The Merits of Domestic Rabbit Meat

The tender, healthy white meat-domestic rabbit.

Let’s begin with a closer look at what the above statement is really saying to us. Tender, means “delicate” and in looking at something that we consider as “delicate” we see in the domestic rabbit the development of stress-free muscle growth contributing to an all-white meat product that is, therefore, tender and more easily digested. This means that those who are experiencing digestive problems-whether young, old, or on special diets-can enjoy the tender texture and mild flavor of domestic rabbit. And to others it may serve as a preventative measure.

We are confronted daily with the words “healthy” or “healthful.” So what is the meaning of this word that appears to us in such a myriad of instances? The word health, according to Webster, means “a sound state of body or mind” and we find healthy defined as “beneficial.”

Again, looking at the domestic rabbit we see from its lifestyle- preferring to live in a clean, quiet, undisturbed orderly manner-an environment that the rabbit lives in with quietness and confidence. Expressing the attributes of prayer and meditation, content with accepting its place in this world and going about its business.

From this, we witness “a sound state of body or mind”-sound meaning whole, firm and healthy. Thus, it then becomes ” beneficial” to us to nourish our bodies with this same soundness-a lesson in living for all of us.

We find among those eating chicken the majority of people prefer the breast portion, which comprises itself of all-white meat.

So looking at the domestic rabbit, we have everything considered healthful and desireable by most people-a finer boned, fine grained, chewy textured, tender, mild-flavored, beneficial all-white meat.

Looking at the benefits of this allwhite meat, we can make some comparisons with some of the more commonly accepted varieties of meat eaten in today’s society-chicken, beef, pork, veal, turkey, lamb and yes, the domestic rabbit (being very popular in Europe). The USDA has provided a statistical breakdown of the nutritional value of the above mentioned meats.

Protein

Since we all know protein is important in our diet, let’s consider the protein level per pound, beginning with the rabbit. Rabbit meat contains 20.8% while turkey follows with 20.1% and chicken with 20%. Medium-fat veal has 18.0% and a good grade of beef comes in at only 16.3%. A medium-fat lamb contains 15.7% and medium- fat pork slides in last at only 11.9% of protein per pound.

Fat

Domestically produced rabbit meat contains less fat than other meats. Again, beginning with the rabbit we see only 10.2% fat per pound compared with chicken at 11.0%, turkey at 20.2%, veal at 14.0%, good beef at 28.0%, lamb comes in at 27.7% and once again pork has a whopping 45.0% fat per pound.

Moisture

What about the natural moisture content found in meat? How much are we paying per pound for water when we purchase pre-packaged meats? (All meat has a natural moisture content and this offers no nutritional value.) Rabbit meat leads with a moisture content per pound of only 27.9%, with chicken at 67.6%, turkey with 58.3%, veal at 66.0%, lean beef showing 55.0% and lamb is close with 55.8%. But look what happens; pork is rabbit meat’s closest competitor in moisture per pound with 42.0%. Too bad there is a high fat content in pork, but wait, there is more coming.

Calories

We have one more thing that is howling at us daily. Calories! Looking at the per pound measure again, rabbit is ahead of the race with only 795 calories, chicken runs a close second with 810, but turkey loses with 1,190 calories. Veal beats out turkey with 910 and lamb comes in with 1,420. But here comes beef sliding in at 1,440 calories per pound. Not too bad if you compare it to lamb, but where is pork? There it is, coming along at the end of the race with 2,050 calories per pound. (Oh, how I do love my pork chops and ham!)

Well, thinking about all the merits, it looks like it’s thumbs- up for rabbit meat at our table. And add to the high protein, low calorie features of rabbit meat, it is also low in cholesterol.

For more information and recipes on how to enjoy domestic rabbit meat in your family, you may contact me at the above address.

DELORIS NELSON

PO Box 94

HANNAFORD, ND 58448

Copyright Countryside Publications, Ltd. Nov/Dec 2004

Dysmetabolic Syndrome: Reducing Cardiovascular Risk

When the National Cholesterol Education Program (NCEP) revised the Adult Treatment Panel III (ATP III) guidelines in 2001, dysmetabolic syndrome was added as a secondary focus for cardiovascular risk factor modification, but only after low density lipoprotein cholesterol (LDL-C) levels are optimized.1 The addition of dysmetabolic syndrome as a focus in risk reduction identified many individuals as at-risk for type 2 diabetes and/or cardiovascular disease who may have gone unrecognized and untreated until much later in the disease trajectory.2-4

Over the past 50 years, dysmetabolic syndrome has been studied under numerous other names (Syndrome X, insulin resistance syndrome, etc.,) and is closely associated with risk for both type 2 diabetes and cardiovascular disease.5-7

* Etiology

Central obesity is the cornerstone of dysmetabolic syndrome.8 Other components of the syndrome tend to cluster around central obesity as well.9-11 Hypertriglyceridemia, low high-density lipoprotein cholesterol (HDL-C), hypertension, dysfibrinolysis (i.e., elevated plasminogen activator inhibitor-1 [PAI-I], fibrinogen) inflammation (i.e., elevated C-reactive protein [CRP]), and/or elevated fasting insulin have been associated repeatedly in individuals with an enlarged waist circumference, having met the criteria for central obesity even at normal levels of body mass index (BMI) (see Table: “Diagnostic Criteria for Dysmetabolic Syndrome Based on NCEP ATP III”).1,7,12

Diagnostic Criteria for the Dysmetabolic Syndrome Based on NCEP ATP III

* Pathophysiology

The deep visceral abdominal adipocytes or fat cells excrete deleterious metabolic substrates such as angiotensinogen and PAI-1, setting up a milieu for hypertension, inflammation, and dyfibrinolysis or a procoagulable state.7,13-15 While increased levels of plasma PAI-I are found in individuals with hypertriglyceridemia and/or hyperinsulinemia, both substances stimulate the deep visceral abdominal adipocytes to excrete excessive plasma levels of PAI-1.16,17 The deep visceral abdominal adipocytes are considered metabolically active, extremely lipolytic, and easily broken down into free fatty acids (FFA).18 It is then plausible to assume that FFA may overrun the liver, causing insulin resistance. The “Portal Theory” offers some insight into the likely pathological processes that occurs when the dysmetabolic syndrome is present.19 The theory suggests that due to the proximity between the deep visceral abdominal adipocytes and the portal veins, the adipose tissue is broken down into FFA as these substrates bombard the liver and insulin resistance develops.20-23 Thus, centrally obese individuals commonly present with components of the dysmetabolic syndrome, including insulin resistance.

* Clinical Presentation

There are several definitions of the dysmetabolic syndrome, however not all are practical for clinical screening at this time. The NCEP guidelines are the gold standard for clinical practice; however, in the future, adding separate components from other definitions of the dysmetabolic syndrome may prove to be clinically efficacious when combined with the NCEP criteria for determining early risk for cardiovascular disease. For example, a likely candidate for addition to the NCEP’ s criteria for the dysmetabolic syndrome is C-reactive protein (CRP), a marker of subclinical inflammation, closely associated with abnormal endothelial function and abnormal levels of hemostatic factors such as PAI-I, which are difficult to measure in clinical practice.24-26

C-reactive protein concentration can be severely elevated in individuals with autoimmune diseases, so a level greater than 10 mg/ L should be repeated in a few weeks when acute inflammation has gone into remission.27 Normally, a CRP level between 3 mg/L and 10 mg/L is strongly associated with inflammation and risk for cardiovascular events.28 The prognostic value of CRP makes it an efficacious test for screening an otherwise seemingly low-risk individual.

According to the NCEP guidelines, to diagnose dysmetabolic syndrome, an individual must possess at least three of five components: central obesity; hypertriglyceridemia; low HDL-C; hypertension; impaired fasting glucose.1 The Association of Clinical Endocrinologists (ACE) has similar criteria, but also include hyperinsulinemia, inflammation, and a procoagulable state among others in its criteria for making the diagnosis.12 In concurrence with other definitions of the dysmetabolic syndrome, the American Diabetes Association’s (ADA) Expert Committee recently suggested lower limits for impaired fasting glucose (IFG) to 100 mg/dL instead of 110 mg/dL, in an attempt to provide a viable method for earlier identification of individuals in their disease trajectory.29 The NCEP still defines IFG as > 110 mg/dL and ≤ 125 mg/dL.

Risk Factors for the Dysmetabolic Syndrome

The ADA recommends a fasting plasma glucose as a preferred first line screening test.30 The ADA and the U.S. Prevcntativc Task Force” do not recommend screening asymptomatic patients for diabetes. The ADA clearly states that high-risk patients with multiple risk factors should be screened, and patients 45 years or older should be screened every 3 years (see Table: “Risk Factors for the Dysmetabolic Syndrome”).

While the NCEP has provided feasible guidelines for practitioner use, there has been recent criticism for not including a measure of insulin resistance in the definition of the dysmetabolic syndrome. Liao and colleagues32 argue that the NCEP’s definition of the dysmetabolic syndrome is not sensitive enough to detect insulin resistance in patients with normal fasting glucose levels who are already at risk by virtue of their dyslipidemia and/or presence of insulin resistance. Thus, many providers have begun measuring insulin levels as a proxy for evaluation of insulin resistance, especially during glucose tolerance testing.33 In addition, many practitioners who wish to determine the level of insulin resistance in patients often compute a Homeostatic Model Assessment (HOMA) as a proxy for level of insulin resistance (IR).34-36 The HOMA is compatible, but not necessarily equivalent, to estimates of insulin sensitivity and beta cell function from hyperinsulinemic clamps, hyperglycemie clamps, intravenous glucose tolerance tests, or oral glucose tolerance tests.37 One formula used for HOMA-IR is Fasting Plasma Insulin x Fasting Plasma Glucose/ 22.5. If the glucose is in mg/dL and the insulin is in microunits/mL, then the glucose must be converted from mg/dL to mmol/L and multiplied by 0.0551. The cut off to determine insulin resistance is 3 or greater.35,37 Findings from the San Antonio Heart Study indicated that HOMA-IR were very similar to fasting insulin levels, and elevated HOMA-IR were strongly associated with hypertriglyceridemia and low HDL-C.38 Nonetheless, using NCEP criteria for the cysmetabolic syndrome may underestimate risk in certain populations such as African Americans who are frequently insulin resistant, but do not have severe hypertriglyceridemia and commonly manifest higher HDL-C levels.39,40

* Treatment

NCEP ATP III treatment categories identify LDL-C as the primary objective for lowering risk of cardiac events and the dysmetabolic syndrome as a secondary intervention. Lifestyle modifications are the mainstay of first-line therapy. Determining a patient’s optimal cut point for LDL-C depends on his or her coronary heart disease (CHD) risk category. It is plausible that in 3 months of intensive lifestyle alterations (i.e., low-fat diet, increased physical activity, and intensified weight loss management), the LDL-C level may still be above the recommended cut point, in which case stadns should be considered.

* Three CHD Risk Categories

There are three CHD risk categories based on the NCEP ATP III strategies that guide treatment for management of LDL-C: 1) CHD risk equivalent; 2) individuals with two or more major CHD risk factors; and 3) individuals with less than two major CHD risk factors.1 The highest level of the CHD risk categories are those patients who have CHD or one of the following: diabetes mellitus, peripheral arterial disease, abdominal aortic aneurysm, or carotid artery disease. These patients are considered to have a CHD risk equivalent.1 A CHD risk equivalent occurs when an individual’s risk is equal to that of a patient who has already developed CHD. This group of patients should receive the most aggressive therapy and are undoubtedly in need of lipid-lowering pharmacologie interventions to meet optimal LDL-C level guidelines. For the CHD risk equivalent group, the goal of therapy is to reduce the LDL-C to less than 70 mg/dL. Likewise, patients with a CHD risk equivalent that manifest a LDL-C level of > 130 mg/dL will need aggressive lifestyle management as well as pharmacologie lipid lowering intervention. When LDL-C levels are between 100 mg/dL and 129 mg/dL, treatment may begin with lifestyle modification.

The second CHD risk category consists of individuals with two or more major risk factors, but who have not had a coronary event and do not possess any of the CHD equivalents. These individuals need to have an LDL-C of less than 1\30 mg/dl.1 Although aggressive lifestyle modification is the first line of recommended therapy for these individuals, they will probably not reach their treatment goals. Therefore, lipid lowering drug therapy often begins before or by the end of 3 months of lifestyle modification for individuals in this category. It is important for the provider to keep in mind that once the LDL-C goal has been reached in this risk category, the individual’s other major CHD risk factors should be addressed (i.e., obesity etc.,).

The third CHD risk category consists of those individuals with less than two major CHD risk factors.1 In most cases, these individuals are the most receptive to aggressive lifestyle therapies and the LDL-C treatment goal is less than 160 mg/dl. Once the LDL-C level has reached 190 mg or more, and 3-months of aggressive lifestyle has failed, lipid-lowering pharmacologie interventions are then considered cost-effective.

* Dysmetabolic Syndrome as a secondary Target

Central Obesity

Determining waist circumference with a simple tape measure can be an enlightening finding, as an individual who possesses a normal BMI and was previously judged to be at low risk for cardiovascular disease may posses considerable risk when screened for the dysmetabolic syndrome and found to be centrally obese.9,11,41 There are gender-specific cut points for determining central obesity; for men, waist circumference optimally should be less than 40 inches or 108 cm and for women less than 35 inches or 88 cm.14 Aggressive lifestyle alterations are a must for the management of central obesity and the potential sequellae of the dysmetabolic syndrome.

Dyslipidemia

Once the LDL-C goal has been reached, the next focus is to lower triglyceride and then raise HDL-C levels. Individuals who have reached their LDL-C goal, but have triglyceride levels equal to or greater than 200 mg/dL, need to maximize lifestyle modifications and may benefit from triglyceride lowering agents (i.e., fenofibrates such as Tricor or Niacin).1 The optimal goal for all patients is a triglyceride level equal to or less than 150 mg/dL.1 Individuals with hypertriglyceridemia often have other cardiovascular risk factors associated with the dysmetabolic syndrome (i.e., central obesity, hypertension, IFG or IGT, as well as hyperinsulinemia or insulin resistance and a low HDL-C).3

Likewise, increasing HDL-C levels may occur with lifestyle modifications such as weight loss, increased physical activity, and moderate alcohol consumption.43 However, when the LDL-C and triglyceride levels are brought into appropriate ranges, the HDL-C may rise.44 Specific agents that assist in the lowering of triglycerides, such as fenofibrates, or omega-3 fatty acids, may serve to raise HDL-C levels.45,46 The NCEP has gender-specific cut points for HDL-C, for men the optimal level for HDL-C is equal to or greater than 40 mg/dL and in women 50 mg/dL.1

Hypertension

The etiology of hypertension is not fully understood within the dysmetabolic syndrome. However, the abdominal adipocytcs have been found to excrete angiotensin, offering a partial explanation as to the role of hypertension within the dysmetabolic syndrome.47,48 Furthermore, angiotensin stimulates the abdominal adipocytes to produce increased plasma levels of PAI-I and contribute to dysfibrinolysis.49-52 These findings offer an explanation as to why the antihypertensive agents known as angiotensin converting enzyme (ACE) inhibitors have been found to improve the fibrolytic profile of the dysmetabolic syndrome by reducing plasma PAI-I levels.15,53 Therefore, the first line of antihypertensive management in the dysmetabolic syndrome should consist of ACE inhibitors, especially for individuals with any degree of abnormalities in glucose homeostasis or those that manifest frank type 2 diabetes.

* Procoagulable and Inflammation States

Elevated triglyceride levels stimulate the abdominal adiposities to release increased levels of PAI-I. Plasminogen activator inhibitor-1 is a natural substance that when elevated fosters an environment conducive for a hypercoagulable state, and is referred to as dyfibrinolysis. This state is strongly associated with the propensity to form clots, brittle plaque, and propagate vascular injury.24,54,55

Dysfibrinolysis, as indicated by elevated plasma levels of fibrin or PAI-I, has been associated with inflammation, elevated CRP, as well as with myocardial infarction, stroke, and other forms of vascular injury.14,28,56,57 Lifestyle factors that result in high levels of physical activity or antioxidants, such as diets rich in alpha-tocopherol (i.e., vitamin E) or moderate ethanol consumption, have shown the direct effect of reducing PAI-I levels.58-61 Likewise, low-dose aspirin, ACE inhibitors, and beta-blockers in combination have shown improvement in inflammation, reducing CRP levels and improving dysfibrinolysis by reducing PAI-I plasma levels.15,53,62-64

* Hyperinsulinemia and Fasting Glucose

Similar to hypertriglyceridemia, hyperinsulinemia is a direct stimulate of the abdominal adipocytes to produce elevated plasma levels of PAI-1.5,65,66 Early in the dysmetabolic syndrome, glucose levels may be normal, but hyperinsulinemia or insulin resistance is commonly present. Initially in the dysmetabolic syndrome, the fasting plasma glucose levels are within normal limits. During this initial phase when glucose levels are within normal ranges, the individual is often erroneously considered at low risk for diabetes or cardiovascular-related aliments. However, close examination for the other components of the dysmetabolic syndrome may identify a previously classified low-risk individual as at-risk. The opportunity for early intervention is present when insulin levels are elevated in association with the other components of the dysmetabolic syndrome, regardless of whether glucose levels are within normal ranges. Therefore, it is reasonable to assume that early interventions toward cardiac risk reduction may have the potential to occur when elevated insulin levels are found in a euglycemic individual.

It is imperative that individuals who have either a normal fasting glucose or IFG in association with other components of the dysmetabolic syndrome should undergo an oral 75-grams of glucola glucose challenge test to determine the presence of either IGT or type 2 0 diabetes.12,30 It is also optimal to screen for all the components of the dysmetabolic syndrome concomitant with obtaining a fasting insulin level. Several studies have shown the benefit of treating either IFG or IGT with oral antidiabetic agents such as metformin or GIucophage, prior to the development of frank type 2 diabetes.67-70 Knowler and colleges69 found that although increased physical activity had the best outcome when treating IGT individuals the use of metformin alone reduced the onset of type 2 diabetes by 58%. When aggressive lifestyle alterations are difficult to obtain, metformin may offer one source of an intervention to correct abnormal glucose levels. Metformin is also efficacious in the management of obese individuals with abnormal glucose home-ostasis as it may actually encourage weight loss. Metformin is available in combination with other helpful agents that may serve to have favorable effects on both glucose and lipids (i.e., lowering triglycerides and raising HDL-C). Another efficacious pharmacologie agent is Avandamet, a combination of rosiglitazone and metformin. Other commonly used combined medications are GlucoVance (a combination of glyburide plus metformin) or Metaglip (a combination of glipizide plus metformin). Because individuals with type 2 diabetes are usually obese, the sulfonylureas may be problematic because they tend to facilitate weight gain. Sulfonylureas will generally lower blood sugar rapidly and may also place individuals at risk for hypoglycemia. When choosing an antidiabetic agent for an overweight or obese patient, first consider metformin and one of the other categories before sulfonylureas.

* Other Associated Findings

When a female patient has an android-like appearance, acne, oily hair, male vertex balding, alopecia, or hirsutism, she may be at risk for, or more likely already has, the dysmetabolic syndrome.71 The practitioner should direct interview questions toward the patient’s menstrual and reproductive history. Women who experienced early menarche, irregular menses during childbearing years, or infertility often have polycystic ovarian syndrome; a severe form of the dysmetabolic syndrome. These women are at great risk at an earlier age, for the development of type 2 diabetes, accelerated cardiovascular disease, and cardiac events.72,73 Often, these women respond well to oral contraceptives and most of the antidiabetic agents, such as the insulin sensitizers; consequently, they develop a more favorable metabolic profile as a result of weight loss.74 An overriding concern for many of these woman is that they may become pregnant, as thiazolidinediones (TZD) and metformin are known for causing resumption of ovulation in a previously anovulatory women.75 In these cases, the patient may have given up on ever becoming pregnant, forgoing contraception, and may not view this time in her life as appropriate. Careful reproductive counseling is mandatory in treating insulin resistance in the PCOS patient.

Two notable clinical manifestations that female and male patients may demonstrate risk for dysmetabolic syndrome or type 2 diabetes are changes in skin tone and the presence of skin tags, especially when associated with central obesity. This change in skin tone is known as acanthosis nigricans (AN). This darkening in skin tone can be a clue related to hyperinsulinemia, especially among darkerskin individuals of either gender.76 Acanthosis nigricans are commonly associated with a velvety thickening and darkening of the skin in areas of skin folds and can be found in the axill\ae, groin, or back of the neck. The mechanism responsible for AN is the elevated insulin level which stimulates the receptors of the keratinocytes and fibroblast to produce augmentation of the skin cells to become hyperplasic.77 Another skin proliferation seen in insulin resistance is cutaneous papillomas or skin tags found in similar areas as AN.71 These subtle abnormalities can alert the practitioner to ask more questions to determine an individual’s risk for cardiovascular disease. It is important to remember that individuals in the early stages of carbohydrate disequilibrium may manifest nonspecific symptomology (see Table: “Screening Questions to Recognize Metabolic Symptomology”).

* Management of High Risk Patients

Once the practitioner identifies a patient at risk, the next step is an oral glucose challenge test. Obtaining blood samples for all components of the dysmetabolic syndrome (i.e., insulin, lipids, glucose, and CRP), measuring of waist circumference, along with blood pressure, will provide the most detailed analysis of the patient’s risk status. The abnormal findings within this battery of tests will assist in determining what risk factors need to be treated or modified. Lifestyle modifications are the primary forefront of therapy. Low density lipoprotein cholesterol levels should be optimized first, along with blood pressure, and then the specific component of the dysmetabolic syndrome. However, early introduction of pharmacologie interventions can significantly reduce risk by delaying or avoiding development of type 2 diabetes or cardiovascular disease among individuals with the dysmetabolic syndrome.

* Conclusion

There is a strong association between insulin resistance and the development of type 2 diabetes and the development of coronary artery disease. This relationship likely comes before the definite diagnosis of type 2 diabetes because individuals with altered glucose metabolism such as IFG or IGT possess a much greater risk of cardiovascular disease than euglycemic individuals. Individuals who have either IFG or IGT are in a transitional phase consisting of a disequilibrium of carbohydrate metabolism. Therefore, individuals with either IFG or IGT are at high risk for the development of type 2 diabetes and may have already begun the pathologic process of vascular injury leading to cardiovascular disease. It is critical to identify these individuals as early as possible and implement lifestyle interventions such as weight loss, increased physical activity, and low-fat diets. Although not all of the individuals with the dysmetabolic syndrome will manifest insulin resistance or type 2 diabetes, their risk is similar for development of coronary heart disease. Many individuals with the dysmetabolic syndrome will remain nondiabetic because they are able to balance their insulin resistance by producing more insulin, and to some extent, are able to maintain normal glucose levels. However, those individuals predisposed to type 2 diabetes by virtue of family history are very likely to transition from the dysmetabolic syndrome to type 2 diabetes and experience the sequelae of cardiovascular disease. Nurse practitioners are in an excellent position to identify individuals early in their disease trajectory toward cardiovascular disease and intervene.

The first line of antihypertensive management in the dysmetabolic syndrome should consist of ACE inhibitors.

A hypercoagulable state is strongly associated with the propensity to form dots, brittle plaque, and propagate vascular injury.

Screening Questions to Recognize Metabolic Symptomology

Do you have difficulty losing weight despite exercising regularly?

Do you have a close relative who has had heart disease, high blood pressure, type 2 diabetes, polycystic ovarian syndrome (PCOS), infertility problems, or obesity?

Do you experience frequent cravings for sugars or other high carbohydrate foods?

Do you often feel tired after a meal?

Do you eat meals that consist of pasta, rice, potatoes, and corn more than 2 to 3 times per week?

Do you awaken at night 2 or more times to urinate?

Have you either gained or lost more than 5 lbs in the last 3 months?

For women: Do you feel that you have more facial hair than other women in your family, racial, and/or ethnic group?

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68. Fox R, Ryan A. Polycystic ovary syndrome: not ovarian, not simple, unkind. Hum Fertil (Camb). 2002;5:S28-32.

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DISCLOSURE

The authors have disclosed they have no significant relationship or financial interest in any commercial companies that pertain to this education activity.

Susan J. Appel, PhD, ACNP, FNP, BC, CCRN Joyce Newman Giger, APRN, BC, FAAN Natalie A. Floyd, MS, ANP, BC

ABOUT THE AUTHORS

Dr. Appel is an Assistant Professor, Graduate Division, in the School of Nursing, University of Alabama at Birmingham. Joyce Newman Giger is a Professor and Hassenplug Endowed Chair at the School of Nursing, UCLA, Los Angeles, Calif. Natalie A. Floyd is a Doctoral Student at the University of Alabama at Birmingham, and an Adult Nurse Practitioner at the Veterans Hospital, Birmingham.

Copyright Springhouse Corporation Oct 2004

Study Shows Impact of Coreg(R) (Carvedilol) on Cardiovascular Risk Factors in Patients With Diabetes and Hypertension

PHILADELPHIA, Nov. 9 /PRNewswire-FirstCall/ — A newer beta-blocker Coreg(R) (carvedilol) may provide advantages in patients with diabetes and hypertension, according to study results released today by GlaxoSmithKline . GEMINI (Glycemic Effects in Diabetes Mellitus: Carvedilol – Metoprolol Comparison in Hypertensives), a first-of-its-kind trial published in this week’s Journal of the American Medical Association (JAMA) and presented at the 2004 American Heart Association Scientific Sessions, showed a positive impact of Coreg on certain cardiovascular disease risk factors including blood pressure reductions, without negatively affecting HbA1c, a long term measure of blood sugar control, in diabetes patients with hypertension. Aggressive control of cardiovascular risk factors among the approximately 18 million Americans with diabetes is essential because heart disease is the leading cause of death in this population.

“These findings are crucial since very few patients with diabetes have cardiovascular risk factors that are adequately controlled. In fact, it is estimated that only a little over seven percent of people with diabetes achieve treatment goals as recommended by medical experts,” said Dr. George Bakris, Professor in the Departments of Preventive and Internal Medicine, and Director of the Hypertension Research Center at Rush University Medical Center in Chicago. “It is our hope that the GEMINI trial will impact the future of diabetes management because it provides evidence of a positive impact of Coreg on cardiovascular risk factors for this hypertensive patient population without negatively affecting HbA1c.”

GEMINI: Rationale and Background

People with diabetes are at a dramatically increased risk of death from cardiovascular disease. In fact, 80 percent of people with diabetes die of heart disease. Aggressive management of cardiovascular risk factors such as blood pressure, HbA1c, and microalbuminuria are very important since managing these risk factors may reduce the risk of heart attacks, strokes and death. Unfortunately only 25 percent of people with diabetes reach blood pressure goals, about 37 percent reach HbA1c goals and up to 42 percent have microalbuminuria.

Beta-blockers are established and integral medications to successfully manage cardiovascular disease in patients with heart failure, hypertension and those who have had a heart attack. However, despite their life-saving benefits among these patients, the use of beta-blockers is often avoided in patients with diabetes. Traditional beta-blockers have been shown to worsen certain cardiovascular risk factors, such as glycemic control, and have not been shown to improve microalbuminuria levels.

“GEMINI is the first trial to compare the effects of two different beta- blockers on important cardiovascular risk factors,” continued Dr. Bakris. “The results indicate that Coreg may offer positive effects on components of the metabolic syndrome, thus positively impacting patients with diabetes and hypertension.”

Study Design and Results

GEMINI is a six-month, randomized, double-blind active control trial that compared the effects of the newer beta-blocker Coreg to the traditional beta- blocker metoprolol tartrate (marketed by Novartis as Lopressor). The 1,235 patients with type 2 diabetes and hypertension were on standard of care treatment consisting of antidiabetic therapies and ACE inhibitors or angiotensin II receptor blockers. Patients were randomized to receive 6.25 to 25 mg dose of Coreg (n = 498) or 50 to 200 mg dose of metoprolol tartrate (n = 727) each twice daily, and were followed for approximately 6 months.

The primary outcome was the difference in change from baseline HbA1c between groups following 5 months of maintenance therapy. Secondary outcomes that were prespecified included key cardiovascular risk factors such as blood pressure control, glycemic control as measured by HbA1c and insulin resistance, microalbuminuria and weight gain, among others. The effects of the drugs on clinical outcomes have not been compared in long term clinical trials in hypertensive type 2 diabetic patients.

In the GEMINI trial, important results were observed, including:

* Blood Pressure: Patients on Coreg reached protocol specified blood

pressure goals at a mean daily dose that is within the range that is

commonly prescribed (35 mg); patients receiving metoprolol tartrate

required a mean daily dose of 256 mg, a dose not routinely prescribed,

to reach protocol specified blood pressure goals.

* Diabetes control: In patients already receiving antidiabetic therapies,

HbA1c was not negatively affected in patients receiving Coreg while it

worsened in patients receiving metoprolol tartrate. The difference

between Coreg and metoprolol tartrate on HbA1c was 0.13 percent (p =

0.0039) and twice as many patients receiving metoprolol tartrate had

changes of 1.0 percent or greater (p

— In Coreg treated patients, there was a statistically significant

reduction in insulin resistance of 9.1 percent (p = 0.004); the

reduction of insulin resistance of 2.0 percent for metoprolol

tartrate treated patients was not statistically significant.

* Microalbuminuria: The albumin: creatinine ratio (ACR), which is a

measure of microalbuminuria, was measured in all of the patients in the

trial and it was reduced in the patients treated with Coreg by 16

percent (p=0.003) compared to metoprolol tartrate. At the start of the

trial, 80 percent of the patients in GEMINI did not have

microalbuminuria and in that group there was a 47 percent (p=0.03) risk

reduction for the development of microalbuminuria in patients on Coreg

versus those on metoprolol tartrate.

* Weight: Patients taking Coreg did not gain weight. Patients taking

metoprolol tartrate had a weight gain of 2.6 pounds (p

About Coreg

Coreg is marketed by GlaxoSmithKline in the United States and is the only beta-blocking agent FDA approved to improve survival in mild to severe heart failure and is the only beta-blocker approved for reducing cardiovascular mortality in Post MI patients with LV dysfunction. Specific indications include:

* Congestive Heart Failure: Coreg is indicated for the treatment of mild

to severe heart failure of ischemic or cardiomyopathic origin, usually

in addition to diuretics, ACE inhibitor, and digitalis to increase

survival and, also, to reduce the risk of hospitalization.

* Left Ventricular Dysfunction Following Myocardial Infarction: Coreg is

indicated to reduce cardiovascular mortality in clinically stable

patients who have survived the acute phase of a myocardial infarction

and have a left ventricular ejection fraction of

without symptomatic heart failure).

* Hypertension: Coreg is indicated for the management of essential

hypertension.

Important Safety Information

Patients taking Coreg should avoid stopping therapy abruptly. With certain beta-blocking agents, stopping therapy abruptly has led to chest pain, and in some cases, heart attack. The dosage of Coreg should be reduced gradually over a 1- to 2-week period, and the patient should be carefully monitored.

As with any medicine, there are some people who should not take Coreg. The people who should not take Coreg include those with severe heart failure who are hospitalized in the intensive care unit. Also, people who require certain intravenous medications that help support their circulation (inotropic medications) should not receive Coreg. Other people who should not take Coreg are those with asthma or other breathing problems, those with a very slow heartbeat or heart that skips a beat (irregular heartbeat), those with liver disease and those who are allergic to Coreg.

Some common side effects associated with Coreg include shortness of breath, a slow heartbeat, weight gain, fatigue, hypotension, dizziness or faintness. People taking Coreg who have any of these symptoms should call their doctor. Additionally, if patients experience fatigue or dizziness, they should sit or lie down and avoid driving or hazardous tasks. People with diabetes should report any changes in blood sugar levels to their physician. Contact lens wearers may produce fewer tears or have dry eyes. As with any medicine, patients taking Coreg should also first tell their doctor what other medications they are taking.

For full prescribing information on Coreg, call GSK’s U.S. Customer Response Center at 1-888-825-5249 or visit http://www.gsk.com/.

About GlaxoSmithKline

GlaxoSmithKline — one of the world’s leading research-based pharmaceutical and healthcare companies — is committed to improving the quality of human life by enabling people to do more, feel better and live longer.

GlaxoSmithKline

CONTACT: Contact: Nancy Leone GlaxoSmithKline, +1-919-483-2839, orDebbie Kanterman of Cohn & Wolfe, +1-212-798-9739, or C. +1-914-512-0277

Web site: http://www.gsk.com/

Meet the Lady Dai . . . Of 145BC ; She Was an Aristocrat With ‘Cherry-Like Lips and Oval Eyes’ and Was Waited on Hand and Foot. But Did a Diet of Dog and Oxen Hasten Her Death? Out of Wraps, Secrets of the World’s Best-Kept Mummy

FOR more than 2,000 years, little was known about Xin Zhui, the wife of a Chinese ruler. Now we know she enjoyed the finest of everything her civilisation had to offer and luxury may have been her downfall.

The discovery of her mummified corpse and burial chamber has provided a remarkable insight into the life and times of a woman now known as Lady Dai.

Scientists say her body is the best-preserved mummy ever seen, surpassing any from Egypt, and leading to her being nicknamed the ‘Botox Babe’.

Teams from America and New Zealand have built up a picture of a woman once renowned for her beauty, but whose life of ease married to the ruler of the Han imperial fiefdom of Dai was ultimately her undoing.

They say being waited on hand and foot and enjoying a diet rich in fatty foods including dog and oxen may have contributed to her death from heart disease.

‘She was an aristocrat,’ said Dr Charles Higham, an anthropologist from the University of Otago in New Zealand. ‘There would have been a lot of music, a lot of incense. There would have been servants at your beck and call. It must have been jolly good fun.’ Scientists are now trying to unravel the secrets of the embalming technique used to preserve her body so successfully.

Her coffin contained a reddish liquid, the ingredients of which are not fully known, but which may have been considered the ‘elixir of immortality’ in ancient China.

Lady Dai lived in the Western Chinese dynasty of Han, which existed between 206BC and 24AD. As the wife of the Marquis of Han, she was a woman of great wealth and status.

Her tomb was discovered in 1971 by workers digging an air raid shelter on the outskirts of Changsha in Hunan Province. She died, aged around 50, between 178 and 145BC and was buried with 1,000 items including lacquer dinnerware and fine fabrics.

Two thirds of the artefacts were related to food and drink including 30 bamboo caskets containing pears, plums, soy beans, sliced locusts, swans, dogs, pheasants, pigs, oxen and other animals.

There were also lists of her favourite recipes.

Lady Dai’s medical profile is the most complete ever assembled on an ancient.

But autopsies on her body in which all her organs were perfectly preserved and her brain remained intact despite having shrunk to half size have revealed the downside of her fondness for the high life.

Pathologists concluded she had been ‘a great belle with cherry- like lips and oval eyes’ in her youth.

But it was obvious her beauty deserted her before death. She was also badly overweight, at almost 11 stone.

X-rays reveal she had a fused disc in her spine, which would have caused severe back pain and clogged coronary arteries. She had gallstones and experts believe one of them, stuck in her bile duct, may have caused her already weakened heart to stop.

Experts have been astonished at how well her body has stood the test of time.

Her skin is still soft to the touch, her limbs can still be bent, she retains almost a full head of hair and she even has blood in her veins, identified as type A.

Today the corpse is on display at the Hunan Museum in Changsha. She has become as famous in China as Tutankhamun is in Egypt.

Anthropologist Professor John Verano said: ‘What really sets her apart is the flexibility of her limbs.

‘When I first saw it, it made me jump.

I thought “Don’t do that” because you know you’re going to break that arm right off.

‘No one’s found anything remotely equivalent to this. If she’d only been buried a year I would be amazed at how well-preserved she was.

‘To think that she’s been buried for 2,000 years and is in this condition is baffling.’ Dr Higham said: ‘This is the bestpreserved ancient body ever found.

This is something you never find even in Egypt. Tutankhamun, for example, comes out as a sort of shrivelled up little corpse compared with the extraordinary preservation of this woman.’ The tomb offers several clues.

Lady Dai’s corpse was swaddled in 20 layers of fine silk, which would have suffocated the bacteria which normally devour the body soon after death.

The body was also inside four coffins and placed in a 20ft square chamber so cool it acted like a natural refrigerator.

Five tons of charcoal were piled on top followed by 4ft of clay and 50ft of earth to ensure the tomb was ‘vacuum sealed for eternity’.

Some scientists suspect the real key to her preservation, however, may lie in the reddish liquid in which the body was immersed.

If so, the secret may have died with her. Tests have revealed it is mildly acidic and contains magnesium and salt, but have so far failed to identify all the contents.

Scientists believe there may have been another crucial ingredient added to the liquid before it was poured into the coffin an ‘elixir of immortality’ that would preserve the body eternally.

‘Like her contemporaries, she would have spent a lot of her life planning for her afterlife,’ said Dr Higham.

‘They were obsessed with it and it was quite obvious that, having lived a life of considerable elegance and luxury, Xin Zhui would want to continue to do so after death.’ Lady Dai’s story is told in Diva Mummy on the National Geographic Channel at 10pm tomorrow.

Viruses May Trigger Autoimmune Diseases

Scientists found mice predisposed to diabetes were more likely to develop the disease if exposed to a virus. Diabetes, lupus, multiple sclerosis and rheumatoid arthritis are examples of diseases where the body’s immune system mistakenly attacks healthy tissue.

Researchers believe the body may act correctly to repel an invading virus but then extend its attack to molecules similar to those in the virus. Normal cells containing those molecules may then be damaged.

The finding could help in the future development of therapies for the treatment or prevention of diabetes and other autoimmune illnesses.

By building on this research, we may one day be able to advise people genetically predisposed to multiple sclerosis, for instance, to avoid certain viruses or bacteria or to be vaccinated against them in order to prevent actual development of autoimmune disease, wrote Mitchell Kronenberg, president and scientific director of San Diego’s La Jolla Institute for Allergy & Immunology, where the research took place.

A report on the study appeared in this week’s Journal of Clinical Investigation.

—–

On the Net:

La Jolla Institute for Allergy & Immunology

Who Needs Viagra? ; Pelvic Floor Exercises for Men ‘the Way to Boost Performance’

IT IS hardly the most macho form of keeping fit.

But pelvic floor exercises could be as good as Viagra at improving men’s sexual performance.

A study of impotent men found the exercises most commonly done by women after childbirth produced dramatic results if carried out daily.

Four out of ten said their sexual performance was back to normal after six months and a further 35 per cent said they had seen some improvement.

The findings suggest pelvic floor exercises could become a natural alternative to Viagra.

‘We would definitely recommend that pelvic floor exercises are used as a first-line approach to treating men with erectile dysfunction,’ said Dr Grace Dorey, the consultant physiotherapist who led the study at the Somerfield Nuffield Hospital in Taunton, Somerset.

‘Most of the men in the study showed an incredible improvement.

Strengthening the muscles not only improved strength but also endurance.’

Doctors believe the exercises could benefit all men and not just those with sexual problems.

In the study, published in the British Journal of General Practice, researchers recruited 55 impotent men between 22 and 78.

Twenty-eight were placed in a group who did daily pelvic floor exercises and were given lifestyle advice, such as reducing their alcohol intake.

The other 27 were advised only on lifestyle changes without being asked to perform any kind of exercises. After three months the exercising group showed significant improvements but the others had not improved at all.

At this point researchers asked them to join the exercisers and assessed them all after another three months.

The results showed the vast majority of the men were better off. A total of 22 (40 per cent) said their sexual performance was fully restored and a further 19 (35 per cent) said it was better.

Only 14 (25 per cent) said there had been no change.

Viagra was launched in 1998 as a treatment for impotence and more than a billion tablets have been sold worldwide. Pelvic floor exercises-involve tensing muscles while standing, sitting, lying, walking or even during sex.

A spokesman for the Royal College of General Practitioners said: ‘This could be a useful method of treating male patients providing they complete their exercises on a daily basis.’

NOW TEST YOURSELF

Men can follow the five exercises listed below to improve their pelvic floor muscles. The exercises should be done twice a day in sets of three. Try to hold each position for ten seconds.

1. STANDING: With feet apart, tighten pelvic floor muscles as if trying to stop flow of urine

2. SEATED: Sitting on chair with feet apart, tighten muscles as if lifting pelvic floor, but not buttocks, off chair

3. WALKING: Lift pelvic floor without overexerting

4. DURING SEX: Tighten pelvic floor muscles rhythmically

5. LYING DOWN: On back with knees bent and apart, tighten the muscles

Progesterone: the Forgotten Hormone in Men?

ABSTRACT

‘Classical’ genomic progesterone receptors appear relatively late in phylogenesis, i.e. it is only in birds and mammals that they are detectable. In the different species, they mediate manifold effects regarding the differentiation of target organ functions, mainly in the reproductive system. Surprisingly, we know little about the physiology, endocrinology, and pharmacology of progesterone and progestins in male gender or men respectively, despite the fact that, as to progesterone secretion and serum progesterone levels, there are no great quantitative differences between men and women (at least outside the luteal phase). In a prospective cohort study of 1026 men with and without cardiovascular disease, we were not able to demonstrate any age-dependent change in serum progesterone concentrations. Progesterone influences spermiogenesis, sperm capacitation/acrosome reaction and testosterone biosynthesis in the Leydig cells. Other progesterone effects in men include those on the central nervous system (CNS) (mainly mediated by 5α-reduced progesterone metabolites as so-called neurosteroids), including blocking of gonadotropin secretion, sleep improvement, and effects on tumors in the CNS (meningioma, fibroma), as well as effects on the immune system, cardiovascular system, kidney function, adipose tissue, behavior, and respiratory system. A progestin may stimulate weight gain and appetite in men as well as in women. The detection of progesterone receptor isoforms would have a highly diagnostic value in prostate pathology (benign prostatic hypertrophy and prostate cancer). The modulation of progesterone effects on typical male targets is connected with a great pharmacodynamic variability. The reason for this is that, in men, some important effects of progesterone are mediated non-genomically through different molecular biological modes of action. Therefore, the precise therapeutic manipulation of progesterone actions in the male requires completely new endocrine-pharmacological approaches.

Key words: MEN, PROGESTERONE, PROGESTINS, NON-GENOMIC ACTIONS

INTRODUCTION

From a phylogenetic point of view, the action of the steroid hormone progesterone (4-pregnen-3,20-dione;progesterone) via its nuclear receptor (PR) is a relatively young acquisition in the animal kingdom . We find PRs only in birds and mammals in which the progesterone plays an important regulatory role in the oviduct, including oviposition, in the uterus including pregnancy, and in the mammary gland including lactation2,3.

Not surprisingly, the main interest of progesterone endocrinology remains focused on the female physiology. Therefore, the history of medical indications for progesterone preparations or progestins is a story of gynecological developments, like replacement therapy in oophorectomized women (1934, by Kaufmann), the treatment of oligo- and hypomenorrhea (1937, by von Kehrer), the treatment of anovulation (1938, by Clauberg), the treatment of menorrhagia (1953, by Kaufmann), female contraception with norethynodrel (1956, by Pmcus), the treatment of endometriosis (1969, by Kistner), and, since the 1970s, postmenopausal hormone replacement therapy with estrogens. Only in the field of hormonal male contraception, has a relatively broader experience been gained, with progestins being clinically administered to men. Antiandrogenically acting progestins are also indicated in some forms of sexual deviation and prostate cancer4,5.

Defined by most encyclopedias and textbooks as a female hormone, the importance of progesterone in the male endocrine system has remained in the shadow. Testicular and adrenal progesterone has been regarded as a physiologically unimportant by-product of steroidogenesis that is not converted to testosterone. But, in many conditions, including aging, the serum progesterone/androgen ratio increases. Only during the past few years has the role of progesterone as a modulator of the male endocrine system become more and more evident6.

The aim of this review is to summarize and critically discuss the rather scattered, often controversial results about progesterone and progesterone action in men.

BIOSYNTHESIS/METABOLISM

Pregnenolone is the precursor of progesterone (catalyzed by 3β-hydroxysteroid dehydrogenase) and the main serum metabolites of progesterone are 17α-OH-P (catalyzed by 17-hydroxylase), desoxycorticosterone (catalyzed by 21-hydroxylase), and to the main urinary metabolite pregnanediol. Considering that 17α-OH-P gives 11-deoxycortisol (catalyzed by 21-hydroxylase), which in turn gives the essential cortisol (catalyzed by 11β-hydroxylase) as well as aiidrostenedionc and dehydroepiandrosterone (intermediate steroids in the biosynthesis of androgens and estrogens), the fundamental importance of progesterone for the maintenance of steroid hormone homeostasis independently of the known, directly sex- specific actions of progesterone is shown7. The importance of progesterone as a precursor of the so-called neurosteroids is discussed below. The surprising finding of Nadjafi-Triebsch and colleagues, namely that the serum progesterone levels rise in men after the oral administration of dehydrocpiandrosterone (DHEA) (unusual upstream metabolism), does not fit in with the general scheme of biosynthesis and the metabolism of progesterone. On the other hand, only two men were investigated.

3β-Hydroxysteroid dehydrogenase (3β-HSD) has been purified from steroidogenic organs (adrenal cortex, testes, ovaries) of different species, including humans, and has been characterized9- 11. This shows that, in men, progesterone is synthesized not only in the Leydig cells of testicles, but also in the adrenals, and is secreted from there into the circulatory system.

The reference range for progesterone levels in adult men is 0.13- 0.97 ng/ml12. Zumoff and colleagues reported a mean serum progesterone level of 0.18 0.03 ng/ml for men (n = 7) and of 0.21 0.05 ng/ml for young women in the fbllicular phase (n = 8). In contrast to this, Muneyyirci-Delale and colleagues14 measured 0.78 0.28 ng/ml for healthy men and 0.26 0.18 ng/ml for postmcnopausal women (Coat-a-Count RIA kit).

