing well with the relationship between oneself and society or intimate relationship with spouse is a key factor for depression prevention.

Table 2. The factors which are influencing the mental health of the elderly.

Influence factors

Depression

Anxiety

χ2

P

χ2

P

Age

36.651

0.000

96.734

0.000

Gender

2.934

0.231

6.321

0.097

Marriage

58.047

0.000

29.891

0.000

Education

43.829

0.000

55.848

0.000

Monthly income

40.714

0.000

29.961

0.000

Source of income

41.812

0.000

58.070

0.000

Type of medical insurance

42.169

0.000

7.437

0.059

Daily living ability

44.114

0.000

87.451

0.000

The number of chronic disease

46.542

0.000

122.624

0.000

Couple attachment

48.341

0.000

35.927

0.000

Parent-child contact

33.782

0.000

5.058

0.536

Social support

85.435

0.000

37.795

0.000

Internet use frequency

25.932

0.000

25.750

0.000

The Top Three Highest Correlation Factors to Anxiety

Uni-variable analysis is carried out on the anxiety analysis. As can be seen in the Table 2, age, marriage, education, monthly income, source of economy, daily life ability, number of chronic diseases, couple attachment, social support and frequency of Internet use are important factors influencing anxiety status of the elderly. Gender, Parent-child contact and type of medical insurance are not significant in the result of anxiety measurement, and are excluded from the significance group. The top three most significant factors are the number of chronic diseases, age and the daily living ability. It indicates that the top significant factors are much about the ability of daily life, and the relation between oneself, and anxiety level is more related to the concerning of a person himself and his daily life. The source of income and education level which are the fourth and fifth significant factors are also important but not as basic as the top three factors.

Discussion

Special Attentions Need To Be Paid To Vulnerable Population

Based on the analysis of demographic factors, the elderly population with advanced ages, low education level and widowed have relatively poor mental health status, which can be regarded as the vulnerable groups in the elderly population. Due to the physiological decline, the cognitive, autonomous and interpersonal skills of elderly people with advanced ages are declining, and a variety of negative events are increasing, which are prone to psychological maladjustment. Elderly people who live alone are less likely to receive timely medical care, and probably lack family life and feel much lonely. In terms of education level, the elderly with lower education level have relatively low vision and ability to adjust their anxiety state. For the vulnerable groups, they should be given more attention and special care in policy, including more concern and assistance from social and family levels, so as to promote their positive self-health management and enhance their feeling of happiness. It is necessary to further improve the system of social assistance to carry oout functions of family mutual assistance by the mode of social assistance for the aged. We vigorously advocate the traditional virtues of respecting, supporting and helping the elderly from the Chinese tradition, and develop young volunteers to participate in community support and services for them, so as to provide convenience for the elderly living alone and to reduce their loneliness. The government and academic groups should actively provide the elderly with opportunities for continuing education, help them to access the Internet and other new technologies, and encourage the elderly with low education level to fully improve their cognitive functions in a large amount of free time in order to increase their degree of happiness in life.

Economic Condition of the Elderly Needs To Be Improved

The economic basis has a significant impact on depression degree of the elderly. With higher monthly income, more stable economic source, and with the medical insurance for urban employees, the elderly have higher mental health level. With the new type of social insurance for rural residents and urban residents gradually merged, the endowment insurance coverage is quite extensive in China.

However, the growth rate of the pension for employee received by most of the elderly at the grass-roots level is far behind the currency inflation, plus the rural pension is even much lower. Adhering to the principle of ‘ensuring basic care, providing broad coverage, being flexible and sustainable’, the new rural social pension insurance has a low starting point and slow growth rate, making it difficult to meet the living needs of the elderly. In order to improve the elderly’s ability to support themselves and reduce their living and mental burden, it is necessary to raise the level of endowment insurance by taking into account the currency inflation rate, the growth rate of real wages and the allowable scope of financial capacity. When talking about the economic security of the elderly, not only the basic expenditure of food and daily necessities, but also the expenditure of cultural activities that can keep the mental health of the elderly should be gradually taken into consideration. In particular, retirement pensions and basic subsistence allowances for rural residents should be increased to gradually narrow the gap between urban and rural social security levels. Besides, we can also consider encouraging capable elderly to participate in more social activities and get remuneration through their capability to improve economic income and enrich spiritual life.

Primary Medical and Nursing Services Need To Be Improved

Our results show that there is a significant correlation between the number of chronic diseases and mental health, and the daily living ability has a significant impact on the anxiety level of the elder people. The main reason for the poor mental health of the elderly is the unsatisfactory physical health condition. Accordingly, first of all, we need improve the level of medical services for the elderly at the primary level, and increase the total supply of medical services, thus to narrow the gap in the distribution of medical resources among institutions between different levels and different regions, and to provide more adequate, high-quality and equal medical supplies for the elder populations. Secondly, in terms of chronic disease management, we should take advantage of information technology and accelerate the construction of hierarchical diagnosis system; we need make full use of the doctors from community, the countryside hospital as well as family doctors to strengthen daily monitoring of the physical condition for the elderly; we need encourage the elder people to exercise and make a healthy diet; intervention and control of chronic diseases should be put into action, so as to reduce depression, anxiety degrees. Finally, for the elderly who do not have the ability to live a normal daily life, such as those who have lost the ability of self-care, including super-aging and disabled people, we need to explore an appropriate caring mode of family and social combination.

Living Environment Should Be Optimized and Social Supports Should Be Strengthened

Family and social emotional support are indispensable for everyone, and it has significant influence for the mental health of the elder population, too. Harmonious marital relationship and frequent parent-child contact can significantly reduce the degree of depression and anxiety of the elderly. More participation in social activities can also protect the elderly from depression and anxiety.

Since family interactions and social activities are very important to the elderly, we need to take a multi-pronged approach to strengthen the emotional support for the elderly from both family and society. First of all, the public attitude should be changed in recognizing the problems related to mental disorders, more open and active discussion of related topics in public shall be promoted, and mental health knowledge should be popularized, such that the elderly should be encouraged to discover mental health problems as early as possible, and take the initiative to seek medical treatment. Secondly, we should promote activities to enrich the cultural life of the elderly in the community and township levels, in order to eliminate their loneliness and depression, to help them to develop a sense of belonging and enjoy the benefits brought by society progress. Thirdly, efforts should be made to develop social work organizations of community staffs with mental health knowledge to communicate with the elderly regularly, and especially for the elderly in vulnerable groups. In such a way, the elderly with mental problems or potential anxiety and depression tendencies could be provided with better social environment support.

Conclusion

Through uni-variable analysis of depression and anxiety in the elderly, this study found that depression degree was affected by 12 factors among which the top three significant factors are social support, marriage and couple attachment, which are mainly related to the relationship between oneself and others. The anxiety level was affected by 10 factors, among which the top three significant factors are number of chronic diseases, age and daily living ability, which are mainly related to how to deal with one in the basic daily life. Improvement of their mental health requires the participation of individuals, families, society and the government.

References

  1. Chen Lixin, Chen Gong, Zheng Xiaoying (2008) Depression symptoms and influencing factors of widowed elderly in Beijing. Chinese Journal of Gerontology, 28: 696–698.
  2. Chen Minxia (2018) Research on the influence of income on self-rated health status of the elderly. Master Thesis. Capital University of Economics and Business.
  3. Han Xueqing, Feng Feng, Chen Jian, Shang Lan, Li Juan (2005) Definition of dementia value assisted by daily living ability scale. Chinese tissue engineering study 9: 13–15.
  4. Li Juan (2018) Effects of family interaction and social activity participation on depression in the elderly. Master Thesis. Capital University of Economics and Business.
  5. Zhai Xiaoyan, Li Chunhua, Wei Hong, Wang Dahua (2010) Preparation of attachment questionnaire for elderly couples. Psychological Development and Dducation 26: 197–204.
  6. Derogatis LR (1992) SCL-90-R, administration, scoring and procedures manual-II for the Revised version and other instruments of the Psychopathology Rating Scale Series. Clinical Psychometric Research by Townson.
  7. Zung, WWK (1965) A self-rating depression scale. Archives of General Psychiatry 12: 63–70.
  8.  Zung WW (1969) A cross-cultural survey of symptoms in depression. Am J Psychiatry 126: 116–121. [crossref]
  9. Lawton MP, Brody EM (1969) Assessment of older people: self-maintaining and instrumental activities of daily living. Gerontologist 9: 179–186. [crossref]
  10. Wu Zhenyun (2013). Connotation, evaluation and research overview of mental health of the aged. Chinese Journal of Gerontology 33: 799–801.
  11. Wu Wenyuan (2001) Anxiety self-rating scale. See Zhang Zuoji (Ed.). Manual of behavioral medicine scale (pp.124–125). Beijing: China medical electronic audio and video publishing company.
  12. Yang Jingjing, Zheng Yong (2010) Intergenerational relationship: a new perspective on mental health of the elderly. Chinese Journal of Gerontology 30: 2875–2878.
  13. Liu Jiwen, li Fuye, Lian Yulong (2008) Reliability and validity of social support rating scale. Journal of Xinjiang Medical University 31: 1–3.
  14. Liu Mengqi (2018) Research on influencing factors of mental health of the elderly in China and policy Suggestions -based on the follow-up survey of health and old-age care in China in 2015. Master Thesis. Zhejiang University?
  15. Qi Yuling, Gao Hang, Zhang Xiumin (2017). Mental health status of elderly people in urban communities and its influencing factors. Nursing research 31: 26–28.
  16. Xiao Shuiyuan (1994) Theoretical basis and research application of «Social Support Rating Scale». Clinical Psychiatry medical Journal 4: 98–99.

Biomechanical Etiology of the So-called Idiopathic Scoliosis: Classification and Dates in History of Research. Principles of Causal Prophylaxis, Indications to New Therapy

DOI: 10.31038/IJOT.2019233

Abstract

The biomechanical etiology of the so-called idiopathic scoliosis [Adolescent Idiopathic Scoliosis (AIS)] has been the subject of the author’s research since 1984. The problem was presented on many orthopedics congresses, symposia and also in “competent groups” who are specialized in the problem of “idiopathic scoliosis” in SOSORT and IRSSD meetings. I have given lectures on this matter in SOSORT Meetings in Athens and Wiesbaden (Germany), in IRSSD Meetings in Athens, Genth (Belgium), Liverpool, Poznan (Poland) and in SICOT Congresses in Havana (Cuba), Istanbul (Turkey), Kołobrzeg (Poland), and Marrakesh (Morocco) [1–28].

Keywords

Scoliosis, Etiology, Symptoms, New classification, Therapy.

Material

In the years 1984 – 2018, more than 2500 patients with scoliosis have been observed and treated (80%). In 20 % there were older patients coming because of spinal pain. Older people with pain problems were in the second or third group of the new Lublin classification of scoliosis (see next chapter – classification).

Classification

“The model of hip movements” (T. Karski – described in 2006) explains the new classification of scoliosis. When movements of hips are equal, scoliosis never develops. There is no biomechanical pathological influence acting on the spine. The growth of spine is proper.

When movements of hips are asymmetrical – there is an input to develop scoliosis in the three groups and four types.

Scoliosis “S” 1st etiopathological group (epg) [Fig. 1]- double curve. Stiff spine (3D). Rib hump on the right side of the thorax. Connection with gait and standing „at ease’ on the right leg.

    1. Scoliosis “C” 2nd/A epg [Fig. 2] – one curve – lumbar left convex. Spine flexible (1D or 2D). Connection with standing „at ease’ on the right leg only.
    2. Scoliosis “S” 2nd/B epg [Fig. 2] – two curves, (2D or 3D). Connection with standing ‘at ease’ on right leg and additionally with laxity of joints or / and harmful previous exercises.

      In these second 2a and 2b types of scoliosis – the spine is flexible.

  1. Scoliosis “I” 3rd epg [Fig. 3]. Deformity has the form of a stiff spine, (2D or 3D). No curves or small ones. The cause is gait only. Such “spine deformity” was till 2004 never included / classified as “scoliosis”.

The Questions and the Authors Answers to the Problem of Scoliosis [1–28].

The etiology of idiopathic scoliosis was unsolved through many centuries and many questions are discussed in the world till now.

In research of etiology of the so-called idiopathic scoliosis everybody who will answer the question: what is “the etiology?” – must answer the all below presented questions about scoliosis or even more. Answering only some questions is not enough and is not the answer for cardinal question “what is the etiology”.

The Questions are following:

  1. The etiology – of course – the subject of whole discussion?
  2. Why girls have more frequent scoliosis?
  3. Why do we mostly observe the lumbar left convex curve?
  4. Why do we mostly observe the thoracic right convex curve?
  5. When there is one curve scoliosis and when there are two curves scoliosis?
  6. Why the rib hump (gibbous costalis) is on the right side?
  7. When does scoliosis start to develop – at what age?
  8. What kind of classification is proper? What is the patient’s type of scoliosis?
  9. Why there is a rapid progression of scoliosis in the period of accelerated growth during the childhood?
  10. Which type of scoliosis progresses?

    IJOT - 118_Karski T_F1

    Figure 1. Range of adduction of hips in 1st type of scoliosis. Two curves. Gibbous. Stiff spine. Causative influence: walking & standing.

    IJOT - 118_Karski T_F2

    Figure 2. Range of adduction of hips in 2nd/A „C” and in 2nd/B „S” type of scoliosis. Causative influence: standing.

    IJOT - 118_Karski T_F3

    Figure 3. Range of adduction of hips in 3rd „I” type of scoliosis. Causative influence: walking.

  11. Which type of scoliosis does not progress?
  12. Why blind children do not have scoliosis?
  13. Is there any influence of CNS in development of scoliosis? Direct influences? Indirect influences?
  14. What kind of therapy – conservative or operative should be used in treatment?
  15. Are extension and strengthening exercises correct?
  16. What kinds of rehabilitation exercises should be applied?
  17. Is corset (orthopedic devices) treatment proper – yes? no?
  18. Is causative prophylaxis possible?

My Answers and Comments:

For all these questions the only answer is “biomechanical etiology of so-called scoliosis”. This idea of etiology is presented in my lectures and articles in years 1995 – 2019 – also in Web Site www.ortopedia.karski.lublin.pl

I have given lectures during the IRSSD Meetings – in 2002 in Athens, in 2006 in Ghent, in 2008 in Liverpool, in 2012 in Poznań, in two SOSORT Congresses and on many others Congresses – e.g. during SICOT in Cairo, in Havana, in Istanbul, next in Germany, in Hungary, in Czech Republic, in Slovak Republic, in Hong Kong, in China / Beijing, in Finland e.g. .

The only answer to all the questions informs about the etiology of scoliosis! If somebody answers only partially to the question about etiology – the etiology presented by him is not correct.

Here, I present my answer to all the questions on the basis of “biomechanical influences”:

  1. The Etiology is biomechanical. Connected with asymmetry of anatomy of body of children (already in newborns and babies) and next connected with the asymmetry of movements in many joints – but – especially important – asymmetry in range of movement of hips. All these asymmetries are connected with “The Seven Contractures Syndrome” (“Siebener [Kontrakturen] Syndrom” – according to Prof. Hans Mau) [see Literature] or The Syndrome of Contractures and Deformities [SofCD, 2006] – T. Karski).

    Because of these “asymmetries” – it is *asymmetry of loading during gait, *asymmetry of time of standing on left / right leg – more on the right (!), *asymmetry in development and growth of spine, *in result scoliosis in three ethiopathological groups & four types.

  2. Why girls have more frequent scoliosis? Answer SofCD – appears mostly in girls. Girls are more sensible for forces during pregnancy (especially if the fetus has not enough space in uterus) and next such children / girls more frequently suffer from “Syndrome of Contractures and Deformities”.
  3. Why lumbar left convex curve? Answer: The SofCD is mostly “left sided” (90 % – 95 % of pregnancies – Prof. Jan Oleszczuk / Lublin and all gynecologists). Permanent standing on the right leg – is due “contracture” more stable (!) but makes lumbar left convex scoliosis / curve. A child told me – I stand on the right leg – because it is more comfortable, more stable, more easy, it doesn’t tire me, I like to stand on the right leg e.g.
  4. Why thoracic scoliosis / curve is right convex? Answer: The SofCD is mostly “left sided”. 90 % – 95 % of pregnancies are “left sided pregnancies” – Literature: Prof. Jan Oleszczuk / Lublin and all gynecologists on the world. Permanent standing on the right leg (this leg due “contracture” is more stable) makes lumbar left convex scoliosis / curve and secondary right convex thoracic curve in 2nd / B ethiopathological group (epg). Some cases in “S” 2nd / B epg scoliosis are “kifoscoliosis / kiphoscoliosis”. Important remark: in I-epg group both curves – lumbar left convex and thoracic right convex develop at the same time – look at the following points.
  5. Why there can be one curve or two curves in scoliosis? The answer is – one curve scoliosis “C” lumbar left convex deformity is in 2nd / A epg group connected with standing ‘at ease’ on the right leg. The scoliosis in form of “S” is in 1st epg group – spine is stiff and also formed in “S” form in 2nd / B epg group – spine is flexible. These both types of scoliosis are double curve deformities.
  6. Why the rib hump (gibbous costalis) is on the right side? The answer: The SofCD is mostly “left sided”. 90 % – 95% of pregnancies are “left sided pregnancies” – Literature: Prof. Jan Oleszczuk / Lublin and all gynecologists on the world. In “S” 1st epg group permanent standing on the right leg – this leg due to a “contracture” is more stable, it triggers the lumbar left convex scoliosis and secondary right convex scoliosis. Due to walking and permanent rotation distortion in inter-vertebral joints a rib hump develops on the right side. Important remark: such rotation distortion appears because of compensatory movement while the adduction and internal rotation movement in right the hip in 1st epg group of scoliosis is maximally limited. Rotation deformity and stiffness develop primarily. This rotation deformity develops in three stages: a/ flat back, b/ disappearance of processi spinosi, c/ in some cases lordotic deformity in thoracic part of spine. Some cases in “S” 1st epg scoliosis are “lordoscoliosis”.
  7. When scoliosis starts to develop – in which year of the life of the child ? Every type of scoliosis starts to develop when the child starts “standing” and “walking” – at the age of two.