Data in the literature are contradictory regarding age-dependent changes in blood serum concentrations of progesterone. Collecting 252 saliva profiles from healthy children and adolescents (125 boys and 127 girls), Grschl and colleagues15 found that salivary progesterone was highest (p 60 years. In contrast to these findings, Blanger and colleagues17 found no age-related changes in progesterone concentrations in 2423 men (40-80 years old). This discrepancy caused us to reassess the relationship between serum progesterone levels and men’s ages. The data we show here originate from the cooperation of Jenapharm GmbH & Co. KG/Jena (Germany) with the LURIC study (Ludwigshafen Risk and Cardiovascular Healthy Study), a joint project of the Herzzentrum (Heart Center) in Ludwigshafen and the Universittskliniken (Teaching Hospitals) in Freiburg and Ulm, Germany18. We analyzed serum samples from 1015 men aged 20-90 years and serum samples from 330 postmenopausal women aged 50-90 years by a radioimmunoassay for progesterone. We found 1.21 0.41 SD nmol/l (0.38 0.13 ng/ml) for men and 1.24 1.18 SD nmol/l (0.38 0.37 ng/ml) for women, i.e. there were no differences between men and women. As shown in Figure 1, there were no age- dependent changes in serum progesterone levels in both men and postmenopausal women.

No details are given here of the main metabolite of progesterone, 17α-hydroxyprogestcrone, and its importance for the diagnosis of congenital adrenal hyperplasia (21-hydroxylase deficiency). In male patients with cytochrome P450C17 (steroid 17α-hydroxylase/ 17,20-lyase; EC 1.14.99.9) deficiency, the progesterone levels are clearly elevated19.

Figure 1 Serum progesterone levels and age (Luric-Jenapharm- study). There are no age-related changes. The mean serum concentrations are 1.21 0.41 SD nmol/l for men and 1.24 1.18 SD nmol/l for postmenopansal women

PROGESTERONE-MEDIATED SIGNALING

As with all steroid hormones, the classical paradigm of the progesterone action is that intracellular receptors bind to progesterone to modulate the gene expression within the nuclei of target cells. Two progesterone receptors (PRs), termed A and B, are derived from alternate promoters of only one gene located on chromosome 11 q22-23. PR-B contains 933 amino acids while PR-A is a truncated version lacking the initial 164 amino acids (the B- upstream segment). In vitro evidence reveals that the PR-A isoform is necessary to oppose the estrogen-induccd proliferation as well as the PR-B-dependent proliferation. In contrast to this, PR-A predominace is an early event in mamma carcinogenesis and is associated with poor clinical features20,21. In other words, the cellular ratio of PR-A : PR-B is likely to be an important determin\ant of the tissue-specific progesterone action22-24. On the other hand, studies with female knock-out mice showed that PR-A is both necessary and sufficient to elicit the progesterone-dependent reproductive responses necessary for female fertility, while the PR- B isoform is required to elicit normal proliferative and differentiative responses of the mammary gland to progesterone25.

In addition to the classical, genomic action via two nuclear PR isoforms, rapid progesterone effects incompatible with the model of nuclear receptors have been identified. The proposed mechanisms of non-genomic progesterone action are:

(1) Progesterone acts directly via subsets of the classical intracellular receptor bound to the membrane;

(2) Progesterone acts directly via one (or more) non-classical membrane-bound receptor;

(3) Progesterone may interact with a partner ligand via non-PR;

(4) Progesterone, at high concentrations, may get into the plasma membrane and affect membrane fluidity.

Examples of the membrane-dependent progesterone action in male gender are:

(1) Sperm capacitation/acrosome reaction (e.g. rapid increase in [Ca^sup 2+^]^sub i^)

(2) LH receptor expression and subsequent influence on testosterone biosynthesis in Ley dig cells;

(3) Increased classical PR concentrations in prostate (BPH as well as prostate cancer);

(4) Interactions with the GABA^sub A^ receptor complex in the CNS, including sedative and anesthetic actions;

(5) Progesterone-interactions in adipose tissue and kidney.

This list suggests that many progesterone effects in the male are rapid and therefore non-genomically mediated.

Progesterone-binding membrane proteins have been identified in liver26, sperm27,28, and lens epithelial cells29. Zhu and colleagues30 cloned, expressed, and characterized a membrane PR using fish oocytes. On the basis of the sequence of the membranous messenger PR, the authors then identified a whole family of mPR proteins from a number of different species, including frog, human, and mouse, some of which bound progesterone30,31

A variety of other rapid progesterone effects have been demonstrated; however, they occur at non-physiologically high steroid concentrations, rendering their relevance questionable. For example, progesterone at micromolar concentrations induces a dose- dependent relaxation of rat saphenous artery segments (precontracted with norpeinephrine). In a similar manner, progesterone dose- dependently decreases the contractile activity of murine jejunum (for review, see reference 28).

Finally, several polymorphisms have been identified in nuclear PRs; they include S344T, G393G, + 331G/A, Exon 4 V660L, Exon 5 H770H (C/T), and the PROGINS allele (Al insertion32). These polymorphisms will be useful markers in the genetic study of disorders affecting female endocrine systems, such as so-called progesterone resistance and breast, uterine, and ovarian cancers. However, nothing is known at present about the diagnostic and therapeutic relevance of functional polymorphisms of PRs in the male.

PROGESTERONE AND THE IMMUNE SYSTEM

Data from both human and animal studies clearly demonstrate that both 17β-estradiol and progesterone influence most components of innate as well as adaptive immunity. Evidence of these effects is found in the differences in immune responses between females and males. For example, women show more vigorous T and B cell responses and have higher circulating CD4 T cell numbers than men. The incidence of most autoimmune diseases, including multiple sclerosis, is higher in womenjand, in many women, the hormone changes associated with pregnancy lessen the severity of the disease33.

Various in vivo and in vitro studies have demonstrated that progesterone inhibits the functions of human macrophages and T lymphocytes within physiological concentrations, and thus it has been suggested that progesterone acts mainly as an immunosuppressant during prognancy. However, various immune cells have been shown to lack the classical PR and, hence, the mechanism of anti- inflammatory effects of progesterone still remains more or less unclear34. In this context, studying the so-called FK506-binding proteins could be an interesting approach to answer this question. The ability to bind immunosuppressive drugs such as cyclosporine and FK506 defines the immunophihn protein family, and the FK506-binding proteins form the FKBP subfamily of immunophilins. The large FK506- binding protein FKDP51 is a component of the PK complex and is transcriptionally regulated by the ‘pure’ progestin R5020 and attenuates progestin responsiveness in hormone-conditioned T-471) cells35,36.

Studies have shown that glucocorticoid receptors can bind progesterone with a high affinity. In vitro progesterone and cyproterone acetate have, in some models, antiglucocorticoid effects37,38. But, in contrast to this, it is interesting to note that Allolio and colleagues39 found that high-dose progesterone infusion in healthy men affects neither plasma ACTH levels, nor serum or saliva cortisol. Therefore, under these specific clinical- pharmacological conditions, an antiglucorticoid action of progesterone can be neglected.

In 132 human thymomas, immunoreactivity for PK-B was dominant (49%) compared with that for PR-A (4%). A significant positive correlation was detected between immunoreactivity for estrogen receptor (ER) α and PR-B. Therefore, the PR-B status in human thymoma may also reflect estrogenic actions in this immune competent tissue. The ERα immunoreactivity was positively correlated with a better clinical outcome and negatively con-elated with tumor size, clinical stage, WHO classification, and the Ki-67 labeling index40.

PROGESTERONE ACTIONS ON SPERM

Most of the available data about the role of progesterone in sperm function have been obtained in humans (reviewed in references 41-43). The process of capacitation renders the sperm capable of interacting with the oocyte and of engaging acrosome reaction. Progesterone facilitates human sperm capacitation44-46. Acrosome reaction is a process marked by the fusion of the outer acrosomal membrane with the plasma membrane. The physiological induccr of aerosome reaction in many species is the zona pellucida (ZP) glycoprotein, ZP3. Also, progesterone secreted by cumulus cells and contained in the fbllicular fluid induces acrosomc reaction in humans47,48.

Although early data suggested direct effects of progesterone on sperm49, it was not until 1989 that progesterone induction of intracellular free calcium ([Ca^sup 2+^]^sub i^) was found to result in phosphatidylinositol-4,5-bisphosphonatc hydrolysis in human sperm50. In 1990, Dlackmore and coworkers51 demonstrated that high concentrations of progesterone and 17-OH-P rapidly increased [Ca^sup 2+^]^sub I^ in both capacitated and non-capacitated human spermatids, actions which were shown to be blocked by a Ca^sup 2+^- channel antagonist. Since then, more than 100 studies have investigated, in detail, the action of progesterone on [Ca^sup 2+^]^sub I^ in sperm, in addition to the role of voltage-dependent calcium channels VDCC and sigmoidal dose sensitivity6,52,53. Besides the increasing intracellular calcium concentrations, progesterone has led to a stimulation of activity of phospholipases and tyrosine phosphorylation of sperm proteins (reviewed in reference 41).

Non-genomic progesterone effects have been better demonstrated at the sperm plasma membrane using bovine serum albumin-conjugated progesterone48,54. These progesterone-binding sites in sperm were further characterized and shown to share homology with the steroidbinding site of the genomic progesterone receptor; however, they lacked the long 120-kDa protein. After all, two surface receptors (of 54 and 57 kDa) with different affinity to progesterone (one in the nanomolar and the other in the micromolar range) have been identified in humans. The two proteins were detected after membrane preparation with antibodies directed to the hormone- binding region D of the genomic PR, but are not seen with antibodies to either the DNA-binding domain or the amino-termmal domains of the ‘classical’ progesterone receptor55. The availability of the membranous progesterone receptor on the sperm surface increases during the epididymal transit and after capacitation56. Using the hamster egg penetration test for the demonstration of stimulatory effects on the human sperm/oocyte fusion, Francavilla and colleagues57 found that the metabolite of progesterone, 17α-OH- progesterone, is nearly as active as progesterone itself. The addition of the synthetic progestin levonorgestrel in vitro to capacitated spermatozoa from fertile men is associated with a dose- dependently increased rate of acrosome reaction58. Both progesterone and the synthetic progestin norethisterone (NET) increased acrosome reaction in porcine spermatozoa, while the 5α-reduced metabolite of NET, 5α-NET, not only did not induce this reaction, but was able to block the effect of progesterone59. Therefore, 5α-NET has to be categorized as a ‘non-classical’ progesterone antagonist in this respect. Other data have demonstrated that these membrane actions of progesterone in sperm are neither mimicked nor blocked using ‘classical’ progesterone antagonists, such as RU486 (mifepristone)46.

Earlier clinical studies showed that sperm obtained from oligospermic semen had reduced responses to progesterone stimulation, suggesting that this membrane effect of progesterone can be crucial for sperm development and fertilizing capacity60,61. Other studies went even further, demonstrating that the absence of progesterone actions on sperm can be the sole reason for some cases of male infertility62.

USE OF PROGESTINS IN MALE CONTRACEPTION

Since follicle stimulating hormone (FSH) (through the Sertoli cell), luteinizing hormone (LH) (through the Leydig cell), and testosterone are required for normal spermatogenesis, t\he two gonadotropins need to be suppressed as strongly as possible for effective male hormonal contraception. Therefore, the exogenous testosterone administration is combined with gonadotropin releasing hormone (GnRH) antagonists or, preferably, with progestins. The gonadotropin suppression by progestins in the human male is mediated by genomic progesterone receptors, whereas the androgenicity of some progestins seems to contribute only minimally to gonadotropin inhibition63. Since excellent reviews on hormonal male contraception have been published recently; this indication for progestins in fertile men will not be treated in greater detail here64-69.

PROGESTERONE AND LEYDIG CELL FUNCTIONS

Generally, the steroidogenic capacity in aging Leydig cells is markedly reduced. This has been explained by an age-related reduction in the expression of a number of genes relevant to testosterone biosynthesis and genes involved on stress/free radical scavenging70-72. Moreover, expression of relaxin-like factor, which is present only in Leydig cells in testis, decreases in parallel with a reduction in the rate of testosterone production in aging testis73. In addition to a quantitative reduction in testosterone biosynthesis, there is a deflection of the direction of testicular steroidogenesis. An example is the increased secretion of progesterone by the aging rat Leydig cell due to lesion at the cytochrome P450 17-hydroxylase/C^sub 17-20^ step74,75. Classical nuclear PR. is absent in Leydig cells (Mukhopadhyay AK, unpublished data). In murine Leydig tumor cells (mLTC-1 cells), El-Hefhawy and Huhtaniemi76 could not demonstrate a classical PR and concluded that progesterone actions in these cells were mediated by a non- classical receptor. The authors found that binding of [^sup 3^H] progesterone to the mLTC-1-cells revealed a high (K^sub d^, ~ 9.3 nmol/l) and a low testosterone affinity (K^sub d^, ~ 284 nmol/l) component, and the binding displayed with specificity (progesterone > dehydroepiandrosterone > 17-OH-P). The binding was apparently different from that of the classical nuclear PR76. Also in MA-10 mouse Leydig tumor cells, using reverse transcription-polymerase chain analysis and immunoblotting experiments, the absence of the classical form of PR has been clearly demonstrated, although progesterone was found to have a direct stimulatory effect77 on the steroidogenic acute regulatory protein (StAR) and on VEGF production78 in these cells. From a variety of data, it appears plausible that progesterone acts on Leydig cells via a non- classical type of receptor, whose specific mode of action remains obscure as yet. The putative progesterone receptor in the Leydig cell is possibly located on the cell membrane, indicating a non- genomic or non-classical mode of progesterone action in this target cell as well.

In aging men, despite a significant elevation of mean serum LH concentrations80, the mean serum testosterone concentrations go down, indicating an increased LH insensitivity of Leydig cells or a reduction of the number of Leydig cells. Interestingly enough, incubation of Leydig cells with progesterone inhibits the expression of the promoter for the LH receptor gene75. In a detailed study, Pirke and co-workers81 reported that testosterone and its precursors decreased in the testicular tissue of old men. In contrast, progesterone and 17α-hydroxyprogesterone increased in relation to testosterone in the testicular tissue and in the spermatic vein of old men. Therefore, it is conceivable that a local increase in testicular progesterone concentration may have a detrimental effect on Leydig cell function75. A reduced expression of LH receptor may make the Leydig cells in aging testis refractory to LH action. Therefore, it would be logical to consider increasing testosterone secretion in older men with antiprogestins, which may ameliorate the action of increased progesterone in aging testes. This caused us to investigate the effects of progestins and antiprogestins on the testosterone secretion of isolated rat Leydig cells. It is well established that steroidogenesis in Leydig cells is regulated by LH/ human chorionic gonadotropin (hCG) via the second-messenger cAMP signal transduction pathway82. Therefore, we additionally used the intracellular cAMP levels as a marker of steroidogenesis. Initially, we observed a higher rate of progesterone production by isolated Leydig cells from aged Wistar rats, compared to young ones, with and without stimulation by 8 Ur-cAMP or hCG (Figure 2). This was compatible with the observations of Pirke and coworkers81 in aging human testis (see above). When cells were preincubated with the progestin antagonist mifepristone (RU 486), we found a dose-related increase in testosterone production (Table 1). After that, we investigated several other antiprogestins as well as progestins in this in vitro system. AU steroids had in common was that they showed ‘classical’, genomic agonistic or antagonistic activities. They had all been screened previously in the same pharmacological model, the so-called McPhail assay (transformation of the estrogen-primed rabbit endometrium). The findings regarding the influence on the steroid biosynthesis of Leydig cells were very heterogeneous, indicating that conventional screening and selection for ‘classical’ antiprogestins are not sufficient for specific manipulation of testosterone biosynthesis in Leydig cells. Sometimes, U-shaped dose- response curves were seen. All things considered, ‘classical’ screened progestins or antiprogestins have an insufficient influence on Leydig cell function. For the non-classical PR, there is probably a need for a new class of agonists or antagonists different from those which are known to act on the classical PR.

PROGESTERONE AND THE PROSTATE

It has been suggested that prostate cancer cells can survive in an androgen-deprived milieu by using estrogens for their own growth83. Since the PR is a widely accepted marker for a functional estrogen receptor pathway, the evidence of elevated PR concentrations in metastatic and androgen-insensitive adcnocarcinomas is considered as proof of a continuing steroid metabolism directed to estrogens. The observed increasing activity of 17β-hydroxysteroid dehydrogcnase type 7 (17HSD7) could lead to the increased intracellular production of 17β-estradiol during disease progression . In primary tumors, the PR was detectable in 36% of primary Gleason grade 3; 33% of primary Gleason grade 4, and in 58% of primary Gleason grade 5 tumors. None of the 41 primary tumors investigated revealed a significant PR expression in more than 50% of tumor cells. Conversely, moderate to strong receptor expression was observed in 60% of metastatic lesions. Irrespective of grades and stages, the presence of the PR was invariably associated with high steady-state levels of ERα mRNA85.

Kumar and colleagues86 found that cytosolic PR was detectable in all cases of benign prostatic hypertrophy (BPH) as well as in all cases of prostatic carcinoma. In contrast to this, three other groups observed a higher expression of PR in BPH than in prostate cancer87-89. This raises the question whether progesterone or PR may play an independent role in the etiology of BPH or prostate cancer. Chlormadinone acetate (CMA) and its derivatives cyproterone acetate and TZP-4238 (Osaterone) are steroidal progestins with strong antiandrogenic properties, which are sometimes used in the medical management of human BPH or prostatic carcinoma. The atrophic effects on human BPH have been reported by several authors. In the prostate cell, these progestim are reported to inhibit the cellular uptake of testosterone and the binding of androgen to its receptor, and to decrease the level of androgen receptors (ARs). The anti-androgenic mechanism has been evaluated biochemically, for example, on the basis of the AR content and the steroid 5a-reductase activity in the prostate. The reduction of volume of BPH may be due to shrinkage of both glandular and stromal compartments in the prostate tissue90- 95.

Figure 2 Progesterone secretion by isolated Leydig cells from young and old Wistar rats with or without stimulation by 8 Br-cAMP or hCG. Note the increased progesterone secretion from Leydig cells of aged rats

Table 1 The influence of different progestins administered postnatally on sexual behavior of male Wistar rats. Daily administration of 0.5 mg progestin from day 1 to day 14. Apomorphine (A) was given 10 min prior to mating period (0.1 mg/kg b.w. subcutaneously)

On the other hand, Tassinari and colleagues observed rapid progression of advanced ‘hormone-resistant’ prostate cancer during palliative treatment with progestins for cancer cachexia. This brings up the question of the sense of antiprogestin treatment of prostate disorders. In vitro, pretreatment with the antiprogestin mifepristone overcomes the resistance of prostate cancer cells to tumor necrosis factor α-related apoptosis-inducing ligand (TRAIL)97. Mifepristone is a potent antiandrogen with minimal androgen agonistic activity. Compared with other known antiandrogens, mifepristone is a very strong inducer of the interaction between androgen receptor and its co-repressors NCoR and SMRT, and, therefore, could be used as a selective receptor modulator. In view of the unique molecular, pharmacological profile of this antiprogestin, a phase II trial of mifepristone for treatment of progressive prostate cancer seems justified98.

OTHER TUMORS

The interrelations between progesterone, PK, and several tumors within the CNS have been of interest for a long time. Progesterone may be involved in the regulation of the growth and development of neurogenic tumors via PR, especially in the inhibition of tumor proliferation via PR-A. Whereas PR-A and PR-B were expressed in equal amounts in meningiomas, in astrocytic tumors and Schwannomas, PR-B was the predo\minant isoform compared with PR-A. Additionally, there was a statistically significant inverse correlation between PR- A and the proliferation index in meningiomas and astrocytic tumors99,100. ER expression is lost or reduced in non-malignant meningiomas, whereas loss of PR expression is an indicator of increased apoptosis and early recurrence101. A case report indicated that prolonged therapy with the progestin megestrol acetate could promote the growth of benign intracranial meningioma102. Therefore, it is not a surprise that Eid and colleagues in 2002 announced a phase III clinical study with the antiprogestin mifepristone (RU486). Unfortunately, at present, nothing is published about the outcome of this study.

McLaughlin and Jacks103 found that the majority (75%) of neuroflbromas express PR, whereas only a minority (5%) express ER. Within neurofibromas, PR was expressed by non-neoplastic tumor- associated cells and not by neoplastic Schwann cells. The authors hypothesize that progesterone may play an important role in neurofibroma growth and suggest that antiprogestins may be useful in the treatment of this tumor.

17β-Hydroxysteroid dehydrogenase type 2 (17HSD type 2) is a member of the short-chain dehydrogenases/reductases (SDR) enzyme family. Substrate specificity for the enzyme shows that it efficiently converts 17β-estradiol, testosterone and 5α- dihydrotestosterone into their corresponding inactive 17-ketoforms, thereby decreasing the influence of sex steroids on various target tissues and organs. On the other hand, it also converts 20α- hydroxyprogesterone to active progesterone and is expressed in the surface and fbveolar epithelium of normal gastric mucosa and in the duodenum. Gender did not have an effect on epithelial expression, but 17HSD type 2 mRNA expression decreased with increasing age. Chronic gastritis was associated with decreased expression. Regenerating epithelium close to ulcers and active gastritis showed up-regulation. Type I intestinal metaplasia also showed up- regulation, while type HI metaplasia and gastric cancer showed decreased expression . On the other hand, no literature about PR expression in different compartments of the human gastrointestinal tract is available to date. Using bovine samples, PR mRNA was not abundant in the stomach and guts. Interestingly, under these conditions, PR seems not to be estrogcn-dependent105. Wu and colleagues found, in 122 male patients with gastric adenocarcinoma, that the serum progesterone levels were significantly higher than in the male control group (0.26 0.26 vs. 0.14 0.11 ng/ml). Patients with presurgical serum progesterone levels > 0.26 ng/ml survived for significantly shorter periods than those with levels ≤ 0.26 ng/ ml.

PROGESTERONE AND THE CENTRAL NERVOUS SYSTEM

In the 1980s, Baulieu and co-workers107 demonstrated that some steroids, such as the precursor of progesterone, pregnenolone (PREG), DHEA and their sulfates, are present in higher concentrations in the brain than in blood and arc synthesized de novo in the ClNS (e.g. by astrocytes, oligodendrocytes, neurons)108. Such steroids are now universally referred to as ncurosteroids. They act as modulators of several neurotransmitter receptors (γ- aminobutyric acid^sub A^, N-methyl-D-aspartate, and δ1 receptors), either as stimulators or inhibitors, and are involved in learning and memory performance. The biosynthesis of the neurosteroids in glial cells starts with cholesterol, which is first converted to PREG, progesterone, 5α-pregnane-3,20-dione (5αDH-PROG or 5α-DHP) and then to 3α-hydroxy-5α- pregnane-20-one (3α,5α-TH-PROG) or 3α,5α-THP or allopregnanolone109,110. 5α-Reductase type II, one of the two 5α-reductase isoforms, is thought to be a key enzyme in the generation of neuroactive steroids in the brain, particularly allopregnanolone. The gene expression of 5α-reductase type II in the brain is transcriptionally regulated by progesterone111. It could be that estrogens induce directly the de novo synthesis of progesterone in astrocytes112. In adult rats, neuroactive derivatives of progesterone (i.e. dihydroprogesterone, allopregnanolone) exert direct effects on adult neurogenesis, strongly affecting both neuroblasts and astrocytes of the subependymal layer113.

Steroids can influence neuronal function through ‘classical’ binding to cognate intracellular receptors, which may act as transcription factors in the regulation of gene expression. Receptors for gonadal steroids have been identified in several brain areas: amygdala, hippocampus, cortex, basal forebrain, cerebellum, locus ceruleus, mid-brain rafe nuclei, glial cells, pituitary gland, hypothalamus, and central gray matter114. These intracellular steroid hormone receptors have often been considered to be activated solely by cognate hormone. However, during the past decade, numerous studies have shown that the receptors can be also activated by neurotransmitters and intracellular signaling systems, through a process that does not require hormone115.

Neuroactive steroids not only modify neuronal physiology, but also intervene in the control of glial cell function110,116. In addition, certain neuroactive steroids modulate ligand-gated ion channels via non-genomic mechanisms. Especially distinct 3α- reduced metabolites of progesterone are potent positive allosteric modulators of γ-aminobutyric acid type A (GABA^sub A^) receptors. However, progesterone itself is also an allosteric agonist of the GABA^sub A^ receptor117 and, in addition to this, it may act as a functional antagonist at the 5-hydroxytryptamine type 3 (5-HT^sub 3^) receptor, a ligand-gated ion channel, or certain glutamate receptors. There is evidence that neurosteroids interact allosterically with ligand-gated ion channels at the receptor membrane interface. On the other hand, 3α-reduced neuroactive steroids, too, may regulate gene expression via the PR after intracellular oxidation into 5α-pregnane steroids. Animal studies have shown that progesterone is converted rapidly into GABAergic neuroactive steroids in vivo. Progesterone reduces locomotor activity in a dose-dependent fashion in male Wistar rats. Moreover, progesterone and 3α-reduced neuroactive steroids produce a benzodiazepine-like sleep EEG profile in rats and humans. In extremely low concentrations, sulfated neurosteroids, such as PREG sulfate, can regulate learning and memory. Femtomolar doses of PREG sulfate infused into the ventricles of mice could enhance memory In a presynaptic mode of action, PREG sulfate also increases the spontaneous glutamate release via the activation of a presynaptic G^sub i/o^_coupled δ receptor and an elevation in intracellular Ca^sup 2+^ levels119. In men receiving androgen ablation therapy for prostate cancer, treatment with the progestin medroxyprogesterone acetate (MPA) may be an effective and well- tolerated option for the alleviation of hot flushes120.

Animal studies have shown neuroprotective effects for progesterone, which protects, for example, against necrotic damage and behavioral abnormalities caused by traumatic brain injury, e.g. by increasing the activity of antioxidative catalase or by modifying the microtubule-associated protein-2 content109,121-124. In this context, progesterone and allopregnanolone inhibited cell death and cognitive deficits, including recovery of select behaviors after a contusion of the rat pre-frontal cortex125,126. Progesterone- mediated neuroprotection has also been reported in peripheral nerve and spinal cord injury127. Furthermore, inhibition of 3α- hydroxysteroidoxidoreductase (3α-HSOR) by the progestin medroxyprogestcronc acetate resulted in enhanced synaptic and extrasynaptic GABA^sub A^ receptor-mediated inhibition of neurotransmission in the dentate gyrus but not in the CA1 region in the hippocampus, also indicating a regionally dependent manner of neurosteroid action128.

Recent observations have indicated that both the central nervous and the peripheral nervous system are able to synthesize neurosteroids. After cryolesion of the male mouse sciatic nerve, blocking the local synthesis or action of progesterone impairs remyelination of the regenerating axons, whereas administration of progesterone to the lesion site promotes the formation of new myelin sheaths110,129. Neuroactive steroids are able to reduce aging- associated morphological abnormalities of myelin and aging- associated myelin fiber loss in the sciatic nerve130. Two important proteins are expressed by myelin of peripheral nerves, the glycoprotein (Po; controlled by progesterone via PR) and the peripheral myelin protein 22 (PMP-22; controlled by allopregnanolone via GABA^sub A^ receptor127,131-133). Systemic progesterone administration resulted in a partial reversal of the age-associated decline in CNS remyelination following toxin-induced demyelination in male rats134. On the other hand, the Charcot-Marie-Tooth disease (CMT-1A) – the most common inherited neuropathy – is associated with overexpression of PMP-22. In a transgenic model for CMT-1A with male rats, daily administration of progesterone elevated the steady- state levels of PMP-22 and myelin protein zero (Mpz) in the sciatic nerve, resulting in enhanced Schwann cell pathology and a more progressive clinical neuropathy. In contrast, administration of the antiprogestin mifepristone reduced overexpression of PMP-22 and improved the CMT phenotype135.

Neuroactive steroids affect a broad spectrum of behavioral functions through their unique molecular properties and may represent a new treatment strategy for neuropsychiatric disorders. The background is that both the genomic and the non-genomic effects of progesterone and reduced progesterone metabolites in the brain may contribute to the pathophysiology of psychiatric disorders and the mechanisms \of action of antidepressants.

In major depression, there is disequilibrium of 3α-reduced neuroactive steroids, which can be corrected by treatment with antidepressant drugs. Neuroactive steroids may further be involved in the treatment of depression and anxiety with antidepressants in patients during ethanol withdrawal. A deregulation in concentrations of the neurosteroids allopregnanolone and 3α,5α- tetrahydrodeoxycortico-sterone (3α,5α-TH DOC) has been found in depressed patients. Indirect genomic (allopregnanolone) and non-genomic (allopregnanolone and DHEA) mechanisms are involved in the neurosteroidogenic pathophysiology of depression. The neurosteroid levels in depressive patients normalize following treatment with selective serotonin uptake inhibitors. Additionally, studies in patients with panic disorder suggest that neuroactive steroids may also play a role in modulating human anxiety136-138.

Furthermore, blood concentrations of progesterone are significantly lower in catamenial epilepsy patients compared to non- epileptic controls. Over 60 years ago, Selye in 1942(139) demonstrated that progesterone protected animals against pentylenetetrazol-induced seizures. Cinza and colleagues140 showed that the protective effect of progesterone against kainic excitotoxicity in vivo in rats is also mediated by the 5α%- reduced metabolites of progesterone. Chronic slow spike-and-wave discharges (SSWDs) induced by the cholesterol synthesis inhibitor AY9944 in Long Evans rats were exacerbated by the administration of both progesterone and allopregnanolone. This effect was not blocked by mifepristone141.

Cyclic natural progesterone administration may lessen the seizure frequency in women with catamenial seizure exacerbation. Under clinical conditions, the progesterone-efficacy can be diminished by the concomitant administration of the 5α-reductase inhibitor finasteride, indicating thnt 5α-reduced metabolites rather than progesterone itself are responsible for improved seizure control. In contrast to convulsive epilepsy, progesterone seems to aggravate absence seizures142,143. Interestingly, the antiprogestin mifepristone failed to affect the electroconvulsive threshold or the efficacy of antiepileptic drugs in maximal electroshock in mice144.

Although progesterone is relatively well tolerated, certain hormonal side-effects, such as disturbances of the mineral balance due to the metabolism of progesterone to desoxycorticosterone or (perhaps) breast tenderness, may occur. The short half-life makes it inconvenient to administer to men. Neurosteroid analogs that do not mimic progesterone’s genomic actions and have improved pharmacokinetic properties may overcome these drawbacks (for a review see references138,145,146).

PROGESTERONE AND SLEEP

Intramuscular injection of 200 mg progesterone produces mild sedative-like effects in men and women147. A single oral administration of 300 mg micronized progesterone at 21.30 induced a significant increase in the amount of non-rapid eye movement (non- REM) sleep in nine healthy male volunteers. The EEG spectral power during non-REM sleep showed a significant decrease in the slow wave frequency range (0.4-4.3 Hz), whereas the spectral power in the higher frequency range (> 15 Hz) tended to be elevated. Some of the observed changes in the sleeping pattern and sleep-EEG power spectra are similar to those induced by agonistic modulators of the GABAA receptor complex and appear to be mediated in part by the conversion of progesterone into its GABA-active, 5α-reduced metabolites148. The oral administration of progesterone at the same dosage and at the same time (300 mg in the evening) produced no consistent effects on attention performance. Thus, dosages of progesterone that are sufficient to modulate sleep in men are not likely to exert sedative hangover effects149. It seems that only progesterone including its 5α-reduced metabolites is involved in positive sleep regulation, whereas, in contrast to this, the synthetic progestin megestrol acetate reduces REM sleep150.

PROGESTERONE AND SEXUAL FUNCTION

Administering various progestins, including progesterone, to male rats postnatally (critical hypothalamic differentiation phase), we found that some progestins (progesterone, levonorgestrel and dienogest) were able to reduce mating activities. In the case of levonorgestrel and dienogest, the additional application of apomorphine 10 min prior to the 30-min mating periods caused only a marginal improvement of sexual activity, indicating a more peripheral effect of inhibition of mounting behavior by progesterone and selected progestins. These experimental-pharmacological results also substantiate what we already know from a variety of clinical observations that a progestin is not a progestin. For example, the progestin with distinct antiandrogenic action, chlormadinone acetate, was unexpectedly ineffective in our model, indicating that the influence of progestins on the maturation of the hypothalamus is independent of given antiandrogenic effects (Table 1).

The antiandrogenically acting progestins MPA and CPA are widely used in Europe and in the USA for the treatment of deviant behavior of male sex offenders. Given orally in a high dosage or intramuscularly as weekly injections of 200-600 mg, the two progestins have been reported to reduce a variety of paraphilias, including pedophilia, incest, sadism and rape4,5. Interestingly, testosterone and sexual experience increase the levels of plasma membrane binding sites for progesterone in the male rat brain151. In this context, the down-regulation of sex hormone receptors, including PR, in the aging rat penile crura is associated with erectile dysfunction152.

PROGESTERONE AND THE RESPIRATORY SYSTEM

Hasselbach recognized progesterone’s potential role in the regulation of ventilation already in 1912(153,154), when he reported hyperventilation in pregnant women. Moreover, he found that women also hyperventilate during the luteal phase of the menstrual cycle. Consequently, these cyclic breathing variations disappear in postmenopausal women155. A direct effect of progesterone is suggested here, because the concentrations of progesterone in the rat lung are much higher than those of the progesterone metabolites; the P/P metabolites ratio is 6 : 1(156). PR-A is the predominant progesterone receptor isofomi in the rat lung, in an A : B ratio of 2 : 1(157). The classical PR is also present in the mouse fetal lung tissue and reveals distinct developmental profiles, with the highest expression during the prenatal period158.

Logically, synthetic progestins (MPA and chlormadinone acetate, CMA) have also been used for respiratory stimulation in men, mainly within the management of chronic obstructive pulmonary disease (COPD). Clinical studies have reported some improvement in blood gas levels and in number or duration of apneic and hypopneic events (for a review, see reference 159). A recent publication underlines the usefulness of another progestin, megestrol acetate (MGA), for selected patients with COPD160. Also, the combination of the carbonic anhydrase inhibitor acetazolamide with cither CMA or MPA seems to be effective for the treatment of COPD161,162.

MISCELLANEOUS

Here, we will discuss briefly the renal action of progesterone, the influence of progestins on kidney, the cardiovascular system, some effects of progesterone on the adipose tissue metabolism, and, finally, the clinical use of progestins for stimulating weight gain in men.

The kidney is one of the sites in the body expressing progesterone receptors, as reported in various studies. The incubation of rabbit proximal tubules with progesterone had no influence on the Ca^sup 2+^ or Na+ transport by brush border membrane vesicles. By contrast, the hormone significantly increased the Ca^sup 2+^ and decreased the Na+ uptake by the distal tubule luminal membranes. These effects were significant following 1 min of incubation. Finally, 10^sup -11^ mol/l progesterone also enhanced the Ca^sup 2+^ uptake by distal tubules-membranes through a direct non-genomic mechanism163. In the same context, the group of W. Oelkers164 found enhanced downstream metabolism of progesterone in human kidney. This may be the mechanism responsible for the protection of the mineralocorticoid receptor (MR) from the antimineralocorticoid action of progesterone, by which water balance is maintained.

As far as we know, the influence of progesterone or progestins on the hemostatic system in men has been described in only one publication. A single intramuscular 200-mg dose of the depot- progestin norethindrone enanthate (NET-EN) alone to seven healthy white men, aged 28-38 years, led to a significant suppression of serum free and total testosterone and of serum 17β-estradiol on day 14 post injectionem. There was a marked shift in hemostatic parameters with increasing levels of Factor XHc, fibrinogen, antithrombin, F1 + 2, and plasmin-α2-antiplasmin complex (PAP), whereas levels of Factors VIIc and VIIa decreased165. The intravenous infusion of progesterone dilated mesenteric, renal, and iliac circulations in pigs. This dilatative effect on the arteries was inhibited by N-nitro-L-argmine methylester (NAME), indicating the involvement of NO-dependent mechanisms166. Plasma membrane- bound PR in vascular endothelial cells may regulate the non-genomic actions of progesterone167,168. Additionally, progesterone at physiological concentrations inhibits the cell proliferation in cultures of aortic smooth muscle cells 6 in a dose-dependent manner.

Progesterone acts as an antiglucocorticoid in adipose tissue in vivo. When progesterone was given concomitantly, the glucocorticoid effects of dexamethasone on adipose tissue mass, lipolytic activity, and lipolysis were blocked37. The expression of each adrenergic receptor (AdR) subtype gene is distinctly reg\ulated by sex hormones (naturally besides norepincphrine) in brown adipocytes. Testosterone- treated cells had lower lipolytic activity and increased expression of antilipolytic receptors α2A-AdR. Both 17β-estradiol and progesterone decreased α2A-AdR expression and α^sub 2A^/ β^sub 3^-AdR protein ratio, but progesterone had a higher potency than 17β-estradiol, increasing β-AdR levels, mainly β^sub 3^-AdR expression, and enhancing lipolysis stimulated by norepinephrine . The uncoupling protein 1 (UCP1) is the main mediator of brown adipose tissue (BAT). Progesterone stimulated in vitro the norepinephrine-stimulated UCP1 mRNA expression at very low concentrations (10^sup -9^ mol/l). Surprisingly, the antiprogestin and antiglucorticoid mifepristone (RU486) acted in this model as a progesterone agonist, strengthening the progesterone activity171. This observation possibly indicates that the effects of progesterone on adipose tissue are non- genomicauy mediated.

The synthetic progestin, megestrol acetate (MGA), is used clinically to treat a reduction in appetite and weight loss in AIDS and cancer patients and in elderly people who arc underweight172- 174. However, the composition of the body mass gained with MGA in AIDS and cancer patients has been shown to be predominantly or entirely fat. This may be due to the reduction in serum testosterone associated with MGA ingestion. Lambert and colleagues175 performed a randomized, controlled, clinical trial with 30 older men (body mass index

Finally, there are some unclear relationships between serum progesterone and certain physiological or pathological conditions. For example, the serum Mg concentration in young healthy men was directly and significantly related to the progesterone level, and the Ca^sup 2+^ /Mg^sup 2+^ ratio was inversely related to the serum progesterone level14. At the end, serum progesterone concentrations were elevated significantly in HIV-positive men at different stages of their disease177 In this context, there are positive correlations between serum ACTH and progesterone levels178.

CONCLUDING REMARKS

Is progesterone the forgotten hormone in men? To answer this question, we have three possibilities to explain the physiological role of this steroid in male gender:

(1) Progesterone is a physiologically unimportant by-product in steroidogenesis;

(2) The expression and the function of the progesterone receptors are only the result of the action of estrogens;

(3) Progesterone plays a specific physiological and pathophysiological role in men with smart possibilities for new therapeutic approaches.

Naturally, depending on the given tissue or cell type or state of scientific clearing up, all three opportunities are applicable. Despite the relative broad knowledge about the progesterone actions in the male (reviewed in this paper), the exact physiological ranking of progesterone in comparison with other steroids and the therapeutic value of progestins and antiprogestins in the male for gender-specific approaches remains more or less unclear.

The situation is furthermore complicated by the fact that the obviously important progesterone-dependent conditions in males are mediated either by the uncommon PR isoform A (e.g. lung) or by membraneous progesterone-effects (Table 2). Both targets are not typical of the hitherto performed screening for selecting progestins or antiprogestins. Therefore, the precise pharmacological manipulation of progesterone actions in the male requires completely new molecular biological approaches. But this investment could be valuable because it seems reasonable to identify new compounds for male contraception, stimulation of endogenous testosterone biosynthesis in aged Leydig cells, prostate cancer and/or BPH, meningioma/fibroma, chronic obstructive pulmonary disease, weight loss and – last but not least – specific diseases of the central nervous system.

Progesterone – the forgotten hormone in men? This title is not quite correct for a publication at the beginning of the 21st century. We have to wait for the future with new pharmacological and clinical results, hopefully.

Table 2 Expected genomic and non-genoniic actions of progesterone in the male

ACKNOWLEDGEMENTS

This paper was presented at the 4th World Congress on The Aging Male, Prague, February 26-29, 2004. We thank Doris Hbler, Ulrike Schumacher and Vladinir Patchev from Jenaphann GmbH & Co. KG for wonderful cooperation, scientific input and suggestions.

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Joubert Syndrome: Long-Term Follow-Up

Twenty-nine patients (16 males, 13 females) with Joubert syndrome were identified from ophthalmology, neurology, and genetic databases covering a 15-year period at Great Ormond Street Hospital, London. Criteria for diagnosis included absent or markedly hypoplastic cerebellar vermis, abnormal eye movements, and developmental delay. Five patients had died. Scans and notes were available for 22 patients, and 18 cases were clinically reviewed. The median age was 10 years 10 months (range 3mo to 19y) and the median follow-up was 8 years 5 months (range 3mo to 19y, with one new patient seen at 3mo of age). Cerebellar vermis hypoplasia/aplasia with ‘molar tooth sign’ in the axial plane was present in 22 of 22 patients, coloboma in 6 of 22, and polydactyly in 6 of 22. In the 18 clinically reviewed, apnoea occurred in 13 patients. Five had renal problems with cysts and 4 of 5 had abnormal electroretinograms (ERGs). Visual electrophysiology was abnormal in 14 of 18 patients, and in 6 there was evidence of deterioration in the ERG. Blood investigations of organic acids, phytanic acid, very-long-chain fatty acid, and transferrin were normal in 12 patients tested. Developmental assessment showed that 6 of 15 patients aged more than 5 years were at mainstream school, and 12 of 18 had started walking between 22 months and 10 years. Speech difficulties and behavioural problems were prominent.

Joubert syndrome is an autosomal recessive disorder named after Marie Joubert (Joubert et al. 1969), who, with her coworkers, characterized four patients with episodic tachypnoea and apnoea, abnormal eye movements, developmental delay, ataxia, and absence of the cerebellar vermis. Dekaban (1969) described two siblings with the same clinical findings who also had a retinal dystrophy: this has been described as a congenital retinal dystrophy (Aicardi et al. 1983). Boltshauser and Isler (1977) proposed that the condition, with or without retinal dystrophy, should be referred to as Joubert syndrome, but others have suggested the term ‘Debekan syndrome’ for the subgroup with retinal dystrophy (Saraiva and Baraitser 1992). Boltshauser et al. (1995) reviewed a series of 12 patients and identified a subgroup of patients within Joubert syndrome with both renal involvement and a retinal dystrophy. Others have subsequently reviewed the diagnostic criteria for Joubert syndrome (Maria et al. 1999, Merritt 2003). The classical neuroimaging finding is of cerebellar vermis abnormalities with the following features: minimal connection between both cerebellar hemispheres; umbrella-shaped fourth ventricle; and stretched superior cerebellar peduncles and deep interpeduncular fossa leading to the ‘molar tooth sign’ of the mesencephalon, which is a description of the appearance seen on cross-sectional images taken in the axial plane (Maria et al. 1999, McGraw 2003).

Since its first description, a range of other clinical findings have been described in association with Joubert syndrome including occipital meningoencephalocele (Joubert et al. 1969, Houdou et al. 1986), dysmorphic facies (Wilson and Waber 1992), duodenal atresia (Lambert et al. 1989), facial palsy (Joubert et al. 1969, Boltshauser et al. 1981), cystic kidneys (King et al. 1984), congenital hepatic fibrosis (Lewis et al. 1994), polydactyly (Egger et al. 1982, Kher et al. 1994), tongue tumours (Egger et al. 1982), and ocular fibrosis (Appleton et al. 1989, Jacobsen et al. 1992). Ocular findings have included chorioretinal coloboma (Lindhout et al. 1980, Laverda et al. 1984, Beemer and Gooskens 1985, Kher et al. 1994), ptosis (Harmant-Van Rijckevorsel et al. 1983, Houdou et al. 1986), saccade initiation failure (ocular motor apraxia; Moore and Taylor 1984, Lambert et al. 1989, Harris et al. 1996), nystagmus (Joubert et al. 1969, Lambert et al. 1989), and strabismus (Moore and Taylor 1984). Biochemical abnormalities have also been described: histidinaemia (Appleton et al. 1989) and Gauchers type 1 (van Royen-Kerkhof et al. 1998).

Little is known about the long-term outcome of Joubert syndrome. Some authors suggest that nearly all living children with this disorder have severe disabilities (Boltshauser et al. 1977, Curatolo et al. 1980, Aicardi et al. 1983, Gitten et al. 1998) and that both cognitive and motor functions will deteriorate with time (Cantani et al. 1990). Others have indicated a much better outcome (Zeigler et al. 1990). In the present study we recalled and reviewed all patients diagnosed as having Joubert syndrome over the past 15 years at the Great Ormond Street Hospital for Children, London, to establish the clinical outcome, assess any evidence of progression, and look for evidence of biochemical abnormalities.

Methods

The study was performed at Great Ormond Street Hospital for Children. Ethical approval was obtained from the hospital’s ethics committee, and informed consent was obtained from the parents of each patient. Patients with a diagnosis of Joubert syndrome were located from the ophthalmology, neurology, and genetic departments’ databases. Diagnosis depended upon the presence of abnormal neonatal breathing, abnormal eye movements, developmental delay, and an abnormal cerebellar vermis. The case notes, blood results, renal tract investigations, and computerized tomography (CT) or magnetic resonance imaging (MRI) scans were reviewed and arrangements were made to recall the patients. Those examinations that had previously been inadequate or overlooked were repeated at recall.

Each recalled patient underwent a renal ultrasound, a neuroophthalmological review, formal eye movement recordings, electroretinograms (ERGs), visual evoked potentials (VEPs), and an eye examination that included visual acuity assessment, slit lamp microscopy of the anterior segment, cycloplegic refraction, and fundoscopy. Biochemical studies were also performed with consent. These included liver function tests, urea and electrolytes, very- long-chain fatty acids, pipecolic acid, and histidine.