    The “S” scoliosis in 1st epg can be observed very early – at the age of 4 – 6. The “C” 2nd/A epg scoliosis and “S” 2/B epg can be spotted at the age of 10 – 12. First it is only physiological deviation movement of the spine and – later “a fixed deformation” in the form of scoliosis.

  8. What kind of classification is proper? There are three groups and four types of scoliosis. All groups in this “new classification” are connected with “the model of hips movements” (T. Karski, 2006):

    1st epg –“S” scoliosis with stiffness of spine – some types of scoliosis in 1st epg are “lordotic scoliosis” – connection with gait and with permanent standing ‘at ease’ on right leg, 2nd/A “C” scoliosis – connection with permanent standing ‘ at ease’ on right leg, 2nd/B “S” scoliosis – connection with permanent standing ‘at ease’ on right leg – plus laxity of joints and wrong exercises (!). Some types of scoliosis in 2nd / B epg are “kypho-scoliosis”) 3rd epg “I” scoliosis – small curves or none, small gibbous or none – only stiffness of spine. The 3rd epg scoliosis is only connected with gait / walking.

    Here I repeat – every type of scoliosis starts developing when the child starts standing and walking.

  9. Why is there a rapid progression of scoliosis in the period of accelerated growth of the child? Answer: bones grow – even 10 cm – 15 cm per year in some children. Contracted soft tissue in the region of the right hip does not grow and its influence is bigger(!). Especially in children whose legs growth faster than the trunk.
  10. Which type of scoliosis progresses? The progression is in the “S” 1st epg scoliosis
  11. Which type of scoliosis does not progress? The 2nd/A epg, 2nd/B epg and 3rd epg type scoliosis are without progression. In scoliosis 3rd epg – patients notice the problem in the adult age – because of pain. Young people have problems doing sports – but almost nobody believes that the problem is connected with the stiffness of the spine in special type of scoliosis.
  12. Why blind children do not have scoliosis? The gait of blind children protects from scoliosis – they walk without lifting legs, instead every step is very careful. The walking model is totally different than in healthy children.
  13. Is there any influence of CNS in the development of scoliosis? Direct influences? Indirect influences? Yes – there are only indirect influences in children with Minimal Brain Dysfunction (MBD) or with Attention Deficit Hyperactivity Disorder (ADHA) – [according author – MBD and ADHD are equal]:
    1. extension contracture of the trunk in small children – because of spastic (semi spastic) contracture of trunk extensors,
    2. anterior tilt of pelvis – because of spastic (semi spastic) contracture of m. rectus both sides,
    3. “laxity” of joints – because of changed properties of collagen. In some cases laxity is the cause of progression of scoliosis. According to Prof. Harald Thom – 10 % of children with CP or MBD are with laxity (with Prof. Thom personal contacts in Heidelberg 1972 – 1973 during authors DAAD scholarship time and next in Rummelsberg / Nürnberg).
  14. What kind of therapy – conservative or operative should be applied in treatment? Answer: only conservative – in my material from years 1995 – 2009, only 13 % children need surgery and there were children previously treated by wrong, incorrect exercises / methods. In years 2010 – 2019 the number of children needing surgery in my material is maximally low – 3 % or less.
  15. Are extension exercises correct? [Fig. 4a, 4b, 4c] No – such exercises are wrong – they cause “iatrogenic deformity” – bigger curves, bigger rib hump, stiffer spine. Wrong exercises can change the direction of curves. They are the cause of extra – additional curves. They can be the cause of “three curves scoliosis”. Every doctor in every country should stop such wrong exercises.
  16. What kinds of rehabilitation exercises should be applied? [Fig. 5a, 5b, 5c, 6a, 6b] Only – stretching exercises – giving symmetry of movements and next symmetry of growth and development of pelvis and spine. In the first place – we should receive / restore the “full symmetry of all movement of hips”, next symmetry of “function of trunk muscles”. For spine there are very important “bending / flexions exercises” even in very small children (age 3 – 4 years) such passive exercises are possible. When the child has full, symmetrical movements of both hips – it is no more asymmetry of loading of body left / right side during walking and no more “permanent standing ‘at ease’ on right leg” – but “symmetrical time of standing left / right leg”. In such situation scoliosis never develops.

    IJOT - 118_Karski T_F4 - Copy

    Figure 4. 4a, 4b, 4c. Example of incorrect therapy. Karolina 16 y. old. Four years incorrect therapy by improper / wrong exercises (2012 – 2016) in Kxyz and in Zxyz (Poland). As a result – iatrogenic big deformity. Consultation in Lublin on 1st June 2016. „S” scoliosis in 1st epg (etiopathological group). Two curves. Gibbous on the right side of thorax. Stiffness. Length of corpus 53 cm, of legs 92 cm. Start with new therapy. In such cases achieving good results is impossible. All children need causal prophylaxis.

    IJOT - 118_Karski T_F5 - Copy

    Figure 5. 5a, 5b, 5c, 5d. Example of correct therapy. Child Natalia in age 10 years. No 060712. Double curve scoliosis in 2nd/B type of deformity. Additionally rickets. Figure 5c show in Adams test slight rotation deformity. Axis of spine after therapy normal. Treatment in Lublin three years. Important – standing ‘at ease’ on the left leg (Fig 5d). See next figures with X-ray.

    IJOT - 118_Karski T_F6 - Copy

    Figure 6. 6a, 6b. Example of correct therapy. Karolina P. Age 10y. Born 12.07.2006. No 060712. Fig. 6a – before treatment in Lublin. Fig. 6b – after 3y. of new treatment. In therapy: 1/ standing ‘at ease’ on the left leg, 2/ every day flexion exercises forwards, left and right direction, 3/ sleeping in embryo position, 4/ karate.

  17. Corset (orthopedic devices) treatment – yes ? no ? I use the corset in 20 % of children in “S” 1st epg scoliosis and in 5% – 10% of children in “S” 2nd / B epg scoliosis.
  18. Is causative prophylaxis possible? Yes – and should be introduced in all countries. First, doctors should inform parents / patients that all previous methods of treatment – for example extensions, “muscles strengthening exercises” were incorrect and harmful. They only cause bigger curves and make the spine stiffer. Because of this, orthopedic surgeons in the past used to speak about “Natural History of Scoliosis” to explain to parents and treated children bad results of therapy.

Exercises leading to symmetry of movements and symmetry of function of hips and spine are important in prophylaxis and therapy. All exercises removing flexion contractures of both hips, removing abduction contracture or only “too small range of adduction” of the right hip, removing external rotation contracture of right hip and extension contracture of whole spine belong to these methods. We should remember that the rigidity of spine is very often the first step on the way to scoliosis in “S” 1st epg group of scoliosis.

Flexion exercises for spine should be introduced already in small children at the age of 3 – 5. Also is very important to inform parents or patients about position of standing – all children endangered with scoliosis should stand ‘at ease’ only on the left leg. Standing ‘at ease’ on the right leg is permanent and after some years (important – cumulative time of standing) plays a very important role in etiology of scoliosis. Standing on the left leg is not permanent and does not leading to scoliosis.

Conclusion

  1. In all years of observations (T. Karski, 1984 – 2018), the biomechanical etiology of the so-called idiopathic scoliosis was confirmed.
  2. Development of scoliosis and the types of spine deformity are connected with pathological “model of hips movements” (T. Karski, 2006) and function – “standing ‘at ease’ on the right leg” and “walking”.
  3. Restricted range of movements in the right hip is connected with the “Syndrome of Contractures and Deformities” according Prof. Hans Mau.
  4. Every type of scoliosis starts to develop at the age of 2–3.
  5. There are three groups and four types of scoliosis:

    S” scoliosis 1st epg, 3D. Causative influence: standing and gait,

    1. C” scoliosis 2nd / A epg, 1D. Causative influence: standing.
    2. S” scoliosis 2nd / B epg, 1D or 2D. Causative influence: standing, plus, – laxity of joints and/or incorrect exercises in previous therapy.
    3. I” scoliosis 3rd epg, 2D or 3D. Clinically only stiffness of the spine. Causative influence: gait. The clinical symptom of this deformity is – sport problems at a young age and “permanent pain” in adults.

The proper therapy of scoliosis – are only stretching exercises help to obtain full movements of the right hip, the proper position of the pelvis and full movement of the spine.

The causal prophylaxis of scoliosis is possible and should be introduced in every country.

The rules in prophylaxis – are – standing ‘at ease’ on the left leg, sitting relax, sleeping in embryo position, active participation in sport – especially in karate, taekwondo, aikido and other similarly.

Acknowledgement: I would like to express my many thanks to Honorata Menet for correction of the article.

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The Novel ReNu Region of TAF12 Regulates Gcn5 Nucleosomal Acetylation

DOI: 10.31038/JMG.2019214

Abstract

The post-translational acetylation of the histone components of chromatin mediates numerous DNA-templated events, including transcriptional activation, DNA repair, and genomic replication. The conserved SAGA (Spt-Ada-Gcn5 Acetyltranferase) and SLIK (SAGA-Like) Histone Acetyltransferase (HAT) complexes are required for transcriptional activation of a subset of yeast genes and contain multiple subunits including the histone fold-containing TBP- Associated Factors (TAFs): 6, 9, 10, and 12. These TAFs are also components of the TFIID complex and are consequently involved in most RNA polymerase II-transcription in yeast. Here we identify a novel conserved region of TAF12, termed ReNu, outside of its histone fold, which is required for SAGA and SLIK-directed nucleosomal acetylation. We demonstrate that this region is not required for chromatin association, but show that this region plays an important role for histone H3 acetylation at specific SAGA and SLIK-regulated promoters. Our data suggests that the ReNu region of TAF12 regulates Gcn5 acetylation of specific substrates within the SAGA super-family of HAT complexes.

Introduction

The packaging of the eukaryotic genome into chromatin is generally believed to be refractive to DNA-templated processes such as transcriptional activation, DNA repair, and replication. However, chromatin-modifying complexes regulate these processes through histone modifications such as acetylation, methylation, ubiquitination, and phosphorylation [1]. Histone acetylation correlates with transcriptional capacity and is catalyzed by histone acetyltransferase (HAT) activities such as the yeast Spt-Ada-Gcn5-Acetyltransferase (SAGA) coactivator complex [2]. Both yeast and human SAGA complexes contain the HAT subunit Gcn5 (or the related PCAF protein), the Tra1, Ada, Spt, and a subset of TAF proteins [3–8]. The histone fold containing TAFs 6, 9, 10, and 12 are components of the SAGA, SAGA-like (SLIK/SALSA), and TFIID complexes in yeast, a feature conserved through evolution [9]. TFIID and SAGA are broadly required for transcriptional activation [10,11], however specific targeting of the TAF12 subunit of these complexes has recently been found to lead to a selective transcriptional response that interferes with acute myeloid leukemia [12]. Prior work had shown that TAF12 can bind to the activation regions of the Gal4, GCN4, VP16 and HNF4A transcription factors and that these interactions make differential contributions to transcriptional activation [13–18].

The observation that TAF12 is required for SAGA HAT activity on nucleosomal substrates is complicated by the fact that a taf12 temperature sensitive mutation in yeast compromises SAGA structural integrity and size with the observed loss of at least the SAGA Spt3 subunit [4]. Here we examine the direct role of TAF12 in SAGA and SLIK-mediated HAT activity on specific substrates by assaying complexes bearing various mutations in TAF12. Furthermore, we investigate the in vivo contributions of an evolutionarily conserved TAF12 region on nucleosome acetylation at specific SAGA and SLIK regulated promoters.

Materials and Methods

Yeast Strains and Point Mutation Generation

SAGA and SLIK were prepared from yeast strain YSB493 (MATa, ura3-52, leu2::PET56, trp1-1, his3-200, ade2, taf12-259::LEU2 {pRS314-TAF12}, YSB556(MATa, ura3-52, leu2::PET56, trp1-1, his3-200, ade2, taf12- 259::LEU2 {pZM279-taf12 322-539}), YSB557 (MATa, ura3-52, leu2::PET56, trp1-1, his3- 200, ade2, taf12-259::LEU2 {pZM280-taf12 374-539}) [19]  and YJR21-9 (taf12-9) [20].

TAF12 ReNu region point mutations were generated using the Quick Change Protocol (Stratagene) where pRS314-TAF12 served as a TAF12 template. Point mutation incorporated TAF12 plasmids were shuffled into yeast strain YSB452 (MATa, ura3-52, leu2::PET56, trp1-1, his3-200, ade2, taf12-259::LEU2 {pJA73-TAF12-URA3}) to generate strains YMT1 (MATa, ura3-52, leu2::PET56, trp1-1, his3-200, ade2, taf12-259::LEU2 {pRS314-taf12 N336A}), YMT2 (MATa, ura3-52, leu2::PET56, trp1-1, his3-200, ade2, taf12-259::LEU2 {pRS314-taf12 L344A}) and YMT3 (MATa, ura3-52, leu2::PET56, trp1-1, his3-200, ade2, taf12-259::LEU2 {pRS314-taf12 S342A}).

Purification of Mutant SAGA and SLIK Complexes

SAGA and SLIK complexes were partially purified by a scheme adapted from our earlier work [4]. In brief, 4 liters of yeast were grown to mid-log phase at 30ºC. Yeast whole cell extracts were prepared by glass bead disruption [4]. Extracts were bound batch wise with 15ml of Ni2+-nitrilotriacetic acid (NTA) agarose (Qiagen). The resin was washed in a column with 20mM imidazole followed by elution with 300mM imidazole. The Ni2+-NTA agarose eluate was directly loaded onto a MonoQ HR 5/5 column (GE Healthcare). Bound proteins were eluted with a 25ml linear gradient from 100 to 500 mM NaCl. Peak SAGA fractions were pooled and concentrated down to 0.7ml with a Centriprep-30 concentrator (Millipore). Samples were then loaded on a Superose 6 H/R 10/30 column (GE Healthcare) equilibrated with 350mM NaCl. Peak fractions were used in subsequent assays.

Western Blotting and HAT Assays

Proteins from column fractionations were separated by 12% SDS-PAGE, transferred to nitrocellulose, and processed for immunoblotting using the antisera described. HAT assays were performed in the presence of 2 mg HeLa nucleosomes or core histones, 0.25 µCi of [3H]acetyl coenzyme A, and equivalent amounts of purified SAGA complexes, as described [4].

Chromatin Immunoprecipitation Assays

ChIP assays were performed largely as described [21].  Yeast strains YSB493 and YSB557 were grown in Synthetic Complete (SC) medium containing 2% dextrose to an OD 600 of 1.0. The yeast were reseeded in SC dextrose-medium, SC medium containing 2% galactose, or SC medium containing 2% KAc and then grown for an additional 4 hr. Antiserum specific for histone H3 acetylated at lysine 9 (Millipore) was used for ChIP. Input and precipitated DNA was PCR amplified for regions upstream of the CIT2, GAL10, RPL9A, and RPS5, as described in Pray-Grant MG et al [7]. Real-time PCR experiments were performed with three biological replicates and conducted with a SYBR Green/Taq polymerase reaction mix (Bio-Rad) in a MyIQ real-time PCR detection system (Bio-Rad). Data were collected and analyzed with thermal cycler software (Bio-Rad).