VISUAL ELECTROPHYSIOLOGY

Mixed rod-cone ERGs were recorded from skin electrodes positioned close to the lower eyelid margin or from DTL fibre electrodes (Dawson et al. 1979) depending on patient cooperation. A photic stimulator (GrassPS22; 3/sec, setting 4, peak intensity 4.75106 lumens) provided flash stimulation under scotopic conditions (see Kriss and Thompson 1997 for details of the protocol). Responses were averaged with a Sensor ER94 (Medelec, Oxford, UK). Flash VEPs were recorded at the same time as ERGs. Pattern reversal stimulation was attempted for each patient. A range of black and white checkerboard stimuli (subtending 400′, 200′, 100′, 50′ and 25′ check size) were counterphased 3/sec on a monitor subtending 2821. The VEPs were recorded from electrodes positioned at the inion and 3.5cm above it (Oz, International 10-20 system; Jasper 1958). An electrode at F^sub z^ (International 10-20 system) served as the common reference.

EYE MOVEMENT RECORDING Horizontal eye movements were recorded with direct-current electro-oculography. Silver-silver chloride electrodes were attached with tape at the outer canthus of each eye, with a reference electrode at the mid-forehead. Video monitoring of the patient was performed throughout the recording session. Infrared monitoring was used when testing the vestibulo-ocular reflex in absolute darkness.

Optokinetic nystagmus was elicited by rotating a brightly coloured and patterned full-field curtain around the patient. Leftward and rightward optokinetic nystagmus at speeds of 25 and 50/ sec were recorded. Rotating the patient on the Barany chair (motorized rotating chair) while in complete darkness tested vestibulo-ocular reflex. The chair was accelerated at 18/sec to a speed of 80/sec and this speed was maintained for 40 seconds before decelerating at 18/sec to rest. After a further 40 seconds the chair was rotated in the opposite direction. For a full description of protocol see Jacobs et al. (1992) and Harris et al. (1992).

Results

Twenty-nine patients (16 males, 13 females) were identified as having Joubert syndrome as their final diagnosis. This included four pairs of siblings. Eleven patients were unavailable for review: five (18%) patients had died (two from respiratory failure [age under 1 year], two from renal failure, and one from aspiration pneumonia secondary to a cleft palate under 1 year); one was in renal failure having dialysis after a failed transplant; two patients (siblings) had migrated; two other siblings had been adopted with no trace; and a further one unrelated patient declined re-attending the department. Details were used when available and relevant to the study.

Therefore, eighteen patients (11 males, 7 females) were reviewed in this study. Median age was 10 years 10 months (range 3mo to 21y) with a median of 8 years 5 months’ (range 3mo to 19y) follow-up (one patient was seen as a new case at 3 months old). Four pregnancies were reported as abnormal: in two of them the pregnancy had been complicated with polyhydramnios (one with duodenal atresia, one with rhesus disease) , one was born with meconium staining of the liquor, and one was induced because there was a leak of amniotic fluid.

NEURORADIOLOGY

MRI and/or CT were reviewed in 22 patients. Cerebellar vermis aplasia/hypoplasia was present in 22 of 22 patients. The vermiswas aplastic in eight and hypoplastic in 14 patients, affecting mainly the postero-inferior part. In all these cases the midbrain and superior cerebellar peduncles displayed the ‘molar tooth appearance’.

Associated features were noted on the MRI/CT scans of five patients. These were brainstem hypoplasia in two, occipital meningocele in one, corpus callosum dysgenesis in one, moderate dilation of the ventricular system in one, and nonspecific high signal lesions in the white matter in a patient who also had seizures.

CLINICAL AND BIOCHEMICAL ASSOCIATIONS

Associated systemic features in 22 patients were as follows: bilateral tight Achilles tendons (n=2); pyloric stenosis (n=1); thoracic scoliosis (n=2); general joint laxity (n=3); haemangioma (n=3); duodenal atresia (n=1); keratoconus (n=1); partial third nerve palsy (n=1).

One sibling had a tracheo-oesophageal fistula and another sibling had anophthalmos.

EEG was recorded in 10 patients and was abnormal in five: two of five had seizures; two of five had sharp discharges over focal areas but no recognizable epilepsy (one with right-sided occipital seizures and one with sharp discharges over right frontal lobe); the fifth had infrequent paroxysmal features of a multifocal distribution consistent with the MRI of multifocal white matter intensities.

Apnoeic episodes occurred in 13 of 18 patients, and in 10 of them they were a transient phenomenon lasting up to 3 months. One patient spent several weeks in the paediatric intensive care unit because of severe tachypnoeic episodes; another required oxygen at home; and a third patient had apnoeic episodes until 18 months of age.

Chorioretinal coloboma were seen in six of 22 patients. Postaxial polydactyly was present in six of 22: both were present in only three patients.

Five patients had renal cysts, and four of these also had an abnormal ERG. The fifth patient with ultrasound evidence of multiple renal cysts had normal ERGs but was only 2 years old. The other 13 patients were normal in this respect.

Organic acids, phytanic acids, very-long-chain fatty acids and amino acids were normal in 12 patients tested. Plasma transferrin isoelectric processing had been performed in 10 patients; it was performed as part of tests to exclude other diagnoses, and this was also normal. Routine karyotype was normal in 10 patients tested. Muscle biopsy was performed on two patients and was normal.

DEVELOPMENTAL FINDINGS

Discussion with the parents and note letter review revealed that general hypotonia was an early observation in all 18 patients. All patients also demonstrated some degree of motor and developmental delay, although this varied from mild to very severe. Twelve of 18 patients had walked unaided with a broad-based gait between 22 months and 10 years (one with orthosis, reason unclear). The corresponding times for sitting unaided and standing were delayed.

No formal speech assessment or IQ assessment was performed during the study. However, all children were attending or had attended speech therapy. Of those 15 children over 5 years old, 11 had developed intelligible speech and six were attending nainstream school. Even in those six children, speech remained a problem with difficulty in pronouncing words such that, in many cases, the parents could understand but newcomers had difficulty Five had mild disability although they had achieved toilet training and self- feeding. Four had severe disability, with failure to develop even these basic skills.

In eight of 15 cases, parents volunteered the occurrence of severe temper tantrums and confirmed a large differential between comprehension and verbal ability.

EYE MOVEMENT FINDINGS

Saccade initiation failure (ocular motor apraxia) was evident in 14 of 18 patients; there was a variable failure of quick phases during induced optokinetic nystagmus or vestibular nystagmus, causing the eyes to deviate to the mechanical limit of gaze (i.e. locking up). In 13 patients the locking up was intermittent, but in one it was total with no saccades observed. Of these, eight exhibited head thrusting as a compensatory behaviour to shift the direction of gaze, and a further three patients showed synkinetic blinks where previously head thrusting had been recorded.

Five patients were associated with torsional nystagmus, three with horizontal pendular nystagmus, and two with upbeat nystagmus. One patient exhibited skew deviation and three had alternating gaze deviations, which were reminiscent of ping-pong gaze in one but were noticably aperiodic in the other two.

There was one patient with a convergent squint, five with divergent squints, and five with alternating vertical squints.

Table I: Visual acuity (Snellen) and associated retinal involvement (n=18)

VISUAL ELECTROPHYSIOLOGY

A normal flash with a well-preserved pattern VEP to small and medium-sized checks (subtending 25′ to 100′), suggesting good acuity levels, with a normal ERG, was found in four of 18 patients. However, in one of these patients the ERG was reduced in amplitude although still within the normal range. These findings were stable over the follow-up period (mean 6 years).

Retinal responses were markedly abnormal in the remaining 14 of 18 patients, with the flash ERGs being significantly attenuated and degraded. In 10 of these 14 patients, flash and pattern reversal VEPs could be elicited, but in the remaining four only attenuated flash VEPs were evident, indicating that vision was at a rudimentary level only. In six patients there was evidence of deterioration according to the ERG recordings over the follow-up period.

OCULAR EXAMINATION

Anterior segment examinations were normal in all the 18 patients clinically reviewed. Fundal examination in those patients with an abnormal ERG revealed retinal pigment epithelium mottling in all 14 patients. In four of these patients with abnormal ERG and only a very attenuated flash VEPs, there was marked mottling of the retinal pigment epithelium, especially at the macular area. In the remaining four of 18 patients with normal visual electrophysiology (VEPs and ERGs) the fundal examinations were normal.

Table I summarizes the visual acuities in the 18 patients, and their relationship with retinal involvement. It can be seen that poor levels of acuity (less than 6/24) are associated with retinal involvement. Interestingly, two patients with moderate levels of vision (6/12 to 6/18) had no retinal involvement and the reduced vision seems most likely to have been due to nystagmus.

Discussion

The diagnosis of Joubert syndrome as opposed to other similar clinical conditions is difficult because of the current absence of a specific test or genetic marker (Blair et al. 2002). Several syndromes that have been considered distinct from Joubert syndrome have occasionally been grouped clinically with it, including cerebello-oculo-renal syndromes (Satran et al. 1999). In the present study every effort was made to include only those patients that the departments of neurology, ophthalmology, and genetics all agreed have Joubert syndrome. The criteria used were the presence of developmental delay, abnormal ocular movements, and the presence of marked cerebellar vermis abnormalities leading to the presence of the ‘molar tooth sign’ (Maria et al. 1999, McGraw 2003).

In four inherited syndromes, Dandy-Walker malformation, cerebellar vermis hypoplasia-oligophrenia-ataxia-coloboma and hepatic fibrosis syndrome (COACH), carbohydrate-deficient glycoprotein syndrome (CDG), and Joubert syndrome, the finding of cerebellar vermis hypoplasia or aplasia with multiple other ocular and systemic findings usually provides the basis for differential diagnosis (see Table II). Others have looked at the similarity between CHARGE (coloboma of the eye, heart defect, atresia of the choana, retarded growth and development, genital hypoplasia, and ear anomalies or deafness) and Joubert syndrome (Menenzes and Coker 1990).

Di Rocco (1993) suggests that Joubert syndrome with retinal dystrophy and renal cysts might represent CDG, and CDG must be considered in any patient with cerebellar dysplasia and renal or liver cysts. It can be excluded by performing isoelectric focusing of plasma transferrin, which is carbohydrate deficient in affected patients. Orofacial digital syndrome also needs to be considered as potentially overlapping with Joubert syndrome; Smith and Gardner- Medwin (1993) describe a brother and a sister with learning disability,* malformations of the cerebellar, characteristic metronome eye movements, lingual hamartomas, and postaxial polydactyly.

Cerebellar vermian dysgenesis is a cardinal feature in Joubert syndrome; all of the patients in our study exhibited this sign, with the presence of the ‘molar tooth sign’ in the axial plane. The association of Joubert syndrome with more profound hypoplasia postero-inferiorly was confirmed. A review of all the scans for other problems did not lead to any constant or common other associations. The hypoplastic cerebellar vermis could explain only motor problems and not any associated learning disability. Even a review of the cerebral cortex on those MRIs performed recently revealed no abnormality.

DEVELOPMENTAL FINDINGS

Many of the reports so far have tended to indicate a poor developmental prognosis for these patients. It was thought that all living children with the disorder have severe disabilities (Boltshauser et al. 1977, Curatolo et al. 1980, Aicardi et al. 1983, Calleja-Perez et al. 1998). Severe learning disabilities are generally accepted as an integral part of Joubert syndrome (Gitten et al. 1998). However, there are reports on older patients with Joubert syndrome that have drawn attention to the possibly better than expected outcome. Casaer et al. (1985) described a patient who had possibly isolated agenesis of the vermis but did have features of Joubert syndrome (transient early breathing abnormalities, irregular jerky eye movements). Z\eigler et al. (1990) reported on one child aged 8 years with Joubert syndrome: although severe learning disability was evident until about the age of 5 years, unexpected and exceptional capabilities were evident at a later follow-up.

Table II: Summary of diagnostic clinical features for Joubert syndrome and other similar clinical conditions

In this study we followed up a group of these children and conclude that severe learning disability is not an absolute feature of the syndrome. Six of 15 children in our study were older than 5 years and were attending mainstream school with varying amounts of help. The eye movement abnormalities together with severe motor disorder can give an early false impression of the severity of intellectual disability. Gitten et al. (1998) have reported that the degree of developmental delay and the severity of central nervous system malformations seem to be independent. The severe motor difficulties that are experienced in this syndrome, together with the eye movement problems and speech difficulties, create a barrier to effective communication so that early intellectual and emotional development are hard to assess. Failure to recognize this can lead to affected children being labelled as having a disability. Steinlin et al. (1997) reported 19 children with Joubert syndrome with variable motor and cognitive development. Our study supports this observation. In all of our patients there was a differential delay, with motor development being most affected and comprehension abilities almost uniformly being reported as ahead of other abilities.

In eight patients with good comprehension skills yet poor vocalization, the parents reported prominent temper tantrums. It has been suggested that this might be due to difficulty in vocalization. Twelve patients were undergoing speech therapy. There is a strong relationship between articulatory deficits and saccade initiation failure (Harris et al. 1996, Jan et al. 1998), and this might be attributable to vermis malformation (see Harris et al. 1998).

OCULAR FINDINGS

Joubert syndrome is often associated with retinal problems, which were originally described by Dekaban (1969) and were not reported by Joubert et al. (1969) in their cases, leading to a suggestion that two different names be used depending on the presence of a retinal dystrophy. Although our protocol is to record VEP and ERG simultaneously, previous studies of Joubert syndrome have recorded ERGs alone and Joubert syndrome has been associated with very attenuated or undetectable rod-mediated ERGs previously classified as a variant of Leber’s amaurosis (Tomita et al. 1979, King et al. 1984, Moore and Taylor 1984).

Our findings support the reports in the literature that retinal abnormalities occur in a sub-group of patients carrying the diagnosis of Joubert syndrome (Boltshauser and Isler 1977, Saraiva and Baraitser 1992, Boltshauser et al. 1995). Visual electrophysiology had been performed in 18 patients and was found to be abnormal in 14 of them. Among the four normal recordings were those from the youngest patients in our study, and one of them had evidence of deterioration although still in the normal range. We found evidence of progressive retinal damage in six other patients with longer follow-up. Failure to detect any deterioration in other patients’ ERGs might have several explanations. The original recording showed that function might have been so severely affected as to be almost not recordable so that small changes made very little difference, or there was inadequate follow-up on some patients. In four of 14 patients with abnormal ERGs, the ERG and VEP could not be detected from background activity and the patients effectively had total visual impairment. Examination of the fundi of these patients revealed mottling of the retinal pigment epithelium, especially at the macula area.

Saraiva and Baraitser (1992) concluded that retinal dystrophy runs in families and is never absent when renal cysts are present. The renal cysts are multiple, small, and cortical, and affected kidneys also have interstitial chronic inflammation and fibrosis. We found renal abnormalities in five patients, all of whom had undergone visual electrophysiology; in four of them this was abnormal. However, there was one patient with a prominent cyst on renal ultrasound who had normal electrophysiology. This exceptional patient was 2 years old and only a single recording had been made, so it is possible that a retinal abnormality might develop later. Unfortunately review was not possible.

EYE MOVEMENTS

A range of eye movement abnormalities were present, the most common being saccade initiation failure, which was seen in 13 of 18 patients reviewed.

It is not possible to relate the eye movement abnormalities to precise anatomical sites owing to the widespread malformations in Joubert syndrome. A recent post-mortem study of Joubert syndrome (Yachnis and Rorke 1999) revealed not only vermis aplasia but also malformations of the dentate nuclei and atrophy of the cerebellar cortex. There were multiple medullary malformations including hypoplastic inferior olives, thinning of the reticular formation neurons, displaced tegmental nuclei (including vestibular nuclei), and a malformed cervicomedullar area involving the posterior median sulcus, fasciculi gracilis and cuneatus, and solitary nucleus.

Saccade initiation failure has been associated with a wide range of congenital and acquired conditions (see Cassidy et al. 2000). However, there is a strong association of saccade initiation failure with vermian malformations (Eda et al. 1984, Shawkat et al. 1995, Harris et al. 1998, Jan et al. 1998), or acquired vermian lesions including tumours and neurodegenerative condition (Cassidy et al. 2000). In the Cassidy study all had cerebellar vermis hypoplasia (eight had absent verrais and 14 had hypoplastic vermis predominantly affecting the posterior-inferior part). Although vermis hypoplasia seems the most likely cause of saccade initiation failure in Joubert syndrome, the mechanism is unclear because primate vermis seems to be more involved with saccade accuracy than timing (discussed by Harris et al. 1998).

Nystagmus was seen in 10 of 18 patients. The nystagmus was torsional in five of them and could not be measured by our equipment. In four it was horizontal pendular and in one it was upbeat. These varieties of nystagmus were not typical of congenital sensory nystagmus even in those with an associated retinal dystrophy, and we attribute the nystagmus to a neurological cause (Casteels et al. 1992) probably resulting from brainstem malformation.

A peculiar observation in three children was periodic horizontal alternating gaze shifts, in which the eyes would swing conjugately between extreme horizontal gaze position over about 5 to 15 seconds. We have not seen this phenomenon associated with any other condition. It bears some resemblance to periodic alternating esotropia (but without the esotropia) described by Hamed and Silbiger (1992) in a patient with hypoplasia of the vermis and brainstem. One possibility is that the deviations reflect periodic alternating nystagmus without quick phases (owing to saccade initiation failure; Harris 1997).

Conclusion

Retinal dystrophy is strongly associated with renal abnormalities. The retinal dystrophy in Joubert syndrome might be progressive. Not all children affected have severe disabilities, saccade initiation failure is not invariable.

List of abbreviations

* US usage: mental retardation.

DOI: 10.1017/S0012162204001161

Accepted for publication 5th March 2004.

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Peter R Hodgkins* FRCS FRCOphth;

Christopher M Harris PhD;

Fatima S Shawkat PhD;

Dorothy A Thompson PhD, Department of Ophthalmology;

Kling Chong MD FRCR, Department of Neuroradiology;

Christine Timms DBOT;

Isabelle Russell-Eggitt FRCS FRCOphth;

David S Taylor FRCS FRCOphth FRCP;

[dagger] Anthony Kriss PhD, Department of Ophthalmology, Great Ormond Street Hospital for Children, London, UK.

* Correspondence to first author at Southampton Eye Unit, Southampton General Hospital, Tremona Road, Southampton SO16 6YD, UK.

E-mail: [email protected]

Tony Kriss died while this project was under way. His contributions to paediatric visual electrophysiology and to the development of visual science will live on, as will our memories of his kind and good-humoured approach to life and his collegiality. He will be missed but never forgotten, and we dedicate this article to him.

Copyright Mac Keith Press Oct 2004

Cerebral Palsy in Adulthood

“My child with cerebral palsy is now an adult. Will his medical problems change?” CLYDE E. RAPP, JR., MO., PENN VALLEY, PA

“Just because people get older doesn’t mean their disabilities disappear.” This statement was made by a developmentally disabled adult, which was included in a 2002 report of a 2001 Surgeon General’s conference devoted to meeting the medical needs of the developmentally disabled.

Indeed developmental disabilities, including cerebral palsy, do not disappear and may worsen without proper care. Therefore, if you are the parent of a child with cerebral palsy or have cerebral palsy yourself, it is important that you are informed about the medical problems of the adult with cerebral palsy Begin to inform yourself early (when your child reaches age 16 or 17) since many of the medical support systems (and individuals trained to administer care), are no longer as available after age 21. We know that 90 percent of all patients with cerebral palsy survive until adulthood.

Ninety-five percent of patients with spastic diplegia (where the spasticity is confined to the lower extremities) and seventy-five percent of patients with spastic quadriplegia (where spasticity involves all four extremities) survive until age 38. Average survival may increase even more as part of the increased survival of the population in general. For those patients who are already adults, many of them (as well as their families) may already be frustrated by the lack of an accessible repository of knowledge of cerebral palsy in adults.

Adolescence and Planning for the Future

Keeping in mind the increasing survival of individuals with cerebral palsy, it might be wise (if your child is an adolescent) to talk with your teenage child’s physician about the availability of care for adults with cerebral palsy. This may mean staying with your present physician if he or she is a family physician who is experienced in caring for adults with cerebral palsy. Some pediatricians will continue to care for patients with cerebral palsy even after they become young adults and a few internists (although certainly not enough for the number of patients who require care) may have had experience with cerebral palsy. In addition, some physiatrists (specialists in physical medicine) may be able to provide general care. There are a small number of hospitals which have special clinics experienced in the care of adult patients with cerebral palsy. Whatever physician you choose, they should not only have experience treating patients with cerebral palsy, but should also be familiar with many of the common medical problems of adults (such as hypertension, breast cancer, and coronary artery disease). Finding such a physician may not be an easy task, as there are very few training programs in medical centers in the treatment of adults with cerebral palsy (or the treatment of adults with other developmental disabilities).

Local United Cerebral Palsy offices may be helpful in locating a practitioner in your area who is experienced in caring for adults with cerebral palsy. (Look on their website, http://www.UCP.org. Search engines such as Google may also be helpful.)

There are, of course, continuing financial problems related to providing care at home particularly as parents age. Socially, there are often vexing problems of finding employment and living arrangements and achieving as much independence as possible. These problems, which are certainly important, have received more emphasis than the medical problems of the adult with cerebral palsy. The focus of this article is on the medical problems of this group, which may provide you with some information about what problems to expect during adulthood and some suggestions for avoiding them. The most common symptoms and problems caused by cerebral palsy will be described with an emphasis on those problems that tend to become worse when patients become adults or those that are unique to the adult with cerebral palsy. Hopefully, this will not only provide you or your relative with cerebral palsy with practical information but provide you with a basis for discussion with your physician when you or your relative reach adulthood.

Clinical Problems of Concern to Adults with Cerebral Palsy

HEARING AND VISION PROBLEMS

Problems with vision exist in one-fourth to one-third of adult patients with cerebral palsy. Usually the schools require yearly visual exams, but after age 21, this is usually left up to the family or the patient. It is important to have a visual exam yearly as an adult because of decreased visual acuity in some patients as they age. In addition, studies of intellectually disabled patients (including a number with cerebral palsy) of various ages have noted that approximately twenty-five percent have never had a visual exam. Children with cerebral palsy may have visual problems including cataracts, optic atrophy, and retinitis, and in these instances, a yearly follow-up by an ophthalmologist is important after age 21, as it is when they are younger.

Approximately ten percent of adult patients with cerebral palsy have hearing problems. As in the case of vision, hearing problems may become worse during adulthood, so yearly testing is advised.

THE CARDIOVASCULAR SYSTEM

The incidence of coronary artery disease (which causes heart attacks) and high blood pressure among adults with cerebral palsy is similar to that of the population as a whole. This of course means that monitoring cholesterol levels and blood pressure levels on a regular basis is still a necessity. How often they are monitored depends on the patient’s age and whether there are any abnormalities in either of these important predictors of heart disease. Cholesterol levels are occasionally significantly elevated even in young adults, probably as a result of inactivity, and there are of course medications available to lower cholesterol levels.

In the intellectually disabled patient with cerebral palsy (as with any intellectually disabled patient), the signs of chest pain or pressure may be subtle. Rather than pointing to his or her sternum or complaining about pain in the chest (if the patient is verbal), a family member or a caregiver may notice increased agitation or a change in skin color.

Adults (and children on occasion) may develop swelling or discoloration of the extremities due to abnormal involuntary nerve impulses which affect the tone of the veins or arteries supplying the lower extremities. Decreased temperature of the extremities usually does not lead to serious problems in these cases (except that the patient should wear warm trousers or stockings to avoid excessive cold in the winter), but the patient’s physician should be aware of such changes.

Swelling of the lower extremities due to poor venous tone can occur (again as a result of abnormal involuntary nerve impulses). These patients may need elastic stockings depending on the extent of swelling which can be evaluated by the patient’s physician. This type of swelling can occur in children as well as adults (as does decreased temperature of the limbs). Obviously due to the change in vascular tone in adults that occurs naturally with age, it is much more severe in a forty or fifty-year-old patient than a twelve-year- old child, in most instances.

RESPIRATORY PROBLEMS

Aspiration (as a result of poor swallowing or reflux of stomach contents) is a common problem in patients with cerebral palsy and varies greatly in frequency and severity. The remarks that follow concern the group with serious and/or frequent aspiration. Adults compose a large percentage of this group, since obviously adults are more likely to have a long history of recurrent aspiration.

Recurrent aspiration can cause fibrosis (or scarring), which effectively destroys a portion of the lungs. We are not able to detect damage to lung tissue with either measurements of oxygen saturation of the blood or pulmonary function tests, which measure such things as how much of the oxygen we breathe diffuses into the blood stream and the amount of viable or non-fibrosed lung tissue, until thirty to fifty percent of the lung has been destroyed. Therefore, if a patient has a history of frequent aspirations, particularly if his oxygen saturation decreases dramatically at the time of the acute episode, it is reasonable to assume that fibrosis is present. Certainly these clinical characteristics do not prove that fibrosis is present, but the assumption is a valid one based on postmortem (autopsy) studies.

The result of scarring in adults who aspirate frequently is that when they aspirate, their respiratory status can deteriorate quickly, and urgent medical attention is needed. Secondly, it is important for your physician to determine whether the aspiration is a result of a swallowing problem or reflux of stomach contents, since the treatment for swallowing difficulties involves a change in food consistency, and reflux of stomach contents may require the placement of a tube in the stomach (a gastrostomy tube) or the small intestine (a jejunostomy tube). Swallowing difficulties may also become serious enough to require tube placement as well. The cause of aspiration is important to detect in any patient with cerebral palsy, but it is more important to determine in a patient with significant fibrosis because of his or her medically fragile state.

THE GASTROINTESTINAL SYST\EM

Vomiting (with or without aspiration into the lungs) and constipation are common in some patients with cerebral palsy, and usually becomes more frequent as the patients age.

Although there is no scientific proof, both the vomiting seen in these patients as well as the constipation are thought to be a result of abnormalities in the involuntary (or autonomic) nervous system. These abnormalities delay the movement of undigested and partially digested food through the stomach (causing vomiting and occasionally aspiration as previous discussed) as well as dilatation of the small and large intestines. Poor movement through the large intestine (or colon) leads to constipation. We have no effective and safe medications which increase the rate of transit of intestinal contents. Therefore, in addition to the traditional means of preventing constipation such as adequate fluids and as much activity as the patient is capable of, vigorous use of laxatives and occasionally enemas is recommended.

Serious constipation may lead to the stool becoming impacted, which can, in turn, cause obstruction if constipation is persistent or prolonged. The use of appropriate laxatives is important because some simply do not work and some have serious side effects if used in excess. Therefore, once again, it is important to consult your physician.

As mentioned in a prior paragraph, the stomach occasionally does not empty properly in patients with cerebral palsy, causing reflux of the acidic stomach contents into the esophagus. This can lead to inflammation and even bleeding, usually after it has been present for years, which means such signs and symptoms of damage are more common in adults. We now know that acid reflux predisposes the patient to cancer of the esophagus, which is rare, but has been seen in adults with cerebral palsy who have reflux esophagitis. Endoscopy, where the lining of the esophagus is visualized by means of a flexible fiber-optic tube used to detect changes in the esophageal lining, is the best way of detecting such inflammation. If symptoms of reflux (usually burning over the front of the chest) are persistent, you should discuss the matter with your physician. If he or she concurs that endoscopy is necessary, it will not only verify the diagnosis of esophagitis (and rule out the remote possibility of cancer), it will also prompt the physician to explore the possibility that the symptoms may be the result of another condition. It bears mentioning that there is a condition called “Barren’s esophagus” (a change in the type of cells lining the esophagus) resulting from inflammation that can be seen by the endoscopist, which increases the likelihood of cancer, and therefore is an indication for more frequent endoscopic exams.

THE MUSCULOSKELETAL SYSTEM

Degenerative arthritis is more common in adults than children in the general population, and the adult with cerebral palsy has the added problem of increased stress on the joints because of muscle spasticity and contractures. Degenerative arthritis can obviously affect any joint. Most important in the adult with cerebral palsy is degenerative hip disease. Symptoms include increased pain while sitting and standing and pain in the groin and anterior thigh. These patients obviously require orthopedic referral.

Twenty-five to sixty-four percent of adults in institutions have scoliosis. It is of particular concern in patients with cerebral palsy since many patients are unable to shift their weight when lying or sitting down and decubiti may be the result of persistent pressure. Often scoliosis accelerates during puberty which can occur late (in the late teens or even the early twenties) in patients with cerebral palsy, so the patient’s parents or caregivers must be aware of the increase in the scoliotic curve during this period.

Osteoporosis is more likely to occur in patients with cerebral palsy because of decreased weight bearing, decreased exposure to sunshine, poor calcium intake, and often interference with the body’s production of vitamin D because of medications (Dilantin being the main culprit). Patients of all ages who have frequent fractures should have a measurement of bone density, usually by X- ray absorptiometry. Calcium supplementation is important for any female patient who is post-menopausal, or any patient (male or female) who has low bone density. The possibility of osteoporosis is always present in an adult with cerebral palsy. Therefore, it is certainly appropriate to broach the topic of measuring bone density with the patient’s physician, particularly since he or she may choose to use one of a group of medications (the biphosphonates) if the patient has low bone density.

It is worth noting that younger patients have spasticity where there is resistance to movement (resistance to extension of the arm on physical exam) but not absolute rigidity that does not allow the arm to be extended beyond a certain point. Where such rigidity exists, the patient is said to have a contracture. The reasons that spasticity develops into contractures is that there are certain changes in the brain and spinal cord with age and often because the patient does not continue some form of physical therapy including stretching. There is currently no method of controlling the changes in the brain and spinal cord, but adhering to a regular schedule of physical therapy and stretching will minimize the severity of contractures.

SEXUALITY AND THE PELVIC AND BREAST EXAM

There are no medical, social, or psychological reasons why adolescent or adult females with cerebral palsy cannot become sexually active, and they are therefore subject to the risks of unwanted pregnancy and sexually transmitted dis ease after puberty. Puberty often occurs late in patients with cerebral palsy, as mentioned previously, so parents and caregivers should not be surprised if sexual behavior begins late in adolescence or in early adulthood.

Given the above facts, counseling about sexuality should be an agenda item for the adolescent with cerebral palsy (for both males and females) to the extent that their degree of intellectual disability allows. Illustrations and educational videos may be helpful for this type of counseling, and very severely intellectually disabled patients may need close supervision because of the possibility of sexual activity as well as abuse.

Any female adolescent or adult with cerebral palsy who is sexually active or is eighteen years old or older should have a pelvic exam. Most patients have some anxiety about the pelvic exam and if your physician concurs, the use of a mild sedative may be necessary. The discomfort of the exam may be decreased in patients whose spasticity prevents them from spreading their legs completely by having the patient lie on her left side and the use of a small (or pediatric sized) speculum. Consulting a physician who has experience performing pelvic exams on patients with cerebral palsy or other types of physical disabilities is recommended if such an individual exists in your area.

Because of the technology and design of the X-ray equipment for performing mammograms, it is often difficult to perform a mammogram on patients with cerebral palsy who have contractures or a spine which is fixed in a flexed and curved (kyphoscoliotic) position. Occasionally mammograms, which patients should begin having on a yearly basis at age 40, cannot be done. In this case, annual breast exams should be supplemented by monthly exams by the patient or by a qualified professional, such as a visiting nurse or nurse practitioner. Ultrasound exams are used to supplement the breast exam if an abnormality is suspected, but are not a substitute for mammography.

NUTRITIONAL PROBLEMS

Studies have indicated that children with cerebral palsy have a decrease in lean body mass (which essentially means that muscle mass is decreased) and the same is true based on the observations of many physicians who care for adults. From a nutritional standpoint, this means that it is important to maintain adequate caloric intake and particularly important to maintain adequate protein intake, so that they do not lose further muscle mass and their resistance to infection (which to some extent depends on adequate protein intake) will not decrease. Many family members are hesitant to give permission for the insertion of a gastrostomy tube, since they feel that this means that the patient will no longer be able to enjoy meals. It may be necessary for proper nutrition in some patients, and the patient may still be able to enjoy small snacks, so that the taste of food and pleasures of eating can be maintained to some extent.

Studies of adults with cerebral palsy have also shown that a number of patients are deficient in iron and calcium intake. Periodic blood counts and serum iron and serum calcium levels will detect any deficiencies which require supplementation with calcium or iron.

Particularly since the increase in life span of adults with cerebral palsy has resulted in a greater number of adults with cerebral palsy, it is important to become aware of the medical problems they encounter. Many of these problems are simply problems that existed when they were younger and have become more serious, and some are seen almost exclusively in adults.

Conclusion

It is the author’s hope that cerebral palsy will become a condition that one lives with rather than one from which one dies. Hopefully, with the help of new training programs in medical schools and hospitals (as now proposed by the American Academy of Development Medicine and Dentistry along with the help of advocates, physicians, and other caregivers), this vision will soon become a reality.

Whatever physician you choose, they should not only have experience treating patients with cerebral palsy, but should also be familiar with many of the common medical problems of adults.

Counseling about sexuality should be an agend\a item for the adolescent with cerebral palsy to the extent that their degree of intellectual disability allows.

CLYDE E. RAPP, JR., M.D., PENN VALLEY, PA

Dr. Rapp is currently an Adult Developmental Disabilities Consultant and is an internist. Prior to his present role, he ran the Center for Adults with Developmental Disabilities at Albert Einstein Medical Center in Philadelphia for twelve years. He is also a member of the Executive Board of the American Academy of Developmental Medicine and Dentistry.

Copyright Psy-Ed Corporation Oct 2004

Urodynamics: The Incidence Of Urinary Tract Infection And Autonomic Dysreflexia In a Challenging Population

Individuals with spinal cord injury and other neurologic disorders have conditions that affect their urologic systems and their ability to store and empty urine. Urodynamic tests evaluate this dysfunction, but they have added risks of urinary tract infections and autonomic dysreflexia. A descriptive study investigated the incidence of urinary tract infections and autonomie dysreflexia in a large neurogenic population receiving urodynamics using standardized protocols.

Neurogenic bladder dysfunction occurs in individuals with spinal cord injury (SCI) and other neurologic disease, affecting the ability of the urologic system to appropriately store and empty urine. This dysfunction is best evaluated with urodynamic studies (Madersbacher, 1999). Urodynamics are invasive studies that involve placement of a urethral catheter and retrograde filling of the bladder, which has the potential of causing a urinary tract infection (Esclarin, Garcia, & Herruzo, 2000) or inducing an episode of autonomie dysreflexia (Linsenmyer, Campagnolo, & Chou, 1996).

Purpose

The purpose of this study was to examine the incidence of symptomatic urinary tract infections (UTI) and autonomic dysreflexia (A/D) associated with urodynamics in a large population of neurogenic patients.

Literature Review

Protection of kidney function is the ultimate treatment goal of urologie management in the SCI population. High bladder storage pressures negatively affect kidney function (McGuire, Woodside, Borden, & Weiss, 1981; McGuire, Noll, & Maynard, 1991). Madersbacher (1999) strongly recommended urodynamics as the most effective means of evaluating individuals with neurogenic bladders in order to plan management strategies that protect kidney function. Urodynamics are invasive tests requiring catheterization and thus carry the risks of iatrogenic UTI and A/D. Theoretically, any stimulation of the lower urinary tract may result in A/D including placement of a urinary catheter, filling the bladder, detrusor contraction, and detrusor sphincter dyssynergia. Linsenmeyer et al. (1996) found patients to have symptomatic as well as asymptomatic A/D during urodynamics. Guidelines have been established to guide health care providers in treating A/D (Linsenmeyer et al., 2001). Usually, the simple act of pausing the study and allowing the bladder to accommodate or emptying the bladder will result in A/D subsiding immediately.

Current literature reports varying incidence of UTI associated with urodynamics. Almallah, Rennie, Stone, and Lancashire (2000) concluded that prophylactic antibiotics prior to cystoscopy and urodynamics in the non-SCI population were not necessary unless an individual had an artificial prosthesis. In a study from Canada, women who underwent urodynamic studies were randomized to receive a prophylactic antibiotic treatment or not. No difference in post UTI was seen (Baker, Drutz, & Barnes, 1991). Conversely, Esclarin et al. (2000) found a three-fold increase in UTIs in cervical-level acute SCI patients as opposed to other level of injuries who underwent invasive procedures. They concluded that patients with cervical injuries should receive prophylactic antibiotics. Prophylactic use of antibiotics varies depending on the patient population.

The authors queried institutions within the United States by telephone about what measures they took to prevent UTIs and to control A/D during urodynamics. This revealed a variety of protocols for UTI prophylaxis, most of which included an antibiotic directed towards gram-negative organisms. The dose and frequency varied between institutions and ranged from one dose pre-procedure to 5 days post-procedure. All agreed that if an individual had a symptomatic UTI, antibiotic therapy prior to the urodynamic study was required. Patients with implanted devices at some institutions received a broad-spectrum antibiotic that covered both gram- negative and gram-positive organisms.

None of the institutions recommended routine prophylaxis for A/D (nifedipine). Many, however, monitored B/P during the procedure. At some institutions, individuals who had a history of A/D or a documented hypertensive response during invasive procedures were started on long-acting alpha-adrenergic agents (doxazosin or terazosin) before the study. Current literature and best practice guidelines recommend treatment interventions directed toward the characteristics of the specific patient population. However, additional objective rates and outcomes were unavailable.

Methodology: Procedure

Urinary Tract Infection Protocol. All patients, both SCI and non- SCI, referred for urodynamics were given a prophylactic dose of gentamicin prior to the procedure following collection of a urine specimen. There were three exceptions: (a) patients who were already receiving antibiotics, (b) patients who had recent urine cultures showing organisms resistant to gentamicin, or (c) patients who were allergic to gentamicin. The last two groups were given a single dose of a flouroquinolone instead of gentamicin. Finally, patients who were clinically symptomatic for a UTI at the time of the procedure were treated with an antibiotic and rescheduled.

Patients and health care providers were instructed verbally and in writing to report any UTI symptoms that occurred after the procedure. Any patients reporting a UTI were clinically evaluated with an examination and repeat urine culture to verify the occurrence. A post-procedure urodynamic infection was defined as clinical symptoms and a urine culture with greater then 100,000 cfu occurring within 5 days post-procedure (Agency for Health Care Policy and Research [AHCPR], 1999). Symptoms included abdominal pain, fever, increased spasms, increased urine leakage, increased autonomie dysreflexia, and change in urine (cloudy, foul smelling, bloody, or milky).

The Autonomie Dysreflexia Protocol. When patients arrived for urodynamics, continuous blood pressure (B/P) monitoring was initiated and maintained throughout the study. If the patient’s blood pressure was elevated (>140/90) prior to the start of the procedure, the procedure was postponed and the patient was referred to the primary care provider. Urodynamics were rescheduled once better control of blood pressure was obtained. For this study, A/D was defined as a B/P >30 mmHg over baseline (Consortium for Spinal Cord Medicine, 2001) and symptoms such as sweats, headache, piloerection, and diaphoresis above the level of the lesion. Symptoms of A/D during the procedure were identified and recorded. If B/P rose to 30 mmHg over baseline, the procedure was stopped and bladder drained.

Results

Sample. From 2000 through 2002, 626 patients (605 males, 21 females; age range 18 to 90 years) with neurogenic bladder underwent urodynamic evaluation. Neurologic diagnoses included 530 spinal cord injured (249 cervical, 225 thoracic, 54 lumbar, 2 sacral), 50 multiple sclerosis, 32 Cauda Equina, 3 Brown Sequard, and 2 Parkinsons. Of the 530 SCI patients, 296 were incomplete injuries, 219 were complete, 63% were outpatient, and 37% were inpatient.

Bladder management for these individuals consisted of self- emptying, clean intermittent catheterization (CIC), external condom catheter with or without sphincterotomy, endourethral stents, bladder augmentation, or sacral nerve stimulation with the Brindley bladder stimulator. Of the 626 patients, pre-urodynamic culture results were available for 568 (90%) (200 positive and 368 negative). Pre-study urine cultures were not processed in 58 patients (10%). Reasons included an empty bladder or laboratory error.

Urinary tract infections. Of the 626 patients, only two developed a post-study UTI, as defined by our criteria, that resulted in an incidence of

Autonomic dysreflexia. Autonomic dysreflexia occurred in 42 patients for an incidence of 6%, all of which occurred in the high- risk cervical and thoracic SCI injuries. All symptoms resolved with cessation of bladder filling and immediate drainage of the bladder. One patient was given sublingual nifedipine 10 mg to answer a specific question of whether his bladder was causing his A/D. There were no secondary A/D complications noted. All studies were completed.

Discussion

The results demonstrate a low incidence in both post-urodynamic UTI and significant AD within a large neurogenic bladder population undergoing urodynamic studies. It is important to point out that the low incidence was obtained using a specific protocol that requires a prophylactic dose of gentamicin in all patients; whether prophylactic antibiotics are needed in asymptomatic patients remains to be answered.

Individuals who manage their bladders with CIC or condom catheters often have asymptomatic bacterial colonization and long- term prophylaxis does not reduce the incidence of symptomatic infections in the populations studied. The need to eradicate these bacteria is not supported in the literature with firm conclusions regarding other risk factors such as instrumentation (AHCPR, 1999). Baker and colleagues (1991), and Almallah et al. (2000) found that use of antibiotics prior to urodynamics did not make a difference in the incidence of UTI in their female non-SCI patient populations. However, Esclarin and colleagues (2000) found an increased risk of UTIs after instrumentation in patients with high-level injuries and recommended antibiotic treatment. The difference between these findings probably lies in the different patient populations: SCI versus non-SCI. A randomized study comparing the utilization of antibiotics versus no antibiotics would address the question of whether antibiotics are needed prior to urodynamics in the SCI population.

Autonomic dysreflexia is known to occur in patients who have a T6 and above spinal cord injury. Catheterization and filling of the bladder during urodynamics may be catalysts for A/D. Results of this study suggest that although 10% of patients do develop AD symptoms, they are readily managed and do not prevent completion of the study. In the authors’ patient population, A/D was easily reversed with simple maneuvers, and with the exception of one patient, all tests were completed safely without need for pretreatment. This allowed for the safe urodynamic study of difficult-to-diagnose cases, directly relating A/D symptoms to bladder filling, and providing a measure of lower urinary tract function. This incidence is consistent with the literature (Linsenmeyer et al., 1996). It is important to be aware of this risk and have a plan on how to treat it when it does occur.

Treatment risks regarding the increasing use of sildenafil and other oral agents for erectile dysfunction by patients with SCI are also significant. Agents such as nitroglycerine, isosorbide dinitrate, or sodium nitroprusside are currently used to treat A/D. If sildenafil has been taken within the previous 24 hours, an alternative short-acting, rapid-onset antihypertensive agent should be used. Longer-acting drugs in the same family may require a longer waiting period (Consortium for Spinal Cord Medicine, 2001).

In this complex, neurogenic patient population, understanding the risks and exploring the clinical symptoms are essential for a clearer explanation of the causative factors.

Conclusion

Individuals with neurogenic bladders present added challenges for health care providers. Little research has been done in these areas, and best practice has been the basis for present care. Using a standardized protocol for the urodynamic studies resulted in a low incidence of UTIs and A/D in our neurogenic patient population.

Clinical Implications

To assist with safely performing video-urodynamics in patients with neurogenic bladders, the following are recommended.

* Continuously monitor B/P during urodynamics.

* Develop a standard A/D protocol to follow in the event a patient develops A/D during a procedure.

* Assess patient pre-urodynamics for signs and symptoms of UTI.

* Treat symptomatic UTIs prior to urodynamics.

* Administer a course of prophylactic gram-negative antibiotics to colonized patients according to culture results.

* Use a sterile urodynamic system and aseptic technique for each patient.

* Investigate origin of post-procedure UTIs with an examination and repeat culture.

Individuals will be more willing to undergo video-urodynamics if they know the risks are limited. Attention to practice and outcomes improves care provided to this challenging patient population.

Introduction

Neurogenic bladder occurs in individuals with spinal cord injury and other neurologic diseases. The ability of the urologie system to appropriately store and empty urine is affected and best evaluated with urodynamics.

Objective

A descriptive study of a large neurogenic population studied the incidence of urinary tract infections (UTI) and autonomic dysreflexia (A/D) associated with urodynamics.

Method

A urinary tract infection protocol required collection of a urine culture and sensitivity pre-urodynamics, pre-medication with an antibiotic prior to study, and self-report of signs and symptoms of a UTI within 5 days postprocedure. The A/D protocol required continuous monitoring of blood pressure (B/P) and immediate intervention if B/P >30 mmHg over baseline, sweats, and headache occurred.

Results

626 patients were studied. The incidence of UTI post-urodynamics was

Conclusion

Using a standardized protocol for urodynamic studies results in a low incidence of UTIs and A/D in a large neurogenic population.

References

Agency for Health Care Policy and Research. (1999). Prevention and management of urinary tract infections in paralyzed persons: Summary. Evidence Report/Technology Assessment (number 6) (January 1999). Rockville, MD: Author. Retrieved June 2, 1999, from http:// www.ahcpr.gov/clinic/utisumm.htm

Almallah, Y.Z., Rennie, C.D., Stone, J., & Lancashire, MJ. (2000). Urinary tract infection and patient satisfaction after flexible cystoscopy and urodynamic evaluation. Urology, 56(1), 37- 39.

Baker, K.R., Drutz, H.P., & Barnes. (1991). Effectiveness of antibiotic prophylaxis in preventing bacteriuria after multi- channel urodynamic investigations: A blind, randomized study in 124 female patients. American Journal of Obstetrics & Gynecology, 265(30), 679-681.

Consortium for Spinal Cord Medicine. (2001). Clinical practice guidelines. Acute management of autonomic dysreflexia: Summary. Retrieved July 2001 from http://www.pva.org/pblications/pdf/ ADD2.pdf

Esclarin, D.A., Garcia Leoni, E., & Herruzo Cabrera, R. (2000). Epidemiology and risk factors for urinary tract infection in patients with spinal cord injury. Journal of Urology, 164(1), 1285- 1289.