Results and Discussion

The Novel TAF12 ReNu Region Regulates SAGA and SLIK Nucleosomal Acetylation

Primary sequence analysis of yeast TAF12 reveals that the protein consists of three regions: an amino-terminal glutamine rich domain, followed by a novel-conserved region upstream of the TAF12 carboxy-terminal histone fold domain (Figure 1a). We examined the structural and functional roles of these domains by assaying SAGA complexes containing full length TAF12 (WT), a TAF12 mutant protein deleted of amino acids 1-322 spanning the non-conserved glutamine rich domain (QΔ,), and a TAF12 mutant deleted of both the glutamine rich domain and an additional 52 amino acids (QΔ + ReNuΔ), hereafter named ReNuΔ. Western analysis using antisera against multiple SAGA subunits reveal that the structural integrity of the partially purified SAGA complex was intact in both of the TAF12 truncation protein strains, and interestingly, Spt3 was identified as a component of SAGA in all complexes (Figure1b). This could be because the two histone folds of Spt3 may be free to interact with the remaining histone fold of TAF12 in either complex [22]. Ada2, Ada3, and Gcn5 also associate with the TAF12- truncated SAGA complexes (Figure 1b) and are important for SAGA HAT function [23–25]. We assayed WT, QΔ, and ReNuΔ SAGA for HAT activity on specific histone substrates. We found that deletion of the glutamine rich domain of TAF12 did not interfere with SAGA HAT activity on free histones or nucleosomes (Figure 1b). However, deletion of both the TAF12 glutamine rich domain and the additional 52 C-terminal amino acids abolished nucleosomal acetylation, while there was no effect on SAGA HAT activity on free histone substrates (Figure1b). This result suggests that within the SAGA complex, this novel TAF12 region regulates Gcn5 substrate specificity, and we have consequently named it the ReNu (Required for Nucleosomal acetylation) region. Consistent with this, invariant amino acids within the ReNu region contribute to SAGA nucleosomal acetylation (Figure 4b).

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Figure 1. The TAF12 ReNu domain is required for SAGA-dependent nucleosome acetylation.

(A) Primary sequences of the Saccharomyces cerevisiae, Mus musculus, Homo sapien, Drosophila melanogaster, and Xenopus laevis TAF12 homologs were aligned in ClustalW and graphically represented with the BoxShade program. Conserved residues are shown in bold and similar residues are shaded. The regions encompassing the minimal ReNu region and four histone-fold α-helices, but excluding the yeast non-conserved glutamine rich region, are represented by bars underneath the alignment in light and dark grey respectively. The changed sequence of invariant amino acids in the TAF12 yeast mutants is shown above the corresponding wild-type residues. (B) HAT assays and Western blot analysis of partially purified SAGA complexes. SAGA was prepared from the yeast strains YSB493, expressing full length TAF12 (WT), YSB556, yeast deleted of the TAF12 glutamine rich N-terminus (QΔ), and YSB557, yeast deleted of the TAF12 glutamine rich and ReNu regions (ReNuΔ). HAT assays were performed with free histone or nucleosome substrates and Western analysis was performed with the indicated antisera. (C). HAT assays and Western blot analysis of partially purified SLIK complexes. SLIK was prepared from the yeast strains YSB493 and YSB557. HAT assays were performed with free histone or nucleosome substrates and Western analysis was performed with the indicated antisera.

The related SLIK complex also contains both Gcn5 and TAF12 [7,26]. Therefore, we examined the contribution of the ReNu region in SLIK-mediated nucleosomal acetylation. We found that the structural integrity of partially purified SLIK was intact in both WT and ReNuΔ complexes and that Spt3 associates with ReNuΔ SLIK (Figure 1c). Similar to ReNuΔ SAGA, ReNuΔ SLIK was found to acetylate free histones at a level comparable to WT levels, but was unable to acetylate nucleosomes (Figure 1c).

These data establish a nucleosome acetylation regulatory role for the TAF12 ReNu region within the SAGA and SLIK HAT complexes and help explain the acquired ability of Gcn5 to acetylate nucleosomal histones when present in native complexes [7,8,27]. This may be achieved by directly interacting with the core catalytic components of the complex, Gcn5, Ada2 or Ada3 [23,24] or through histone tail presentation in the context of the nucleosome. Notably, Ada3 is a key component in regulating Gcn5’s nucleosomal acetyltransferase activity, but is still insufficient to drive native SAGA dependent nucleosomal acetylation in the absence of functional TAF12.

Yeast Strains Lacking the TAF12 ReNu Region Exhibit a Modest gcn5 Phenotype

We examined the role of the ReNu region in genetic assays, hypothesizing that yeast lacking the TAF12 ReNu region may display a gcn5 phenotype, due to the loss of SAGA nucleosomal acetylation. We assayed wild-type and ReNu deleted yeast strains for growth defects on media containing low nitrogen, potassium acetate as a carbon source, and caffeine [7,8]. Serial dilutions of a ReNu wild-type strain, a ReNu-deleted yeast strain and a gcn5 strain were compared. We found that in these media, yeast bearing a deletion of the ReNu region exhibit a modest growth defect, not as severe as that of a gcn5 strain (Figure 2). All strains showed equivalent growth on the rich media YPD (Figure 2). Presumably, the observed intermediate gcn5 phenotype may be because TAF12 is not present in all yeast Gcn5 containing complexes [28]. Therefore, the observed modest phenotype might be a result of compensation of SAGA/SLIK acetyltransferase activity by other Gcn5 containing complexes, such as ADA and HAT-A2.

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Figure 2.The TAF12 ReNu domain mediates Gcn5 function in vivo.

Wild-type, gcn5Δ and TAF12 ReNuΔ yeast strains were assayed for their ability to grow on Yeast extract-Peptone-Dextrose (YPD) media, synthetic complete media with 2% Potassium Acetate as a carbon source (Acetate), synthetic complete media supplemented with 12mM caffeine, and synthetic complete media lacking ammonium sulphate (low nitrogen). Shown are agar plates with ten-fold serial dilutions of each yeast strain, from left to right.

The TAF12 ReNu Region is not Required for SAGA Substrate Associations

The observed loss of nucleosomal acetylation in ReNuΔ SAGA and SLIK could be due to a loss of chromatin association. We examined this possibility by binding ReNu WT or ReNuΔ SAGA complexes to SONs (short, 3–6, oligonucleosomes) and then fractionating these reactions by size exclusion chromatography. Fractions were processed for western analysis and immunoblotted with histone H4 antisera in order to detect the presence of SONs in any given fraction. We hypothesized that unbound SONs should fractionate at later fractions than those SONs bound to SAGA because the SAGA-SON interactions would shift SONs on a size exclusion column to an earlier fraction, corresponding to a higher molecular mass. As predicted, unbound SONs fractionated with an apparent mass of 0.6–1.0 MDa (fraction 22–24). Both ReNu WT and ReNuΔ SAGA shifted SONs towards the 2MDa column exclusion volume, fraction 18/19, which correlates to a mass at or above that predicted for SAGA, 1.8 MDa (Figure 3A). This data suggests that the ReNuΔ SAGA complexes retain the ability to associate with nucleosomes and furthermore, this association is salt stable in 350mM NaCl buffer.

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Figure 3. ReNu deleted SAGA interacts with nucleosomes and core histones.

(A) Partially purified wild-type (WT) and ReNuΔ SAGA complexes were incubated with short oligonucleosomes (SON) and then fractionated over a Superose 6 size exclusion column. Fractions were processed for western blotting and the presence of SON were detected with histone H4 antiserum, and the elution of SAGA was monitored with TAF6 antiserum. Elution of the dextran blue (2MDa) and thyroglobulin (669kDa) molecular mass markers from the same column is indicated. (B) WT SAGA and ReNuΔ SAGA were bound to immobilized core histones. Inputs, supernatants (sup), and bound fractions (bead) from the reactions were analyzed by western blotting with the indicated antisera to SAGA components

We further assayed whether or not immobilized core histones could pulldown SAGA in standard binding assays. We bound WT SAGA and ReNuΔ SAGA to core histone agarose resin and analyzed the bound fractions with antisera against SAGA subunits. Similar to our SAGA- nucleosome interaction data, we observed that ReNuΔ SAGA can interact efficiently with core histones (Figure 3b) or double stranded DNA (data not shown). Taken together, our data demonstrate that ReNuΔ SAGA retains nucleosomal and core histone substrate interactions and that the loss of nucleosomal acetylation by ReNuΔ SAGA is likely not due to a loss in substrate association.