Linsenmeyer, T.A., Campagnolo, D.I., & Chou, I. (1996). Silent autonomic dysreflexia during voiding in men with spinal cord injuries. Journal of Urology, 155(2), 519-522.

Linsenmyer, T.A., Baker, E.R., Gardenias, D.D., Mobley, T., Perkash, L, Vogel, L.C., et al. (2001). Clinical practice guidelines: Acute management of autonomie dysreflexia: Individuals with spinal cord injury presenting to health-care facilitates. Consortium for Spinal Cord Medicine. Jackson Heights, NY: Eastern Paralyzed Veterans Association.

Madersbacher, H.G. (1999). Neurogenic bladder dysfunction. Current Opinion in Urology, 9(4), 303-307.

McGuire, E.J., Woodside, U.R., Borden, T.A., Weiss, R.M. (1981). Prognostic value of urodynamic testing on myelodysplastic patients. Journal of Urology, 126, 205-209.

McGuire, E.J., Noll, K, & Maynard, F. (1991). A pressure management system for the neurogenic bladder after spinal cord injury. Neurourology and Urodynamics, 10, 223.

Angela C. Joseph, MSN, CNS, CURN, is the Spinal Cord Injury Urology Clinical Nurse Coordinator, San Diego Veterans Administration Health Care System, San Diego CA.

Michael Albo, MD, is Section Chief Urology, San Diego Veterans Administration Health Care System, and Assistant Clinical Professor, the University of California at San Diego, San Diego, CA.

Copyright Anthony J. Jannetti, Inc. Oct 2004

Obesity: Impediment to Postsurgical Wound Healing

PURPOSE

To provide physicians and nurses with an overview of the impact of obesity on postoperative wound healing and how preplanning protocols can minimize skin and wound care problems in this patient population.

TARGET AUDIENCE

This continuing education activity is intended for physicians and nurses with an interest in reducing skin and wound care problems in their patients who are obese.

OBJECTIVES

After reading the article and taking the test, the participant will be able to:

1. Identify obesity-related changes in body systems and how these impede wound healing.

2. Identify complications of postoperative wound healing in obese patients and the assessments and intervention strategies that can reduce these complications.

3. Identify skin and wound care considerations for obese patients and the role of preplanning protocols in avoiding problems.

ADV SKIN WOUND CARE 2004;17:426-35; QUIZ 442-3.

In 2000,19.8% of adults in the United States were identified as obese, a 61% increase since 1991.1 By the year 2000, a total of 38.8 million American adults met the classification of obesity, according to the Centers for Disease Control and Prevention.1

Obesity and being overweight are different and are determined by body mass index (BMI) scores. BMI is one of the most accurate ways to determine whether an adult is overweight. BMI uses a person’s weight and height to gauge total body fat. BMI is calculated by dividing weight by height (squared). Obesity is indicated by a BMI of 30 or more; a BMI between 25 and 29.9 indicates that the person is overweight.2

Providing health care for a population that is obese requires special equipment, skilled balancing of nutritional needs, professional psychological skills, and expert knowledge of the physiologic demands of body systems. Obese persons regularly undergo surgery, experience trauma, and often develop chronic wounds. A major challenge for health care personnel caring for these individuals after surgery is to achieve wound healing without complications, such as seroma, hematoma, infection, and wound separation. Providing wound care for an obese patient requires an understanding of the intrinsic changes in body systems induced by obesity and how these changes impede wound healing.

PHYSIOLOGIC REQUIREMENTS

Cardiovascular

In obese patients, the workload of the heart is frequently increased by the strain of supplying oxygenated blood to all tissue. Wound healing depends on the circulatory system to provide oxygen and nutrients to tissue. Ischemia, the deficiency of blood to tissue, may lead to tissue necrosis. Ischemia can be caused by vessel constriction or obstruction, external pressure, or the failure of the heart to pump adequately. Adipose tissue is poorly vascularized and known to be less tolerant of ischemia and hypoxia than the epidermis.3

Respiratory

Delivery of oxygen to cells in the body depends on lung ventilation, diffusion of oxygen from the alveoli into capillary blood, perfusion of systemic capillaries with oxygenated blood, and diffusion of oxygen from systemic capillaries into the cells.4 Hyperventilation is the typical respiratory pattern of many obese patients5; the diaphragm is unable to fully descend because of abdominal adipose tissue. Chest expansion is impaired, and the resulting decreases in vital capacity and tidal function compromise tissue oxygenation, adversely affecting wound healing.

Fibroblasts need an oxygen pressure greater than 15 mm Hg for adequate collagen formation. In patients who are not obese, the partial pressure of arterial oxygen (FaO^sub 2^) has been found to be 60 to 90 mm Hg in the wound and near O mm Hg at the wound edges.5 From this, it would be reasonable to assume that the FaO^sun 2^ of a wound in an obese patient would be lower due to avascularlty of adipose tissue.5

Oxygen, like moisture, requires a balancing act to heal wounds, and healthy subjects can usually accomplish that without significant clinical interventions. Collagen synthesis requires oxygen, and when oxygen at the tissue level is deficient, leukocyte and phagocytic activities are impeded.6 The processes of proliferation and migration of cells, which eventually epithelialize a wound from the wound margins inward, are also oxygen-dependent. However, significant hypoxia serves as a stimulating factor for angiogenesis, which initiates the process that builds granulating tissue. Wound healing factors are produced essentially by hypoxic conditions. These factors stimulate the actual cellular repair processes, which are oxygen-dependent.7

Nutrients

All phases of wound healing depend on adequate supplies of protein, carbohydrates, vitamins, and minerals. Proteins are the building blocks of cells. Wounds with exudate can lose protein, lowering albumin levels. Carbohydrates provide a source of cellular energy for the wound healing process. Vitamin C is essential to collagen synthesis. Vitamin A is required for an adequate inflammatory response and has been used to counter the catabolic effect that glucorticosteroids exert on wound healing. Given its role in rapid tissue growth and protein synthesis, zinc is thought to be involved in wound healing as well.8

WOUND CLASSIFICIATON

Appropriate classification is a useful mechanism in understanding and healing wounds (Table 1). The etiology of acute wounds is either traumatic or iatrogenic. Examples of iatrogenic wounds are incisions or grafts. Traumatic wounds include burns, stab or gunshot wounds, or other injuries resulting from trauma. Acute wounds are usually a result of an injury that disrupts blood vessels and initiates clotting, which stimulates the release of growth factors to initiate the wound healing cascade.

Chronic wounds are wounds with delayed healing, such as pressure and vascular ulcers. Chronic wounds may result from pathologic disease processes. Necrotic tissue, bacterial contamination, and local tissue ischemia are common in chronic wounds. An acute wound that does not proceed to heal in an orderly manner, such as a dehisced incision, may become a chronic wound.

Table 1.

WOUND CLASSIFICATION

COMPLICATIONS

Infection

The literature is replete with references to the higher incidence of infection among obese patients.5,9-12 Avascularity effectively decreases the ability to combat infection: insufficient oxygen impedes neutrophils from phagocytizing bacteria.5 Perioperative complications were found to be significantly higher in morbidly obese patients undergoing total knee arthroplasty.13 It may be assumed that these complications can be easily translated to other surgeries as well. Reasons for complications in morbidly obese patients can be attributed to technical difficulties in operating on obese patients; operations taking more time, thus increasing the chances of contamination; more trauma; and even necrosis of the abdominal wall because of more forceful retraction during surgery. Suturing into the fat layer or using 2 subcutaneous drains were investigated in the mid1980s, but neither showed an advantage or reduced incidence of wound infections in obese patients.9

Dehiscence

Explanations for the frequency of dehisced incisions among morbidly obese patients include increased tension on the fascia! edges at the time of wound closure, thus increasing tissue pressure and reducing microperfusion and the availability of oxygen.12-14 Outcomes from different suturing techniques have been studied in several prospective randomized trials. A continuous monofilament fascial closure technique, as opposed to an interrupted technique, improves wound healing in morbidly obese patients undergoing gastric operations.12’15

Hematoma and seroma formation

Collection of pooled blood or serous fluid is an additional risk for obese patients. The formation of hematomas and seromas creates internal pressure and adds tension on sutured incisions. A review of the literature suggests that obese patients are more prone to hematoma formation, causing healing delays by reducing tissue oxygenation.9 A study on the effect of obesity on flap and donor- site complications in free transverse rectus abdominis myocutaneous (TRAM) flap for breast reconstruction found that overweight patients had a significantly higher incidence of total flap loss, hematoma, seroma, and mastectomy skin flap necrosis.16 In addition, more donor- site infections, donor-site seromas, and hernias were found in obese patients than in normal-weight patients.16 Obese women undergoing cesarean delivery are considered to be difficult surgery cases because of the physical exertion associated with increased efforts at retraction and potential complications. The large pannus predisposes patients to fluid accumulation, creating an environment conducive to seroma formation, infection, and wound edge separation or dehiscence.17

Pressure ulcers

With decreased vascularity in adipose tissue, the obese patient is at high risk for pressure ulcers. The difficulty or inability of obese patients to reposition themselves or to help clinicians do so is a precursor to pressure-related injuries. Turning and repositioning is a basic preventive intervention to reduce and relieve pressure from body tissue. Adipose tissue does not equate to padding. Two or more clinicians are often needed to turn and reposition morbidly obese patients. Unfortunately, this intervention is risky on some hospital bed frames. Obese patients have fears that hospital equ\ipment will not safely accommodate their size, body configuration, or weight.18 As a result, they are frequently afraid to be repositioned.The implementation of bariatric beds resolves a safety/risk issue in addition to calming patient fears. Low-air- loss surfaces for bariatric beds are an option to help reduce pressure.

Moisture and incontinence are other risk factors predisposing patients to pressure ulcers. Skin folds on obese patients harbor microorganisms that thrive in moist areas and contribute to breakdown. Friction caused by skin on skin invites ulceration. Edema caused by excessive fluid resuscitation may be difficult to assess in an obese patient. This condition can exacerbate the problem of pressure caused by skin on skin (Figures 1 to 3).

Figures 1-3.

OBESE PATIENT WITH PRESSURE ULCERS

Skin-on-skin pressure from massive edema caused this full- thickness wound (left), a necrotic pressure ulcer across the posterior waistline of an obese trauma patient. The same patient had a pressure ulcer covered with eschar on the right buttock (middle). The wound has been scored to allow penetration of a wound gel to initiate autolytic debridement. Following surgical debridement, 2 connecting Stage IV pressure ulcers with a deep cavity evolved. The photograph at right depicts improvement after 10 days of treatment with negative pressure wound therapy (V.A.C.; KCI, San Antonio, TX).

Goals for treatment of obese patients include management of wound drainage, prevention or resolution of infections, healing of pressure ulcers, protection of periwound skin, and enhancement of the patient’s comfort.18

Venous ulcers

Obesity can induce venous hypertension.19 Venous hypertension results when incompetent valves in the lower extremities prevent venous return, causing blood to pool and thus increasing the venous pressure. The failure of venous pressure to fall as the blood flows from the superficial veins to the deep veins creates a climate of venous hypertension.20

Obesity that prevents ambulation exacerbates venous hypertension because the calf muscle is not working to keep the veins pumping the blood out of the leg. Extra girth composed of adipose tissue and fluid contributes to venous hypertension (Figure 4).

The cause of leg ulcerations is not as clear in the literature. Three theories are prominent: the fibrin cuff theory, the white blood cell trapping theory, and the trapping theory.19-20 The fibrin cuff theory originally proposed that fibrinogen leaked into dermal tissue; the fibrinogen hardened around capillaries, resulting in a barrier to oxygen and nutrients, causing tissue death and ulceration.21 More recent studies, however, have shown that fibrin cuffs do not disturb transcutaneous oxygen levels and that venous ulcers can heal in the presence of fibrin cuffs.20 The white blood cell trapping theory suggests that leukocytes are trapped due to sluggish blood flow, causing the capillaries to become plugged and resulting in tissue ischemia.21 Falanga and Eaglstein have suggested that leaked macromolecules trap growth factors and matrix material, rendering them unavailable to maintain normal tissue and repair wounded tissue.22

Management of venous ulcers includes compression wrapping to reduce edema and local wound care to heal ulcers. However, the most important issue to address is the underlying disease process and resulting comorbidities.

Stress response –

Pain, anxiety, hypovolemia, and hypothermia trigger the stress response, causing the release of epinephrine, norepinephrine, and other catecholamines. This results in peripheral vasoconstriction, thus decreasing subcutaneous tissue oxygenation.

For example, norepinephrine is increased 3-fold in the early, postoperative hours, peaking with the patient’s first expression of pain.23 Adrenocorticotrophic hormones secreted during stress cause a decreased inflammatory response, the second phase of wound healing.21 Deficits in circulatory fluid volume (hypovolemia) and decreases in venous return result in reduced cardiac output and systemic hypotension, further compromising tissue perfusion. Hypothermia is also common immediately postoperatively, causing increased oxygen; demands and raising metabolism.

Constipation

Pain-relieving narcotics and immobility can cause constipation in any postoperative patient. Straining causes intra-abdominal pressure, which is known to disrupt wounds and cause dehiscence. Using stool softeners can prevent some problems.

Figure 4.

PATIENT WITH VENOUS HYPERTENSION

This morbidly obese male patient’s abdominal girth contributes to resistance to return of venous blood flow. Treatment of his multiple venous ulcers includes bilateral Unna’s boots.

ASSESSMENT AND INTERVENTION

Equipment

Initial assessment of an obese patient should include an inventory of special equipment needed to eliminate risk of injury to the patient and staff, such as:

* a bed wide enough for the patient to turn independently

* a walker to support the weight for the first few postoperative days, if the patient is undergoing surgery

* an overhead trapeze to help the patient reposition himself or herself

* lifts for moving the patient safely

* a bedside commode.24

It is important to convey to the patient that the clinician is skilled and knowledgeable in the use of special equipment; many obese patients fear injury to themselves or to their caregivers.18

In addition to equipment, assess the need for and obtain any special supplies, such as extra wound care dressings and special- sized gowns. This will ensure that all patient care needs are met in an adequate and prompt manner.

Incisions

Postoperatively, assess incision sites. Hematoma formation can be caused by inadequate hemostasis. Signs and symptoms include skin discoloration at the incision site and vitals signs consistent with blood loss.5

Nausea

Assess for nausea if the patient has an abdominal incision- abdominal wounds in obese patients have excess tension due to adipose tissue and edema. Vomiting can add intra-abdominal pressure at the incisional area. The patient may require a nasogastric tube or antiemetics, or he or she may need to be kept NPO until the nausea and vomiting subside.

Respiratory function

Assess respiratory function and encourage use of inspiratory spirometers. Slow, deep breaths can help increase oxygen levels.Vigorous coughing can add intrathoracic pressure and more stress on the abdominal incision. Provide pillows to splint incisions when patients do cough.

Dressings

Binders are helpful with abdominal incisions. Binders should be released slowly and fastened gently. Abruptly ripping away tape over incisions can separate approximated edges and cause stripping damage to the skin. Use the press/lift technique of lifting tape with one hand while gently pressing the fingers of the other hand on the skin and closely following the tape.

Wet, soiled dressings should be removed. They indicate a draining and possibly dehisced wound, and they can be irritating to the skin. Record the condition of the incisional wound, including the presence or absence of edema, induration, color, and drainage. It is important to note the approximation of wound edges, or lack of it, and where separation is occurring.

Drains

Closed wound suction devices, such as the Jackson-Pratt drain, should be checked frequently for proper functioning. The bulb is compressed to create negative pressure required to move air and secretions so that seromas or hematomas will not develop.5 Record amounts of drainage emptied from them and the nature of the drainage.

Nutrition

For wounds to heal, a patient must be in a state of positive nitrogen balance. Nitrogen balance is defined as the difference between nitrogen intake and nitrogen excretion. When a patient’s nitrogen intake exceeds his or her nitrogen excretion, the resultant”positive”nitrogen balance suggests the availability of protein for repair of nutritional deficits.8 Serum albumin is the major protein synthesized by the liver. It maintains plasma oncotic pressure and delivers metabolites, enzymes, drugs, and hormones in the bloodstream. Albumin facilitates wound healing. During trauma, albumin synthesis decreases and utilization of albumin increases at wound sites.8 Low serum albumin values are an indicator of impaired wound healing. Any obese patient should have a nutritional consult and discharge planning should include a follow-up for nutritional counseling.

Pain

Pain assessment and intervention are paramount to successful recovery. One study found that obese patients given epidural morphine were more able to sit, stand, ambulate, and tolerate more vigorous physiotherapy postoperatively than obese patients who received intramuscular morphine. There were fewer pulmonary complications in the patients receiving epidurals, and wound healing was unimpaired.25

Pressure ulcer prevention

The Braden Scale for Predicting Pressure Sore Risk is a cumulative score from 6 subscales to determine risk for development of pressure ulcers.26 A score is assigned to each subscale: sensory, nutrition, mobility, moisture, activity, and friction and shear. Some critics claim that this risk assessment tool leaves out factors, such as circulation, that would make it more beneficial in the critical care setting,27 where most obese postsurgical patients are managed. Some have proposed adaptations or alternative risk assessment tools more customized to intensive care units (ICUs). One study designed the Heel Pressure Ulcer Risk Assessment Tool, a 3- part risk assessment/prevention tool specifically for patients in ICUs.28 Regardless of what the critics say, the important point is that any risk assessment scale is intended to identify risks and prompt interventions to reduce those risks (such as using a moisture barrier in skin folds to prevent friction-induced ulcers).

Turning patients at least every 2 hours-more if indicated by the patient’s condition-is a standard inter\vention to prevent pressure ulcers. In the ICU, however, many patients cannot be turned. Instead, positional changes of legs and arms are beneficial. Heels should always be”floated.”Heel ulcers are the only pressure ulcers that are preventable, yet the heels consistently : appear in the literature as the second most common site of pressure ulcers.29,30

SUMMARY

A team approach, in which goals are mutually established and the patient is a cooperative participant, is considered to be most effective means of managing an obese patient. A frank, nonjudgmental discussion should be conducted about the effects of obesity on the outcomes of wound healing, as well as therapeutic options.

Obese patients present specific challenges to care. If clinicians are knowledgeable about obese patients’ risks, they are more able to intervene to eliminate or reduce potential problems. Understanding basic wound care and the assessment process is a precursor to identifying the special physiologic responses in postsurgical patients who are obese.

REFERENCES

1. Centers for Disease Control and Prevention. 1991-2001 prevalence of obesity among U.S. adults, by characteristics. Available at http://www.cdc.gov/nccdphp/dnpa/obesity/ trends/ prevjhar.htm; accessed August 3,2004.

2. American Obesity Association. What is obesity? Available at http://www.obesity.org/ subs/fastfacts/obesity_what2.shtml; accessed August 3,2004.

3. Maklebust J, Sieggreen MY. Pressure Ulcers: Guidelines for Prevention and Nursing Management, 2nd ed. Springhouse, PA: Springhouse Corporation; 1996.

4. Brashers VL, Davey SS. Alterations of pulmonary function. In: McCance KL1 Huether SE, editors. Pathophysiology: The Biologic Basis for Disease in Adults and Children, 3rd ed. St. Louis, MO: Mosby; 1998. p 1158-1200. 5. Groszek DM. Promoting wound healing in the obese patient. AORN J 1982;5:1132-8.

6. Jacobson TM. Obesity and the surgical patient: nursing alert. Ostomy Wound Manage 1994;40(2):56-8, 60-3.

7. Van Meter K. Systemic hyperbaric oxygen therapy as an aid in resolution of selected chronic problem wounds. In: Krasner D, Kane D, editors. Chronic Wound Care: A Clinical Source Book for Professionals, 2nd ed. Wayne, PA: Health Management Publications Inc.; 1997. p 260-75.

8. Pinchofsky-Devin G. Nutritional assessment and intervention. In: Krasner D, Kane D, editors. Chronic Wound Care: A Clinical Source Book for Professionals, 2nd ed. Wayne, PA: Health Management Publications Inc.; 1997. p 73-83.

9. Armstrong M. Obesity as an intrinsic factor affecting wound healing. J Wound Care 1998;7:220-1.

10. Johnson RG, Cohn WE, Thurer RL, McCarthy JR, Sirois CA, Weintraub RM. Cutaneous closure after cardiac operations: a controlled, randomized, prospective, comparison of intradermal versus staple closures. Ann Surg 1997;226:606-12.

11. Printen KJ, Paulk SC, Mason EE. Acute postoperative wound complications after gastric .

surgery for morbid obesity. Am Surg 1975;41:483-5

12. Derzie AJ, Silvestri F, Liriano E, Benotti P. Wound closure technique and acute wound complications in gastric surgery for morbid obesity: a prospective randomized trial. J Am Coll Surg 2000:191:238-43.

13. Winiarsky R, Barth P, Lotke P. Total knee arthroplasty in morbidly obese patients. J Bone Joint Surg Am 1998;80:1770-4. ‘

14. Hopf H, Hunt T, West J, et al. Wound tissue oxygen tension predicts the risk of wound infection in surgical patients. Arch Surg 1997;132:997-1004.

15. lsraelsson LA, Jonsson T. Overweight and healing of midline incisions: the importance of suture technique. Eur J Surg 1997;163:175-80.

16. Chang DW, Wang B, Robb GL, et al. Effect of obesity on flap and donor-site complications in free transverse reclus abdominis myocutaneous flap breast reconstruction. PIaSt Reconstr Surg 2000:105:1640-8.

17. Houston MC, Raynor BD. Postoperatiave morbidity in the morbidly obese parturient woman: supraumblilical and low transverse abdominal approaches. Am J Obstet Gynecol 2000:182:1033-5.

18. Murphy K, Gallagher S. Care of an obese patient with a pressure ulcer. J Wound Ostomy Continence Nurs 2001 ;28:171-6.

19. Davis JM, Crawford PS. Persistent leg ulcers in an obese patient with venous insufficiency and elephantiasis. J Wound Ostomy Continence Nurs 2002:29:55-60.

20. FalangaV. Venous ulceration: assessment, classification and management. In: Krasner D, Kane D, editors. Chronic Wound Care: A Clinical Source Book for Professionals, 2nd ed. Wayne, PA: Health Management Publications Inc.; 1997. p 165-171.

21. Doughty DB, Waldrop J, Ramundo J. Lower-extremity ulcers of vascular etiology. In: Bryant R, editor. Acute and Chronic Wounds: Nursing Management, 2nd ed. St. Louis, MO: Mosby; 2000. p 265-300.

22. Falanga V, Eaglstein WH. The “trap” hypothesis of venous ulceration. Lancet 1993;341:1006-8.

23. West JM, Gimbel ML. Acute surgical and traumatic wound healing In: Bryant R, editor. Acute and Chronic Wounds: Nursing Management, 2nd ed. St. Louis, MO: Mosby; 2000. p 189-96.

24. Gallagher S. Bariatric surgery: An important tool for treatment and weight loss of the obese patient. Xtra-Wise 2001 ;3(1):3. SIZEWise Rentals, Prairie Village, KS.

25. McCaffery M, Pasero C. Pain: Clinical Manual, 2nd ed. St. Louis, MO: Mosby; 1999.

26. Bergstrom N, Braden BJ, Laguzza A, Holman V. The Braden Scale for Predicting Pressure Sore Risk. Nurs Res 1987;36:205-10.

27. Jiricka MK, Ryan P, Carvalho MA, Bukvich J. Pressure ulcer risk factors in an ICU population. Am J Grit Care 1995;4:361 -367.

28. Blaszczyk J, Majewski M, Sato F. Make a difference: standardize your heel care practice. Ostomy Wound Manage 1998;44(5):32-40.

29. Carlson EV, Kemp MG1 Shott S. Predicting the risk of pressure ulcers in critically ill patients. Am J Crit Care 1999;8:262-9.

30. Cuddiggan J, Ayello EA, Sussman C, editors. Pressure Ulcers in American: Prevalence, Incidence, and Implications for the Future. Reston, VA: National Pressure Ulcer Advisory Panel; 2001.

Case REPORT: Complications of Gastric Bypass Surgery

A 54-year-old Hispanic female presented for a second gastric V bypass surgery. At 5-foot, 1-inch and 289 pounds, she was more than twice her ideal weight. Significant history included hypertension, gastroesophageal reflux, nocturnal oxygen desaturation requiring home oxygen, degenerative joint disease, venous hypertension with ulceration, and degenerative joint disease. She denied smoking and drinking and did not have diabetes.

The patient had undergone gastric bypass surgery in 1994 via the Roux-en-Y procedure to reduce her weight after years of battling obesity. Her bypass was effective for 3 to 4 years. Then she began gaining weight again. Because of her decreasing ability to ambulate and failing self-esteem, she initiated another evaluation for a redo gastric bypass in early 2001.

An upper gastrointestinal (Gl) series revealed a gastric fistula. This indicated the breakdown of her staple line, allowing an increased capacity for intake. After psychological evaluation and preoperative assessment, she underwent a second Roux-en-Y, a partial gastrectomy, a small bowel resection, and 2 enteroenterostomies on July 13, 2001. Her laboratory results at the time of admission reported a low albumin level of 2 mg/dL and hemoglobin and hematocrit levels of 11 and 33, respectively.

Postoperatively, the patient was transferred to the intensive care unit (ICU). An epidural catheter provided a route for morphine administration for pain relief. Two abdominal drains were inserted to prevent fluid collection in the abdominal tissue, and a nasogastric tube was utilized to minimize gastric contents to protect the gastric suture line. The patient retained 15 L of resuscitation fluids, adding more weight and workload to her heart, lungs, and kidneys. Patients with edematous tissue risk having complications of incisional breakdown, anastomotic leaks, and a prolonged ileus.1

The following describes the postoperative condition of the patient’s lungs, Gl tract nutritional status, and abdominal wound. The events are reported by the intrinsic factors that impede wound healing in the obese patient, rather than chronologically, to better associate the cause and effect of each complication. As the physiologic insults to each organ system accumulated, the outcome for this patient became worrisome.

Cardiopulmonary

Postoperatively, the patient was extubated in the recovery room and placed on 100% oxygen via face mask. Obese people are chronically hypoxic because of hypoventilation due to restricted lung capacity.2 This patient was known to require home oxygen therapy at night. On July 15, she became hypotensive (blood pressure 75/34 mm Hg), with shortness of breath, which raised concerns of a myocardial infarction (Ml). The Ml was ruled out, but a chest X-ray demonstrated bibasilar atelectasis.

The patient emergently returned to surgery on July 25 for repair of an incarcerated bowel that threatened the viability of the gut. She was kept heavily sedated on the ventilator to maximize oxygnation with minimal effort and to prevent straining of the suture lines. She developed pleural edema and worsening bibasilar air space on July 28 and remained on the ventilator until August 8. One day later she developed severe tachycardia, tachypnea, and a dramatic drop in her oxygen saturation levels. Pneumonia was confirmed, and she was once again placed on the ventilator. A tracheostomy was performed on August 17 to reduce complications from long-term endotracheal intubation. Chest X-rays continued to identify pneumonia, and attempts to wean her from the ventilator failed. Oxygenation to support wound healing, angiogenesis, and collagen formation remained compromised throughout the first 1 months after the original surgery.

Increased intra-abdominal pressure

The first sign of potential wound dehiscence appeared on July 17 with the leakage of a small amount of serous fluid at the distal end of the incision. Cooper^sup 3^ described serous drain\age from the wound bed that occurs between the 5th and the 12th day postoperatively as a classic sign of pending dehiscence. On the 5th postoperative day (July 18), the patient complained of nausea and experienced several episodes of vomiting, which caused increased intra-abdominal pressure against the gastric and abdominal suture lines. An upper Gl series indicated slow passage of contrast material. A computerized tomography (CT) scan confirmed an ileus, which added back-flow pressure to the suture lines; no bowel dilation or leaks were found.

On July 21, wound dehiscence was declared secondary to an abdominal abscess. The distal sutures were removed from the incision and 30 cm^sup 3^ of purulent drainage was collected. Two days later, the wound, ostomy, and continence nurse was called to assess the wound because greenish-yellow output had become part of the exudate. A small bowel fistula was evident.

On July 23, a repeat CT scan indicated possible incarceration of the bowel within a large ventral hernia, an additional cause of increased bowel pressure. Surgery was performed to relieve it the following day. The bowel was found kinked and twisted, with necrosis and perforation. The incision (30 cm wide and 25 cm long) was left open to heal by secondary intention. The episodes of vomiting, the ileus, and the abscess were paramount issues in affecting the integrity of the abdominal and bowel suture lines.

Stress and pain management

Pain is a Stressor to the healing process. According to Chang et al,4 the body’s reaction to stress causes vasoconstriction from the action of epinephrine, leading to decreased blood perfusion to all tissues including the wound. In an obese person, circulation is already compromised because adipose tissue is poorly vascularized.2,5-7 When pain control was inadequate via her epidural catheter, the patient become agitated and hypertensive (190/100 mm Hg) due to vasoconstriction. Minimizing anxiety by anticipating her discomfort and medicating her appropriately were imperative to prevent the stress response. After the epidural was discontinued, she received a patient-controlled analgesia pump. This gave her the ability to manage her own pain, which allayed fears of waiting for pain medication to be delivered. The stress reaction decreased blood flow to the wound sites and negatively affected optimal healing.

Infection

seepage of serous drainage appearing between the distal sutures on July 17 was the first sign of a wound complication. In obese patients, seromas and hematomas develop easily in the dead space of the fatty tissue, which is poorly perfused.2’58 Despite placement of Jackson-Pratt drains during the initial and subsequent surgeries, this patient developed a seroma in the subcutaneous fatty tissue. On July 18, the lower sutures were removed so that the seroma could drain.

On July 25, the patient was returned to surgery for exploration of the surgical site. An abscess was located and intubated with a catheter to drain the pocket. The abscess fluid cultured Escherich/ a coil and the health care provider ordered the antibiotics piperacillin (Zosyn) and enoxaparin sodium (Lovenox). A bowel perforation and contamination caused peritonitis. Because of the infection and fistula output, the wound was left open to heal by secondary intention.

Over the next 2 months this patient had a Candida alfacans infection and was treated with amphotericin B. Pseudomonas aeruginosa was found in the sputum and urine. A second abdominal abscess was identified in August and was treated with gentamicin sulfate (Garamycin). A methicillin resistant Staphylococcus aureus was detected at the central line insertion site on August 25 and the patient was placed in isolation.

During October, November, and December, Pseudomonas continued to be present in the urine and sputum. S aureus was still growing in the sputum and blood cultures just before discharge in December. The burden of infection compromised oxygnation and circulation early in the recovery period, causing necrosis of the bowel and fistula formation, failure of initial skin grafts to take, and wound dehiscence.

Nutrition

Protein provides the building blocks for tissue repair.1 On admission, the patient had a low albumin of 2 g/dL (normal 3.5 to 5 g/dL). Albumin reflects the patient’s nutritional status about 20 days prior to the blood draw.1 By the second surgery on July 25, her albumin had dropped to 1.2 g/dL, depicting the utilization of proteins required during traumatic events to the body.1 She had been NPO for 2 weeks after surgery and so tube feedings were attempted. Because of the ileus, increased fistula output, and leakage around the gastric tube, feedings were stopped and total parenteral nutrition was begun. A prealbumin level was obtained, which provided a more current nutritional picture.1 It measured a low 11.1 (normal 18 to 45).

Figure 1.

SKIN GRAFTS

Skin grafts cover the wound surface. A gully is seen at 6 o’clock below the fistula. A small fistula is seen in the upper center of the wound.

Figure 2.

SITE PREPARATION

The site is prepared with Skin Bond Cement, Strip Paste (to fill the ridge), and Soft Flex barrier rings (to fill the gully). The barrier rings were cut to fit and layered until level with the skin.

Figure 3.

FISTULA CONTAINED

A Durahesive wafer with a convex insert and urostomy pouch was used to contain the main fistula.

Figure 4.

FISTULA POUCHED

The upper fistula was pouched with Stomahesive flexible wafer and urostomy pouch to prevent undermining of the lower wafer.

The third surgery on August 11 was intended to close the fistula and apply skin grafts to the abdominal wound. Tube feedings were resumed on August 13, but were discontinued because of fistula recurrence. Progress to heal these body insults was interrupted by each surgery because the increased nutritional demands for healing were greater than her body’s resources to build tissue. The patient was in a state of carbohydrate and protein malnutrition.

Initiatives for wound management

The patient’s immediate postoperative plan of care progressed on schedule. She was out of bed with 2 abdominal binders in place on July 14. She started a gastric I diet. Then the difficulties began. The fecal material found in the exudate halted her oral intake. Temperature elevations caused excessive weakness, leaving her unable to perform daily personal care. Surgery performed on July 25 left a large open abdominal wound to heal by secondary intention.

The wound was managed with gauze impregnated with petrolatum to keep the wound bed moist and protected from the fistula effluent. The enterocutaneous small bowel fistula was located above the bottom rim of the wound at 6 o’clock. A large Malecot catheter was swaddled in moist saline gauze and placed beneath the active fistula to draw the drainage out of the wound. The wound area was much too large to pouch with a wound manager, and so the entire site was packed with moist normal saline Kerlix (Tyco Healthcare/Kendall, Mansfield, MA) and covered with loban (3M Health Care, St. Paul, MN), a larger, thicker transparent film dressing found in the operating room. The periwound skin was protected from this adhesive dressing by applying a hydrocolloid platform around the entire wound margin. This sealed system was connected to low wall suction.

After 3 attempts, skin grafting succeeded in covering the majority of the wound, allowing the use of a pouching system to collect the output (Figures 1 and 4). Skin Bond Cement (Smith & Nephew, Largo, FL) was applied to the skin grafted area of the abdomen and the backs of the wafer pieces. Containment of the output was complicated by the narrow gully between the stoma at 6 o’clock and the lower skin margin. Coloplast Strip Paste (Coloplast Corp., Marietta, GA) was used as a filler along the rim. To enhance the wafer seal, Hollister SoftFlex skin barrier rings (Hollister Incorporated, Libertyville, IL) were used to fill the gap below the fistula and the rim of the lower wound margin until it was at the level of the abdominal skin (Figure 2). A Durahesive wafer (ConvaTec, Skillman, NJ) with a convex insert was used to contain the main fistula (Figure 3).

The mucous fistula above and central of the bowel fistula produced copious amounts of thin, mucus-like output. It was also pouched to prevent undermining of the larger fistula’s wafer (Figure 4). After placement of pouches, the wafer margins around the main fistula were extended with Stomahesive wafer strips (ConvaTec, Skillman, NJ) to ensure contact to healthy skin for stability.

Wearing time for the system was unpredictable and ranged from 2 to 7 days. Her husband was instructed in many problemsolving tricks to maintain the seal. He helped maintain the pouching system at the rehabilitation center and at home. He was a wonderful source of encouragement to his wife and his ability to manage the collection system gave her confidence in going to the rehabilitation center.

Summary

After 52 days in ICU and 168 days (more that 5 months) in the hospital, this patient was sent to a rehabilitation center. When pouching failures became more frequent after the wound margins became less pronounced, the husband was given a Hollister Drainable Fecal Incontinent Collector (Hollister Incorporated, Libertyville, IL) to serve as the fistula pouch. The large pouch capacity, along with a drain spout that was attached to a bedside drainage bag at nighttime, was an improvement.

Following 3 months of rehabilitation, the patient went home. She was seen in the enterostomal therapy clinic for special supply acquisition. At that time, she was increasing her activities at home, was well dressed, and had been to the hair salon. Her attitude about recovery continued to be optimistic.

Three weeks after her discharge, however, she developed lower back pain and fever and was readmitted to the hospital. Within 8 hours, she was found to have \a spinal abscess that quickly caused lower extremity paralysis. She was placed on a bariatric bed frame and a rotating pressure relief mattress to assist in respiratory toileting. An increasing temperature and respiratory distress sent her to the ICU. She developed sepsis and respiratory failure, and she died of her complication only 10 months after her second elective bypass surgery.

References

1. Pinchofsky-Devin G. Nutritional assessment and intervention. In: Krasner D, Kane D, editors. Chronic Wound Care: A Clinical Source Book for Professionals, 2nd ed.Wayne, PA: Health Management Publications Inc.; 1997. p 73-83.

2. Groszek DM. Promoting wound healing in the obese patient. AORN J 1982:5:1132-8.

3. Cooper D. Wound assessment and evaluation of healing. In: Bryant R, editor. Acute and Chronic Wounds: Nursing Management. St. Louis, MO: Mosby Year Book; 1992. p 69-90

4. Chang N, Goodson W, Gottrup F, Hunt T. Direct measurement of wound and tissue oxygen tension in postoperative patients. Ann Surg 1983;197:470-8.

5. Armstrong M. Obesity as an intrinsic factor affecting wound healing. J Wound Care 1998;7:220-1.

6. Johnson RG, Conn WE, Thurer RL, McCarthy JR, Sirois CA, Weintraub RM. Cutaneous closure after cardiac operations: a controlled, randomized, prospective, comparison of intradermal versus staple closures. Ann Surg 1997;226:606-12.

7. Falanga V. Venous ulceration: assessment, classification and management. In: Krasner D, Kane D, editors. Chronic Wound Care: A Clinical Source Book for Professionals, 2nd ed.Wayne, PA: Health Management Publications Inc.; 1997. p 165-171.

8. Printen KJ, Paulk SC, Mason EE. Acute postoperative wound complications after gastric surgery for morbid obesity. Am Surg 1975;41:483-5

Joyce A. Wilson, MSN, RN, CWOCN * Wound, Ostomy, Continence Consultant * Department of General Surgery * Wilford Hall Medical Center * Lackland Air Force Base * San Antonio, TX

Jan J. Clark, BSN, RN, CWOCN * Wound, Ostomy, Continence Consultant * Department of General Surgery * Wilford Hall Medical Center * Lackland Air Force Base * San Antonio, TX

The authors have disclosed that they have no significant relationship with or financial interest in any commercial companies that pertain to this educational activity.

Adapted from Wilson JA, Clark JJ. Obesity: impediment to wound healing. Crit Care Nurs Q 2003:26:119-32.

Copyright Springhouse Corporation Oct 2004

Principles of Post-Operative Patient Care

By reading this article and writing a practice profile, you can gain a certificate of learning. You have up to a year to send in your practice profile. Guidelines on how to write and submit a profile are featured at the end of this article.

Summary

Surgery causes physiological stress on the body and carries inherent risks such as shock and haemorrhage. This article discusses cardiogenic and hypovolaemic shock and outlines the principles of safe and effective post-operative care, including recognising hypovolaemia, maintaining fluid balance and administering pain control.

Key words

* Pain relief

* Post-operative care

* Surgical nursing

These key words are based on subject headings from the British Nursing Index. This article has been subject to double-blind review.

Aim and intended learning outcomes

Although different surgical procedures require specific and specialist nursing care, the principles of post-operative care remain the same. This article aims to explore the principles of caring for post-operative patients by reviewing the literature and scrutinising the available evidence for surgical nurses to reflect on and use to enhance the care they provide.

After reading this article you should be able to:

* Discuss the observations that are essential for; maintaining haemodynamic stability and determining shock in post-operative patients.

* Identify the importance of monitoring and maintaining fluid balance.

* Identify the reasons for oxygen therapy in the post-operative patient, the methods of administration and potential problems with pulse oximetry measurement.

* Briefly outline the physiological mechanism for pain perception, the options for post-operative pain management and methods available for determining the severity of pain.

* Outline the complications that can occur as a result of surgery and the strategies that can be employed to prevent them.

Introduction

In 2001 the National Confidential Enquiry into Patient Outcome and Death (NCEPOD) published an audit of post-operative deaths. It showed how audit can be used to aid the learning process because it highlighted many consistent challenges to good patient care. Many of the audits of patient deaths undertaken by NCEPOD highlight issues of fluid balance and cardiogenic or hypovolaemic shock (NCEPOD 2001). It is for this reason that this article focuses on cardiogenic and true hypovolaemic shock.

Although patients with shock can be described as having circulatory failure, there are two other classifications of shock that can affect surgical patients (Anderson 2003). These are obstructive shock (including pulmonary embolus, cardiac tamponade and tension pneumothorax) and apparent hypovolaemia (including sepsis, anaphylaxis, neurogenic and adrenal insufficiency) (Anderson 2003). Although these other two classifications of shock are just as important as cardiogenic and true hypovolaemic shock, because this article aims to be an educational resource for the general surgical audience related to the NCEPOD (2001) findings, these have not been included. However, Anderson (2003), Collins (2000) and Edwards (2001) are good educational resources regarding obstructive and apparent hypovolaemic shock.

There are several other essential elements to providing safe nursing care for post-operative patients, such as the administration of oxygen, pain control and preventing complications. It is vital that nurses working in the surgical specialties are aware of the evidence available to ensure safety of care for patients.

While these elements are fundamental to post-operative care, good surgical care starts at admission with the provision of pre- operative education to reduce patient anxiety as well as the inherent physical risks of surgery (Hughes 2002, Torrance and Serginson 2000). Pre-operative education should be reinforced post- operatively because patients forget up to 60 per cent of the information they are given as a result of anxiety (Bysshe 1988).

Effects of surgery

Surgery causes physiological stress (Torrance and Serginson 2000). During times of stress, the hypothalamic-pituitary-adrenal pathway is activated. This causes a release of catecholamines, such as adrenaline (epinephrine) and noradrenaline (norepinephrine), via the sympathetic-adrenal medullary system.

Emotional distress has also been found to increase the production of cortisol, a steroid hormone produced in the cortex of the adrenal gland. Cortisol has several functions in the body that can have implications for the post-operative patient, such as:

* Increasing metabolism.

* The excretion of water through mineralocorticoid activity.

* Increasing cardiovascular tone in the presence of vasoactive hormones, such as angiotensin II, vasopressin and adrenaline (epinephrine).

* Increasing temperature and blood glucose levels, as well as reducing the immune response, which in turn diminishes inflammation enabling wound healing.

An increase in cortisol can also lead to muscle or protein depletion, which can delay wound healing. For this reason nutrition plays an important role in post-operative care (Clancy and McVicar 2002) and pre- and post-operative fasting times need to be considered. However, it has been found by O’Callaghan (2002) that nurses fast patients for longer than necessary. Bisgaard and Kehlet (2002) suggest that patients can be fed orally, even in the early stages following major abdominal surgery, without increased risk of paralytic ileus or dehiscence of the gut anastomosis. Clancy and McVicar (2002) discuss the effects that surgery can have on protein depletion and for this reason the increased risk of malnutrition following surgery can have a notable effect on wound healing.

Elevated levels of cortisol and catecholamines can have direct implications for surgical patients with specific conditions, such as myocardial ischaemia and hypertension because the increase in cortisol affects cardiovascular tone. Patients with diabetes can have problems controlling their blood glucose levels for more than a week after an operation due to hyper-reactivity states and insulin resistance caused by the exaggerated response of glucogenesis to the production of cortisol (Halpin 1988, Steptoe 1991).

Monitoring haemodynamic stability

Because of the body’s physiological response to stress and the inherent surgical risk of shock and haemorrhage, regular post- operative observations are the cornerstone of safe surgical practice. The nature of the operation as well as the method of pain control will determine the regularity of these observations.

Indicators of haemodynamic stability should be observed in all surgical patients. These should include:

* Blood pressure.

* Peripheral oxygen saturation.

* Pulse.

* Respiration rate.

* Temperature.

Because of the risk of failure of electronic equipment for measuring observations it is essential that nurses develop the skill and dexterity to monitor patients’ vital signs with traditional manual equipment. The senses, such as hearing and touch, can be employed because reliance on electronic equipment can also prevent the early recognition of arrythmias that can be associated with cardiogenic shock.

Some patients might benefit from central venous pressure (CVP) monitoring in the ward environment to determine circulatory volume (Woodrow 2002). Drain output can be an unreliable method of determining blood loss because they can become blocked with clots (Anderson 2003). Chest X-rays are a useful tool in determining pulmonary oedema, as are daily weights in assessing fluid balance (Toto 1998).

A reduction in systolic blood pressure following surgery can indicate hypovolaemic shock which can lead to inadequate tissue perfusion, damage at a cellular level and ultimately major organ failure (Anderson 2003). However, blood pressure measurement can be variable. Because of the body’s compensatory mechanisms patients can lose up to 30 per cent of their circulatory volume before the effects of hypovolaemia are reflected in systolic blood pressure measurements or heart rate (Anderson 2003, Collins 2000). Therefore, when assessing patients, it is useful to consider the early signs of reduced tissue perfusion in detecting signs of shock (Anderson 2003, Collins 2000, Jevon and Ewens 2002):

* Restlessness or confusion as a result of cerebral hypoperfusion or hypoxia.

* Increased respiratory rate occurs before signs of tachycardia and hypotension.

* Tachycardia as the heart attempts to compensate for the low circulatory blood volume.

* Low urine output of

* Increased temperature but this can also be due to the immune response associated with surgery.

* Cold peripheries resulting in a poor signal on the pulse oximeter.

Whatever the cause of hypovolaemic shock, the aim of treatment is to restore adequate tissue perfusion. Excessive blood loss might require blood transfusion and occasionally surgical intervention, while often fluid resuscitation, with crystalloid or colloid and increased oxygenation to maintain saturation above 95 per cent, is sufficient to promote recovery for many patients, if the signs are recognised in the compensatory phase. The maintenance of a pulse oximeter reading above 95 per cent can be difficult due to the dilution o\f blood with intravenous fluids (Collins 2000).

Cardiogenic shock is another post-operative complication that results in the death of many acutely ill surgical patients (NCEPOD 2001). This is caused by the failure of the myocardial ‘pump’, which could be a result of a pre-existing condition (Anderson 2003, Jevon and Ewens 2002). In response to surgery the metabolic demands of the body increase and adrenaline (epinephrine) and noradrenaline (norepinephrine) are released as the heart rate increases due to the compensatory mechanism. The body’s tissues and cells then require more oxygen which exacerbates the performance of the already pressurised myocardium. This can result in a cardiac arrhythmia or myocardial infarction (Edwards 2001, Jevon and Ewens 2002).

Treating cardiogenic shock depends on the patient’s condition. All patients will require close observation with supplementary oxygen to meet the body’s metabolic demands. Some patients might require inotropic support while others might require chemical cardioversion with amiodarone or digoxin to treat arrythmias and improve contractility of the heart (Anderson 2003).

Many acute hospital trusts now employ outreach teams, a result of a commitment in Comprehensive Critical Care (DoH 2000), to provide support for ward-based staff in caring for highly dependent patients outside the ward environment. While there is little evidence in the literature to support the success of these teams in terms of patient outcomes, there is a great deal of anecdotal evidence to advocate their existence in preventing admission to critical care areas and educating ward-based staff (Coombs and Moorse 2002, Robson 2002).

Fluid balance

In health, fluid balance is regulated by autoregulatory homeostatic mechanisms. In ill health, or following surgery, where there is a disturbance to homeostasis, the extrinsic – or negative feedback – mechanism of fluid and electrolyte balance attempts to restore homeostasis (Clancy and McVicar 2002). In many surgical patients these extrinsic mechanisms require medical assistance to replace the fluids and electrolytes that are lost during surgery, thus restoring the constant internal environment.

There are two major fluid compartments. Intracellular fluid (ICF) is contained in the cell membrane while the extracellular fluid (ECF) is found outside the cells. The ECF is divided further into two parts which are the intravascular volume and interstitial fluid that surrounds the cells (Clancy and McVicar 2002, Heitz and Home 2001, Sadler2001).

Water and its solutes are able to shift between the compartments through selectively permeable membranes that only allow molecules of a certain size to pass. Transport of body fluid across these membranes occurs through either diffusion, active transport, filtration, facilitated diffusion, capillary dynamics or osmosis (Clancy and McVicar 2002, Heitz and Home 2001).

There is a potential ‘third’ space in the gut into which fluid can shift and accumulate. This fluid shift can also occur at the site of surgery resulting in oedema due to the inflammatory response which is initiated during surgery (Carroll 2000, Clancy and McVicar 2002, Heitz and Home 2001). The fluid here is temporarily unavailable and replacement fluids are essential to prevent hypovolaemic shock.

Fluid shifting from one compartment to another has direct effects on urine output as the circulatory volume decreases. For these patients the use of diuretics to stimulate urine output can be dangerous because the fluid is removed from the extracellular volume, causing further hypovolaemia and can lead to circulatory collapse (Heitz and Home 2001, Sadler 2001).

Anderson (2003) suggests several iatrogenic factors that can contribute to fluid imbalance in the post-operative period, such as:

* Bowel preparation.

* Infiltrated cannulaes.

* Poor fluid prescription.

* Pre-operative fasting times.

Therefore, the replacement of fluids in the post-operative period is essential to ensure adequate hydration and safe nursing practice.

Fluid replacement regimens depend on the type and volume of fluids lost during surgery. The most commonly used fluids on the surgical ward are crystalloids and colloids, which have different functions. Crystalloid fluids include (Clancy and McVicar 2002, Sadler 2001):

* 0.9% sodium chloride. This is used to support the ECF level. Saline is an isotonic solution and exerts the same osmotic pressure as that of the cells. Because its osmolarity is similar to that of the body’s fluid it does not move into the intracellular space in large quantities.

* 5% dextrose. This is an isotonic solution used to support the intracellular space. However, as the glucose is metabolised by the cells it becomes hypotonie, allowing the fluid to shift across the membrane into the intracellular space.

* Hartmann’s solution (Ringer’s lactate solution) provides greater support for the extracellular space as it closely mimics the body’s ECF.

Colloid infusions act as plasma expanders and the purpose of these infusions is to support the extracellular compartment. Because of the size of the protein molecules in the fluid they are unable to shift across the capillary membrane and their high osmotic pull encourages a shift of fluid from the intracellular to the extracellular space increasing the intravascular volume (Heitz and Home 2001, Sadler 2001).

The aim of fluid management in surgical patients is to support the maintenance of fluid levels in both the intracellular and extracellular spaces to maintain homeostasis. Crystalloids, in a standard fluid replacement regimen, are often given at a ratio of two litres of 5% dextrose to one litre of 0.9% saline in a 24-hour period to support the body’s cellular requirements (Hope et al 1998, Torrance and Serginson 2000). However, in a fluid replacement regimen for patients undergoing major surgery the prescription of intravenous fluids will take into account factors such as the patient’s weight, fluid and electrolyte excess or deficit, insensible water loss and losses from the gastrointestinal and renal tract (Anderson 2003).

Oxygen therapy

Oxygen is given initially to post-operative patients on reversal of anaesthesia to encourage the transport of anaesthetic gases across the alveolar/capillary membrane in the lungs and out of the body. Supplemental oxygen is often required in higher concentrations because of the increase in the metabolic rate caused by surgery, since it results in physiological stress and trauma (Torrance and Serginson 2000).

Following surgery, the increased production of cortisol and sympathetic nerve activation, as well as the metabolism of glucose, fatty and amino acids, reduce the secretion of insulin. This in turn increases the metabolic rate which has implications at a cellular level as the Krebs citric acid cycle increases the demand for oxygen supply (Clancy and McVicar 2002).

In the post-operative period, if the patient is unable to meet the body’s demand for increased oxygenation, respiratory failure can occur. This can be measured in arterial blood gas sampling as a decrease in blood pH and partial pressure of oxygen levels and a rise in partial pressure of carbon dioxide levels.

In some intensive care areas non-invasive techniques of monitoring carbon dioxide levels such as end-tidal carbon dioxide monitoring (capnometry), which measures the volume of carbon dioxide in exhaled air as it leaves the ventilated patient, are being used as a cost-effective method of measuring the partial pressure of carbon dioxide in arterial blood (Capovilla et al 2000).

Monitoring oxygen saturation has become a routine procedure on surgical wards, with the use of pulse oximetry providing an accurate estimation of the oxygenation of arterial blood (Howell 2002).

The term ‘saturation’ refers to haemoglobin that has four binding sites to which the oxygen molecules can attach, creating oxyhaemoglobin which the pulse oximeter measures (Clancy and McVicar 2002). It is these cells that are responsible for 97 per cent of oxygen transport in the body, while the remaining 3 per cent are dissolved in plasma (Pruitt and Jacobs 2003). However, pulse oximeter readings should be used in conjunction with the clinical assessment of respiration, including rate, rhythm and depth and the use of the accessory respiratory muscles (Casey 2001).

Although the use of such equipment is commonplace, factors that can contribute to poor signals from the pulse oximeter and potentially inaccurate readings that could affect the management of the surgical patient should be considered. These include reduced tissue perfusion or poor peripheral circulation resulting in a poor signal for analysis, hypothermia (shivering) causing an alteration in the light pathway, and strong light that can affect the photo detector in the probe and cause low readings (Anderson et al 2002). Conditions such as hypovolaemia and underlying pulmonary or cardiac disease can affect oxygen transport and thus reduce oxygen saturation (Casey 2001).

Giving oxygen in a surgical environment usually involves delivery through a face mask with a flow regulator. However, some patients will require oxygen therapy for longer periods, which should be given via a humidifier to prevent mucous membranes and pulmonary secretions from becoming dry and uncomfortable for the patient (Field 2000).

Dry secretions can lead to difficulty in expectorating post- operatively and in oxygen transport, particularly if patients have undergone abdominal surgery and their pain is poorly controlled, because this causes difficulty in inspiration. In instances such as these, atelectasis can occur which not only affects oxygen transportation as the alveoli become blocked with plugs of mucus and collapse, but can also lead to chest infection and pneumonia (Beers 2003). Early referral for chest physiotherapy can reduce the incidence of these problems.

Depending on the severity of \the disease and the condition of the patient, treatment to loosen secretions and improve oxygen transport can be given in the following ways (Beers 2003, Woodrow 2003a, 2003b):

* Deep breathing and coughing exercises, except in specific surgery of the ear, eye, brain or abdominal hernias because pressure can be increased at the site of the operation.

* Chest physiotherapy for percussion and providing education for patients.

* Continuous positive airway pressure (CPAP) or biphasic positive airway pressure (BiPAP), ensuring positive end expiratory pressure, which recruits the surface area of the alveoli so gaseous exchange can occur.

* Mechanical ventilation in severe cases. While pre-operative education can reduce the risk of atelectasis occurring, patients should be assessed individually, because not all will be required to undertake deep breathing exercises. Those who would benefit should carry out the exercises five to ten times per hour with the inspiratory breath being held for at least three seconds (Field 2000). For many post-operative patients this will require nursing supervision and support to empower patients in their care to make informed choices about undertaking deep breathing exercises.

Although humidification systems and simple face masks are the usual methods of delivering oxygen to post-operative patients in the UK, a study by Bolton and Russell (2001) suggests that nasal spectacles can be as efficient in certain cases. The exceptions were patients who ‘mouth breathe’ and those who underwent lower abdominal surgery who were found to desaturate, making the device less effective in delivering oxygen.

In the majority of surgical patients the concentration of oxygen delivered via devices is given at a rate to maintain an oxygen saturation level above 95 per cent and prevent hypoxia (Anderson 2003). For some patients with respiratory dysfunction, such as chronic obstructive pulmonary disease (COPD), oxygen needs to be delivered carefully at a rate of 24 to 28 per cent because of the altered respiratory drive (Field 2000, Pruitt and Jacobs 2003). In patients with COPD, the body becomes accustomed to a higher carbon dioxide concentration in the blood. Giving high concentrations of oxygen will alter cell physiology and the body will interpret this as a hypocapnoeic event. To reduce the levels of hypoxaemia, but allow raised carbon dioxide levels, a lower concentration of oxygen is required (Clancy and McVicar 2002). While supplementary oxygen therapy is an important element of post-operative surgical care, oxygen is a drug and can be dangerous to some patients, especially those with respiratory dysfunction, and for this reason it should be prescribed by medical staff (BNF 2003a, NMC 2002).

Pain management

Pain following surgery is inevitable for many patients, but because gender, age, psychological and cultural factors determine the response to pain, each patient’s coping mechanism will be different (Kitcatt 2003).

Pain is determined in the brain by the central nervous system through nerve transmission. This also occurs following surgery when the inflammatory response is initiated because of damage to the tissues. The A delta fibres and C fibres of the nervous system are stimulated by prostaglandin which is released from the damaged tissues (Clancy and McVicar 2002). These mediators then bind with receptors called nociceptors at the site of injury. The transmission of the impulse along the nerve fibres occurs with the presence of chemicals to the dorsal horn of the spinal cord where the pain message is then modulated. The pain message is modified by the presence of peptides such as substance P, bradykinin and prostaglandin E. These peptides act as inflammatory mediators and initiate the inflammatory response. These neurotransmitters then send the pain message to the brain, where perception occurs (Rawal 1998, Thomas 1998).

In the surgical patient, the A beta fibres also play a part in the localised perception of pain. The A beta fibres are usually associated with the perception of touch, pressure and vibration. Following surgery these fibres are also stimulated by tissue inflammation, making wounds painful to touch. This is known as touch allodyna, or secondary hyperalgesia, which leads to profound pain on movement or at dressing change (Ekblom and Rydh-Rinder 1998).

Severe pain causes several physiological responses that can be detrimental to the surgical patient. Acute severe pain causes tachycardia and hypertension. It can be dangerous to patients with cardiac dysfunction, especially if there is an element of hypovolaemia, because oxygen demands also increase with acute pain. Respiratory function can also be compromised because patients find it extremely difficult to take deep breaths and use their accessory muscles or the top lobe of the lung to breathe, leading to atelectasis or pneumonia (Anderson 2003, Kitcatt 2003, Nendick 2000, Rawal 1998, Thomas 1998).

Therefore, good pain management can help reduce post-operative complications such as deep vein thrombosis (DVT) and atelectasis, as well as ensure patients are not psychologically affected by their perception of pain.

Depending on the type of surgery the patient is having, there are four pain management options available (Anderson 2003). These are:

* Oral medication.

* Epidural analgesia.

* Intramuscular injection.

* Patient controlled analgesia (PCA).

This follows the guidelines set out by the World Federation of Societies of Anaesthesiologists in relation to the analgesic ladder (Figure 1) (Charlton 1997).

The analgesia used for post-operative pain has advantages and disadvantages for patients. However, the increased use of adjuvant therapy is improving pain control for patients (Table 1).

So what is the best method of pain relief for major surgery – intramuscular analgesia, epidural or PCA? The peaks and troughs associated with ‘as required’ prescriptions have previously been discussed and, as suggested by Young (2000), can provide an insufficient level of analgesia because the patient generally has to experience pain before he or she receives medication.

Figure 1. World Federation of Societies of Anaesthesiologists ladder

There have been several studies comparing PCA and epidural analgesia following major surgery and, while it has been reported that respiratory depression is reduced in the PCA group because patients control their own dosage, recent studies have produced different results. A small-scale study by Kampe et al (2001) found that patients using the PCA device experienced significantly more side effects from the analgesia than the epidural group. A recent study by Flisberg et al (2003), who evaluated the safety of the method of pain relief as well as its efficiency, found that patients who experienced epidural analgesia reported superior pain relief than the PCA group. There were also fewer episodes of opioidrelated side effects and less occurrences of respiratory depression in the epidural group. Therefore, it could be suggested that epidural analgesia is not only more effective in controlling pain but also carries less risk.

Pain rating scales can range from numerical scoring to visual analogue scales (Bird 2003, Kitcatt 2003). The purpose of these scoring systems is to determine the intensity of pain so that appropriate analgesia can be administered. While the rating scales are widely used, Klopfenstein et al (2000) reported that doctors and nurses underestimate patients’ pain and suggested that further education should be provided on the use of pain assessment scales because they are open to interpretation.

Complications of surgery

Two of the most common complications of surgery are chest infection and shock, both of which have been discussed. However, there are also several associated risks following surgery, for example, pulmonary embolus (PE) and DVT.

Table 1. Advantages and disadvantages of analgesia used in post- operative care

Simple nursing interventions, such as early mobilisation and encouraging patients to do leg exercises while in bed, can help to reduce the risk of thrombus formation as well as urinary tract infections, pressure ulcers and constipation (Torrance and Serginson 2000).

Patients undergoing surgery are at greater risk of clot formation because of the nature of surgery and the body’s clotting mechanisms. It has been found that 20 per cent of untreated postoperative patients will develop a venous or pulmonary thrombus (Trounce and Gould 2000). Many patients undergoing surgery will be treated with anticoagulants to prevent this complication occurring (Trounce and Gould 2000). Prophylactic treatment can be given with methods such as low-molecular weight heparin (LMWH), subcutaneous heparin injections or a continuous heparin infusion if the patient was anticoagulated previously.

The actions of these two anticoagulants are different. With unfractionated or standard heparin the anticoagulant effect begins within minutes of administration of an intravenous bolus but lasts for only a short time after an infusion has stopped (BNF 2004b). For prophylaxis, the dose is much lower and is administered subcutaneously. With unfractionated heparin only one third of the dose binds to antithrombin and this accounts for the majority of its anticoagulant effect (Hirsh et al 2001). LMWH is made up of fragments of the heparin molecule and the action of the drug is similar to subcutaneous and intravenous heparin, with the exception of the length of time the therapeutic dose lasts often requiring daily administration of the drug (BNF 2004b, Hirsh et al 2001). Subcutaneous LMWH has a half life of up to four hours, twice that of unfractionated heparin (Pharmacia 2004).

Trounce and Gould (2000) describe this method of anticoagulation as being superior to that of low dose heparin. However, studies by Anderson et al (1993) and Hirsh et al (2001) found LMWH to be as effective and safe as unfr\actionated heparin, while one study found there was a significant reduction in mortality from thrombus formation with the use of LMWH (Pezzuoli et al 1989). However, LMWH does have the disadvantage of being more expensive in the UK compared with the US (Bandolier 1995, BNF 2004b). A blanket policy of LMWH for prophylaxis of DVT in all instances may not be cost- effective in the UK but an increase in its use could reduce the cost of the preparation in the long term.

The advantage of subcutaneous thrombus prophylaxis in both methods of anticoagulation is that it does not require activated partial thromboplastin time (APTT) or international normalised ratio (INR) monitoring, while intravenous administration requires regular monitoring of coagulation through frequent blood sampling of APTT and INR (BNF 2004b).

The prescription of anticoagulants to prevent thrombus formation is used in conjunction with the use of anti-thrombus stockings (Anderson 2003). Research by Agu et al (1999) suggests that the use of knee-high stockings – as opposed to full-length stockings – should be adopted in the prevention of DVT. This is because it has been found that incorrectly applied or worn stockings that are folded over at the knee or creased in several places can pose an increased risk of developing DVTs and venous stasis.

The diagnosis of embolus in the surgical patient largely relies on clinical manifestations, such as breathlessness in PE and a hot swollen calf in DVT. The use of D-dimers, which measure the fibrinogen degradation rate and, therefore, the presence of the clotting mechanism, can give a reliable indication of PE or DVT in many instances (Bozic et at 2002, Dempfle 2000). However, because the clotting mechanism is also activated following surgery, it has been suggested that the usefulness of D-dimers up to the 15th day following surgery is limited and cannot provide an accurate diagnosis of DVT or PE (Lippi et al 2001 ). Therefore, investigations such as venograms need to be relied on for diagnosis.

Conclusion

The underpinning principles of safe and effective post-operative care can be made more complicated by the body’s physiological response to surgery. However, it is these alterations in physiology that make surgical nursing a demanding but fascinating specialty.

There are elements to caring for patients that can be learned from and improved on (NCEPOD 2001). This article has aimed to explore some of those issues to provide a valuable learning tool for surgical nurses. The exploration of elements such as recognition of hypovolaemia, fluid balance and pain control have been the focus of this article because they are the mainstay of safe and effective practice and can prevent many post-operative complications.

With a good understanding of the concepts of assessment of the surgical patient, the alterations in homeostasis and the associated risks involved, caring for post-operative patients becomes an interesting challenge that can readily be met by today’s surgical nurse

NS263 Hughes E (2004) Principles of post-operative patient care. Nursing Standard. 19, 5, 43-51. Date of acceptance: July 12 2004.

Online archive

For related articles visit our online archive at: www.nursing- standard.co.uk and search using the key words above.

TIME OUT 1

Think of a surgical patient with a low systolic blood pressure who you looked after recently. Consider the potential causes of hypotension and list any changes in vital signs or subtle changes in their character such as the way the patient acted or the way he or she responded to you.

TIME OUT 2

Consider the use of electronic equipment in your clinical area to measure a patient’s vital signs. By relying on this equipment to monitor a patient’s heart rate could it be possible that potential arrythmias and ensuing cardiogenic shock could go unnoticed? Discuss your thoughts with your colleagues.

TIME OUT 3

Make a list of the body’s fluid compartments. Consider how fluid shifts from one compartment to the other and make a note of the differences between these mechanisms.

TIME OUT 4

Go back to the list you made in Time Out 3. List the common fluids you use in your clinical area and identify which body fluid compartments they are used for and why.

TIME OUT 5

Pulse oximetry can provide incorrect readings. Make a list of the physiological causes or equipment problems that could lead to inaccurate oxygen saturation readings for patients in your care.

TIME OUT 6

How does pain occur in the body? Use a textbook of your choice and outline a brief summary of the physiological mechanisms for pain and how these mechanisms are affected by surgery.

TIME OUT 7

Consider the use of post-operative analgesia in your clinical area and the effectiveness of the methods of pain management in the post-operative period. Do you ever feel that the patient’s pain is inadequately controlled? What are the reasons for this? Discuss your thoughts with your nursing and medical colleagues and make an action plan to improve the patient’s pain experience, if necessary.

TIME OUT 8

Consider the use of thrombus prophylaxis in your clinical area. List the methods of prevention used and reflect on the evidence for these particular interventions.

TIME OUT 9

Now that you have completed the article you might like to write a practice profile. Guidelines to help you are on page 56.

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In brief

Author

Elaine Hughes RGN, BSc(Hons), MEd, is senior lecturer, pre- registration adult nursing, Faculty of Health, Edge Hill College of Higher Education, Liverpool. Email: [email protected]

Copyright RCN Publishing Company Ltd. Oct 13-Oct 19, 2004

Evaluation of the Neck Mass

A mass in the neck is a common clinical finding in patients who present to their Primary Care Physician. The differential diagnosis is broad, but in the adult patient malignancy must always be ruled out. Therefore, physicians must develop a systematic approach for developing a working diagnosis and management plan for the patient.

ANATOMY

Accurate evaluation of a neck mass requires knowledge of the normal anatomy. The prominent landmarks of the neck are the hyoid bone, thyroid cartilage, cricoid cartilage, trachea, and sternocleidomastoid muscles (SCM). Prominence or asymmetry of any of these normal structures can often be mistaken for an abnormal mass. The SCM divides each side of the neck into two major triangles, anterior and posterior. The anterior triangle is delineated by the anterior border of the SCM laterally, the midline medially, and the lower border of the mandible superiorly. The borders of the posterior triangles are the posterior border of the SCM anteriorly, the clavicle inferiorly, and the anterior border of the trapezius muscle posteriorly.

It is convenient to use the level system to describe the location of lymph node disease in the neck. Level I contains the submental and submandibular nodes. Levels II through IV contain lymph nodes along the jugular vein (upper, middle and lower). Level V contains the lymph nodes located along the lower half of the spinal accessory nerve and the transverse cervical artery, posterior to the SCM. The supraclavicular nodes are included in the posterior triangle group. The pre- and paratracheal nodes, precricoid (Delphian) node, and perithyroidal nodes are found within level VI. Lymph nodes are located throughout the head and neck region and are the most common sites of neck masses. Fixed, firm, or matted lymph nodes and nodes larger than 1.5 cm require immediate investigation.

GENERAL CONSIDERATIONS

In general, neck masses in children are more commonly inflammatory than congenital or developmental and more commonly congenital than neoplastic. This distribution is similar in the young adult. However, the first consideration in the late adult should be neoplasia. The “rule of 80” is often applied, which states that 80% of non-thyroid neck masses in adults are neoplastic and that 80% of these masses are malignant.

The next consideration should be the location of the mass. The location of the mass is particularly important with respect to congenital and developmental masses, because such lesions are consistent in location. Branchial cleft cysts are almost always located anterior to the SCM, though first branchial anomalies are often found in the parotid or even postauricular areas. Thyroglossal duct cysts are often midline, and may be found at any location along the embryologic decent of the thyroid gland. Location of metastatic neck masses may be the key to identification of the primary tumor. It is important despite the general considerations of age and location to treat each case individually.

The lymphatic flow in the neck follows a predictable pattern and the presence of a mass in a particular location may offer clues to identifying a primary tumor or site of infection. Level I nodes often indicate disease in the anterior oral cavity. Level II, III, and IV nodes often indicate disease in the oropharynx/hypopharynx/ endolarynx. Midline tumors may metastasize to contralateral nodes. Level V nodes often indicate disease in the nasopharynx. Supraclavicular nodes usually indicate dis ease below the level of the clavicles.

DIAGNOSTIC STEPS

Evaluation of the patient with a neck mass must begin with a careful and complete history and a thorough head and neck examination. The patients age and die size and duration of the mass are the most significant predictors of neoplasia, with the risk of malignancy being greater in older individuals. A thorough review of the developmental time course of the mass, associated symptoms, personal habits, and prior trauma, irradiation or surgery is important. Inquiries about smoking and alcohol use, fever, pain, weight loss, night sweats, exposure to tuberculosis, foreign travel and occupational/sexual history should be made. Symptoms of dysphagia, unilateral otalgia, trismus and/or hoarseness most likely represent a malignant process.

A full physical examination should be carried out in all patients. All mucosal surfaces of the nasal cavity, nasophaiynx, oropharynx, larynx should be visualized by direct examination or by indirect mirror or fiberoptic visualization. The Primary Care Physician should be able to visualize all areas except for the nasopharynx, larynx, and hypopharynx which would require special equipment for direct visualization. The oral and oropharyngeal surfaces, including the base of tongue, should be digitally palpated in addition to the neck mass. Emphasis on location, mobility and consistency of the neck mass can often place the mass within a general etiologic grouping, such as vascular, salivary, nodal/ inflammatory, congenital or neoplastic. Unilateral otalgia with normal otoscopy should direct the examination to the tonsil, tongue base, supraglottis, and hypopharynx. A unilateral serous effusion in the adult patient may represent a primary tumor within the nasopharynx or mass within the parapharyngeal space. Evaluation of these areas is mandatory in any patient who presents with unilateral effusion.

DIAGNOSTIC STUDIES

After a complete head and neck examination and history, additional diagnostic studies may be warranted. The following studies may be useful in select patients.

FINE NEEDLE ASPIRATION BIOPSY (FNAB)

Currently, FNAB is the standard of diagnosis for neck masses. I perform FNAB in all patients, usually following an initial CT scan with contrast. FNAB separates inflammatory and reactive processes from neoplastic lesions, either benign or malignant. FNAB is extremely accurate, especially in the hands of a skilled Cytopathologist. The sensitivity and specificity of fine-needle aspiration and biopsy exceed 90%. There are no contraindications to FNAB. Patients who likely have a vascular tumor or paraganglioma don’t require FNAB; however, because of the small needle used, signigicant morbidity following FNAB of a highly vascular tumor would be extremely unlikely. Needle-track seeding of tumor is not a concern with the fine needles used today, though has been reported with use of larger bore needles and core biopsy. A 25G needle is usually recommended. A skilled Cytopathologist is critical to the efficacy of FNAB. On-site evaluation carries the advantage of assessing specimen adequacy, which reduces the number of unsatisfactory specimens.

ULTRASONOGRAPHY

Ultrasonography has limited utility in the evaluation of the adult neck mass. However, it can be useful in differentiating solid from cystic masses and congenital cysts from solid lymph nodes and glandular tumors. It is also useful in evaluation of thyroid nodules/ masses. Ultrasound is often helpful in localizing a neck mass for guided FNAB.

COMPUTED TOMOGRAPHY (CT)

CT scanning of the neck with contrast is considered the most useful initial imaging study in the evaluation of the neck mass. It can define the origin and full extent of deep, ill-defined masses, and when used with contrast can delineate vascularity or blood flow. It can be helpful in delineating the site of a primary tumor. Metastatic nodes will commonly show central lucency, size greater than 1.5 cm, and an ill-defined border.

MAGNETIC RESONANCE IMAGING

MRI provides much of the same information as CT, and is generally not necessary as part of an initial evaluation. It is currently better for upper neck and skull base masses due to possible dental artifact on CT It is better than CT in evaluation of the pulsatile mass or mass with a bruit or thrill. I reserve MRI/MRA for work-up of the vascular mass, a suspected paraganglioma, or selected parotid masses.

PET SCANNING

Routine use of PET scanning is likely not necessaiy in evaluation of the patient with a neck mass. It may be helpful to localize a primary tumor in a patient with a metastatic node, to detect distant metastasis, or to rule-out recurrence in a patient with a previously treated malignancy. PET scanning may also be helpful in localizing the primary tumor in a patient with known metastatic carcinoma with a primary tumor which has not been localized by endoscopy or other diagnostic tests.

NODAL MASS WORKUP IN THE ADULT

An asymptomatic cervical mass is the presenting symptom in about 12% of head and neck cancer cases. Of these cancers, approximately 80% are squamous cell carcinoma (SCCa). A history of alcohol and/or tobacco use increases the chance of malignancy, though SCCa is being seen increasingly in non-smokers/non-drinkers. A tender, mobile mass or a high suspicion of inflammatory adenopathy with an otherwise negative examination may warrant a clinical trial of antibiotics and observation not to exceed two weeks with close follow-up. A mass which persists after broad spectrum antibiotic therapy must be considered malignant until proven otherwise. In a patient with a persistent neck mass, I obtain a CT scan of the neck with contrast, a CXR (or CT if I am convinced of a malignancy or if the inferior border of the mass extends into the chest/mediastinum), and perform FNAB in all cases.

If FNAB confirms malignancy and careful examination in the office does not identify a primary site, the entire aerodigestive tract mustbe examined endoscopically under anesthesia. Biopsies should be performed on any suspicious mucosal lesions. Suspicious lesions noted on preoperative scanning should also be biopsied. If no lesions or imaging abnormalities are noted, biopsies of the nasopharynx, tonsils (bilateral tonsillectomy), base of tongue, and pyriform sinuses should be obtained. It is important at this time to examine thoroughly all areas of the aerodigestive mucosa, including the esophagus, to identify the primary or any synchronous lesions, which occur in between 10% and 20% of patients with head and neck malignancies.

In a recent study of SCCa of the neck from an unknown primary at the University of Florida, the primary tumor was able to be detected about 40% of the time. In approximately 80% of these cancers, the base of tongue or tonsil was the culprit. The ability to find the primary lesion greatly depended on suspicious findings during physical examination and on radiographie studies. If no suggestive findings on exam or CT were obtained the yield dropped to below 20%.

If a negative/equivocal FNAB is obtained yet suspicion for malignancy persists, an open excisional biopsy of the cervical lymph node may be performed. Open biopsy is performed as a last resort if all other studies are non-diagnostic. The patient and surgeon should be prepared to proceed with a complete neck dissection depending on results of frozen sections. If the biopsy shows only inflammatory or granulomatous changes, culture of the tissue is warranted. A result of adenocarcinoma or lymphoma dictates closure of the wound and further workup and staging procedures prior to further treatment decisions.

It is reasonable for the Primaty Care Physician to perform the initial work-up and establish a treatment plan for the patient. A complete physical exam is always warranted, searching for evidence of lymphadenopathy or systemic disease outside of the head and neck. Careful head and neck examination can often isolate the primary pathology and help guide the physician toward specific diagnostic tests. A trial of antibiotics can be initiated if infection is suspected. More than one course of antibiotic is likely not warranted before additional testing is recommended. If the history suggests an infectious process, additional testing can be ordered such as CBC with differential, HIV testing, PPD, EBV testing, etc… If the neck mass persists, imaging studies and additional bloodwork (i.e., TFTs) can be ordered based on the location of the mass, and arrangements made for Otolaryngology evaluation.

PRIMARY TUMORS

THYROID MASSES

Thyroid neoplasms, either benign or malignant, are a leading cause of anterior compartment neck masses in all age groups. Lymph node metastasis may be the initial symptom in 15% of papillary carcinomas and micrometastasis may be present in over 90% of cases. Fine-needle aspiration of thyroid masses has become the standard of care, replacing ultrasonography and radionuclide scanning in the assessment of thyroid nodules, although ultrasound may be performed to determine if the mass is cystic or to guide FNAB for small nodules. It has been shown that FNAB has decreased the number of patients being treated with surgery, increased die number of malignant tumors found at surgery, and doubled the number of cases being followed up. Unsatisfactory aspirates should be repeated, and negative aspirates should be followed up with a repeat examination and FNAB a month later.

LYMPHOMA

Lymphoma can occur in all age groups, but is a more common neoplastic process in pediatric and young adult groups. As many as 80% of children with Hodgkins disease have a neck mass. Progressive enlargement of a lateral neck mass is often the only sign of disease in the head and neck. Systemic signs of fever, hepatosplenomegaly and diffuse adenopathy should be sought. The mass often appears discrete, rubbery and nontender. FNAB is the first line diagnostic test, and when it suggests lymphoma, an open biopsy with histologic examination is appropriate. Flow cytometry can often be performed on cellular specimen from a simple FNA. Work-up of head and neck lymphoma includes CT scans of the chest, abdomen, head and neck and bone marrow biopsy.

SALIVARY TUMORS

An enlarging mass anterior or inferior to the ear or at the angle of the mandible or submandibular triangle should raise suspicion for a primary salivary gland tumor. Benign tumors are usually asymptomatic, however rapid growth, skin fixation or cranial nerve palsies (VII, XII and lingual) suggest malignant disease. I perform FNAB and CT scan with contrast in all patients with suspected salivary neoplasms. FNAB has been shown to reduce the number of patients being treated with surgery by 33%. Some apparent neoplastic lesions on exam, may be intraparotid lymph nodes, localized sialadenitis, benign lymphoepithelial lesions or cysts. These lesions can often be followed closely, and may not require excision. The accuracy of FNAB in salivary glands is greater then 90% and more exact in benign than malignant tumors. If signs of malignancy are noted, FNAB may facilitate surgical planning and patient counseling.

CAROTID BODY AND GLOMUS TUMORS

These tumors are rare in the pediatric patient. In adults, they classically appear in the upper anterior triangle at the carotid bifurcation as a pulsatile, compressible mass, which is mobile from side to side. A bruit or thrill is present and in glomus vagale tumors, the ipsilateral tonsil may pulsate and/or deviate to the midline. The diagnosis is confirmed by angiography or CT scan. In the elderly patient, close observation or treatment with irradiation to arrest growth is adequate. In young patients, a small tumor should be resected under hypotensive anesthesia. Preoperative embolization is used routinely. Preoperative measurement of catecholamine release should precede removal.

LIPOMA

Lipomas are ill-defined, soft masses usually appearing in patients over the age of 35 years. They are usually asymptomatic and diagnosed by clinical findings. Diagnosis is confirmed by excisional biopsy.

NEUROGENIC TUMORS

Neurogenic tumors or peripheral nervous system tumors arise from neural crest derivatives including Schwarm cells, perineurial cells, and fibroblasts. They include schwannomas (neurilemmoma and neurinoma), neurofibromas and malignant peripheral nerve sheath tumors (MPNST). An increased incidence is associated with heritable neurofibromatosis (NF) syndromes. Of the neurogenic tumors, schwannomas occur most commonly in the head and neck region. Most are sporadic cases, and when extracranial, 25 to 45% will occur in the head and neck. MPNST is uncommon in the head and neck region.

Schwannomas are benign, solid neurogenic tumors that can occur at any age, but are most common between the ages of 20 and 50 years. Those arising in the neck commonly occur in the parapharyngeal space. They usually present as a solitary, slowly enlarging and painless mass. On physical examination, they usually cause medial tonsillar displacement. Those originating in the vagus nerve may present with hoarseness and/or vocal cord paralysis, and when originating in the sympathetic chain may be associated with Homer’s syndrome. MRI is helpful in diagnosis and shows displacement of the internal carotid artery anteriorly and laterally. For benign lesions, conservative surgical excision is the treatment of choice.

CONGENITAL AND DEVELOPMENTAL MASSES

BRANCHIAL CLEFT CYSTS

A branchial cyst usually presents as a smooth, fluctuant mass underlying the SCM (second arch – most common) and often seems to appear rapidly after an upper respiratory tract infection. These masses most commonly occur in late childhood or early adulthood, but may occur later in life also. These masses are commonly located along the anterior border of the SCM. The less common 1st branchial cyst occurs along the angle of the mandible or below the ear lobe. CT scan will typically show a cystic mass along the border of the SCM, but is not diagnostic because cystic masses are not always benign. Papillary carcinoma of the thyroid and SCCA of the nasophaiynx, tonsil, and base of tongue (i.e., Waldeyer’s ring), often will produce cystic metastases. Therefore, when faced with a cystic mass in the neck, FNAB may help the surgeon avoid the pitfall of excisional biopsy, which would be particularly detrimental in the patient with a SCCA. In general, treatment of branchial cleft anomalies is with initial control of infection, followed by surgical excision.

THYROGLOSSAL DUCT CYSTS

This is the most common congenital neck mass, which presents as a midline or near-midline mass that usually elevates on swallowing or protrusion of the tongue. This clinical finding distinguishes the TDC from other midline masses, such as lymph nodes, dermoids or ectopic thyroid tissue, which are included in the differential. Treatment is surgical removal including the midportion of the hyoid bone (Sistrunk procedure) after resolution of infection.

VASCULAR TUMORS

Lymphangiomas and hemangiomas are considered congenital lesions almost always present within the first year of life. While lymphangiomas usually remain unchanged into adulthood, hemangiomas most often resolve spontaneously. The lymphangioma mass is soft, doughy, and ill-defined. CT or MRI may help define the extent of the neoplasm, and treatment includes excision for easily accessible lesions or those affecting vital functions. Often surgical treatment precipitates further disease and recurrence is common. Hemangiomas, on the other hand, often appear bluish and are compressible. CT or MRI again help the diagnosis and define the extent of disease. Surgical treatment is reserved for lesions with rapid growth, associated thrombocytopenia or involvement of vital structures that fail medical therapy (steroids, Interferon).

INFLAMMATORY DISORDERS

LYMPHADENITIS

Acute lymphadenitis is very common at some point inalmost everyone’s life. The presentation with marked tenderness, torticollis, trismus and dysphagia with systemic signs ofinfection is seldom a diagnostic challenge to the clinician and the source of the reactive lymphadenopathy is usually easily identified. Initial treatment with directed antibiotic therapy and follow up is the rule.

Inflammatory nodes generally regress in size. If the lesion does not respond to conventional antibiotics a biopsy is indicated after complete head and neck work-up. Other indications for FNAB of lymphadenopathy include progressively enlarging nodes, a solitary and asymmetric nodal mass, supraclavicular mass or persistent nodal masses without active infectious signs.

GRANULOMATOUS LYMPHADENITIS

These infections usually develop over weeks and months, often with minimal systemic complaints of findings. They may be the result of typical or atypical mycobacteria, actinomycosis, sarcoidosis, or cat-scratch fever (Bartonella). The glands tend to be firm, with some degree of fixation and injection of the overlying skin. Tuberculosis is now rarely seen in our population, though is becoming more common now with HIV. Atypical mycobacteria and cat- scratch fever are more common and more prevalent in the pediatric age group. Atypical mycobacterial infection usually involves anterior triangle lymph nodes often with brawny skin, induration and pain, while cat-scratch commonly involves the preauricular or submandibular nodes. Typical TB lymphadenitis often responds to anti- tuberculosis medications. Cat-scratch often undergoes spontaneous resolution with or without antibiotic treatment. Atypical mycobacterial infection usually responds to complete surgical excision.

SUMMARY

The differential diagnosis of a neck mass is extensive and varies with the age of the patient at presentation. A thorough work-up including an accurate history and complete head and neck examination often narrows the diagnostic possibilities. The fine needle aspiration biopsy has become an invaluable tool to aid clinicians in the evaluation of the neck mass and is safe, accurate, and cost- effective with minimal complications. The possibility of malignancy in any age group, especially in the late adult group, should never be overlooked. Close follow-up and aggressive pursuit of a diagnosis with appropriate work-up facilitates a timely and accurate treatment plan, which is essential to a favorable outcome.

SYMPTOMS OF DYSPHAGIA, UNILATERAL OTALGIA, TRISMUS AND/OR HOARSENESS MOST LIKELY REPRESENT A MALIGNANT PROCESS.

REFERENCES

1. Amedee RG, Dhurandhar NR. Fine needle aspiration biopsy. Laryngoscope 2001; 111:1551-7.

2. Liu ES, Bernstein JM, Sculerati N, Wu HC. Fine needle aspiration biopsy of pediatric head and neck masses. Int J Ped Otorhinolitryngol 2001;60:135-40.

3. Mendenhall WM, et al. Squamous cell carcinoma metastatic to the neck from an unknown head and neck primary site. Am J Otolaryngol 2000;22:261-7.

4. Weber AL, Montandon C, Robson CD. Neurogenic tumors of the neck. Radiolog Clin N Am 2000;38:1077-90.

5. Koeller KK, Alamo L, Adair CF, Smirniotopoulos JG. Congenital cystic masses of the neck: Radiologic-pathologic correlation. Radio Graphics 1999;19:121-46.

6. McGuirt WF. Otolaryngology for the internist: The neck mass. Med Clin N Am 1999; 83: 219-34.

7. Armstrong WB, Giglio MF. Is this lump in the neck anything to worry about? Postgrad Med 1998; 104:63-78.

8. Reibal JF. The patient with a neck mass. Comprehensive Ther 1997;23:737-41.

9. Connolly AAP, MacKenzie K. Paediatric neck masses -A diagnostic dilemma. J Laryngol Otol 1997; 111: 541-5.

10. Alvi A, Johnson JT. The neck mass. Postgrad Med 1995; 97:87- 98.

11. Friedberg J. Clinical diagnosis of neck lumps: A practical guide. Ped Annals 1988; 17:620-8.

CHARLES RUHL, MD

Charles Ruhl, MD, is Assistant Clinical Professor, Department of Surgery Brown Medical School, and Assistant Clinical Professor, Department of Otolaryngology-Head & Neck Surgery, Tufts University School of Medicine.

CORRESPONDENCE

Charles Ruhl, MD

130 Waterman Street

Providence, RI 02906

Phone:(401)276-6088

Fax: (401) 274-0672

Email: [email protected]

Copyright Rhode Island Medical Society Oct 2004

Post-Traumatic Vertigo

The incidence of dizziness and dysequilibrium following head and/ or neck injury lies between 40-60%, even following mild or moderate head injuries not requiring acute hospitalization. Accordingly, most practitioners should have a fairly extensive experience with this large outpatient group. Yet, in spite of their familiarity with this common problem, many clinicians routinely use a diagnostic approach which is not pathophysiologically based and a treatment approach which is often confined to attempts at providing symptomatic relief with vestibular suppressants. Indeed, the tendency to attribute most post-traumatic dizziness to the post-concussion syndrome without diagnostic consideration of specific vestibular pathologies has been the cause of a significant and largely unnecessary increase in morbidity in this population. What follows is a review of those specific pathologies which, taken together, cause the great proportion of post-traumatic symptoms and which should rightly form the basis for a diagnostic and management approach.

TEMPORAL BONE FRACTURE

Fractures of the temporal bone occur in the more severe cases of head injury and have a number of clinical and radiological manifestations. They represent what should be an easily identifiable subgroup of head trauma patients discharged from acute hospitals in whom residual vestibular and/or auditory system symptoms can be expected to occur in high incidence (upwards of 95% in certain types of fractures). These symptoms commonly persist well beyond the period of acute hospitalization, and as such will most often require active (and possibly long-term) management by outpatient primary and specialty caregivers.1

Basal skull fractures may be of two kinds depending upon the relationship of the fracture line to the long axis of the petrous bone. These fractures can be well demonstrated on thin section temporal bone CT. Eighty percent are longitudinal and twenty percent are transverse. As longitudinal fractures run thru the axis of the middle ear, they often produce tympanic membrane tears with otorrhagia, and conductive or mixed hearing loss. They also can cause facial palsies. Given that the fracture line does not directly involve the inner ear, vestibular symptoms are somewhat less common in this type of fracture, but they can often occur due to concurrent labyrinthine concussion, perilymphatic fistula, or benign paroxysmal positional vertigo (see below). Transverse fractures extend thru the inner ear and produce damage to cochlear and/or vestibular labyrinthine neural structures directly with or without hemorrhage. They often produce hemotympanum and sensorineural hearing loss, and less commonly facial palsies. They also can be complicated by CSF leak and/or meningitis. Vestibular symptoms consist acutely of severe vertigo and ataxia (and possibly vegetative symptoms), which progressively improves due to CNS compensation, but in most cases persists to some degree well into the outpatient course. The nature of these persistent vestibular symptoms depends also upon the possible concurrent presence of a perilymphatic fistula, BPPV or the development of delayed hydrops (see below).

Successful outpatient management of the post-traumatic vertigo in this group of patients involves judicious restraint in the use of symptomatic treatment with vestibular suppressants (so as not to interfere with the development of CNS compensation), early resort to vestibular rehabilitation as the mainstay of treatment, and vigilance in detecting the concurrent existence or development of BPPV, perilymphatic fistula or delayed hydrops. Ongoing follow-up, including serial exams and timely utilization of vestibular laboratory diagnostic studies should be routine in patients not demonstrating progressive, if not rapid, recovery.

In spite of all such efforts, however, a small but significant percentage of patients with uncomplicated temporal bone fracture (estimates vary from 10-30% depending upon severity criteria) will remain with some degree of vestibular symptomatology indefinitely due to incomplete CNS compensation. This is the likely prognosis for those patients whose recovery during vestibular rehabilitation plateaus for two months in the absence of any other concurrent treatable vestibular post-traumatic pathology. In such cases, liberal use of vestibular suppressants long term remains the only option.

LABYRINTHINE CONCUSSION

Blunt head injury can concuss the membranous labyrinth against the otic capsule (much as the brain is concussed against the skull in cerebral concussion). This results in acute hypofunction of some portion of the vestibular neural substrate within the affected labyrinth. As labyrinthine concussions and transverse temporal bone fractures both produce acute unilateral (or asymmetrical) vestibular hypofunction, their clinical manifestations and course are much the same. There is the acute onset of vertigo and ataxia whose severity is proportional to the degree of hypofunction and there is some variable degree of associated vegetative symptomatology. Symptoms are most severe at the time of the head injury and invariably improve but with a temporal profile which can vary from days to months, with a minority of patients having some degree of residual symptomatolgy which persists indefinitely. There are, however, some differences which can be seen between labyrinthine concussions and fractures. Concussions are somewhat more likely to produce reversible neural insults which can result in a very abbreviated course of recovery. They are less likely to produce associated perilymphatic fistulas and to lead to the development of delayed hydrops, but are more likely to be associated with coexistent BPPV (perhaps because fractures more often result in complete ablation of all vestibular function), and hearing loss is a less common accompaniment. Although radiological confirmation of involvement of vestibular structures is necessarily absent in uncomplicated concussions, several types of vestibular diagnostic studies are now available to confirm and quantify the severity of these lesions and even to measure the degree of CNS compensation. Outpatient management considerations are otherwise the same for labyrinthine concussions as described above for fractures.

BENIGN PAROXYSMAL POSITION VERTIGO (BPPV)

Because BPPV is the most common cause of vertigo in general and of post-traumatic vertigo in particular, clinicians need to be well versed in its varied clinical presentations and their treatment options.