Invariant Amino Acids within the ReNu Region Contribute to SAGA Nucleosomal Acetylation

SAGA complexes were purified from yeast bearing point mutations in invariant amino acids: N336A, S342A, and L344A (Figures 4a and 4b), as described [7,27]. Western analysis indicates that similar to ReNuΔ SAGA, point mutant SAGA complexes retained their structural integrity and predicted native size of a 1.8 Mda (Figure 4a). Also similar to ReNuΔ SAGA, the three point mutants had little effect on SAGA’s free histone acetylation (Figure 4b). However, each significantly reduced nucleosomal acetylation by SAGA (Figure 4b) albeit not as completely as ReNuΔ. Additionally, ReNu point mutant yeast were serially diluted on low nitrogen and found to give an intermediate phenotype between our ReNu WT and ReNuΔ yeast (Figure 4c). Together, these findings indicate that each of the three invariant residues within the ReNu region play an important role in SAGA-mediated nucleosomal acetylation.

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Figure 4. ReNu region point mutations compromise SAGA catalytic function, but not structural integrity.

(A) Western blot analysis of partially purified WT ReNu, ReNuΔ, or ReNu point mutant SAGA complexes. SAGA was prepared from the yeast strains YSB493, YSB557, YMT1 (taf12 N336A), YMT2 (taf12 L344A), and YMT3 (taf12 S342A). Yeast extracts were sequentially purified by nickel-NTA, anion exchange, and size exclusion chromatography. SAGA fractionated in superose 6 fractions 17–19 as determined by Ada2 immunoblotting, in an approximately 1.8 MDa complex. (B) SAGA complexes were similalrly partially purified from the yeast strains and peak fractions were incubated in HAT assays with nucleosome and free histone substrates. Western blotting from the same fractions was performed with the indicated antisera. (C) ReNu region point mutant yeast N336A, S342A, and L3444A were serially diluted on low nitrogen and found to give an intermediate phenotype relative to ReNu WT and ReNuΔ yeast.

The TAF12 ReNu Region is Essential for Promoter Acetylation

To further investigate the in vivo role of the TAF12 ReNu region in nucleosomal acetylation and to validate our in vitro observations, we examined specific promoter acetylation in wild type ReNu and ReNu region deleted yeast strains. Therefore, we conducted Chromatin Immunoprecipitation (ChIP) assays to assess the acetylation status of SAGA and SLIK-regulated promoters GAL1 and CIT2 [7,29–32]. Under inducing conditions, the GAL1-10 UAS is occupied by the SAGA and SLIK complexes [7,32–35], SAGA/SLIK is required for GAL1 and GAL10 mRNA production [36,37], and CIT2 expression is regulated by SLIK [38]. ChIP assays were performed using antisera against H3K9Ac (acetylated lysine 9 of histone H3) because this modification is implicated as being dependent on Gcn5 [39,40]. Upon activation, WT ReNu yeast show increased H3 K9Ac signal at both the GAL1-10 and CIT2 UAS. However, we found a striking absence of H3K9Ac signal at GAL1-10 and CIT2 UAS in ReNuΔ yeast (Figure 5a). These findings are in agreement with our in vitro data showing a loss of nucleosomal acetylation in ReNuΔ SAGA and SLIK. Interestingly, H3K9Ac ChIPs for the RPS5 and RPL9A promoters, both described as TFIID-regulated genes [36], showed no loss of acetylation in the ReNuΔ yeast (Figure 5a). These results suggest that the TAF12 ReNu region is required for H3K9Ac at the SAGA and SLIK- regulated genes GAL1-10 and CIT2, but not at the TFIID-regulated genes RPS5 and RPL9A. To quantify the changes in acetylation observed in TAF12 mutant strains we performed real-time PCR for the GAL-10 UAS under inducing conditions. We performed ChIP in gcn5Δ, or TAF12 mutant strains for H3K9Ac relative to wild-type strains. These experiments revealed a reduction in acetylation to approximately 55% in gcn5Δ (p=0.003) and 63% in ReNuΔ strains (p=0.01), while deletion of the Q-rich region caused no reduction in acetylation (Figure 5b).

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Figure 5. The ReNu region is required for H3K9Ac at SAGA and SLIK regulated UAS.

(A) ChIP assays were performed from wild type (WT) or ReNu-deleted (Δ) yeast under noninducing dextrose (Dex) or raffinose (Raff) and inducing potassium acetate (KAc) and galactose (Gal) conditions, respectively, with antisera against H3K9Ac. Precipitated DNA was amplified by PCR using primers for the gene loci indicated. A control IP was performed without antibody (no Ab). (B) Down regulation of H3K9 acetylation at the GAL-10 UAS in gcn5Δ and ReNuΔ strains under inducing (Gal) conditions was quantified using Real-time PCR. Error bars represent standard errors and p-values were derived from two-tailed Student t tests. (C). ChIP assays were performed under noninducing (RAF) or inducing (GAL) conditions with antisera against Tra1, Ada2, and TBP. Precipitated DNA was amplified by PCR using primers for the GAL-10 UAS.

The loss of H3K9Ac at the GAL1-10 and CIT2 UAS in ReNuΔ yeast could be caused by an inability of SAGA and SLIK to interact with the promoter-chromatin environment. SAGA and SLIK components are recruited to the GAL1-10 UAS during activation [7,32–35].  We tested this possibility by using antisera against SAGA and SLIK components Ada2 and Tra1 in ChIP assays at the GAL1-10 UAS. As expected, we found Ada2 and Tra1 were recruited to the GAL-10 UAS in ReNu WT yeast under inducing conidtions. When we examined ReNuΔ yeast, we not only found that we could ChIP ReNuΔ SAGA/SLIK to the GAL1-10 UAS, but that there was a modest enrichment of Ada2 and Tra1 to the GAL1-10 locus (Figure 5c). These data, taken together with our findings that ReNuΔ SAGA interacts with nucleosomes, (Figure 3a) suggest that the observed loss of H3K9Ac at GAL1 is not caused by an inability of SAGA or SLIK to interact with the GAL1 UAS in vivo. Furthermore, our studies agree with findings [34] which demonstrate that SAGA is recruited to the GAL1 UAS in the absence of the Gcn5, which is equivalent to the loss of SAGA-mediated nucleosomal acetylation found in ReNuΔ complexes.

SAGA possesses multiple activities besides its nucleosomal acetylation function such as TATA binding protein (TBP) recruitment via Spt3 and Spt8 [32,41–43], acidic activator association [32,33,44–47], deubiquitination of histone H2B [35,48], and methyl H3K4 binding [26,49]. We examined a SAGA function that is independent of its nucleosome HAT activity in order to determine whether or not ReNuΔ SAGA and SLIK were compromised in other complex functions. We examined SAGA and SLIK’s ability to recruit TBP to the GAL1 UAS [30,36,50,51] by ChIP using an antiserum against TBP in WT and ReNuΔ yeast. Our data reveal that both WT and ReNuΔ SAGA/SLIK recruit TBP to the GAL1 locus, and interestingly, TBP is modestly enriched at this locus in the ReNuΔ strain (Figure 5b). This could be explained through the enhanced GAL1 UAS residency of the SAGA and SLIK complexes also found in the ReNuΔ yeast. Furthermore, a similar result shows that a taf12 ts strain shows a slight enrichment of TBP at GAL1 and that TBP can still be recruited to the GAL1 UAS in gcn5Δ yeast, which lack Gcn5-mediated nucleosomal acetylation [36].

ReNuΔ yeast are capable of growing in galactose because the GAL1 gene is still transcribed in the absence of Gcn5 [42,50]. In addition, the loss of nucleosomal acetylation at the GAL1 and CIT2 UAS is likely not caused by compromised HAT complex recruitment via acidic activators because studies have shown that the acidic activator GAL4 can bind the GAL1 UAS in the absence of the SAGA subunits Spt3, Spt20, or Gcn5 [42]. This suggests that the acetylation function or structural integrity of SAGA is not required for GAL4 association with the GAL1 promoter. Also, Rtg3, the acidic activator required for CIT2 expression has been shown to interact with the CIT2 UAS independently of SAGA or SLIK [52] and Rtg3 protein levels are comparable between WT, gcn5Δ, or ada2Δ yeast strains [53].

The SAGA/SLIK component Spt3 recruits TBP [32,42,43] and TAF12 is required for Spt3 association with the SAGA complex [4]. Here we show that Spt3 is retained in ReNuΔ SAGA, but there is a loss of nucleosomal acetylation, indicating that the effects we observe are relevant to TAF12 rather than Spt3 function. The increased occupancy of mutant SAGA at target promoters seen in our ChIP assays may indicate that substrate acetylation is required for dissociation of the SAGA complex. Furthermore, TBP is also recruited at GAL1-10 at higher levels in ReNuΔ yeast. One possible explanation for this is that Mot1 may not be able to remove TBP from the GAL1-10 UAS in ReNuΔ yeast. It has been reported that Mot1 occupancy at the GAL1 promoter is greatly reduced in a gcn5 yeast strain [54].