Canalolithiasis and Cupulolithiasis are the underlying mechanisms of BPPV In either case, otoconia are displaced from an injured uticular membrane into one of the semicircular canals. Even relatively mild blunt head trauma can provide enough shearing force to the utricular membrane to displace critical numbers of otoconia. There is also much anecdotal evidence that the acceleration- deceleration forces produced in whiplash injuries even without head injury may also suffice to produce such displacements. Because the posterior canal is situated directly inferior to the utricule when the head is upright, the otoconia settle into that canal in 90+ % of cases, but the lateral (5-8%) or the anterior canal (1-3%) can be sites of deposition as well.2

In Canalolithiasis – the most common cause of BPPV- the calcium carbonate crystals that compose the individual otoconia tend to form clumps that are free to move within the lumen of the involved canal. Changes in head position – especially in the axis of the canal – cause a displacement of the otoconial plug which in turn causes a displacement of the cupula. This produces a brief paroxysm of vertigo, nystagmus and ataxia. These paroxysms of positional vertigo continue to occur until a critical portion of the otoconial mass moves back out of the canal. This egress can eventually occur as a result of the random head movements characteristic of unrestrained daily activities or much more rapidly with more purposeful head positionings performed as part of the treatment regimen (see below). However, a damaged utricular membrane may contain numbers of less than adequately adherent otoconia which will provide a source of future displacements causing a potential for recurrences. Indeed, recurrences occur in 30% of cases of BPPV within the first year and 50% within five years.

BPPV as a cause of post-traumatic vertigo can be a straightforward diagnosis in many but not all cases. It often presents with the classical history of isolated paroxysms of positional vertigo and the equally classical paroxysmal positional nystagmus can be documented with Dix-Hallpike positional testing. However, there are many instances, in which the presentation and course can be confusing. One or more types of post-traumatic vestibular pathology can coexist. For example, if BPPV and labyrinthine concussion are both present (a fairly common event), the paroxysms of positional vertigo may be less evident in the context of the ongoing symptoms of motioninduced dizziness commonly seen as a result of the resolving effects of the concussion alone. If the BPPV is not recognized, then delayed or limited recovery will be unnecessarily attributed to a refractory case of concussion. Further complicating management, there may be a hiatus between the time of injury and the onset of BPPV. This is postulated to be due to the time required for partially displaced crystals towork loose, enter the affected canal and coalesce into a critical mass. This delay in onset of symptoms can certainly be weeks and may be months. Thus, ongoing follow-up and re-examination/retesting is especially necessary in patients who experience unexplained setbacks or refractory courses.

Recognition of BPPV as the sole or contributing cause of post- traumatic vertigo opens up the opportunity for treatment which is most often easily effected and rapidly successful. Canalith Repositioning Maneuvers (Epley/modified Epley Maneuvers) have success rates reported to be between 80-95% following one to three repetitions (with occasional cases requiring several more). Abrupt cessation of all symptoms is common, but other possible outcomes result in residual symptoms which give the appearance of failure but which can often be easily treated if recognized. In this regard, one must note that many patients will experience residual lightheadedness, motion sensitivity and dysequilibrium following an essentially successful maneuver which will clear following a short course of habituation/balance retraining exercises. These patients can be distinguished by the absence of positional nystagmus on retesting. In some cases, both ears are involved and must be treated sequentially. Additionally, care must be taken to distinguish lateral canalolithiasis or anterior canalolithiasis from the much more common posterior canal variant.3 Further, in what may be upwards of 5-10% of cases, Epley maneuvers can actually displace the otoconial plug from the posterior into the horizontal or the anterior canal/’ These variants are a potential cause for confusion unless one recognizes the very different type of positional nystagmus produced by each of the three types of canalolithiasis. Because specific maneuvers are required for these respective variants, failure to determine that one is present in a given case will inevitably lead to treatment failure.

Cupulolithiasis represents a much less common mechanism for BPPV, and is another potential cause for treatment failure if not recognized. In these cases, the otoconia adhere to the gelatinous cupula rather than remaining free within the lumen of the canal. Once again, the pattern of positional nystagmus is different. As all Epleybased maneuvers are designed to roll the loose plug of otoconia out of the canal, they are unhelpful in cases of cupulolithiasis. Liberatory maneuvers-maneuvers that utilize rapid, high amplitude head accelerations-are necessary to loosen the otoconia from the cupula.

Those responsible for the outpatient management of patients with post-traumatic BPPV must keep in mind the above considerations. Epley maneuvers can easily be performed in the office setting. Success rates of 80-90% should be routinely expected. These are cases in which vestibular suppressants have a minimal role (confined to providing tolerance for maneuvers and/or exercises). Persistence of symptoms demands further exploration of pathogenesis and/or utilization of more appropriate vestibular rehabilitation techniques.

In 1% of cases or less, surgical intervention is warranted. Posterior canal plugging is a relatively effective and safe procedure which “dams off” the cupula from exposure to the otoconial plugs in the canal.5 Singulectomy is a procedure which deafferents the cupula in the posterior canal alone, and is less commonly performed.

PERILYMPHATIC FISTULA (PLF)

Blunt head trauma with or without temporal bone fracture can cause rupture of the oval or round windows which separate the perilymphatic space from the middle ear. This can produce a variety of symptoms of vestibular and/or cochlear dysfunction. Unfortunately, most of these clinical presentations mimic closely those of other post-traumatic vestibular syndromes.

Patients with PLF can present with sudden unilateral sensorineural hearing loss (with or without tinnitus and aural blockage) and /or acute onset of persistent, gradually diminishing vertigo and ataxia which is indistinguishable from the clinical picture of temporal bone fracture or inner ear concussion. PLF has also been reported to produce positional vertigo which can be strikingly paroxysmal by history – although reports of positional nystagmus typical of BPPV are hard to substantiate as unrelated to coexistent canalolithiasis. PLF often produces paroxysms of spontaneous vertigo and/ or fluctuations in hearing loss, much as in endolymphatic hydrops (although the latter would more likely be of delayed onset when seen post-traumatically). PLF can produce sound- induced vestibular symptoms (Tullio phenomenon) as well as pressure- induced vestibular symptoms including vertigo, oscillopsia and ataxia. Patients often report that the latter symptoms occur during activities that effectively induce Valsalva maneuvers.

The sensitivity of labyrinthine structures to changes in pressure across the middle ear forms the basis for the one objective finding that is somewhat specific for PLF (although it, too can be seen in hydrops). This finding – the Hennebert sign – can be produced by a “pressure fistula test” in which pressure is introduced by pneumatic otoscope or tympanogram into the external auditory canal. A positive sign consists of ocular deviation or nystagmus observed directly or recorded as part of an ENG study. Subjective responses, including vertigo, oscillopsia or postural sway are considered suggestive but not definitive responses.6

More definitive diagnosis involves performing exploratory tympanotomy with direct observation for perilymph leakage thru the oval or round window. However, the inevitable presence of tissue fluid in the middle ear during the procedure makes even intraoperative confirmation of the diagnosis uncertain. As the definitive surgical treatment of placing a soft tissue graft over the fistula can easily be done once the tympanotomy has been performed, it is routinely carried out even in the absence of convincing intraoperative findings.

Most cases of suspected post-traumatic PLF are managed conservatively. Patients are put at bed rest for durations of a week or two, and instructed to avoid any activities that would produce Valsalva type maneuvers. Opinions vary as to whether, with the notable exception of unstable hearing, persistence of symptoms for further weeks or even months warrants exploration.7 In general, much controversy surrounds the subject of PLF. It is generally accepted as a viable post-traumatic entity (as opposed to occurring spontaneously), but even then there is wide disagreement in terms of diagnostic criteria and management.

POST-TRAUMATIC MENIERE’S SYNDROME (HYDROPS)

A syndrome clinically indistinguishable from idiopathic Meniere’s Syndrome can begin post-traumatically.8 ‘ There can be a hiatus of months and perhaps even years between the injury and the onset of symptoms (delayed hydrops). The clinical picture of fluctuating/ progressive unilateral hearing loss, tinnitus, aural fullness and episodes of vertigo, ataxia and vegetative symptoms occurring spontaneously and lasting minutes to hours is classical. This clinical profile can often be difficult to distinguish from that of perilymphatic fistula-especially in the acute and subacute stage following the trauma when PLF is more likely. Management considerations are identical to the idiopathic form of Meniere’s Syndrome.

EPILEPTIC VERTIGO

Head trauma can produce focal lesions that involve the temporal or parietal association cortex which receives vestibular projections. These lesions can occasionally form seizure foci which can lead to simple or partial complex sensory seizures whose manifestation is episodic vertigo. The episodes usually last no more than seconds or minutes. They can be associated with mild nausea but not vomiting. Nystagmus can be an accompaniment due to stimulus of contiguous cerebral oculomotor control areas.10 Tinnitus can at times be associated. Contralateral paresthesias and/or olfactory and gustatory symptoms are occasionally reported. Unconsciousness will follow only if the seizure becomes generalized.

Epilepsy represents a relatively uncommon cause of post- traumatic vertigo. Seizure workups are not routinely fruitful except in selected cases in which other symptoms suggestive of sensory seizures are present or, certainly, in which loss of consciousness occurs-something that only rarely occurs in aural vertigo due to intense vegetative symptoms leading to vagal syncope.

CERVICAL VERTIGO

Vestibular symptoms can possibly be produced from damage to either cervical vascular or cervical neural structures. Trauma to a vertebral artery can result in thrombosis or dissection with resultant brainstem/cerebellar ischemia.” The case for vertigo mediated by C1-3 posterior roots following whiplash injury to deep cervical soft tissue is less clear.12 There is ample evidence that these roots mediate cervical proprioceptive inputs that actually synapse within the vestibular nuclei and which would provide an anatomical substrate capable of mediating vestibular-like symptoms. Further, there are many experimental models in lower species in which deep cervical lesions produce objective manifestations indistinguishable from primary vestibular lesions (nystagmus and ataxia). However, these objective findings are not reproducible in primates. Human experiments document subjective sensations of dizziness and perceptions of lateropulsion, but no measurable objective parameters that could form the basis for a diagnostic test for cervical vertigo have yet to be demonstrated. In many cases, there are cervical trigger points that produce subjective vertigo with deep palpation. In all cases in which the diagnosis is suspected, treatment is limited to cervical soft tissue physical therapy modalities

MIGRAINE-RELATED VERTIGO

Headache is one of the most common post-traumatic symptoms, and upwards of 25% of cases meet the criteria for migraine. Vertigo associ\ated with both idiopathic and post-traumatic migraine has been widely reported, but criteria have not yet been established for the diagnosis of vestibular migraine.13 Headache may not be temporally associated with the vertigo in upwards of a third of these reported cases. Episodic vertigo, positional vertigo and non- vertiginous dizziness have all been described; and some authors accept durations of chronic unremitting symptoms lasting days or weeks as consistent with the diagnosis. Many studies report convincing results of therapeutic trials of medication and/or other modalities used in the treatment of other types of migraine.14

POST-CONCUSSION SYNDROME (PCS)

Substantial numbers of patients who have sustained mild or moderate head injuries present with a similar cluster of symptoms. These most often include headache, visual symptoms, and cognitive changes. Dizziness, nausea and, at times, tinnitus and hyperacusis are also symptoms that are quite commonly included in this syndrome. However, a diagnosis of PCS for a patient presenting with any of the latter symptoms, presumes that the pathophysiology is confined to traumatic brain injury and not to any of the specific vestibular and/ or auditory system pathologies described above. The pathology of traumatic brain injury includes focal lesions, diffuse axonal injury (DAI), and scattered petechial hemorrhages. These latter injuries, however, are rarely found in patients in which the duration of loss of consciousness is less than 30 minutes, and attributing symptoms to PCS in milder head injuries is probably inappropriate. Further, irregardless of the severity of injury, dizziness and vertigo as well as auditoty symptoms are due to other specifically identifiable pathologies in the overwhelming majority of patients. That being the case, PCS should be a diagnosis of exclusion. Once the diagnosis of PCS has been made, it still remains unclear how long symptoms can appropriately be attributed to it. Many authors suggest consideration should be given to post-traumatic stress disorder when symptoms extend beyond six months to a year.

SUMMARY

The vestibular-like symptoms that commonly follow head injury are most often due to one of a number of specific pathologies affecting vestibular, CNS or cervical structures. These pathologies can be readily identified in the majority of cases by appropriate testing in the examining room, and in vestibular function or neurodiagnosic laboratories. Wheteas vestibular suppressants have a roll, they often delay recovery and have been supplanted as the mainstay of treatment in most cases by vestibular rehabilitation techniques. Given the large number of patients requiring outpatient management following head injury, it is appropriate that most generalists and many subspecialists should be aware of the differential diagnosis, workup and treatment options for post-traumatic vertigo.

…THE TENDENCY TO ATTRIBUTE MOST POST-TRAUMATIC DIZZINESS TO THE POST-CONCUSSION SYNDROME WITHOUT DIAGNOSTIC CONSIDERATION OF SPECIFIC VESTIBULAR PATHOLOGIES HAS BEEN THE CAUSE OF A SIGNIFICANT AND LARGELY UNNECESSARY INCREASE IN MORBIDITY IN THIS POPULATION.

REFERENCES

1. Wennmo C, Svensson C. Temporal bone fractures. Vestibular and other related ear sequele. Acta Otolaryngol Suppl 989:468:379-83.

2. Honrubia V, Baloh RW, Harris MR, Jacobson KM. Paroxysmal positional vertigo syndrome. Am J Otol 1999:20:465-70.

3. Baloh RW, Jacobson K, Honrubia V. Horizontal semicircular canal variant of benign positional vertigo. Neural 1993:43:2542-9.

4. Herdman SJ, Tusa RJ. Complications of the canalith repositioning procedure. Arch Otolaryngol Head, Neck Surg 1996:122:281-6

5. Walsh RM, Bath AP, Cullen JR, Rutka JA. Long-term results of posterior semicircular canal occlusion for intractable benign paroxysmal positional vertigo. Clin Otolaryngol 1999:24:316-23.

6. Kohut RI. Perilymph fistulas. Clinical criteria. Arch Otolaryngol Head Neck Surg 1992; 118:687-92.

7. Glasscock ME 3rd, Hart MJ, Rosdeutscher JD, Bhansali SA. Traumatic perilymphatic fistula: How long can symptoms persist? Am J Otol 1992:13:333-8.

8. Shea JJ Jr, GcX, Orchik DJ.Traumatic endolymphatic hydrops. Am J Otol 1995;16:235-40.

9. DiBiase P, Arriaga MA. Post-traumatic hydrops. Otolaryngol Clin North Am 1997;30:1117-22.

10. Furman JM, Crumrine PK, Reinmuth OM. Epileptic nystagmus. Ann Neural 1990;27:686-8.

11. Showalter W, Esekogwu V, Newton KI, Henderson SO. Vertebral artery dissection. Acad Emerg Med 1997;4: 991-5.

12. Brandt T, BronsteinAM. Cervical vertigo. J Neural Neurosurg Psychiatry 2001:71:8-12.

13. Dieterich M, Brandt T. Episodic vertigo related to migraine (90 cases): Vestibular migraine? J Neural 1999:246:883-92.

14. Johnson GD. Medical management of migraine-related dizziness and vertigo. Laryngoscope 1998;108(1 pt 2):1-28.

JULES M. FRIEDMAN, MD

Jules M. Friedman, MD, is Assistant Professor of Neurology, Boston University School Of Medicine.

CORRESPONDENCE:

Jules M. Friedman, MD

Center For Vestibular And Balance Disorders

130 Waterman Street

Providence, RI 02906

Phone: (401)453-5152

Fax: (401)453-5162

Copyright Rhode Island Medical Society Oct 2004

Radiological Studies After Laparoscopic Roux-En-Y Gastric Bypass: Routine or Selective?

Early detection of complications after laparoscopic Roux-en-Y gastric bypass (LRYGB) can be difficult because of the subtle clinical findings in obese patients. Consequently, routine postoperative upper gastrointestinal contrast studies (UGI) have been advocated for detection of leak from the gastrojejunostomy. The medical records of 368 consecutive patients undergoing LRYGB were analyzed to determine the efficacy of selective use of radiological studies after LRYGB. Forty-one patients (11%) developed signs suggestive of complications. Of the 41 symptomatic patients, two were explored urgently, 39 (10%) had radiological studies, and 16 of them (41%) were diagnosed with postoperative complications. Overall morbidity of the series was 4.8 per cent. Four patients (1.1%) developed a leak from the gastrojejunostomy and were correctly diagnosed by ‘ computerized tomography (CT). The sensitivity and specificity of CT in determining leak was 100 per cent, with positive and negative predictive value of 100 per cent. The mortality of the series was 0 per cent. No radiologie studies were performed in asymptomatic patients, and no complications developed in these patients. Our results show that selective radiological evaluation in patients with suspected complications after LRYGB is safe. High sensitivity makes CT the test of choice in patients with suspected complication after LRYGB. Routine radiological studies are not warranted.

LAPAROSCOPIC ROUX-EN-Y GASTRIC bypass (LRYGB) has become the most often performed bariatric operation in the United States.1,2 Easier recovery, lower morbidity, shorter hospital stay, less pain, less disability, and superior cosmetic results have made minimally invasive surgery the preferred surgical approach for the treatment of morbid obesity. However, LRYGB is not risk-free, especially during the learning curve. Gastrointestinal leak and small bowel obstruction are the most common complications after open or LRYGB. Early detection of these complications allows prompt correction and reduces the associated morbidity and mortality.3

Following open Roux-en-Y gastric bypass at most bariatric programs, postoperative upper gastrointestinal contrast studies (UGI) are routinely performed to detect a leak or early obstruction because the subtle early clinical signs of these complications after open procedures are obscured by incisional pain and narcotic administration.4-8 Laparoscopic surgeons have adopted the practice of routine postoperative radiological contrast studies, perhaps because of this custom following open bariatric surgery.1,9 We undertook this study to evaluate the safety and efficacy of selective radiological studies following LRYGB.

Patients and Methods

The study group consisted of consecutive patients who underwent LRYGB in our institution from January 2001 to December 2003. The data were collected concurrently in a custom database designed specifically for bariatric surgery (FileMaker Pro 6, FileMaker Inc., Santa Clara, CA). A protocol of obtaining imaging studies selectively was in place. Outcome measures included type of imaging study, result of study, morbidity, and mortality. The radiographie reports of the patients who had CT or UGI performed in the early postoperative period were evaluated for effectiveness of detection of postoperative complications.

The majority of LRYGBs were performed in a standard technique that involves creation of a 15-cc gastric pouch, a stapled gastrojejunostomy using linear endoscopie cutter and hand-sewn anterior layer, a 75-cm antecolic antegastric Roux limb, and a stapled side-toside jejunojejunostomy. The first 68 operations were performed with retrocolic antegastric Roux-en-Y reconstruction.

CT or UGI studies were performed selectively in hemodynamically stable patients based on the clinical signs of new or persistent tachycardia, tachypnea, chest or abdominal pain, nausea, vomiting, fever, elevated white blood cell count, or drop in hemoglobin. Unstable patients were reexplored without additional diagnostic studies. The results were analyzed for specificity, sensitivity, and negative and positive predictive value.

Results

Overall, 368 LRYGBs were performed. Three hundred twenty-seven patients (89%) had an uneventful postoperative period and required no imaging studies. Forty-one patients (11%) developed symptoms and signs in the early postoperative period suggestive of complications. In 23 (56% of symptomatic patients), no complications were detected, and the symptoms resolved spontaneously. Of the 41 symptomatic patients, 18 (44%) were diagnosed with postoperative complications (overall morbidity of 4.8%). The mortality of the series was O per cent. The complications are summarized in Table 1.

The data on clinical signs and symptoms of suspected complications were available for 33 patients. Most of the symptomatic patients had abdominal pain, tachycardia, nausea or vomiting, and elevated white cell count (Table 2).

Two patients had five clinical signs and symptoms. Both of these patients had postoperative complications. Of four patients with four clinical signs, two had complications. Of 10 patients with three clinical signs, four (40%) had complications. With one or two signs the chance of having postoperative complication was low (Table 3).

TABLE 1. Early Postoperative Morbidity

TABLE 2. Clinical Signs/Symptoms in Symptomatic Patients

TABLE 3. Clinical Signs/Symptoms and Complications for 33 Patients

Radiological contrast studies in the early postoperative period were performed in 39 of the 41 symptomatic patients. CT was performed in 34 (87%), UGI in addition to CT in 6 (15%), and UGI alone in 5 (13%). Table 4 correlates the study with the complications detected. Two patients with intraabdominal bleeding developed hemodynamic instability shortly after operation and underwent immediate laparoscopic exploration without imaging.

Four patients (1.1%) developed a leak from the gastrojejunostomy. CT detected this complication in three. All three patients were reoperated with uneventful recovery. A leak was diagnosed in the fourth patient clinically when gastric contents were identified in a drain placed intraoperatively. CT confirmed leak by extravasation of the contrast material. This patient was successfully managed nonoperatively. The cessation of leak in all four patients was confirmed by UGI. When CT was used to determine if a leak was present, there were no false-positive results. The sensitivity and specificity of CT in determining leak was 1OO per cent, with positive and negative predictive value of 100 per cent.

Early postoperative small bowel obstruction developed in three (0.8%) patients. Two of them had Roux limb obstruction, one diagnosed by CT and the other by UGI. The third patient had an obstruction of the biliopancreatic limb. UGI failed to detect it, but CT correctly diagnosed this complication. All patients with small bowel obstruction were successfully reoperated laparoscopically. All cases of small bowel obstruction occurred in patients with retrocolic Roux limb placement. No early or late small bowel obstruelions have developed in the 300 patients with antecolic antegastric Roux limb reconstruction.

TABLE 4. Imaging Modalities Used far Diagnosis of Complications

Early partial obstruction of the gastrojejunostomy was correctly diagnosed by UGI in two patients. Both patients were treated nonoperatively. Obstruction resolved spontaneously by the fifth postoperative day as confirmed with UGI.

Other complications occurred as well. Gastrogastric fistula was diagnosed in one patient by CT and confirmed by UGI. CT identified an abdominal wall hematoma in two patients, an intraabdominal collection in one, and atelectasis in three.

Discussion

The majority (89%) of 368 patients had an uneventful postoperative period after LRYGB. Only 11 per cent of the whole group developed clinical symptoms and signs of complications. Of the 41 symptomatic patients, 18 (44%) had postoperative complications. All four leaks from the gastrojejunostomy were accurately diagnosed by CT. CT also diagnosed other complications such as gastrogastric fistula, small bowel obstruction, intraabdominal fluid collection, and abdominal wall hematoma. These results show that thorough clinical evaluation in combination with selective use of radiological contrast studies following LRYGB is a safe clinical practice. Selective use of CT and UGI has allowed accurate early detection and treatment of all complications, resulting in low morbidity and in no mortality. Most importantly no complications were seen in asymptomatic patients, nor did a selective imaging protocol result in a delay in diagnosis.

Selective use of postoperative radiology is not only safe but also cost and resource effective. The cost of an UGI study at our institution is $175. Selective use of radiological studies resulted in a cost saving of $57,575. At a time of increasing costs and decreasing health care dollars, it is very important to have clinical evidence to justify diagnostic procedures, especially in recommending a practice standard.

Reducing morbidity and mortality is important in all surgery but especially in bariatric surgery, as morbidly obese patients have little reserve. Gastroin\testinal leak can be a devastating complication of LRYGB. The incidence of leak after LRYGB ranges from 1.5 to 5.1 per cent and is the major reason for hospital mortality.3, 10 But gastrointestinal leak is difficult to recognize after gastric bypass because clinical findings in obese patients are often subtle. Persistent tachycardia and tachypnea are the most common early signs. Lowgrade fever and abdominal pain radiating to the back, chest, and left shoulder can also be early symptoms. Physical exam rarely shows abdominal tenderness unless the bypassed stomach leaks. The white cell count is often elevated but may be within normal limits. The occult nature of leaks has led many surgeons to routinely order postoperative contrast studies.5-7, 11- 13

We adopted a selective imaging approach with CT as our first choice in evaluating a symptomatic patient. Advantages of CT are high sensitivity for extraluminal gas and contrast material and the ability to detect other abnormalities not generally diagnosed by UGI.14 Other series report the value of CT as part of the protocol for the diagnosis and treatment of the gastrointestinal leak after gastric bypass.15 However, CT has the disadvantage of a weight limit for the table top and an aperture that limits the size of patients that can be imaged.

UGIs can be used when CT is technically impossible. However, the ability of UGI contrast studies to detect leaks suffers from low sensitivity. In a series of 201 LRYGBs, routine UGI studies detected leak in only 33.3 per cent of patients who actually had a leak.11 Another study showed that routine UGI after open gastric bypass in 100 patients diagnosed three of four leaks.6 Similarly, other authors have reported that routine UGI does not eliminate the risk of misdiagnosed gastrointestinal leak.5, 12, 14, 16, 17 Routine UGI has not been shown to be beneficial in early detection of post- LRYGB complications,13 although several studies have shown that obtaining UGI studies in symptomatic patients decreases the number of unnecessary x-ray studies without compromising patient care.4, 15, 18

We conclude that selective radiological evaluation in the patients with suspected complications after LRYGB is safe. Patients with clinical signs and symptoms of complications following LRYGB should be studied promptly with CT or, if technically impossible, with UGI. High sensitivity makes CT the test of choice in patients with suspected complication after LRYGB. Routine radiological studies are not warranted.

REFERENCES

1. DeMaria EJ, Sugerman HJ, Kellum JM, et al. Results of 281 consecutive total laparoscopic Roux-en-Y gastric bypasses to treat morbid obesity. Ann Surg 2002;235:640-5.

2. Mason E. IBSR newsletter, 2003. htlp://www.surgery. uiowa.edu/ ibsr/wsummer03.htm

3. Marshall JS, Srivastava A, Gupta SK, et al. Roux-en-Y gastric bypass leak complications. Arch Surg 2003; 138:520-3.

4. Singh R, Fisher BL. Sensitivity and specificity of postoperative upper GI scries following gastric bypass. Obes Surg 2003; 13: 73-5.

5. Ganci-Cerrud G, Herrera MF. Role of radiologic contrast studies in the early postoperative period after bariatric surgery. Obes Surg 1999;9:532-4.

6. Serafini F, Anderson W, Ghassemi P, et al. The utility of contrast studies and drains in the management of patients after Roux- en-Y gastric bypass. Obes Surg 2002; 12:34-8.

7. Toppino M, Cesarani F, Comba A, et al. The role of early radiological studies after gastric bariatric surgery. Obes Surg 2001 11:447-54.

8. Buckwalter JA, Herbst CA Jr. Leaks occurring after gastric bariatric operations. Surgery 1988;103:156-60.

9. Witlgrove AC, Clark GW, Schubert KR. Laparoscopic gastrie bypass, Roux-en-Y: technique and results in 75 patients with 3-30 months follow-up. Obes Surg 1996;6:500-4.

10. Brolin RE. Gastric bypass. Surg Clin North Am 2001;81: 1077- 95.

11. Sims TL, Mullicun MA. Hamilton EC, et al. Routine upper gastrointestinal gastrografin swallow after laparoscopic Rouxen-Y gastric bypass. Obes Surg 2003; 13:66-72.

12. Hawthorne A, Kuhn J, McCarty TM. The role of routine upper GI series following Roux-en-Y gastric bypass. Obes Surg 2003; 13:222- 3.

13. Adusumilli P, Kurian M, Leitman M, et al. Docs early upper gastrointestinal series help in the management of gastric bypass patients. Obes Surg 2002; 12:207.

14. Blachar A, Federle MP, Pealer KM, et al. Gastrointestinal complications of laparoscopic Roux-cn-Y gastric bypass surgery: clinical and imaging findings. Radiology 2002;223:625-32.

15. Liu DC, Glantz G, Sawicki M, Livingston E. Management of post- operative leaks in Roux-en-Y gastric bypass patients: argument for selective radiologie studies. Obes Surg 2002; 12:215.

16. Schauer PR, Ikramuddin S, Gourash W, et al. Outcomes after laparoscopic Roux-en-Y gastric bypass Tor morbid obesity. Ann Surg 2000;232:515-29.

17. Suter M, Giusti V, Heraief E, et al. Laparoscopic Rouxen-Y gastric bypass: initial 2-year experience. Surg Endosc 2003; 17:603- 9.

18. McCormick JT, Papasavas PK, Pastor CG, et al. Analysis of radiographie studies used to evaluate complications after laparoscopic Roux-en-Y gastric bypass. Obes Surg 2003; 13:524.

SERGEY LYASS, M.D., THEODORE M. KHALILI, M.D., SCOTT CUNNEEN, M.D., FUMIHIKO FUJITA, M.D., KOJI OTSUKA, M.D., RITU CHOPRA, M.D., BRIAN LAHMANN, M.D., MATTHEW LUBLIN, M.D., GARY FURMAN, M.D., EDWARD H. PHILLIPS, M.D.

From the Center for Minimally Invasive Bariatric Surgery, Department of General Surgery, Cedars-Sinai Medical Center, Los Angeles, California

Presented at the Annual Meeting, Southern California Chapter of the American College of Surgeons, January 16-18, 2004, Santa Barbara, CA,

Address correspondence and reprint requests to Sergey Lyass, M.D., Department of Surgery, Cedars-Sinai Medical Center, 8700 Beverly Boulevard, Suite 8215, Los Angeles, CA 90048.

Copyright The Southeastern Surgical Congress Oct 2004

Managing Asthma in the Classroom

Educators can take many steps to help their students manage asthma symptoms and cut down on the number of school days lost to this disease.

Asthma is the most common chronic disease of childhood, affecting nearly 5 million children under the age of 18. Children with asthma account for 3 million hospital visits and 200,000 hospitalizations yearly. This adds up to an estimated $2 billion annually in health care costs (American Academy of Pediatrics, 1999). A child with asthma has three times the number of school absences as compared to the average non-asthmatic child. And the number of children affected has been growing. Since 1980, there has been a 160 percent increase in the disease in children under age 4 (Poirot, 1999). In an average classroom, one or two children are likely to have asthma (Majer & Joy, 1993).

Educators can take many steps to help their students manage asthma symptoms and cut down on the number of school days lost to this disease. An awareness of what triggers asthma and a few simple changes to the classroom could make a big difference for students with asthma. While asthma cannot be cured, it can be controlled to allow children to participate in typical school activities.

The Effect of Asthma on School Performance

Although the disease process of asthma has not been found to negatively affect academic performance (Bender, 1999; Gutstadt et al., 1989; Lindgren et al., 1992), other aspects of the illness do have an impact on a child’s performance in school (Celano & Geller, 1993). The side effects of medications used to control asthma may interfere with a student’s ability to concentrate, increase feelings of depression and anxiety, and interfere with short-term memory (Bender, 1995). Although the changes that result from these side effects are temporary and not a source of permanent neurocognitive impairment, the effect on the individual student may be consequential if educators are not aware of them.

Teachers should consider the possible psychosocial effects of asthma, in addition to the physical effects. These may include isolation from peers, fewer opportunities or less motivation for physical activity, and lowered expectations from self, educators, and family. By lowering their expectations for the asthmatic child, educators and parents deny that child the chance to realize his or her full potential. From math class to physical education, each child should be given the same opportunities, and teachers should adapt activities as needed. Adaptations can be as easy as providing time for a slow warm-up exercise before gym class to being aware of medication schedules and the effects of medication on the student before giving a test.

By being alert to the symptoms of asthma, side effects of medication, and ways to prevent asthma attacks, educators can help control for any negative effects on students. They can work with parents as a team to effectively manage the child’s asthma. Many children remain relatively unaffected by asthma, especially when they have positive experiences at home and in school. Below are recommendations to assist teachers in working with students with asthma.

Tip #1: Know if any children in your classroom are diagnosed with asthma.

What Is Asthma?

Asthma is a chronic lung condition that produces episodes of breathing problems, such as coughing, wheezing, chest tightness, and shortness of breath. The wheezing is caused by a spasm of the bronchial tubes or by swelling of the mucous membrane. Although people at any age can suffer from asthma, it occurs most often in childhood or early adulthood. The recurrence and severity of an asthma attack is greatly influenced by secondary factors, such as mental or physical fatigue, exposures to allergens, and emotional situations. The severity and length of an asthma attack may vary and most children recover fully from an asthmatic episode, given the proper treatment. It is possible, however, for a continuous asthmatic state to last for hours or even days. In some people with severe asthma symptoms, repeated inflammation alters the airways and leads to permanent airway obstruction.

While the basic cause of asthma is unknown, there are known risk factors and effective ways to control or manage them. Genetics can play a role, as can viral infections and environmental exposures or triggers. Triggers are conditions, events, or allergens that contribute to an asthmatic episode or attack. Each child diagnosed with asthma has unique triggers.

Tip #2: Become aware of asthma triggers in your teaching environment.

Common Triggers of Asthmatic Episodes in the School Environment

According to the American Lung Association (2004) and the American Academy of Allergy, Asthma and Immunology (2004), the following are common triggers for asthma attacks:

* Viral upper respiratory infections

* Exercise

* Stress and strong emotions

* Lung infections, such as bronchitis

* Changes in the weather

* Exposure to environmental irritants and allergens, including:

chalk dust

dust mites

pets

fungi and mold

tobacco smoke

strong smells

wood smoke

chemical smells

cockroach droppings

pollen

perfumes

paint fumes

In children over the age of 5, asthma is frequently associated with allergies. Seventy to 90 percent of children with asthma have allergies (Griffith, 1995). Educators and caregivers can reduce the risk for asthma attacks by controlling allergens in their teaching environments. Common triggers can be reduced or eliminated by diligently monitoring and maintaining the classroom environment. Dust, fungi, mold, and cockroach droppings can be kept to a minimum with proper cleaning. Educators can minimize strong smells in their room by eliminating the use of perfumes or chemical sprays. Although pets can be a nice addition to the classroom, they may trigger an asthmatic episode for some children and so should be carefully chosen and handled.

Tip #3: Know the early warning signs of an asthma attack.

Early Warning Signs of an Asthmatic Episode

Even diligence about keeping the classroom allergen free will not prevent all asthmatic episodes. You can do much to prevent the need for medical attention, however, by being aware of the early warning signs and taking appropriate actions in response. Younger children, or children with communication difficulties, may have difficulty identifying their symptoms. Educators dealing with infants and young children have an increased responsibility to notice early warning signs.

Parents usually can describe specific early warning signs of an asthmatic episode in their children. Everyone in contact with a child who suffers from asthma should be aware of such signs. Young children may present as restless or irritable prior to an asthmatic episode. The most common signs of an asthmatic episode include wheezing, difficulty breathing, persistent cough, chest tightness, sneezing, dark circles under the eyes, and clipped speech. Irritation of the nose and throat, thirst, and the need to urinate also are common antecedents to an asthma attack. The end of an attack is often marked by a cough that produces thick mucus (Frieman & Settel, 1994; Neuharth-Pritchett & Getch, 1999).

If any of the above signs are observed in an asthmatic child, the educator’s first step should be to stay calm (modeling the calm behavior for the child and classmates), and help the child relax in a quiet place. Asthma sets off a vicious emotional-physical cycle in children. Breathlessness and wheezing incites fear of suffocation. In turn, this anxiety produces further constrictions of the muscles in the airway, making breathing even more difficult (Frieman & Settel, 1994). Allow the child to sit and bend forward slightly with his eyes closed. Have the child put his hands on his stomach and pretend it is a balloon. As he inhales he should push his stomach out against his hands, blowing up the “balloon.” When exhaling, he should feel his hands sink in toward his stomach, flattening the “balloon.” This breathing technique will help relax the child and encourages deeper, oxygen-rich breathing. You may need to model this technique, as it is not natural for some children. It will be most effective if practiced before it is needed. In fact, the entire class can benefit from the calming effects of this breathing exercise.

Tip #4: Practice relaxation techniques.

The Role of Educators in Managing Asthma

Educators should consider themselves an important part of the asthma management process. Researchers have found that systematic and comprehensive education and collaboration among all involved- child, parents, educators, caregivers, and medical personnel-will increase the likelihood of successful asthma management (Wigal, Creer, Kotses, & Lewis, 1990). With successful asthma control, a child can expect an absence of symptoms or only minor asthma symptoms, no time lost from school, no significant limitations in physical activity, no emergency room visits, and little or no side effects from medication (Lenney, 1997).

Tip #5: Develop an asthma action plan.

Educators should have an asthma action plan that includes identification of the early warning signs of an asthma episode, information about current medications and the child’s specific reactions to medication, and information about when to contact the physician or go to the emergency room. The asthma action plan should also include \a description of the child’s typical behavior. This is especially important for children who are unable to report their own symptoms. The specific steps to take if an asthmatic episode does occur should be clearly outlined. Collaboration with parents or caregivers is essential to a successful asthma action plan. Examples of comprehensive asthma care plans can be found in the literature (see, for example, Neuharth-Pritchett & Getch, 1999).

Every child’s asthma management plan is different; therefore, teachers need to be aware of the individual child’s asthma medications, medication side effects, and administration procedures. Check with your school administrator for the medication administration policy in your school.

Tip #6: Become familiar with resources for asthma education.

Many resources are available that can help teachers educate themselves and their students about asthma (Goldberg, 1994). Literature, teaching aides, and Web sites provide practical ideas for classroom implementation of asthma information.

Although asthma management in the classroom may seem a daunting task, educators can make the task easier by involving the whole class. While teachers and classmates can learn how to deal with an asthma episode, the most important person in the management of childhood asthma is the child. Children should be taught self- management of their asthma, which includes knowledge about their triggers, their medications, and their asthma action plans. Educators can help children control their disease and thus live their lives as unaffected by asthma as possible.

Resources

American Lung Association

1740 Broadway, 14th Floor

New York, NY 10019-4374

212-315-8700

www.lungusa.org

National Heart, Lung and Blood Institute

National Asthma Education Program

P.O. Box 30105

Bethesda, MD 20814-4820

301-251-1222

(Ask for Managing Asthma in the School: A Guide for Schools)

Center for Children’s Health Media

P.O. Box 269

Wilmington, DE 19899

American Academy of Pediatrics

www.aap.org

800-433-9016

Additional Web Sites

www.kidshealth.org

Answers to frequently asked questions about asthma and allergies.

www.asthmabusters.com

Kid-friendly asthma information sponsored by the American Lung Association.

References

American Academy of Allergy, Asthma and Immunology. (2004). Classroom triggers for asthma and allergies. Retrieved August 29, 2004, from www.aaaai.org/media/news_releases/2004/08/081604.stm

American Academy of Pediatrics. (1999). Guide for managing asthma in children. Elk Grove Village, IL: Author.

American Lung Association. (2004). What are asthma and allergy triggers? Retrieved August 29, 2004, from www.lungusa.org

Bender, B. G. (1995). Are asthmatic children educationally handicapped? School Psychology Quarterly, 1(4), 274-291.

Bender, B. G. (1999). Learning disorders associated with asthma. School Psychology Review, 28(2), 204-214.

Celano, M. P., & Geller, R. J. (1993). Learning, school performance, and childhood asthma: How much at risk? Journal of Learning Disability, 26(1), 23-32.

Frieman, B. B., & Settel, J. (1994). What the classroom teacher needs to know about children with chronic medical problems. Childhood Education, 70, 196-201.

Goldberg, E. (1994). Including children with chronic health conditions: Nebulizers in the classroom. Young Children, 49(2), 34- 37.

Griffith, H. W., MD (1995). Complete guide to symptoms, illness and surgery. New York: The Putnam Group.

Gutstadt, L. B., Gillette, J. W., Mrazek, D. A., Fukuhar, J. T., LaBrecque, J. F., & Strunk, R. C. (1989). Determinants of school performance in children with chronic asthma. American Journal of Diseases of Children, 143, 471-475.

Lenney,W. (1997). The burden of pediatric asthma. Pediatric Pulmonol, 15, 13-16.

Lindgren, S., Lokshin, B., Stromquist, A., Weinberger, M., Nassif, E., McCubbin, M., & Frasher, R. (1992). Does asthma or treatment with theophylline limit children’s academic performance? New England Journal of Medicine, 327, 926-930.

Majer, L. S.,& Joy, J. H. (1993). A principal’s guide to asthma. Principal, 73(2), 42-44.

Neuharth-Pritchett, S., & Getch, Y. Q. (1999). Children with asthma: Strategies for educators. Teaching Exceptional Children, 49(2), 34-37.

Poirot, C. (1999, Nov. 11). Doctors alarmed by skyrocketing cases of childhood asthma. The Buffalo News, pp. C1, C5.

Wigal, J. K., Creer, L. T., Kotses, H., & Lewis, P. (1990). A critique of 19 self-management programs for childhood asthma: Part I. Development and evaluation of the programs. Pediatric Asthma, Allergy, and Immunology, 4,17-39.

Ellen M. Hamm

Ellen M. Hamm is Assistant Professor, Graduate Education and Leadership, Canisius College, Buffalo, New York.

APPENDIX A

SAMPLE ASTHMA ACTION PLAN

Copyright Association for Childhood Education International Fall 2004

Osteoinductivity of Commercially Available Demineralized Bone Matrix: Preparations in a Spine Fusion Model

Background: Although autogenous bone is the most widely used graft material for spinal fusion, demineralized bone matrix preparations are available as alternatives or supplements to autograft. They are prepared by acid extraction of most of the mineralized component, with retention of the collagen and noncollagenous proteins, including growth factors. Differences in allograft processing methods among suppliers might yield products with different osteoinductive activities. The purpose of this study was to compare the efficacy of three different commercially available demineralized bone matrix products for inducing spinal fusion in an athymic rat model.

Methods: Sixty male athymic rats underwent spinal fusion and were divided into three groups of eighteen animals each. Group I received Grafton Putty; Group II, DBX Putty; and Group III, AlloMatrix Injectable Putty. A control group of six animals (Group IV) underwent decortication alone. Six animals from each of the three experimental groups were killed at each of three intervals (two, four, and eight weeks), and the six animals from the control group were killed at eight weeks. At each of the time-points, radiographic and histologic analysis and manual testing of the explanted spines were performed.

Results: The spines in Group I demonstrated higher rates of radiographically evident fusion at eight weeks than did the spines in Group III or Group IV (p

Conclusions: This study demonstrated differences in the osteoinductive potentials of commercially available demineralized bone matrices in this animal model.

Clinical Relevance: Comparative clinical testing of demineralized bone matrices is indicated in order to determine which preparations are best suited for promoting successful spinal fusion in humans.

Approximately 200,000 spine fusions are performed each year in the United States, and most are single-level posterolateral lumbar fusions1. Autogenous bone graft is the current gold standard for inducing spinal fusion2. Autogenous bone is readily available from most patients and contains several of the elements that are thought to be critical to promote bone formation, including osteoprogenitor cells, the osteoconductive matrix of the cancellous bone, and osteoinductive signals such as bone morphogenetic proteins3-5. Disadvantages of autogenous bone graft include the morbidity associated with the harvest, the limited supply of the autogenous graft material, and the additional operating room time6-10. Because of the frequent need for bone-grafting in spine surgery, alternatives to autogenous bone are being developed and investigated11-13.

Demineralized bone matrices are a potential alternative or supplement to autogenous bone graft14-16. Demineralized bone matrices are prepared by acid extraction of allograft bone, resulting in loss of most of the mineralized component but retention of collagen and noncollagenous proteins, including growth factors. Demineralized bone matrices do not contain osteoprogenitor cells, but the efficacy of a demineralized bone matrix as a bone-graft substitute or extender may be influenced by a number of factors, including the sterilization process, the carrier, the total amount of bone morphogenetic protein (BMP) present, and the ratios of the different BMPs present17-19. In addition, the osteoconductivity of the demineralized bone matrix-carrier complex may be an important factor since this property promotes migration of osteoprogenitor cells to the bone defect site.

Some demineralized bone matrices are tested chemically or immunologically for BMP content, and certain demineralized bone matrices are tested in vitro to demonstrate their osteoinductive effect on cultured cells. However, many demineralized bone matrices have not been stringently tested in clinically relevant animal models, in part because this has not been required by the United States Food and Drug Administration. To our knowledge, there has never been a prospective, randomized clinical trial to evaluate the efficacies of these agents in a clinical setting.

Despite this lack of data, demineralized bone matrices have been used not only to enhance fusion of the spine20,21 but also to graft nonunions22, osteolytic lesions around total joint implants23, and benign bone cysts24. However, the success rates of different demineralized bone matrices have not been studied in a rigorous fashion, and the efficacy of these agents may vary. The purpose of this study was to compare the efficacy of three different commercially available demineralized bone matrix products in an athymic rat spinal fusion modeP.

Materials and Methods

Demineralized Bone Matrices Tested

Sixty male athymic rats were analyzed in this study. The animals were divided into three experimental groups of eighteen animals each and a control group of six animals. Group I was treated with Grafton Putty (Osteotech, Eatontown, New Jersey); Group II, with DBX Putty (MTF [Musculoskeletal Transplant Foundation], available through Synthes, Paoli, Pennsylvania); Group III, with AlloMatrix Injectable Putty (Wright Medical Technology, Arlington, Tennessee); and Group IV (control group), with decortication alone. Demineralized bone matrices were obtained directly from the manufacturers, and the lot numbers were recorded. For each brand of demineralized bone matrix, at least two different lot numbers were used.

Product Information

The specific details of the preparation and processing of the demineralized bone matrices are proprietary, but each is composed of demineralized human allograft bone combined with a biologically compatible carrier. All of the demineralized bone matrices that we tested can be stored at room temperature and do not have special handling requirements other than maintenance of sterility.

Grafton Putty (Group I) is derived from human banked bone tissue. Donors undergo serologic and microbiologic testing as well as screening on the basis of their medical and social history. The allograft bone is harvested in a sterile manner, washed, sonicated, treated with antibiotics, and demineralized to contain

DBX Putty (Group II) is also derived from human banked bone tissue. Donors undergo screening procedures as dictated by the Musculoskeletal Transplant Foundation (Edison, New Jersey). Allograft tissue is harvested under sterile conditions, washed, and treated with antibiotics. The tissue is then demineralized with hydrochloric acid so that the resulting bone matrix contains

AlloMatrix Injectable Putty (Group III) is derived from human banked bone tissue as well. Donors are screened with serological testing as well as evaluation of their medical and social history. The allograft tissue is processed aseptically by the tissue supplier and undergoes e-beam (electron-beam) sterilization. The allograft bone is demineralized and is combined with calcium sulphate hemihydrate and carboxymethylcellulose. Each lot of AlloMatrix demineralized bone matrix is assayed in vitro tor osteoinductive potential. AlloMatrix Injectable Putty is packaged as a kit containing a powder and a liquid that must be mixed prior to implantation. Once this mixing is performed, the AlloMatrix Putty can be easily molded or pressed into a bone defect.

Arthrodesis in Athymic Nude Rats

Approval was obtained from the Institutional Animal Care and Use Committee before the animal procedures were begun. This spine fusion model has been described previously27. A midline incision was made in the skin, and the transverse processes of L4 and L5 were exposed and decorticated bilaterally with a high-speed burr. After this, 0.3 cm^sup 3^ of graft material was implanted on each side (0.6 cm^sup 3^ total). The appropriate demineralized bone matrix was implanted in the eighteen animals in each of the three experimental groups. The control group underwent decortication alone. Six animals from each of the three experimental groups were killed at each of three intervals (two, four, and eight weeks), and the six animals from the control group were killed at eight weeks.

Radiographic Analysis

Radiographs were made at two, four, and eight weeks after surgery and were examined by t\hree independent observers who were blinded to the treatment group. The amount of bone that had formed between the transverse processes of L4 and L5 was evaluated with use of a scoring system in which 0 indicated minimal or no evidence of new bone formation; 1, immature bone formation, with fusion questionable; and 2, solid-appearing bone, with fusion likely. The radiographic scores of the three observers were summed, with 6 as the maximum score. Spines with a cumulative score of 5 or 6 were considered to have radiographic evidence of fusion.

Manual Palpation

All spines were explanted and assessed for fusion by manual palpation by three observers who were blinded to the type of treatment that the animal had received. Manual palpation has been reported to be the most sensitive and specific method of assessing fusion in this model28,29. All spines were categorized as either fused or not fused. At least two observers had to have considered the spine to be fused for the spine to be deemed fused as demonstrated by manual palpation.

Histologic Techniques

After the animals were killed, all sixty spines were dissected and were fixed in 40% ethanol, dehydrated, and embedded in polymethylmethacrylate. Serial sagittal sections of the transverse processes were cut with a diamond band saw (Exakt, Hamburg, Germany). Sections were mounted on plastic slides, milled, polished, and surface-stained with trichrome or toluidine blue.

Statistical Methods

Scores from the radiographic analysis were assessed with a nonparametric Kruskal-Wallis test comparing the distribution of ranked data in the various groups. Data from the manual palpation assessment were analyzed with use of the Fisher exact test. The kappa statistic was calculated to demonstrate the interobserver reliability of the scoring.

Results

The three experimental groups differed with regard to the fusion rates. These differences were consistently shown radiographically, by manual palpation, and by histologic analysis.

Fig. 1

Radiographs of explanted spines in Group 1 (Grafton Putty) at two, four, and eight weeks. The space between L4 and L5 was initially radiolucent, and bone formation was easily distinguished at the four and eight-week time-points.

Radiographic Analysis

The Grafton Putty demineralized bone matrix (Group I) is extensively demineralized and has a glycerol carrier. New bone formation in the rats treated with the Grafton Putty was the easiest to assess radiographically since the putty material was initially radiolucent. Radiographs of the spines made at two weeks after the surgery showed minimal bone formation between L4 and L5. At the four- week time-point, radiographs clearly showed new bone formation between the transverse processes of L4 and L5 (Fig. 1). Radiographs made at the eight-week time-point indicated that all six of the spines had fused, and even the worst-appearing radiograph of a spine treated with Grafton Putty showed considerable bone formation between the transverse processes.

The DBX Putty (Group II) is less extensively demineralized than is the Grafton Putty and is initially radiopaque. The radiopaque DBX Putty material could be seen on the radiographs made at the two- week time-point, and this made assessment of new bone formation more difficult (Fig. 2). At four weeks, four of the six spines in which DBX had been implanted appeared to be solidly fused. At eight weeks, radiolucent cracks appeared between the bone formed at L4 and L5 in three of the spines, indicating that a pseudarthrosis had occurred. Three of the spines appeared to be fused.

Two weeks after the operative procedure in the spines in Group III (AlloMatrix Injectable Putty), radiopaque material appeared to bridge L4 and L5. However, it was unclear whether this material was residual carrier or new bone. At the four-week time-point, the amount of radiopaque material had increased minimally in comparison with that seen at the two-week time-point, and, by eight weeks, three of the six radiographs showed large radiolucent fissures between L4 and L5, clearly indicating a pseudarthrosis. None of the Group-III spines appeared to be fused on the radiographs made at the eight-week time-point (Fig. 3).

Fig. 2

Radiographs of explanted spines in Group II (DBX Putty) at two, four, and eight weeks. Spines in Group II contained radiopaque material between L4 and L5 at two weeks. However, minimal change was detected between the two and four-week time-points. New bone formation was difficult to distinguish from the background carrier. At eight weeks, three of the six spines in Group II appeared solidly fused, but three appeared to have a pseudarthrosis.

Fig. 3

Radiographs of explanted spines from Group III (AlloMatrix Injectable Putty) at two, four, and eight weeks. Spines in Group III contained radiopaque material between L4 and L5 at the two-week time- point. Bone present at the eight-week time-point appeared to have a more mature appearance, but fusion did not appear to have occurred in any of the spines. The arrowheads point to the transverse process of L5.

There was minimal or no radiographic evidence of bone formation between L4 and L5 in the spines in the control group (Group IV).

There was a high level of agreement with respect to the radiographic scores. The kappa statistic was 0.87. Figure 4 presents the best and worst-appearing radiographs for each study group at eight weeks.

Manual Palpation

At the two-week time-point, no spine in any of the four groups was determined to be fused on manual palpation. However, five of the six spines in Group I had fused by the four-week time-point, and all six had fused by eight weeks. In Group II, two of the six spines were fused at four weeks and three were fused at the eight-week time- point. In Group III, there was no evidence of spine fusion on manual palpation at two, four, or eight weeks after the operative procedure (Table I). There was a significant difference in fusion rates, as noted with manual palpation, between Group I (Grafton) and Group III (AlloMatrix) at both four weeks (five of six compared with zero of six; p = 0.015) and eight weeks (six of six compared with zero of six; p = 0.001). The differences in the fusion rates between Groups I and II and between Groups II and III did not reach significance, probably because of the limited number of animals in the study. No spines in the control group (Group IV) were considered to have fused. The combined kappa statistic was 0.922.

Fig. 4

Best and worst-appearing radiographs of the explanted spines at eight weeks. A: Control spines that underwent decortication alone (Group IV). B: Spines treated with AlloMatrix Injectable Putty (Group III). C: Spines treated with DBX Putty (Group II). D: Spines treated with Grafton Putty (Group I). Grafton Putty is initially radiolucent. AlloMatrix and DBX have radiopaque carriers. The radiopacity between L4 and L5 in the group treated with Grafton Putty was seen to be increased, whereas minimal change could be detected between the two and four-week time-points in the spines treated with AlloMatrix or DBX.

TABLE I Data Derived with Manual Palpation

Histologic Analysis

At two weeks, the spines in Group I (Grafton Putty) demonstrated woven bone on the surfaces of the L4 and L5 transverse processes. In addition, there were strands of collagen, apparently from the carrier, and isolated islands of new bone formation. No endochondral intermediate was detected. By four weeks, these islands of new bone had coalesced, forming networks of woven bone. At eight weeks, no residual demineralized bone matrix was visible and new bone bridged the transverse processes of L4 and L5, resulting in solid fusion in all six spines (Fig. 5).

All six of the spines in Group II (DBX Putty) revealed persistence of the demineralized bone matrix material at the two, four, and eight-week time-points. New bone formation occurred on the surfaces of the transverse processes and in the interstices of the carrier. New bone formation was detected in the two-week specimens, and by eight weeks three of the spines were fused. In the other three spines, there was new bone formation but not complete fusion.

Fig. 5

Sagittal sections of spines at eight weeks (toluidine blue). A: A spine treated with decortication alone (Group IV). B: A spine treated with AlloMatrix Injectable Putty (Group III). C: A spine treated with DBX Putty (Group II). D: A spine treated with Grafton Putty (Group I). Toluidine blue stains the transverse processes (asterisks) and new bone dark blue. Residual carrier in both the AlloMatrix and the DBX Putty-treated spines stains pale blue (arrows). The sagittal section from the animal treated with decortication alone shows no bone between the transverse processes. The section from the spine treated with the AlloMatrix Putty shows some residual carrier and some new bone, which appears to have formed along the surfaces of the decorticated transverse processes and the residual carrier. The section from the DBX Putty-treated spine shows extensive amounts of residual carrier as well as new bone formation in the interstices. No residual carrier is visible in the section from the Grafton Putty-treated group.

In Group III (AlloMatrix Putty), new bone formation was noted originating from the surfaces of the transverse processes. However, the amount of additional bone formation between the two and four- week time-points was minimal. None of the spines had fused by eight weeks, although new bone was present on the dorsal surfaces of the transverse processes. Residual demineralized bone matrix was still detectable in the spines at eight weeks, but less residual carrier was present than had been seen in the two-week spines.

In the control group (decortication only), minimal bone had formed on the surfaces of L4 and L5 at eight weeks (Fig. 5).

Discussion

We are not aware of any prospective clinical trials comparing demineralized bone matrices, but there i\s some clinical evidence and there are several animal studies indicating that demineralized bone matrices may function as extenders of autogenous bone graft14,30. For example, Johnson et al. combined demineralized bone matrix with autogenous bone graft to effectively treat tibial and femoral nonunions31-33. In their series of thirty problematic femoral nonunions, twenty-four healed within six months after intervention, four required application of a second plate before union occurred, and two patients were lost to follow-up. In a nonrandomized, prospective study of single and multilevel anterior cervical fusions, An et al. compared the results in thirty-eight patients treated with autogenous iliac crest bone graft with those in thirty-nine patents treated with allograft bone and demineralized bone matrix34. At the time of follow-up, at twelve to thirty-one months, the patients treated with the autograft had a lower rate of graft collapse than did those treated with the allograft and demineralized bone matrix (11% compared with 19%) as well as a lower rate of pseudarthrosis (26% compared with 46%), but the differences did not quite reach significance.

Various animal models have been developed to study the osteoinductive potential of demineralized bone matrices and their ability to either substitute for or enhance the biologic activity of autograft bone15,35-38. A general weakness of these studies is that the demineralized bone matrix that was tested was not the same material that is commercially available since the demineralized bone matrix must be made from bone from the same species.

The efficacies of demineralized bone matrices have been assessed in a well-established rabbit posterolateral spine fusion model15,39,40. Morone and Boden demonstrated that decreased autograft volume could be supplemented with demineralized bone matrix gel to yield fusion rates similar to those following use of autograft alone15.

The present study involved an athymic rat posterolateral spine fusion model, a standardized model that enables stringent testing of osteoinductive capacity. An advantage of this model is that the demineralized bone matrix can be evaluated in its commercially available form because the nude rat does not generate an immune response to the human demineralized bone matrix. Results derived from this or any animal model of spine fusion must be interpreted with caution, however. The efficacy of these demineralized bone matrices may be different in other types of models (e.g., a femoral defect model). Also, young healthy animals were used in this study, and the results in such animals may not be applicable to older patients with previous surgical treatment, a history of nicotine use, or poor general health. The final test of the efficacy of demineralized bone matrix is the clinical trial, and success at one level of animal model does not necessarily mean that the demineralized bone matrix will be osteoinductive at the next level. However, failure to induce bone at a lower level of the phylogeny has been suggested to indicate a poor prognosis for the osteoinductive potential of the substance in higher animals and humans1.

While all demineralized bone matrices augment the fusion process by providing an osteoconductive scaffold of variable osteoinductive activity41-44, each manufacturer uses a different system for procuring allografts and for demineralization and sterilization. In addition, demineralized bone matrices are often combined with different carriers such as glycerol, hyaluronic acid, or calcium sulfate. Many demineralized bone matrices have not undergone extensive preclinical or clinical testing, in part because the Food and Drug Administration has not regulated demineralized bone matrices in the same way that medical devices have been regulated. Therefore, it was not surprising that the demineralized bone matrices in this study were found to have different biological activities. In addition to the processing methods, donor quality is another potential source of variability in osteoinductive potential. This could be evaluated by testing different lots from a single graft processor. We did not attempt to compare osteoinductivity among different lots of the same demineralized bone matrix, but, by using at least two lot numbers of each demineralized bone matrix formulation, we hoped to minimize the potential of a systematic error. Several preclinical studies have demonstrated no significant difference among lots from the same manufacturer, even though the donor age in one study ranged from forty-five to sixty-seven years45.

All of the demineralized bone matrices tested in this study are commercially available. Each had excellent handling properties in that they were easily molded and placed onto the decorticated transverse processes of the rats. We did not evaluate the diffusion or solubility of the demineralized bone matrices, and therefore we cannot comment on the duration for which the demineralized bone matrix was present at the desired fusion site after the skin was closed.

This study demonstrated that differences in the osteoinductive potential of commercially available demineralized bone matrices can be detected with the use of this animal model. Whether the differences in fusion rates in athymic rats translate into variable clinical outcomes when the same demineralized bone matrix preparations are used in patients is a matter of speculation. Surgeons should carefully consider the clinical indications for any bone-graft substitute or extender, and comparative clinical testing of demineralized bone matrices is needed to determine which preparations are best suited for promoting successful spinal fusion in humans.

NOTE: The authors thank Fred Dorey, PhD, for his assistance with the statistical analysis in this study.

A commentary is available with the electronic versions of this article, on our web site (www.jbjs.org) and on our quarterly CD-ROM (call our subscription department, at 781-449-9780, to order the CD- ROM).

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BY BRETT PETERSON, MD, PETER G. WHANG, MD, ROBERTO IGLESIAS, MD, JEFF C. WANG, MD, AND JAY R. LIEBERMAN, MD

Investigation performed at the Department of Orthopaedic Surgery, David Geffen School of Medicine at UCLA, Los Angeles, California

Brett Peterson, MD

Peter G. Whang, MD

Roberta Iglesias, MD

Jeff C. Wang, MD

Jay R. Lieberman, MD

Department of Orthopaedic Surgery, David Geffen School of Medicine at UCLA, Center for Health Sciences 76-134, 10833 Le Conte Avenue, Los Angeles, CA 90095. E-mail address for J.R. Lieberman: [email protected]

In support of their research or preparation of this manuscript, one or more of the authors received grants or outside funding from the Musculoskeletal Transplant Foundation. None of the authors received payments or other benefits or a commitment or agreement to provide such benefits from a commercial entity. No commercial entity paid or directed, or agreed to pay or direct, any benefits to any research fund, foundation, educational institution, or other charitable or nonprofit organization with which the authors are affiliated or associated.

Copyright Journal of Bone and Joint Surgery, Inc. Oct 2004

MEDICAL MALPRACTICE REFORM: Critical Condition

By PAUL HARASIM

REVIEW-JOURNAL

As Gina Greisen drove to the office of her gynecologist, she never thought she and her doctor would soon debate the U.S. Constitution in the examination room.

During her short drive, she did think about how close she felt to Dr. Florence Jameson.

“I remembered how my grandmother, my mother and me and also my daughter-to-be were once in her office together,” she said. “My daughter showed up on a sonogram. We were so happy when Dr. Jameson pointed out my daughter inside me.” Soon after Greisen arrived at Jameson’s office, however, her warm memories gave way to a new reality. A member of the physician’s staff asked her to sign a document that carried a message in bold letters:

“BY SIGNING THIS CONTRACT YOU ARE AGREEING TO HAVE ANY ISSUE OF MEDICAL MALPRACTICE DECIDED BY NEUTRAL ARBITRATION AND YOU ARE GIVING UP YOUR RIGHT TO A JURY OR COURT TRIAL.”

“I couldn’t believe what I was reading,” the 37-year-old Greisen said as she watched her daughter Erika play in front of her parents’ Las Vegas home. “What an inappropriate, cold thing to be in a doctor’s office. I had no intention of ever suing Dr. Jameson. I loved her. But are you supposed to give away your constitutional rights to go to the doctor?”

When Jameson entered the examination room, Greisen noted that the physician seemed upset. “She wanted to know why I hadn’t signed,” Greisen said. “She didn’t care about my belief in the Constitution. She had always been so warm, but now she was just cold.”

A week later, Greisen received a certified letter from Jameson. Because of the malpractice crisis, Jameson wrote, she could “no longer accommodate all of the patients.”

“I was stunned,” said Greisen, who is studying to become a real estate agent. “I had just gone through a cancer scare and she just dropped me. Your OB-GYN is someone that takes care of you in your most intimate places and the form letter told me to call the Clark County Medical Society for a referral. I remember thinking, ‘What in the world is happening in Las Vegas?’ “

What is under way, suggests Dr. Michael P. Colletti, president of the Clark County Medical Society, is the rapid decline of medical care in Nevada.

“Unfortunately, over the last few years, it (medical care) has declined and continues to do so at an alarming rate,” he told colleagues during his installation speech.

“Many physicians, especially those hardest hit by skyrocketing insurance premiums, have left the state, retired early, or limited their malpractice exposure by no longer performing high-risk procedures,” he added. “Thirty years ago, it would have been unthinkable for a physician not to take care of the sickest patients or those in most need because they were concerned about being sued.”

Now, as Greisen knows, it is routine.

Today, fear, not reason, Jameson concedes, often rules the day for physicians.

“The fear of lawsuits and the increase in the cost of malpractice insurance weighs on you in ways that you can’t even imagine,” Jameson said. “You start doing things you never thought you’d do. The hardest thing I’ve ever had to do was to give those agreements to my patients to sign. I was literally shaking when I did it. But I’ve got to protect myself. It was kind of a litmus test. It gives you a sense of where people are coming from. It lets me see if I can trust you. Whether they sign or not isn’t as critical as their reaction to the request. Not everybody who didn’t sign was let go as a patient. I had to feel comfortable, get the right vibrations. It was kind of woman’s intuition, if you know what I mean.”

Competing questions

Those most knowledgable about the medical malpractice issue in Nevada, including many doctors and trial lawyers, agree something has to be done. But they often disagree about what is wrong with the system and how those flaws should be fixed.

Doctors point to rising medical malpractice premiums that they attribute to voracious trial lawyers plying ever-greater malpractice payouts from jurors and insurance companies.

Their prescription is Question 3 on the Nov. 2 ballot. It would limit the amount of money an attorney could make off a malpractice case and shorten the statute of limitations in medical malpractice actions.

Question 3, which physicians call Keep Our Doctors in Nevada, also would set a $350,000 cap on damages for pain and suffering in all cases. It would not limit other types of damages, such as recovery of medical expenses and lost wages. The state already has a cap on noneconomic damages, but current law provides for exceptions. Doctors want to remove those exceptions. Recovery of economic damages, including loss of future earnings and medical expenses, would not be limited under Question 3, but awards could be made in periodic payments rather than a lump sum.

Trial lawyers point to studies that indicate doctors are making more mistakes than ever before, and they contend a key insurer pulled out of Nevada not entirely because malpractice payouts are rising, but also because the company was forced to consolidate in the wake of catastrophic investments in an array of ventures, including Enron.

Trial lawyers are pushing Questions 4 and 5 on the November ballot. Both target the $350,000 cap.

If Question 4 succeeds, there would be no cap, unless insurers cut malpractice premiums by 10 percent. If Question 5 succeeds, the cap would remain, but so would the existing exceptions.

The debate surrounding these rival measures rages in the news media and in political advertisements, and each side is well-armed with studies and statistics. But for some people it is more than a policy debate.

Dr. Allan Boruszak closed his Nevada practice in June and now delivers babies in rural North Carolina.

“I had 21 years of experience in Las Vegas,” Boruszak said. “I had done more than 4,000 deliveries. I found it very emotional to leave. My patients and I cried together.”

Boruszak, who is widely regarded by physicians and trial lawyers alike, cited the rising cost of medical malpractice insurance. He said his malpractice premiums more than doubled, from around $60,000 a year in 2000 to $150,000 in 2004. OB-GYNs pay an average malpractice insurance premium of $41,000 in North Carolina.

In a telephone conversation from his North Carolina home, Boruszak said it is critical that physicians look at all areas of malpractice insurance reform if they want truly fair premiums, including better checks on the insurance industry itself and more reliable discipline of physicians.

“I think we have to look at all areas if we really want positive change,” Boruszak said. “If we can weed out some problems, the less people have to pay in malpractice insurance. I think reform all has to work together.”

A damaging doctor

The argument that rising malpractice premiums are forcing doctors to leave Nevada is central to the doctor-initiated Question 3. One television advertisement shows a line of people wearing operating- room scrubs walking toward the state line.

But the true number of doctors who have left Nevada is anybody’s guess. The General Accounting Office was unable to reach a figure, but deemed the statistics supplied by Nevada physicians to be exaggerated, anecdotal and inaccurate.

What is known is that Nevada’s doctors are part of the highest paid profession in the United States. The seven top-paying occupations in the country in 2002, according to the Bureau of Labor Statistics, were doctors: in descending order, anesthesiologists, internists, obstetrician/gynecologists, surgeons, pediatricians, psychiatrists, and family and general practitioners.

The Medical Group Management Association reports that in 2002 the median compensation for doctors, after business expenses that include malpractice insurance payments, ranged from $150,000 to $306,000. Doctors spend 3.9 percent of their practice incomes on malpractice insurance, according to the Centers for Medicare and Medicaid.

“We, as physicians, have become very concerned about protecting our assets,” said Colletti, the medical society president.

Declining reimbursement rates, coupled with increasing malpractice insurance premiums and office expenses, have made obstetrician/gynecologists particularly nervous about their assets. Fifteen years ago, back when health care insurers would routinely pick up the tab, physicians billed up to $5,000 for a delivery. Now, with managed care in vogue, they have to accept around $2,000. In an attempt to keep their same lifestyle, they have to deliver more babies, and perhaps make more mistakes. For doctors who try to go it alone, the financial crunch has been difficult.

“The day of the solo practitioner is about over,” Boruszak said. “I was having to hire extra people to bill the insurance companies to get my money. You have to be part of a group to keep costs down.”

State records show that the number of doctors with active licenses and business and-or home addresses in Nevada has increased every year since 1999, though officials caution these numbers do not tell the whole story.

“The State Board of Medical Examiners tracks the number of new and active licenses for medical doctors in the state of Nevada, however it has no mechanism in place to determine how many of these doctors are currently practicing medicine, seeing patients, reducing the services they provide or leaving the state,” board Executive Secretary Tony Clark said.

At least one of the doctors who left Nevada will not be missed. Before he surrendered his license in 2001, Las Vegas orthopedic surgeon Dr. Francis G. D’Ambrosio racked up more than 50 settlements and $14 million in malpractice payouts.

Doctors and trial lawyers blame D’Ambrosio, who still has additional malpractice cases pending in Nevada, for some of the increase in medical malpractice premiums.

In an affidavit filed earlier this year, Dr. Carl Noback said he once asked D’Ambrosio how he coped with the large number of malpractice cases filed against him.

“He stated it was no big deal and that he figured he had about five years in a practice location before they would all catch up with him, at which point he would move,” Noback said in the affidavit.

Noback said he also recalled a meeting with D’Ambrosio and Dr. James C. Thomas regarding billing.

“There was a discussion between Dr. D’Ambrosio and Dr. Thomas as to which one of them was going to win the ‘green jacket.’ The awarding of the ‘green jacket’ was timed in concert with the Master’s golf tournament which awards a ‘green jacket’ to the tournament champion and represented a conceptual award for the ‘Master of Billing,’ who billed the most for the prior year.”

John Cotton, attorney for D’Ambrosio and Thomas, said they deny Noback’s claims.

Allegations of medical mistakes are not limited to D’Ambrosio:

— The Institute of Medicine in March 2000 estimated between 44,000 and 98,000 people die each year in hospitals because of preventable errors.

— The Centers for Disease Control and Prevention has reported 2 million hospital patients die every year from preventable infections.

— And the Journal of the American Medical Association has estimated that physician negligence causes the equivalent of one jumbo-jet crash every three days.

Relatively few physicians are responsible for most of the injuries. According to the liberal advocacy group Public Citizen, 5.4 percent of the doctors are responsible for 56.2 percent of medical malpractice payments. More than 80 percent of doctors in the United States have never had a claim settled against them.

Many patients who are injured never file malpractice lawsuits.

Dr. Richard G. Roberts, former chairman of the American Academy of Family Physicians, wrote: “About one in 50 hospitalized patients is injured due to negligence, and yet only one in 10 of those files a lawsuit and, among those filing suits, only one in 20 receives money; there is more malpractice committed than is recognized, litigated or compensated. … Plaintiffs in most cases are not ‘gold digging.’ The vast majority have outcomes none of us would want for ourselves or our loved ones.”

The Nevada Board of Medical Examiners receives about 1,000 complaints a year and acts on fewer than 20 of them. In the past 10 years, the board reported it either temporarily suspended or revoked a total of 74 licenses.

“They don’t look real hard for problems,” said Dr. Leonard Kreisler, former chief of staff at University Medical Center. He said the board ignored two documented cases he brought against doctors several years ago.

Clark County juries have shown a willingness to levy substantial verdicts in malpractice cases. Malpractice settlements and jury awards in Clark County went from around $13 million in 1999 to more than $37 million in 2001. The three largest jury verdicts in 2001 combined to exceed $16 million.

Attorneys generally take about 40 percent of each malpractice payout for contingency fees and expenses, meaning that of the $16 million awarded by juries in the three largest verdicts of 2001, about $6.4 million went to attorneys. Doctors think attorneys profit too much from medical mistakes, and want to limit their fees. “If a patient is hurt, more of the money should go to the patients,” said Dr. Rudy Manthei, head of the Keep Our Doctors In Nevada campaign.

Attorneys argue that it often costs them more than $100,000 on investigators and expert witnesses to prepare for trial.

“If we lose the case, you have to remember we’re out all our expenses, not to mention our time,” said trial attorney Gerald Gillock. “And remember these cases often take five years to come to trial.”

The St. Paul Companies cited the increasing jury awards when it pulled out of the state in 2001. According to one insurance company executive, the state’s insurance market is still suffering from the effects of that pullout.

In the early 1990s, St. Paul purchased the Nevada Medical Liability Insurance Co., which had been highly profitable and enjoyed a reputation of solid underwriting, in other words, checking on a doctor’s claim history before issuing a premium.

But St. Paul, anxious to corner the insurance market in this state, waived underwriting for Nevada State Medical Association members and reduced rates below the actual cost of providing insurance.

Like many insurance companies seeking to increase market share, St. Paul expected its investments would offset the low premiums. But after gaining 60 percent of the business in Nevada, the malpractice claims came pouring in and St. Paul’s investments soured. The company has reported it lost more than $100 million when Enron collapsed.

St. Paul left a huge void when it left Nevada. Other companies that did solid underwriting could not offer premiums anywhere near the artificially low ones given by the company.

Trial lawyer Richard W. Myers, writing in the April 2002 edition of the Clark County Medical Society newsletter, identified two major causes for the increase in medical malpractice premiums.

Myers, who enjoys a reputation for fairness among physicians, said St. Paul engaged in “head-in-the-sand” underwriting. And he termed D’Ambrosio “a one man disaster similar to a hotel fire or airplane crash.”

The title of his column: “The St. Paul Crisis and Dr. Rotten Apple.”

Nevada in ‘crisis’

The American Medical Association agrees the medical liability coverage system is in upheaval. Nevada is one of 20 states the group says is in “crisis.”

Finding even a solid first step toward a workable solution in the malpractice insurance arena has stymied policy-makers.

In 2002, the state Legislature passed in a special session a malpractice reform bill that limited pain and suffering awards in malpractice cases to $350,000, but legislators included exceptions, such as in the case of gross negligence. The hope was that insurance companies would see their expenses drop and would consequently lower their malpractice insurance premiums.

It is impossible to say whether the fix would have worked. Not one civil case filed since the legislation passed has proceeded to completion.

Doctors were certain the reform measure would not work because it contained exceptions, so they immediately began working to get Question 3 on the ballot. Trial lawyers countered with two initiatives of their own, Questions 4 and 5, and the November election showdown was set.

Assembly Majority Leader Barbara Buckley, D-Las Vegas, isn’t pleased that physicians didn’t give the new law a chance. “I would rather have seen people let the legislation we enacted try to work,” she said.

Question 3 also would repeal joint and several liability for economic damages.

In other words, a single defendant among multiple defendants in a medical malpractice action, often a hospital and several doctors, would be required to pay the injured person only the share of damages attributable to that defendant’s wrongful conduct and would not have to pay the share attributable to the wrongful conduct of another defendant.

“I think doctors should be careful of what they wish for,” said Gillock, the trial lawyer. “I have never gone after more than a doctor’s $1 million insurance policy in the past. If the award was more and the hospital had more insurance, we could work with that under the law. But under this law, we will have no choice but to go after the physician. Let’s say the verdict holds him responsible for $5 million. I will have no choice but to go after his assets for life. He can’t file bankruptcy under this law. He’ll be paying for life. There’s no question about it. Hospitals, of course, love this.”

“We’ll take our chances,” Manthei responded. “This is fair.”

Boruszak, the doctor who fled the state for rural North Carolina, sees nothing fair about what is playing out in Nevada.

“I wanted to stay in Las Vegas,” he said. “I wanted to make it work. I guess I just wasn’t a good enough businessman to stay there in today’s world of malpractice insurance and low reimbursements for delivering babies from insurance companies. I raised my kids in Las Vegas and I thought I would continue to live there until the day I die. I looked at every option. I tried to increase my office hours and increase my patients. I even tried to set up a platinum patient program where patients, for an extra fee, would get extra attention and the ability to get in to see me very quickly. But nothing worked. My credit is destroyed. As far as I’m concerned, the business of the solo practitioner is dead in Nevada.”

MALPRACTICE FAST FACTS

— U.S. doctors spend an average of 3.9 percent of their practice incomes on malpractice insurance. They spend an average of 52.5 percent on their own pay, and 31 percent on such overhead expenses as office payroll and rent. (Source: Medicare)

— In 2003, insurers made 15,295 malpractice payouts. That is 129 more than in 1994, when there were 15,166 payouts. (Source: National Practitioner Data Bank)

— In 2002, nearly 70 percent of medical liability claims were closed without payment to the plaintiff. Of the 7 percent of claims that went to jury verdict, doctors won 82.4 percent of the time. (Source: American Medical Association)

— Physicians who win at trial spent an average of $91,803 per claim. In cases where the claim was dropped or dismissed, the cost to doctors averaged almost $16,160 per claim. (Source: American Medical Association)

— In 2003, there were 2.19 malpractice payouts per 100 doctors. In 1994, there were 2.46 payouts per 100 doctors. (Source: Public Citizen)

— In 2003, the average malpractice payout was $291,378 in 2003. In 1994, it was $184,787. (Source: Public Citizen)

— The seven top-paying occupations in the United States in 2002 were doctors: in descending order, anesthesiologists, internists, obstetrician/gynecologists, surgeons, pediatricians, psychiatrists and family and general practitioners. (Source: Bureau of Labor Statistics)

— The median compensation for doctors, after business expenses that include malpractice insurance payments ranged from $150,000 to $306,000. (Source: Medical Group Management Association)

— Between 44,000 and 98,000 Americans die in hospitals each year because of preventable medical errors. (Source: Institute of Medicine)

— Annual loss attributed to medical errors is estimated at $17 billion to $29 billion. This includes lost income and money spent on additional medical treatments. (Source: Institute of Medicine)

Homecoming Fun ; Traditions Include Pajama Day, Powderpuff Football, a ‘Burning Boat’ Bonfire

Some people think homecoming tradition originated when a country boy and girl were picked to lead town celebrations after the harvest was brought safely home. Others believe it was adopted by colleges simply to sell more tickets to football games. No matter how it began, schools around Western New York have some unique traditions that celebrate their school spirit.

STARPOINT

Starpoint High School begins homecoming week with theme days like pajama day, toga day, celebrity day and nerd day. Seniors Ellen Benigno and Amanda Jordi say many students get into the theme days and have a lot of fun dressing up. Friday’s theme is jersey day because the pep rally is held on Friday. People wear fall sports jerseys and many people use red, white, and black face paint and hair dye. The pep rally honors fall athletes and features a pie- eating contest and tricycle race. The senior class elects a “Spartan” and “Spartanette” to lead the pep rally.

Seniors decorate for the traditional formal dance which used to be held at Classics V, but now is held in the school gym. Ellen and Amanda say their favorite parts of homecoming are the pep rally and formal dance.

NEWFANE

Newfane High School has dress-up days that include pajama, Mardi Gras, Hawaiian, Era, and Blue and White (school colors) day. Sophomore Kelly McDonough says each grade is given one section of the gym to decorate. On Friday there is a pep rally with competitions between grades that include a pie-eating contest, chicken throw, and a game where one person is chosen to be duct- taped to the wall to see how long they can stay taped up. A powderpuff football game after school pits junior and senior girls against freshman and sophomore girls. There is also a bonfire and karaoke party.

Before the football game on Saturday, there is a parade. Each grade decorates a float and there is a contest for best float. Saturday night is the formal dance. Most guys wear khaki pants and a nice shirt; girls wear long dresses.

AMHERST

Amherst also has dress-up days during homecoming week with themes like college day, color clash day, and orange and black day. Junior Erin Crabtree says contests during lunch periods include a Gatorade chug, pie-eating contest, and a hot sauce/taco-eating contest. Anyone can compete. Music relating to the theme day is played over the loudspeaker between class periods. Thursday night the gym is decorated, and Friday is the pep rally with a tug of war between teachers and students. The whole school votes on nominees for King and Queen. Saturday afternoon a tailgate party is held before the football game. This year money raised from food sales will go to an Amherst teacher who was diagnosed with leukemia. Saturday night is the semi-formal dance. Erin said the best part of homecoming is “the whole week doesn’t seem like school.”

WILLIAMSVILLE NORTH

North homecoming starts the weekend before the game with each class decorating their cafeteria with a specific theme. North has theme days for each day of the week and after-school activities. This year there was a “Price Is Right” game show in the auditorium and a powderpuff football game. Thursday night an outdoor dance in the parking lot features a traditional “burning of the boat” bonfire. An old boat is purchased by student council and decorated by the senior class. The night ends with a fireworks display for the community. “The outdoor dance is always a lot of fun, even if the weather is terrible,” says junior Samantha Berger.

Early in the week, homecoming king and queen nominees (voted on by senior class) are announced at an assembly and escorted by a chosen group of juniors. The pep assembly, held at the end of school on Friday, announces the king and queen. The cheerleading team, step team, and gymnastics team perform. Friday after school is the tailgate party, usually with a performing band of North students, followed by the football game. Saturday night is the semi-formal dance in the gym. Limos fill the parking lot and girls usually wear long dark dresses and guys wear a shirt and tie. Junior Rachel Zammito says the semi-formal dance “is my favorite part of homecoming. I love getting dressed up and spending the night with all my friends.”

NORTH TONAWANDA

North Tonawanda has dress-up days for “TNT week” named after the Tonawanda vs. North Tonawanda football game. Thursday is the pep assembly with performances by the cheerleaders and the Lumberjazz. Also, cheerleaders and football players exchange presents. Each grade is assigned a hallway to decorate. The car parade takes place on Friday. Sophomore Jenna Sammarco says, “Different sports teams get to decorate a car with a certain theme. Then we get to miss our last three periods of the school day to ride around North Tonawanda.” Friday night is the game and Jenna says “Everyone gets really into it. It’s a big rivalry.” However, unlike most schools, North Tonawanda’s homecoming game only takes place at home every other year. (Home field rotates between the two schools.) Also, North Tonawanda does not have a homecoming dance because it has a winter formal.

LOCKPORT

Lockport also has theme days during homecoming week. Sophomore Julie Buerger says, “Every homeroom decorates their door, and we decorate the football players lockers. Also, every class, and most sports teams, make a float that is used in the parade around Lockport before the football game.” Unlike most other schools, Lockport’s homecoming dance is informal and most people wear jeans.

Kristin Shaw is a junior at Williamsville North.

A Young Onset Parkinson’s Patient: A Case Study

Abstract: Young onset Parkinson’s disease (YOPD) is defined as idiopathic Parkinson’s disease (IPPD) occurring in people between 21 and 40 years of age; it strikes approximately 5% of Parkinson’s patients. YOPD has earlier onset of motor complications than later onset Parkinson’s disease. Motor complications and disease progression are responsible for devastating morbidity. Current medical and surgical treatments can dramatically ameliorate motor complications and help maintain function and employment. Patient education, support, and advocacy provided by nursing staff can influence the treatment options for these patients, having a significant effect on the future course of the disease. This case history documents the course of a YOPD patient with unusually severe motor complications. He is the only patient at Puget Sound Neurology ever to develop rhabdomyolysis due to dyskinesias. Following bilateral subthalamic nucleus deep brain stimulation, his Parkinson’s symptoms have improved dramatically, and his motor complications are significantly improved.

Young onset Parkinson’s disease (YOPD) is defined as idiopathic Parkinson’s disease (IPPD) presenting in individuals between 21 and 40 years of age. It presents in the same manner as IPPD in older individuals (Paulson & Stern, 1997). The cardinal symptoms of Parkinson’s dis ease at any age are almost always unilateral at onset (Fahn, Greene, Ford, & Bressman, 1997) and include the classic signs and symptoms of resting tremor, rigidity, and/or bradykinesia (Paulson & Stern, 1997). Symptoms typically progress to the unaffected side over time; however, the side on which symptoms began remains more affected. The current consensus is that the pathophysiology of YOPD is identical to that of IPPD and that the younger age represents the low end of a bell-shaped curve pertaining to the age at which IPPD presents (Paulson & Stern). IPPD results from a loss of neurons in the substantia nigra. It is estimated that patients have lost approximately 80% of their striatal dopamine- producing cells at the time of diagnosis (Langston, Koller, & Giron, 1992).

Because of the chronic, progressive nature of Parkinson’s disease, patients benefit from teaching and support that nurses have to offer (Vernon & Jenkins, 1995). Nurses have the opportunity to provide not only care but also patient education and to refer them to support groups appropriate for their specific needs (Lin, Woelfel, & Light, 1985). They can also provide information and guidance around work-related issues, psychosocial issues involved in becoming disabled at a young age, and the associated depression (Calne, 2003).

The standard pharmacologie treatment for YOPD is dopaminergic medications. While levodopa treatment is the gold standard in terms of potency and effectiveness, it leads to response fluctuations and dyskinesias, portrayed as abnormal movements usually seen at peak dose (Clarke & Guttman, 2002). Dopamine agonists take longer for full efficacy to be achieved and may not be associated with as desirable a level of control. However, multiple studies have created a consensus that dopamine agonists delay motor complications, which is especially important in YOPD patients (Olanow, Watts, & Koller, 2001). For this reason, most Parkinson’s disease specialists attempt treatment with dopamine agonists before initiating levodopa. Acceptable control may be maintained for up to 2 years using dopamine agonists alone (Poewe, 1998).

YOPD patients should understand that levodopa does not cause motor complications and dyskinesias. Rather, they are the result of disease progression, in conjunction with the “hammering” of the stria tal area with dopamine replacement (Factor, 2001). Therefore, patients should not withhold levodopa therapy when they require it to maintain function. Levodopa, in fact, is the only anti-pa rkinsonian medication shown to reduce mortality rates of IPPD patients (Rajput, 2001). It is therefore important to use levodopa when necessary and maintain the dosage as low as possible. This can be accomplished by combining levodopa with dopamine agonists (Poewe, 1998). Patients who require higher dosages of levodopa for longer duration are more likely to develop severe motor complications than those who are able to maintain lower dosages of levodopa. Patients often desire and seek the positive effects of high doses of levodopa because of its rapid onset and superior efficacy. However, they must understand the devastating consequences of these high doses in the future.

YOPD patients benefit from understanding the concept of “therapeutic window” of levodopa as soon as it is initiated. When exogenous levodopa is introduced, the therapeutic window is wide. Symptoms dramatically improve, usually with few or no side effects. However, the window narrows with disease progression, causing motor fluctuations, including wearing off of medication, dyskinesias, sudden and severe wearing off, and muscle cramping (Riley & Lang, 1993). It is important to introduce treatment options that will help maintain the therapeutic window. Those options include treating initially with dopamine agonists and keeping levodopa doses as low as possible.

Carefully planned and executed exercise and other rehabilitative therapies for YOPD patients are essential (Cornelia, Stebbins, Brown- Toms, & Goetz, 1994). Especially important are those that strengthen the axial muscle group, as well as walking and balance exercises. Tai chi is a slow-moving martial art, which emphasizes balance. Balance exercises help improve postural instability and balance problems, which often do not respond well to medications (Olanow & Koller, 1998). If appropriate exercise is initiated as early as possible, some of the gait problems, particularly those related to stooped posture, may be prevented (Olanow & Koller). Exercise not only helps preserve balance, it also strengthens muscles, enhances the neurological pathways that make exercise possible, helps maintain appropriate weight, and promotes optimal health (Carter, 1995).

Patients with YOPD should understand the implications of the disease and motor complications on their employment. Their deficits may result in difficulty completing motor tasks, slower walking, social embarrassment, and issues with driving if motor symptoms are severe (Shrag, Hovris, Morley, Quinn, & Jahanshahi, 2003). Patients may be directed to vocational rehabilitation to facilitate employment options, which can be maintained with Parkinson’s- related motor complications.

YOPD patients may benefit from surgical options (Tornquist, 2001). Over the last 10 years, surgical options have progressed dramatically. Lesioning techniques were the only surgical option approved for Parkinson’s disease until 2002. In January of 2002, the Food and Drug Administration approved deep brain stimulation of the subthalamic nucleus and the globus pallidus. These procedures can improve some symptoms of Parkinson’s disease, as well as ameliorate motor complications. In addition, when the subthalamic nucleus is chosen as a target, substantial medication reduction is usually possible (Benabid et al., 2000).

Dietary management in Parkinson’s disease is important. Patients with YOPD are at increased risk for poor nutrition, as well as constipation, because of decreased gastrointestinal motility (Nutt & Carter, 1990). In patients with advanced disease, there is amino acid competition for levodopa absorption, which can cause erratic responses to levodopa (Nutt, Woddard, Hammerstad, Carter, & Anderson, 1984). While no specific diet is required, a balanced diet with adequate fiber is encouraged. Protein intake may be timed either 2 hours before or 1 hour after levodopa administration, to allow for adequate protein intake, without interfering with levodopa absorption.

The cost of medications can be a significant issue in patients with YOPD. The disability caused by YOPD renders many patients unable to work, limiting the availability of medical insurance plans that cover expensive, newer medications. These medications, particularly dopamine antagonists and catechol-O-methyltransferase (COMT) inhibitors, help delay motor complications. The most potent strength of carbidopa/levodopa (the 25/250 dosage form) is the most inexpensive Parkinsonian medication available. Tragically many patients must rely on that option, because it is the only affordable one. Patients can be made aware of all available cost savings options, such as patient assistance programs, introductory promotions, and samples when available.

Case Study

SLJ presented in the clinic in February 1999 at 51 years of age. Details of his previous medical history were available by patient report only. He developed a resting tremor in his right upper extremity in 1984, at the age of 36 years. This was followed by muscle stiffness and a shuffling gait within 2 years. He began taking levodopa about 1986 and began to develop rapid wearing off and inconsistent effects of levodopa about 1992. Dyskinesias began in 1993 and were severe by 1995, when he was 48 years old.

When he came, to the clinic in February 1999, he was experiencing dyskinesias for most of the day. He had begun titrating liquid carbidopa/levodopa, in doses of 100 mg of levodopa approximately every 2 hours. He took approximately 10 doses per day. With this regime, he would experience dyskinesias at the onset o\f action, notice an effect within hour, and have an “on” time for about 1 hour. Towards the end of that hour, he would again notice dyskinesias; then he would abruptly go “off.” He also experienced a consistent period of depression during his “off” periods. His UPDRS scale at the time of his consult was 45 (Paulson & Stern, 1997), and he was in a dyskinetic state at that time. He was considered to be in stage 3, per the modified Hoehn and Yahr scale (Paulson & Stern). His cognitive functioning was intact at the time of his initial consult. He reported no cognitive decline or thought disorders. However, he did report a significantly depressed mood when he was “off.” The depression would lift dramatically during his “on” time.

During his initial consult, he received the following interventions. His understanding of his illness was supplemented through education. In particular, the relationship between the timing and amount of his levodopa dosages and his “off” time and dyskinesias was explained. The crucial importance of exercise was strongly emphasized, to strengthen the feedback mechanism of the motor control system. He was invited to participate in the local YOPD support group, to provide social support and further education about his disease. Pramipexole was initiated, to be slowly titrated to 0.75 mg tid. The concept of COMT inhibitors was discussed, to be utilized after he reached a therapeutic dose of a dopamine agonist.

He returned for a follow-up visit approximately 7 weeks following his initial consult. His UPDRS score was 35 when “on” and 44 when “off.” He had reduced his liquid carbidopa/levodopa to 75 mg every 2 hours and had successfully titrated pramipexole to 0.75 mg tid. He was noting more “on” time, as well as a considerably improved mood. He had discovered that emotion or excitement often triggered his dyskinesias. Because he was still experiencing significant dyskinesias, amantadine was initiated at 100 mg tid.