Conclusion

Our results describe a novel regulatory function for a TAF protein, which is mediated by a conserved disordered region outside of the histone fold domain. The in vitro nucleosomal acetylation defects observed with ReNu-lacking SAGA complexes agree with the in vivo loss of acetylation at SAGA and SLIK-regulated promoters. Complexes bearing wild-type or truncated TAF12 are capable of interacting with DNA, histones and nucleosomes in in vitro binding studies, indicating that the ReNu region is not necessary for substrate interaction.

Together these data suggest that TAF12 mediates a regulatory mechanism for modulating Gcn5 HAT activity in SAGA and SLIK. This may be achieved by directly interacting with the core catalytic components of the complex, Gcn5, Ada2 or Ada3 [23,24] or through histone tail presentation in the context of the nucleosome. These findings may also implicate a putative mechanism by which HAT complexes are activated, which would likely be conserved in all other members of the SAGA HAT superfamily: SLIK, PCAF, STAGA, and TFTC. It is noteworthy that some of the conserved amino acids in the ReNu region have been described as sites for post-translational modification, including serines 342, 348 and 352 in S.cerevisiae and threonine 283 in S.pombe [55–58], which may serve to regulate ReNu function and correspondingly Gcn5 activity.

Data Availability

Data not included within this manuscript are available from the corresponding author upon request.

Footnotes

Abbreviations used are: SAGA, Spt-Ada-Gcn5-acetyltransferase; TAF, RNA polymerase II Specific TATA-binding protein associated factors; ReNu, TAF12 region required for nucleosomal acetylation; SLIK, SAGA-like histone acetyltransferase; HAT, histone acetyltranse complex; GCN5, general control non-derepressible; PCAF, p300/CBP-associated factor; ADA, alteration/deficiency in activation; SPT, suppressors of Ty transcription; TBP, TATA-binding protein; TFTC, TBP-free TAF containing; STAGA, Spt3-TAF31-Gcn5L acetyltransferase; SC, synthetic complete media; YPD, yeast extract-peptone-dextrose media, ChIP, chromatin immunoprecipitation assay; PCR, polymerase chain reaction; NTA, Ni2+-nitrilotriacetic acid

Acknowledgement

We thank Drs Joe Reese, Stephen Buratowski, Shelley Berger, and Jerry Workman for yeast strains and antisera, and Drs C. David Allis, David Auble, and the members of the Grant lab for technical advice and stimulating discussion. P.A.G. is supported by NIH grant R01 GM111911. This work was previously supported by NIH grant R01 DK58646 to P.A.G.

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Morphological Observations on the Shell of Fresh Water Turtles and Tortoises Found in Sri Lanka

DOI: 10.31038/IJVB.2019313

Abstract

Sri Lankan freshwater turtles; Melanochelys trijuga parkeri, Melanochelys trijuga thermalis, Lisseymys puntata punctata and land tortoise; Geochelone elegans face a significant threat of population reduction due to various environmental and man-caused factors. Management and conservation of these threatened species have been hindered by the scarcity of necessary scientific information. Thus, our scientific observations on these species are documented to provide morphological information for future use in research, management and conservation aspects.  A total of 56 healthy adult tortoises, Melanochelys trijuga parkeri (n = 05), Melanochelys trijuga thermalis (n = 25), Lissemys punctata punctata (n = 12) and Geochelone elegans (n = 14) were selected for the study. They were raised in tortoise holding facility which was set-up with an environment that resembled to their natural habitat.  Shell morphometrics were observed and measured using a flexible tape ruler. Weight was recorded for using a top loading balance. Morphological observations of Melanochelys trijuga thermalis and Melanochelys trijuga parkeri were common scutation in its carapace and plastron. Carapacial scutation was with single nuchal, five vertibrals, four pairs of costals and twelve pairs of marginals. Geochelone elegans had the same pattern but in carapace no nuchal was observed, but there was a supracaudal. Plastron of Melanochelys trijuga thermalis, Melanochelys trijuga parkeri and Geochelone elegans had the same pattern in gular, humeral, pectoral, abdominal, femoral and anal were paired. Lissemys punctata punctata had soft fleshy carapace and plastron.  In conclusion, it was evident low availability of Melanochelys trijuga parkeri when compare to the other testudines and increased body weight was associated with increased carapace length, carapace width, carapace height, plastron length, and plastron width of these testudines.

Keywords

fresh water Turtles, tortoise, Shell, morphology, body weight

Introduction

Sri Lanka is an island country, in the Indian Ocean southwest of the Bay of Bengal south Asia with many agro-ecological subregions in wet, intermediate and dry climatic zones. The rich biodiversity in aquatic and terrestrial habitats is based on the heterogeneity of climatic, topographic and soil conditions in Sri Lanka [1]. Natural ecosystems and habitats composed of Forests and grasslands, freshwater and marine wetlands, rivers, streams, mangroves, and coral reefs in Sri Lanka. Further, Conservation International (CI) has identified Sri Lanka together with the Western Ghats of India as one of the 34 global biodiversities “hotspots” with a high concentration of endemic species [2]. Amphibians and reptiles play a vital role in maintaining and regulating ecosystem functions; nutrient cycling, bioturbation, pollination, seed disposal, energy flow as predator or prey [3]. Interestingly, marine turtles, land tortoises and freshwater terrapins representing the all three major clades of chelonians (Class: Reptilia, Order: Testudines) can be found in Sri Lanka [4]. Natural ecosystems and habitats provide habitats for Testudines’ family includes five (05) marine turtle species and four (04) freshwater turtle species including; Black Turtle (Melanochelys trijuga thermalis), Parker’s Black Turtle (Melanochelys trijuga parkeri), Flap-Shell Turtle (Lissemys puntata punctata) and Red-eared slider (Trachemys scripta), a well-known introduced alien invasive species (Das & De Silva, 2005). These terrapins can be found in a variety of aquatic and semiaquatic habitats including wetlands, running water, stagnant water throughout the country and they feed on a wide range of food including aquatic and semi-aquatic plants, fruits, many invertebrates and animal feces [5]. These terrapin populations are suffering from severe threats due to the exploitation of natural habitat, human consumption, pet trade, depletion of prey species and ingestion of synthetic materials [6]. According to the 1999 list of threatened species of Sri Lanka published by IUCN, Melanochelys trijuga thermalis, Lissemys punctata punctata and Geochelone elegans species  are considered to be nationally threatened and  Melanochelys trijuga parkeri categorized as an endemic species which is listed under IUCN 2002 global red list.

A global action plan for the conservation of freshwater turtles and tortoises was implemented with different initiations ex: captive breeding and management programs, promote research activities, trade monitoring, sustainable harvest programs throughout the world [7]. Unfortunately, Conservation of Sri Lankan freshwater turtles faced many challenges due to lack of existing herpetological literature. In spite of that, there are many chelonian research and conservation efforts are carried out with towards marine turtles in Sri Lanka [8].

Given this situation, the management and conservation of freshwater turtles and tortoises in Sri Lanka must be backed by active research programs since very few studies have directed their attention related to these subjects [4]. Moreover, it is essential to generate to basic information related to population dynamics, especially concerning structure (age, sex, size, and weight of individuals), population density, and use of habitat and related to their biological aspects, etc.

The main objective of this article is to contribute scientific information related to shell characteristics of Sri Lankan freshwater turtles and tortoise in captive conditions.

Methodology

Ethical statement

The research work was conducted according the guidance stipulated by Animal Ethics Committee of Wayamba University of Sri Lanka (Application No: 201509AI04, approval was granted on 22 September 2015).  Though all these animal species were kept under captivity, they were provided with a suitable natural environment to minimize the stress that may cause due to the captive nature.

Study population

A total of 56 male and female tortoises from four different types, Geochelone elegans (n = 14), Melanochelys trijuga parkeri (n = 05), Melanochelys trijuga thermalis (n = 25) and Lissemys punctata punctate (n = 12) were recruited as subjects. They were kept at the Tortoise holding facility, Department of Livestock and Avian Sciences, Wayamba University of Sri Lanka.

Morphological observations

Records were made on pigmentation differences on the carapace and plastron, differences in between male and females and morphological variations within the populations. Weight of an individual was measured using a top loading balance.

Morphometrics of Shell

Total Carapace Length (TCL), Total Carapace Width (TCW), Total Plastron Length (TPL), Total Plastron Width (TPW) and Height were obtained using vernier caliper (resolution 1.00mm and 0.1mm, respectively) and a flexible tape ruler (resolution 1.00mm) for straight and curved measurements, respectively.

Results and Discussion

According to the morphological observations of Melanochelys trijuga parkeri and Melanochelys trijuga thermalis have common scutation on their carapace and plastron.

The shell of Melanochelys trijuga parkeri and Melanochelys trijuga thermalis consist of an upper carapace and lower plastron connected laterally by bony bridges. The carapace scutes are in black or dark coppery red with or without a yellow margin to the plastron. The plastron is dark brown or black and usually possesses a diffuse, dirty yellow lateral margin.

Melanochelys trijuga thermalis has yellow to orange color spots on the dorsal surface of head skin, Melanochelys trijuga parkeri doesn’t have such color pattern and which is uniformly olive brown color. The neck is moderate and possesses three or four lateral longitudinal folds.

Limbs are strongly scaled with movable digits which are webbed and with grey or white skin near to carapace.

This terrapins are subject to considerable individual variation in colour on their carapace and plastron. It is very important to study pigmentation changes on the carapace and plastron throughout the growth period because we have observed more colour variations in young ones when compared to the adults.

The male possesses a concave plastron with more reflex angled (B>A) in comparison to the female. The female’s tail is much shorter in length than males (C<D). Male has V shaped anal scutes whereas in females it is U shaped. Plastron is concave in males and female plastron is flat.

It is interesting to note that of all Melanochelys trijuga parkeri were males. We were unable to find females from Melanochelys trijuga parkeri during our study period.

Morphologically, Melanochelys trijuga thermalis are differentiated from Melanochelys trijuga parkeri by using yellow to orange color spots on their head and neck area.

Geochelone elegans is easily recognized by the black and yellow stellate pattern upon its carapace and using pointed uneven scales. It is more strongly domed with pointed uneven vertibrals. Plastron is somewhat shorter than the carapace.

The head is moderate in size and covered with a few enlarged, and numerous small scales. Fore and hind limbs consist of claws and they are having pointed flat scales directed towards claws.

In adult male the tail is more elongated than that of the female, the supracaudal scute ends well below the level of the other marginal and is wider than the last vertebral and curves strongly inwards. The plastron is concave. In the adult female the supracaudal scute ends at the same level as the other marginals and is narrower than the last vertebral and slants straight downwards (Figures 1–14). Male animals were smaller than females.

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Figure 1. Pattern of scutes on carapace and plastron of Melanochelys trijuga parkeri and Melanochelys trijuga thermalis: Carapace,  (N) Nucal (1), (V) Vertibrals (1–5), (C) Costals (1–4, both sides), (M) Marginal (1–12, both sides): Plastron, (g) gular, (h) humeral, (p) pectoral, (ab) abdominal, (f) femoral and (an) anal (all paired)  and B. Geochelone elegans: Carapace, (V) Vertibrals (1–5), (C) Costals (1–4, both sides), (M) Marginal (1–12, both sides) and (SC) Supracaudal : Plastron  (g) gular, (h) humeral, (p) pectoral, (ab) abdominal, (f) femoral and (an) anal (all paired)

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Figure 2. Shell Measurements

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Figure 3. Pattern of scutes on carapace and plastron of Melanochelys trijuga parkeri and Melanochelys trijuga thermalis : Carapace, (N) Nucal (1), (V) Vertibrals (1–5), (C) Costals (1–4, both sides), (M) Marginal (1–12, both sides): Plastron, (g) gular, (h) humeral, (p) pectoral, (ab) abdominal, (f) femoral and (an) anal (all paired)

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Figure 4. The Dorsal viewand B), Ventral viewof a Melanochelys trijuga parkeri, adult ♂ × 1/8

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Figure 5. The Dorsal viewand D), Ventral viewof a Melanochelys trijuga thermalis, adult ♂ × 1/8

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Figure 6. Pigmentation of the carapace of Melanochelys trijuga parkeri: a) Carapace with uniform black, b) Black with three light yellow ridges in carapace, Melanochelys trijuga thermalis: c 1–3) Carapace with dirty brownish color and with different designs

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Figure 7. Pigmentation of the plastron of Melanochelys trijuga parkeri and Melanochelys trijuga thermalis: (a) and (c) is with yellow colored with a diffuse dusky central area, (b) Dark brown plastron with an orange border, (d) Plastron with yellow border.

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Figure 8. Appearance of upper neck region of the (a) Melanochelys trijuga parkeri and (b) Melanochelys trijuga thermalis
(c) Ventral view of long neck of testudine

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Figure 9. (a) Walking posture of a testudine, Appearance of limbs of the (b) Melanochelys trijuga parkeri  and (c) Melanochelys trijuga thermalis

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Figure 10. Caudal view of Melanochelys trijuga thermalis X 1/8, (a) Adult male (b) Adult female

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Figure 11. A) Pattern of scutes on carapace and plastron of Geochelone elegans: Carapace, (V) Vertibrals (1–5), (C) Costals (1–4, both sides), (M) Marginal (1–12, both sides) and (SC) Supracaudal : B) Plastron (g) gular, (h) humeral, (p) pectoral, (ab) abdominal, (f) femoral and (an) anal (all paired)

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Figure 12. A) The dorsal view and B), the ventral view of aGeochelone elegans, adult ♂ × 1/8

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Figure 13. Carapace designs observed in Geochelone elegans, adult ♂ × 1/8

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Figure 14. Plastron designs observed in Geochelone elegans, adult ♂ × 1/8

Lissemys punctata punctata has soft fleshy carapace and plastron. This species can completely retracte its limbs when the plastral flaps are pulled tightly against the bony rim of the carapace. This ability can act as additional protection for the hind limbs.

This soft terrapin is easily distinguished from other local testudines by its scuteless smooth skinned carapace, tubate nostrils, fleshy lips (c) and three clawed limbs with a few vestigial scales (d). The secondary sexual characters were poorly observed with our experimental group of Lissemys punctata punctate.

This soft terrapin is easily distinguished from other local testudines by its scuteless smooth skinned carapace, tubate nostrils, fleshy lips (c) and three clawed limbs with a few vestigial scales (d). The secondary sexual characters were poorly observed with our experimental group of Lissemys punctata punctate.

According to shell morphometrics observations increased body weight of was associated with increased carapace length, carapace width, carapace height, plastron length and plastron width of Melanochelys trijuga parkeri, Melanochelys trijuga thermalis, Lissemys punctata punctata and Geochelone elegans. [Figures 15–22]

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Figure 15. Lateral and caudal views of Geochelone elegans X 1/8

(A1–2) Adult male – (a) concave plastron and (c) elongated tail,
(B1–2) Adult female – (b) flat plastron and (d) short tail

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Figure 16. A) Plastron and B) carapace of  Lissemys puntata punctata

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Figure 17. A) The dorsal view and B), the ventral view of aLissemys punctata punctata, adult × ¼

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Figure 18. (a) Rostral view of head (b) Dorsal view of head, (c) fleshy lips and (d) limb of Lissemys punctata punctata

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Figure 19. Carapace and plastron measurements of Melanochelys trijuga parkeri
Total carapace length (TCL), Total carapace width (TCW), Carapace height (CH),Total plastron length (TPL) and Total plastron width (TPW)

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Figure 20. Carapace and plastron measurements of Melanochelys trijuga themalis
Total carapace length (TCL), Total carapace width (TCW), Carapace height (CH), Total plastron length (TPL) and Total plastron width (TPW)

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Figure 21. Carapace measurements of Geochelone elegans; Total carapace length (TCL), Total carapace width (TCW), Carapace height (CH), Total plastron length (TPL) and Total plastron width (TPW)

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Figure 22. Carapace and plastron measurements of Lissemys punctata punctata, Total carapace length (TCL), Total carapace width (TCW), Total plastron length (TPL) and Total plastron width (TPW)

Conclusion

This article provides basic morphological information of Sri Lankan fresh water turtles and tortoises which will helpful in future research, management and conservation aspects.

Acknowledgement

The authors wish to appreciate the assistance given by the I.W.M.D.N. Sadaruwan and K. A. C. kumara, for the support given in the data collection.

Conflicts of interests

The authors would like to declare that there is no conflict of interest related to publication of this paper.

Authors’ Contribution

This work was carried out in collaboration between all authors. GAP designed the study and involved in field research trials.  HNND was conducted the field research trial, data collection, managed the literature searches, interpreted the data and drafted the manuscript. LJPAPJ took part in preparing and critical checking of this manuscript. GAP supported the research facilities and funding. All authors read and approved the final manuscript.

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