During his follow-up on June 2,1999, his UPDRS score was 25 when “on” and 33 when “off.” He reported a 50% improvement of Ws dyskinesias with the treatment of amantadine. He had experienced mild hallucinations shortly after initiating the amantadine, in the form of “vague movements of objects”; however, they were non- threatening, and he understood that they were medication-related. Having kept a calendar of his symptoms every day for a month, he noted that his most severe “off” periods were associated with eating fish, pork, and beef proteins. He did not have an “off” episode with vegetable protein. He had gained 11 pounds since his previous visit, and it was thought that the reason was the improvement of Ws dyskinesias, which decreased his caloric expenditure.

Six months later, his condition was worse. His UPDRS scale was 40 when “off” and 36 when “on.” He had increased Ws liquid carbidopa/ levodopa to 100 mg every 2 hours. He described abrupt wearing off and had only about 45 minutes between the time he took levodopa and development of dyskinesias. The amantadine had lost some of its effectiveness. He could be very functional during his “on” periods, but they were decreasing in length, and Ws “off” episodes were more debilitating. He had lost 17 pounds over the previous 6 weeks. His vital signs showed a postural drop of 104/60 mm Hg sitting to 80/60 mm Hg standing; however, he deWed symptoms of postural hypotension. He was encouraged to increase fluid and salt intake, remain seated for 20 to 30 minutes after meals, and sit at the edge of the bed for 5 to 7 minutes before rising. Entacopone was added, to be given with every other dose of levodopa. His UPDRS scale during that visit had increased to 42, at the time that he was “off.”

Two weeks after beginning entacopone, he noted a dramatic improvement of his symptoms and was able to reduce his carbidopa/ levodopa by about 15% and maintain quality “on” time. His levodopa dose had gone from 1500 to 1250 mg per day. He was no longer experiencing abrupt wearing off. His dyskinesias were still dramatic, but had not increased. He was interested in making further changes, which could potentially improve his dyskinesias. His dopamine agonist was changed from pramipexole to ropinerole at 4 mg tid as a trial, in an attempt to further decrease his dyskinesias.

Five weeks later, his condition had improved. He found that he had maintained the same level of effectiveness from the ropinerole as with pramipexole, with fewer dyskinesias. He was using carbidopa/ levodopa 25/250 solution and had reduced his dosage to 800-900 mg per day of levodopa. He was adding an entacopone 200-mg tablet every morning to his carbidopa/levodopa, and tablet with his 2 pm and 8 pm dosages. He had observed that taking of the entacopone with his afternoon carbidopa/levodopa doses further decreased his dyskinesias. He had decreased his ropinerole dosage to 4 mg bid. He felt that the ropinerole had helped his symptoms of freezing and turning in bed, as well as fine motor activity. He was still going “off,” but was not experiencing the abrupt wearing off he had previously. He continued to experience dyskinesias, but they were less severe. His UPDRS scale was 23 when “on” and 32 when “off.”

At that visit, his ropinerole was changed to 2 mg qid, rather than 4 mg bid, and he was taught to march in place before arising, which helped alleviate his postural blood pressure drops. He was also re-educated to keep well hydrated with water and electrolyte- containing sports drinks to help maintain his hydration.

Over the following 9 months, his condition deteriorated. He displayed significant postural instability, he began experiencing “on-off” phenomena, and his dyskinesias became worse than they had ever been. He had stopped his amantadine, because he thought that it had lost its effectiveness. It was noted during one of his follow- up visits that he had no hair on ITIS arms or legs, because it had been rubbed off by his clothing during his violent movements. Multiple adjustments of his medications were attempted to help improve his functioning, but were not successful.

In October 2000, an emergency room physician called our office and informed us that SL] had presented there with a severe exacerbation of his dyskinesias and an elevated CPK, and it was determined that he had developed rhabdomyolysis. He had experienced intractable and violent dyskinesias over the last few days. He had gradually tapered his carbidopa/levodopa, but the dyskinesias did not improve. The morning before his admission, he had discontinued all his medications. His dyskinesias and muscle spasms were so violent that his roommate described sitting on him to keep him from falling out of bed. At home, they had attempted to treat his dyskinesias with fairly large doses of lorazepam; a total of 10 mg in a 24-hour period, which had not significantly helped his dyskinesias. He was admitted into a monitored bed. He was given fluids, as well as intravenous lorazepam, in an attempt to improve his dyskinesias. He was started on quetiapine and carbidopa/ levodopa 12.5/50 ( of a 25/100) every 2 to 3 hours. His CPK peaked at 728, then normalized.

He was discharged on October 6, 2000. His discharge medications were carbidopa/levodopa 25/100, tablet up to every 2 hours, pramipexole to be titrated to 0.75 mg up to 6 times a day, lorazepam up to 1 mg every 8 hours, and quetiapine 25 at hs to attempt to treat his dyskinesias. The decision to use quetiapine was based on published studies reporting low-dose clozapine to treat levodopa- induced dyskinesias in Parkinson’s patients (Pierelli et al, 1998; Rascol, 2000). It was thought that clozapine was useful in treating Parkinson’s dyskinesias because of the rapid dissociation from the D2 receptors, which would allow improved accommodation of available dopamine (Kapur & seeman, 2000). The disadvantage of clozapine was the potential hematological complications and the requirements for blood monitoring. Because quetiapine also exhibits fast dissociation of the D2 receptors (Kapur & seeman), it was hypothesized that quetiapine would improve dyskinesias, without the risks associated with clozapine.

At his follow-up visit, his motor fluctuations were much improved. His amantadine had been restarted and was effective. He was taking carbidopa/levodopa 25/250 tablet every 2 to 3 hours, entacopone 200 mg daily with his first dose of carbidopa/levodopa, pramipexole 0.75 mg 6 times per day, amantadine 100 mg rid, quetiapine 25 mg at hs, and lorazepam up to 2 mg at hs. He reported that the quetiapine significantly helped his nightmares and activity during the night. His dyskinesias were still severe, and he was having postural symptoms when he stood up. His blood pressure was 100/50 mm Hg when sitting and 76/50 mm Hg standing. His weight was 145 pounds, which was a decrease from his normal weight but represented no further weight loss. He was educated to attempt to take no more than a carbidopa/levodopa 25/250 at one time. His quetiapine was increased to 50 mg up to bid, to attempt to control dyskinesias. He was encouraged to salt his food arid drink fluids such as Gatorade to help maintain his hydration and blood pressure.

Over the next several months, his condition remained severe, but did not worsen. He continued to experience severe postural hypotension. Although his dyskinesias and “off” periods were severe, he was able to maintain activities of daily living. He was also able to engage in his hobbies, which included fishing and working on cars.

In December 2001, he called to say that his symptoms had worsened. His dyskinesias were extremely severe and nearing the level at which he was hospitalized. He had apparently been taken to the hospital because of erratic driving during a period in which he had exceptionally violent dyskinesias. In public places, people would shy away from him because of his movements. Amantadine had lost much of its effe\ctiveness. He was able to sleep only 3 to 4 hours during the night and would wake up experiencing severe rigidity and tremor.

He returned to the office on January 3,2002. An attempt was made to place him on carbidopa/levodopa CR along with entacapone, to provide less dramatic pulses of levodopa. A referral was made for him to be placed in a research protocol. A UPDRS scale rating was impossible because of his violent dyskinesias. A few days later, he called to say that he was worse still. His dyskinesias were very severe, and he reported passing out several times a day. The carbidopa/levodopa CR was ineffective, even with the entacopone, so he had returned to the carbidopa/levodopa 25/250. He had discontinued his pramipexole, because he was under the impression that he would have to, in order to be considered for a protocol. He also had discontinued his quetiapine, because he had run out of it. His blood pressure was 80/60 mm Hg sitting and 60/40 mm Hg standing. He was given samples of quetiapine, ropinirole, and midodrine 5 mg tid was prescribed for postural hypotension. He was again counseled to get up slowly, push fluids, and eat salty foods.

Over the next month, he and his caretaker worked on a medication management program in which he took of a tablet of a carbidopa/ levodopa 25/250, every 1 to 2 hours, 10 to 12 times a day. He would follow every other dose of carbidopa/levodopa dose with ropinerole 2 mg and use quetiapine as needed, based on the level of the dyskinesias. His quetiapine dosage ranged from 25 to 125 mg per day. This management strategy dramatically improved his “on” time and decreased his dyskinesias. Over the next several months, he gained 18 pounds. His “on” time increased, “off” time decreased, and his dykinesias improved. His UPDRS scale decreased to 33 when “on” and 38 when “off.” He did not enroll in the clinical trial.

In the spring of 2002, he moved to a town approximately 50 miles away, which made it more difficult to obtain samples of ropinerole and quetiapine, which were so important to control the level of his dyskinesias. He was unable to afford them. His routine was to revert to carbidopa/levodopa 25/250 in large amounts, become severely dyskinetic with severe postural hypotension, and then come into the clinic when he could find a ride. Patient assistance programs were not an option, because he had an insurance policy that provided drugs. However, brand name drugs were covered at only 50%, and he was unable to afford the copayments. For that reason, he was maintained as much as possible on samples from the office.

In the spring of 2003, he had a left-side STN deep brain stimulator placed, followed by the right-side STN deep brain stimulator in September 2003. The surgery has been extremely successful in helping him decrease his carbidopa/levodopa intake, and he is now taking 500 to 750 mg per day. He has only very mild peak-dose dyskinesias, but they are not disabling. He is able to sleep through the night, without awakening. His tremor, rigidity, and gait have improved dramatically.

Summary

Young onset Parkinson’s disease has the potential for profound disability at a young age. It frequently destroys careers and livelihood and severely diminishes quality of life. A total treatment approach that utilizes patient education, advocacy, medical management, exercise, dietary assistance, and possible surgical options can significantly decrease the morbidity involved with this devastating disease. Nurses play a key role in providing effective services for these patients.

References

Benabid, A.L., Krack, P., Benaxx.ous, A., Limousin, P., Kousdsie, A., & Pollack P. (2000). Deep brain stimulation of the subthalamic nucleus for Parkinson’s disease. Neurology, 55(Suppl. 6), S40-S44.

Calne, S.M. (2003). The psychosocial impact of late-stage Parkinson’s disease. Journal of Neuroscience Nursing, 35, 306-313.

Carter, J. (1995). Exercise. In A. Johnson (Ed.), Young Parkinson’s handbook (pp. 29-33). New York: American Parkinson’s disease Association.

Clarke, C.E., & Guttman, M. (2002). Dopamine agonist monotherapy in Parkinson’s disease. Lancet, 360, 1767-1769.

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Factor, S.A. (2001). Parkinson’s disease: Initial treatment with levodopa or dopamine agonists. Current Treatment Options in Neurology, 3, 479-493.

Eahn, S., Greene, P. E., Ford, B., & Bressman, S. B. (1997). Parkinsonism. In Handbook of movement disorders (pp. 13-48). Philadelphia: Current Medicine Inc.

Kapur, S., & seeman, P. (2000). Antipsychotic agents differ in how fast they come off the dopamine D2 receptors: Implications for atypical antipsychotic action. Journal of Psychiatry Neuroscience, 25, 161-166.

Langston, J.W., Koller, W.C., & Giron, L.T. (1992). Etiology of Parkinson’s disease. In CW. Olanow & A.N. lieberman (FcIs.), The scientific basis for the treatment of Parkinson’s disease (pp. 13- 32). Park Ridge, NJ: The Parthenon Publishing Group Inc.

Lin, N., Woelfel, M.W., & Light S.C. (1985). The buffering effect of social support subsequent to an important life event. Journal of Health and Social Behavior, 26, 247-263.

Nutt, J.G., & Carter, J.H. (1990). Dietary issues in the treatment of Parkinson’s disease. In W.C. Koller & G. Paulson (Eds.), Therapy of Parkinson’s disease. New York: Marcel Dekker.

Nutt, J.G., Woodward, W.R., Hammerstad, J.P., Carter J.H., & Anderson, J.L.(1984). The “on-off” phenomenon in Parkinson’s disease. Relation to levodopa absorption and transport. New England Journal of Medicine, 310, 483-488.

Olanow, C.W., & Koller, W.C. (1998). An algorithm (decision tree) for the management of Parkinson’s disease: Treatment guidelines. Neurology, 50(Suppl. 3), S1-S57.

Olanow, C.W., Watts, R.L., & Koller, W.C. (2001). An algorithm (decision tree) for management of Parkinson’s disease: Treatment guidelines. Neurology, 56(Suppl. 5), S1-S88.

Paulson, H.L., & Stern, M.B. (1997). Clinical manifestations of Parkinson’s disease. In R.L. Watts & W.C Koller (Eds.), Movement disorders (pp. 183-199). New York: McGraw-Hill.

Pierelli, E, Adipietro, A. Soldati, G., Fattapposta, F., Pozzessere, G., & Scoppett, C. (1998). Low dose clozapine effects on L-dopa induced clyskinesias in parkinsonian patients. Ada Neurology Scandinavia, 97, 295-299.

Poewe, W. (1998). Should treatment of Parkinson’s disease be started with a dopamine agonist? Neurology, 5(Suppl 2), S21-24.

Rajput, A.M. (2001). Levodopa prolongs life expectancy and is non- toxic to substantia nigra. Parkinsonism and Related Diseases, 8, 95- 100.

Rascol, O. (2000). The pharmacological therapeutic management of levodopa-induced clyskinesias in patients with Parkinson’s disease. Journal of Neurology, 247(Suppl 2), 1151-1157.

Riley, D.E., & Lang, A.E. (1993). The spectrum of levodopa- related fluctuations in Parkinson’s disease. Neurolog)’ 43, 1459- 1464.

Shrag, A., Hovris, A., Morley, D., Quinn, N., & Jahanshahi, M. (2003). Young- versus older-onset Parkinson’s disease: Impact of disease and psychosocial consequences. Movement Disorders, 18, 1250- 1256.

Tornquist, A.L. (2001). Neurosurgery for movement disorders. Journal of Neuroscience Nursing, 33, 79-82.

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Questions or comments about this article may be directed to Sharon K. Jung, ARNP CNRN, by phone at 253/284-4488 or by e-mail at [email protected]. She is a nurse practitioner at Puget Sound Neurology, Tacoma, WA.

Copyright 2004 American Association of Neuroscience Nurses 0047- 2606/04/3605/00273$5.00

Copyright American Association of Neurosurgical Nurses Oct 2004

Organization, Time Management Key to Success, Executive Women Say

Oct. 17–As more women climb the corporate ladder, they are finding that to survive at the top and balance their lives they need supportive families, tremendous organizational skills and the ability to sacrifice sleep.

What sets most executive women apart from executive men is this fact: Most women executives who are married have a spouse who works full-time as opposed to most male executives who have a spouse who is not employed, according to a study by a partnership of nonprofit research organizations.

If you believe that women who get to the top don’t have families, the same study on corporate leaders proves otherwise. While women may delay having children early in their careers, by the time they reach higher corporate levels, three quarters have had children. Perhaps that is why high-ranking women more often than men are asked the career/family juggling question.

For today’s stories, four women who have climbed high in diverse professions were interviewed. Most of them earn in the $1 million-plus range. I asked these women about their work and their home life. I asked them about those things they gave up to keep their careers on track.

They all were extremely candid. Most have supportive husbands; yet for some, it is their second marriage. All have rules they have made for themselves, time management skills they are perfecting and “me time” they are trying to squeeze in.

Their profiles provide clues about the traits that make them successful business women. Also telling is the limits these women have learned to impose to keep their balancing acts in equilibrium.

Ellen Galinsky, director of the New York-based Families and Work Institute — one of the institutions that participated in the study on corporate leaders, has interviewed at least 50 high-ranking women at large companies for a variety of studies. Galinsky said she found the stereotype about them sacrificing their children at the altar of success was not true.

“Woman still take the major responsibility for their families,” Galinsky said. “There are some who outsourced, but an awful lot who didn’t outsource the important things. Most of these women talk about having two priorities, work and children.”

And perhaps most important, Galinsky discovered that high-ranking women are clear about their priorities: “They weren’t beating themselves up over the decisions they made.”

RETAIL EXECUTIVE BALANCES WORK, FAMILY: Being a woman immersed in a world of shopping sounds glamorous. Just imagine overseeing 450 department stores. But managing life high atop the retail industry can be all-consuming when you’re trying to lure customers back and turn around a deepening sales slump.

The job requires that Susan Kronick, vice chairman of Federated Department Stores, spend most of her work week on the road, meeting with executives and trying to figure out what shoppers want before they realize it themselves.

It is not an easy mandate while trying to keep a 20-year marriage alive with a husband whose career also carries demands. Kronick and her husband, Edward Shumsky — who runs the Miami office of Watson Wyatt Worldwide, a human-resources consulting firm — have a rule. They must end all business trips by Friday and return to Miami for the weekend.

No exceptions.

“If you miss a Friday night here or there it turns to two or three and then four,” Kronick says. “One thing leads to another and then things start to break down. Balance for me is about sticking to the rules that help support things that are important to you.”

Kronick, who previously had been CEO of Burdines, keeps her main office in the chain’s downtown Miami store. She also has offices in New York, the nation’s retail capital, and Cincinnati, where Federated is headquartered.

Among the benefits of business travel: “If I’m in a city a couple of nights for business, one night I’ll see a friend. I might take one night for myself. I’ll order room service, and it will be just me alone. Balance comes from knowing when you need to decompress,” Kronick says.

During the week, Kronick and her husband communicate on their Blackberries and by phone. So do their secretaries.

“We coordinate events they are going to attend together,” explains Dorcas Piegari, Kronick’s assistant. “If they both are flying to New York at the same time, we make sure they are staying in the same hotel and coordinate car service.”

In any relationship in which both spouses pursue careers, schedule conflicts arise and so do competing career opportunities.

“I have a very supportive spouse,” Kronick says. “You have to have enough sensitivity to know when one person’s schedule needs to supersede the other’s. He makes sacrifices for me, and I for him.”

With each of Kronick’s promotions, Shumsky has followed her — to New York, Atlanta and Miami, landing positions each time that advanced his career as well.

Oddly though, Shumsky says his wife never has outwardly competed to ascend the corporate ladder.

“She really enjoys what she’s doing, and she’s focused,” Shumsky says. “She is a good manager of people, and she can connect disparate things together into a successful business approach.”

Most important for balance, he says, is her ability to compartmentalize, to separate work and personal time.

For Kronick, climbing up the ranks of retail and maintaining balance requires tough choices about how to spend her shrinking personal time. Those choices come with a certain amount of guilt about what gets neglected.

“I would love to be home more, to see my friends in Miami more. I feel guilty about not spending more time with the community. Today the nature of my job is national not local. When it comes to lining up my priorities, my husband comes first,” she says.

Kronick says she did not intentionally choose not to have children.

“I was 32 when I married, and my husband was 34. It just didn’t work out. Life’s about attitude. I don’t regret anything. If I had children today and didn’t have this, I wouldn’t regret it either. You get what you get. Why not be happy about what you get.”

To keep some sanity when working 80-hour weeks, Kronick clings to her vacations, taking four a year and planning them a year to eighteen months in advance. She mostly travels to Europe.

“If you don’t schedule vacations, life intrudes and you don’t go. I believe people should take vacations. Some people don’t take vacations and see it as a badge honor. I think being away helps clear the cobwebs and let’s you breathe.”

TIME MANAGEMENT KEY TO SUCCESS, ROYAL CARIBBEAN EXEC SAYS: Maria Sastre has a lot to do with how well you like your experience on a Royal Caribbean ship. She oversees everyone responsible for the operations on the cruise lines’ 19 vessels — about 23,000 people.

It is a job that requires managing a support staff of 65 in Miami and visiting each ship at least once a year in a variety of ports to get feedback from personnel and passengers and to make changes when necessary.

Sastre’s control extends over culinary and beverage operations, entertainment, guest cabin services and cruise activities for the entire fleet.

To pull it off and sit on two public company boards, as well as the board of the Greater Miami Convention and Visitors Bureau, requires tremendous time management skills.

Sastre plans her calendar months in advance. She also plans daily, prioritizing each task. As soon as she gets assignments, she either handles them or delegates them. She has created a good follow-up system to stay on top of all tasks, which can get tricky while on the road.

Sastre spends about 40 percent of her work week traveling. Though she struggles to find time for her self and her husband of 17 years, she finds juggling a lot easier now that her son is an adult.

“When I’m home, my night time is pretty focused on my husband and my home. If I go out to dinner, we do it together. Sometimes I have business dinners. I try hard to keep weekends for quality time with him,” she said.

It is a second marriage for Sastre, who credits her husband, Robert Wayne Cotton, with providing the home-life stability that allowed her to stay on the upward career track. Her husband works at American Express.

“He’s an incredibly supportive partner, always cheerleading for me. I don’t think you can have a balanced, successful career if you are married without a partner’s support. There is much more required of women in business,” Sastre said.

Sastre joined Royal Caribbean four years ago after serving as a vice president of customer satisfaction at United Airlines, senior director of sales at Continental Airlines and a variety of managerial positions at Eastern Airlines. All the jobs required travel.

While at the airlines, she spent five years as a single mom, relying on a patchwork of relatives, nannies and au pairs to help with her son’s child care.

“It was very hard,” Sastre recalls. “I ascended early in my career. I don’t think I could have done it without the time commitment.”

To get by, Sastre used every time-saving technique she could find to balance work and family.

“My son used to call me microwave mom,” she says.

Her son, Jon Sastre, now an entrepreneur who owns The Academy — a Microsoft school in Miami, said seeing his mother work taught him to be independent at a young age.

“I have very high expectations for myself because she set a benchmark,” he said.

But now, looking back, Sastre says, she wishes she could turn back the clock and attend the Little League games she missed.

“While I was in my 20s and 30s my perspective was different,” Sastre admits. “I was in a highly ambitious state. Sometimes you don’t stop and smell roses.”

Her advice to working parents: “Try to participate in as many activities as you can in the first 10 years. After that, time rapidly goes by and all of a sudden kids are teenagers and don’t want to have anything to do with you.”

Today, Sastre tries to create balance in her life by taking vacations — traveling to Europe by means other than a cruise ship. She also works out at the gym a couple times a week. Her real relaxation, though, is interior design, a hobby she indulges in at her own home and those of her friends.

“I personally think she has missed her calling,” said Jackie Aguayo, her assistant. “Her home is incredible.”

Sastre says she has learned a lot about limits and trade-offs on her way to the top of her profession: “I am happy where I am at. You can’t have everything in life. You are going to have to compromise something. Ideally, it would be great to have it all but idealism is not always reality.”

HOME, WORK BALANCE COMES DOWN TO ORGANIZATION: Vicki O’Meara has a technique for keeping a large company moving in a money-making direction and keeping a household with three boys on track. She is a master organizer.

“I’m a voracious reader and absorber of time management techniques. I read everything that’s out there on organization, and I soak it all up,” O’Meara says.

In Florida, few women hold as high a position as O’Meara at a public company as large as Ryder System of Miami, a nearly $5 billion transportation and logistics business. What’s even more rare is to hold such a position, chief of corporate operations, and be a working mom.

Here are just a few of the tactics O’Meara uses to keep her life under control: At all times, O’Meara has a back-up plan should she not be out of a meeting on time to pick up a child from an activity. When she travels, O’Meara leaves detailed reports for her baby sitter with instructions that include each child’s activities and the materials they need to bring with them.

Her knack for organization allows her to take on more responsibility without feeling overwhelmed. Ryder System CEO Gregory Swienton says that is one reason he elevated O’Meara to an even higher position than the general counsel job she held since 1987.

“She demonstrated her capacity for thinking beyond her current position. It wasn’t just what I personally assigned her to do. It was the things she volunteered to do or thought of on her own that gave me confidence to enlarge her areas of responsibility,” Swienton said.

O’Meara, who travels minimally for work, now oversees key operation-support departments. She considers her home responsibilities on par with her job demands.

“I think it’s more than a full-time job to help my kids have healthy, well-rounded lives, do well in school and grow up happy,” O’Meara says.

Most high-ranking female executives have rules that guide their work/life balance. For O’Meara that means getting up early to exercise. She enjoys swimming and walking and maintains her mental health by compartmentalizing — keeping work and family separate.

“That’s a skill I’ve worked hard to perfect. I do not think about work when I’m at home.” O’Meara says she has a guiding philosophy that has helped her make career choices. “Ever since my first son was born, I had the rule that I will always follow my gut in terms of needing to be part of their lives. I made the decision that if it ever gets to the point where I feel I am not central to their development, I will change jobs and make a career adjustment. Being a mom is No. 1 for me, and I’ve been prepared to make that choice right along.”

Early in her career, O’Meara began making adjustments to balance work and family. She recalls working grueling hours as a lawyer when she gave birth to her first child. She tried to keep up the pace but found it impossible. So, she tapered back while staying productive. Her boss never noticed.

She went on to have a second child. She later divorced and spent seven years as a single mom, relying on an au pair and nannies for help with child care while she held a variety of federal government positions.

Today her sons are 11 and 14. Her current husband, a general contractor, also has a son from a previous marriage. That son is 17 and lives with them.

“My husband is very supportive,” O’Meara says. “He loves the boys and helps me a lot. I can take on more responsibilities at work because of his help.”

Despite responsibilities at Ryder and as a board member at Laidlaw, O’Meara says she works hard to stay involved in her sons’ lives, volunteering at their schools, attending their sporting events and even serving as team mom.

Last week staying involved meant zipping out of a key business meeting, zooming down the highway and arriving at the airport with a calm disposition to send her reluctant son on a visit family to members.

“I love what I do. Coming in on weekends when necessary or staying late doesn’t bother me,” O’Meara says. “I’m thrilled that I have it all. I couldn’t ask for anything more — except sleep.”

LAWYER RELISHES TIME SPENT AS CHAIRWOMAN: Christine Lagarde was relaxed and casual when she traveled through Miami in January 2001 less than eighteen months after becoming the first woman to serve as chairman of Baker & McKenzie, one of the world’s largest law firms.

Lagarde had enthusiasm, big plans and lots of respect from lawyers around the world when she took the helm at the predominantly male law firm. And she had plenty of challenges in her role overseeing 3,900 often-combative lawyers at a firm headquartered in Chicago, thousands of miles from her home and family in Paris.

Now, a month shy of ending her five-year term as chairman, Lagarde seems introspective, exhausted, yet proud of her accomplishments.

She has increased the firm’s global fee income by 50 percent and championed integration among its 68 worldwide offices. Recently, Lagarde was named the 76th most powerful person in the world by Forbes magazine.

But Lagarde has found there are limits to just how much a top executive can balance without a stay-at-home spouse. She is just beginning to assess the personal price she paid for her business success.

Lagarde is no longer married to her husband, a Paris businessman. She has spent the majority of her time over the last five years apart from her sons who are now 16 and 18 years old. The youngest has decided to attend boarding school. The oldest is repeating his last year of high school.

She spends 85 percent of her time traveling, mostly to the firm’s offices around the world. Her assistants in Chicago and Paris coordinate her schedule, which spans various time zones.

Lagarde said she underestimated how much time she would spend on the road when her partners elected her chairman in 1999.

“When you accept a new position or promotion or leadership status, be aware of what goes with it. Don’t assume you can change the rules of the game. The game is what it is. I thought I could organize conference calls, video conferences to limit travel. That didn’t happen. I spend 85 percent of my time away from any base. I don’t know many jobs where travel is as bad as that. If you’re in a chairman or managing partner position, you have to be in contact with people. They need to see you.”

Lagarde said she managed child-care needs with a combination of live-in nannies and more recently, baby sitters/chauffeurs. She bought her sons cellphones at a young age and trained herself to step out of business meetings to take their calls. Staying in communication with her sons while in differing time zones has, at times, meant setting an alarm to wake up at 3 a.m. to talk to them before their school day begins.

She is teaching her sons that it is important for mothers to feel fulfilled outside the home.

One of her best life management secrets is that she has reduced her need for sleep to about five and a half hours per night. Lagarde, who describes herself as determined rather than tough, said she learned you have to exercise and take care of yourself physically to keep the pace. She does this through yoga and swimming, mostly at hotels.

Born in Normandy, she speaks four languages and moves easily in various cultures. When she turns over the top job at the law firm this month, she won’t be going cold turkey. She will assume the role of chairman of the Policy Committee, a group of representatives from each Baker & McKenzie office that makes recommendations on policy and elects new partners.

Her work commitment is evident to her colleagues who urge her to remain involved.

“She evolved us into a better-organized, better-run, better-focused, more cohesive firm today than we were five years ago when she took the helm,” said Bob Hudson, a senior partner in the Miami office.

Lagarde will give up her office in Chicago and return to Paris, where she hopes to reclaim personal time.

“I will still be the face of the firm with key clients. I will still have to do some traveling. I think it will be a bit of the same which will be nice in terms of transition, not as much of an emotional shock,” Lagarde said. But she’s looking forward to more free time. “I’m going to catch up on books, films, concerts,” she said. “I think there’s more than enough to fill in the rest of my life.”

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Kepler’s Laws of Planetary Motion

Kepler’s Laws of Planetary Motion — The astronomer Johannes Kepler’s main contribution to astronomy was his three laws of planetary motion.

Kepler found these laws empirically by studying extensive observations recorded by Tycho Brahe. He found the first two laws in 1609 and the third one in 1618. Isaac Newton was later able to derive the laws from his laws of motion and gravity, thereby producing strong evidence in favor of Newton’s inverse-square gravitational law.

Kepler’s First Law (1609): The orbit of a planet about the Sun is an ellipse with the Sun at one focus.

Kepler’s Second Law (1609): A line joining a planet and the Sun sweeps out equal areas in equal intervals of times.

Kepler’s Third Law (1618): The square of the sidereal period of a planet is directly proportional to the cube of the semimajor axis of the orbit.

Kepler’s First Law

There is no object at the other focus of a planet’s orbit. The semimajor axis, a, of an orbit is the average distance between the planet and the Sun. As a planet travels in its elliptical orbit, its distance, from the Sun, and speed vary.

A planet moves most rapidly when it is nearest the Sun, or at perihelion. A planet moves most slowly when it is farthest from the Sun, or at aphelion.

Kepler’s Second Law

This is also known as the law of equal areas. Suppose a planet takes 1 day to travel from point A to B. During this day, an imaginary line from the Sun to the planet will sweep out an area. The same area will be swept every day.

Kepler’s Third Law (Harmonic Law)

— P = object’s sidereal period in years
— a = object’s semimajor axis, in AU
— P2 = a3

The larger the distance from the Planet to the Sun, a, the longer the sidereal period. From this one can show that the larger the orbit is, the slower the average speed of the orbiting object will be.

Not Just Applicable to Planets

The laws are applicable whenever a comparatively light object revolves around a much heavier one because of gravitational attraction. It is assumed that the gravitational effect of the lighter object on the heavier one is negligible. An example is the case of a satellite revolving around Earth.

Kepler’s Understanding of Said Laws

Kepler did not understand why his laws were correct, it was Isaac Newton who discovered the answer to this.

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Ursa Minor (little dipper) Constellation

Ursa Minor (little dipper) Constellation — Ursa Minor is a constellation in the northern sky, whose name means the “Lesser Bear” in Latin.

It is one of the 88 modern constellations, and was also one of the 48 listed by Ptolemy. It is notable as the location of the north celestial pole, although this will change after some centuries due to the effects of precession.

Notable features

Ursa Minor contains an asterism colloquially known as the “Little Dipper” because its brightest stars seem to form a ladle, or dipper shape. The star at the end of the dipper handle is Polaris, the “North” or “Pole Star”.

Polaris, can also be found by following a line through the two stars which form the end of the “bowl” of the Big Dipper, a nearby asterism found in the constellation Ursa Major.

Mythology

One of Artemis’ companions, Callisto, lost her virginity to Zeus, who had come disguised as Artemis. Enraged, Artemis changed her into a bear. Callisto’s son, Arcas, nearly killed his mother while hunting, but Zeus or Artemis stopped him and placed them both in the sky as Ursa Major and Ursa Minor.

Hera was not please with the placement of Callisto and Arcas in the sky, so she asked her nurse, Tethys, to help. Tethys, a marine goddess, cursed the constellations to forever circle the sky and never drop below the horizon, hence explaining why they are circumpolar.

History

This constellation is said to be introduced in the 6th century B.C. by the Greek astronomer Thales, but was certainly already used as a guide by sailors.

In ancient time, Ursa Minor was named the Dragon’s wing, an old constellation, now long forgotten. To many cultures Ursa Minor was the Hole in which the earth’s axle found its bearing.

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Abbreviation: UMi
Genitive: Ursae Minoris
Meaning: in English Little Bear
Right ascension: 15 h
Declination: 70
Visible: to latitude Between 90 and -10
On meridian: 9 p.m., June 25
Area – Total: Ranked 56th 256 sq. deg.
Number of stars with apparent magnitude < 3: 2
Brightest star – Apparent magnitude: Polaris 62.02

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Earth’s Atmosphere

Earth’s Atmosphere — Earth’s atmosphere consists of nitrogen (78.1%) and oxygen (20.9%), with small amounts of argon (0.9%), carbon dioxide (variable, but around 0.035%), water vapor, and other gases.

The atmosphere protects life on Earth by absorbing ultraviolet solar radiation and reducing temperature extremes between day and night. 75% of the atmosphere exists within 11km of the planetary surface.

Temperature and the Atmospheric Layers

The temperature of the Earth’s atmosphere varies with altitude; the relationship between temperature and altitude varies between the different atmospheric layers:

— troposphere – 0 – 7/17 km, temperature decreasing with height.

— stratosphere – 7/17 – 50 km, temperature increasing with height.

— mesosphere – 50 – 80/85 km, temperature decreasing with height.

— thermosphere – 80/85 – 640+ km, temperature increasing with height.

The boundaries between these regions are named the tropopause, stratopause and mesopause.

Pressure

Gravity “pulls” the atmosphere towards the Earth’s surface. The average atmospheric pressure, at sea level, is 1 atm. Much of this pressure is the result of air “pushing down” on air beneath it; such that, pressure decreases in an inverse relationship with height. The atmospheric pressure drops by ~50% for every 5.5km altitude increase.

Various Atmospheric Regions

Atmospheric regions are also named in other ways:

— ionosphere – the region containing ions: approximately the mesosphere and thermosphere up to 550 km.

— exosphere – above the ionosphere, where the atmosphere thins out into space.

— ozone layer – or ozonosphere, approximately 10 – 50 km, where ozone is found.

— magnetosphere – the region where the Earth’s magnetic field interacts with the solar wind from the Sun. It extends for tens of thousands of kilometers, with a long tail away from the Sun.

— Van Allen radiation belts – regions where particles from the Sun become concentrated.

The “Evolution” of the Earth’s Atmosphere

The modern atmosphere is sometimes referred to as its “third atmosphere”; in order to distinguish the current chemical composition from two notably different compositions. The original atmosphere was primarily helium and hydrogen, heat (from the still molten crust, and the sun) dissipated this atmopshere.

About 3.5 billion years ago, the surface had cooled enough to form a crust, still heavily populated with volcanoes releasing steam, carbon dioxide, and ammonia. This led to the “second atmosphere”; which was, primarily, carbon dioxide and water vapor, with some nitrogen and, virtually, no oxygen.

This second atmosphere had ~100 times as much gas as the current atmosphere. It is generally believed that the greenhouse effect, caused by high levels of carbon dioxide, kept the Earth from freezing.

During the next couple billion years, water vapour condensed to form rain and oceans, which started to dissolve carbon dioxide. Approximately 50% of the carbon dioxide would be absorbed into the oceans.

Photosynthesizing plants would evolve and convert carbon dioxide into oxygen. Over time, excess carbon became locked in fossil fuels, sedimentary rocks (notably limestone), and animal shells. As oxygen was released, it reacted with ammonia to create nitrogen; in addition, bacteria would also convert ammonia into nitrogen.

As more plants appeared, the levels of oxygen increased significantly (while carbon dioxide levels dropped). At first combined with various elements (such as iron); but, eventually the atmosphere began to “fill” with oxygen – resulting in mass extinctions and further evolution. The appearance of an ozone layer (a compound of oxygen atoms) lifeforms were better protected from ultraviolet radiation. This oxygen-nitrogen atmosphere is the “third atmosphere”.

Global Warming

In modern times, the burning of fossil fuels has caused an increase in atmospheric carbon dioxide; increasing the levels of infrared radiation “trapped” within the atmosphere; and, thereby, contributing to global warming.

The IPCC concluded, in their Climate Change 2001 Report, that “most of the observed warming, over the last 50 years, is likely to have been due to the increase in greenhouse gas concentrations”.

Image Credit: NASA/Wikipedia (public domain)

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Radio Astronomy

Radio Astronomy — Radio astronomy is the study of celestial phenomena through measurement of the characteristics of radio waves emitted by physical processes occurring in space. Radio waves are much longer than light waves. In order to receive good signals, radio astronomy requires large antennas.
Radio astronomy is a relatively new field of astronomical research. The earliest investigations into extraterrestrial sources of radio waves were by Karl Guthe Jansky, an engineer with Bell Telephone Laboratories, in the early 1930s.
Following World War II, substantial improvements in radio astronomy technology were made by astronomers in Europe and the United States, and the field of radio astronomy began to blossom.
Radio astronomy has led to substantial increases in astronomical knowledge, particularly with the discovery of several classes of new objects, including pulsars, quasars and radio galaxies. Such objects represent some of the most extreme and energetic physical processes in the universe.
Radio astronomy is also partly responsible for the idea that dark matter is an important component of our universe; radio measurements of the rotation of galaxies suggest that there is much more mass in galaxies than has been directly observed.
And the cosmic microwave background radiation was first detected using radio telescopes. However, radio telescopes have also been used to investigate objects much closer to home, including observations of the Sun and solar activity, and radar mapping of the planets.
VLBI
Multiple antenna radio astronomy is also known as interferometry. When the antennas are too far apart to allow the antennas to be connected by conventional cables, the data are recorded on magnetic tape (or recently hard disks) and shipped to a central processing location (correlator).
This technique is known as Very Long Baseline Interferometry (VLBI). VLBI involves using a number of antenna linked together to create a giant antenna which can resolve features with smaller angles. The band of radio waves used depends on what they want to achieve for the particular experiment.
Some of the scientific results derived from VLBI include:
— Motion of the Earth’s tectonic plates
— Regional deformation and local uplift or subsidence.
— Definition of the celestial reference frame
— Variations in the Earth’s orientation and length of day.
— Maintenance of the terrestrial reference frame
— Measurement of gravitational forces of the Sun and Moon on the Earth and the deep structure of the Earth
— Improvement of atmospheric models.
— Astronomical benefits too
VLBI is used mostly for mapping and timing. It is essential for accurate spacecraft tracking that the positions of the antennas is known to the milimetre. This technique measures the time differences between the arrival of radio waves from distant sources (such as quasars) at two separate antennas.
Using large numbers of time difference measurements from many quasars observed with a global network of antennas over a period of time, it is possible to map movements of tectonic plates to within milimetres.
Space VLBI
The latest development in radio astronomy observations is the Space Very Long Baseline Interferometry (SVLBI) program. This is used to perform radio astronomy with an extended baseline VLBI, of which one element is a space-based antenna.
The JPL SVLBI project, funded by NASA, supports the VSOP (VLBI Space Observatory Program) mission developed by the Institute of Space and Astronautical Science (ISAS) in Japan. The VSOP spacecraft consists of an eight meters radio telescope.
It was launched in February 1997 and is orbiting the Earth in an elliptical orbit to enable VLBI observations on baselines between space and ground telescopes. The primary targets are active galactic nuclei, water masers, OH masers, radio stars, and pulsars will also be observed.
The baselines between space and ground telescopes will provide 3 to 10 times the resolution available for ground VLBI at the same observing frequencies. Four ground tracking stations are involved with the SVLBI project.
The whole system was supposed to operate automatically, needing only the observing schedule, Doppler predicts, and spacecraft state vectors to perform all the acquisition and tracking functions, with no operator inputs. This however has not yet been achieved and an operator is required for all supports on this system.
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Moon

The Moon — The Moon is the largest satellite of the Earth, and is occasionally called Luna (Latin for moon) to distinguish it from the general use of the word “moon”.

The Moon is distinguished from the satellites of other planets by its initial capital letter; the other moons are described in the natural satellite article. The words moon and month come from the same Old English root word.

The Moon makes a complete orbit of the celestial sphere about every four weeks. Each hour the moon moves in the sky a distance close to its perceived angular size, or by about 0.5. The Moon always remains within a path, called the Zodiac, which extends about 8 on either side of the ecliptic. The moon crosses the ecliptic about once every 2 weeks.

The color image of the Moon to the right was taken by the Galileo spacecraft at 9:35 a.m. PST December 9, 1990, at a range of about 350,000 miles. The color composite uses monochrome images taken through violet, red, and near-infrared filters.

The concentric, circular Orientale basin, 600 miles across, is near the center; the near side is to the right, the far side to the left. At the upper right is the large, dark Oceanus Procellarum; below it is the smaller Mare Humorum. These, like the small dark Mare Orientale in the center of the basin, formed over 3 billion years ago as basaltic lava flows.

At the lower left, among the southern cratered highlands of the far side, is the South Pole-Aitken basin, similar to Orientale but twice as great in diameter and much older and more degraded by cratering and weathering. The cratered highlands of the near and far sides and the Maria are covered with scattered bright, young ray craters. (click here for full-sized image)

Physical characteristics

Since the Moon’s rotational period is exactly the same as its orbital period, we always see the same face of the Moon pointed towards the Earth. This synchronicity is a result of friction having slowed down the Moon’s rotation in its early history, a process known as tidal locking.

As a result of tidal locking, the Earth’s rotation is also gradually being slowed down by the Moon, and the Moon is slowly receding from the Earth as the Earth’s rotational momentum is transferred to the Moon’s orbital momentum.

The gravitional attraction that the Moon exerts on the Earth is the cause of tides in the sea. Tidal flow is synchronised to the Moon’s orbit around the Earth.

The Earth and Moon orbit about a common center of mass, which lies about 4700 km from the Earth’s center. Since the common center of mass of the Earth-Moon system (the barycenter) is located within Earth, Earth’s motion is more commonly described as a “wobble”. When viewed from Earth’s North pole, the Earth and Moon rotate counter clockwise about their axes, Moon orbits Earth counter-clockwise and Earth orbits the Sun counter-clockwise.

The Moon’s orbital plane about the Earth is inclined by 5 degrees with respect to the Earth’s orbital plane about the Sun (the ecliptic plane). The Moon’s orbital plane along with its spin axis rotates clockwise with a period of 18.6 years, always maintaining the 5 degree inclination.

The points where the Moon’s orbit crosses the ecliptic are called the lunar “nodes”: the North (or ascending) node is where the Moon crosses to the North of the ecliptic; the South (or descending ) node where it crosses to the South. Solar eclipses occur when a node coincides with the new Moon; lunar eclipses when a node coincides with the full Moon.

The inclination of the Moon’s orbit makes it rather unlikely that the Moon formed along with the Earth or was captured later; its origin is the subject of strong scientific debate.

The most accepted theory states that the Moon originated from the collision between the young Earth and an impactor the size of Mars (sometimes called Theia) and was formed from material ejected from Earth as a result of the collision. This is called the Giant Impact theory. New simulations published in August 2001 support this theory. This theory is also corroborated by the fact that the Moon has all the same minerals as the Earth, albeit in different proportions.

The geological epochs of the Moon are defined based on the dating of various significant impact events in the Moon’s history.

Tidal forces deformed the once molten Moon into an ellipsoid, with the major axis pointed towards the Earth.

Composition

More than 4.5 billion years ago, the surface of the Moon was a liquid magma ocean. Scientists think that one component of lunar rocks, KREEP (K-potassium, Rare Earth Elements, and P-phosphorus), represents the last chemical remnant of that magma ocean. KREEP is actually a composite of what scientists term “incompatible elements”: those which cannot fit into a crystal structure and thus were left behind, floating to the surface of the magma.

For researchers, KREEP is a convenient tracer, useful for reporting the story of the volcanic history of the lunar crust and chronicling the frequency of impacts by comets and other celestial bodies.

The lunar crust is composed of a variety of primary elements, including uranium, thorium, potassium, oxygen, silicon, magnesium, iron, titanium, calcium, aluminum and hydrogen. When bombarded by cosmic rays, each element bounces back into space its own radiation, in the form of gamma rays.

Some elements, such as uranium, thorium and potassium, are radioactive and emit gamma rays on their own. However, regardless of what causes them, gamma rays for each element are all different from one another — each produces a unique spectral “signature,” detectable by a spectrometer. A complete global mapping of the Moon for the abundance of these elements has never been performed.

Over time, comets and meteorites continually bombard the Moon. Water-rich meteorites and comets, largely water ice, may leave significant traces of water on the lunar surface. Energy from sunlight splits much of this water into its constituent elements hydrogen and oxygen, both of which usually fly off into space immediately. Some water molecules, however, may have literally hopped along the surface and gotten trapped inside craters at the lunar poles. Due to the very slight “tilt” of the Moon’s axis, only 1.5, some of these deep craters never receive any light from the Sun – they are permanently shadowed. It is in such craters that scientists expect to find frozen water if it is there at all. If found, water ice could be mined and then split into hydrogen and oxygen by solar panel-equipped electric power stations or a nuclear generator. Such components could make space operations as well as human colonization on the Moon possible.

Compared to that of the Earth, the Moon has a very small magnetic field. While some of the Moon’s magnetism is thought to be intrinsic (such as a strip of the lunar crust called the Rima Sirsalis), collision with other celestial bodies might have imparted some of the Moon’s magnetic properties. Indeed, a long-standing question in planetary science is whether an airless solar system body, such as the Moon, can obtain magnetism from impact processes such as comets and asteroids. Magnetic measurements can also supply information about the size and electrical conductivity of the lunar core — evidence that will help scientists better understand the Moon’s origins. For instance, if the core contains more magnetic elements (such as iron) than the Earth, then the impact theory loses some credibility (although there are alternate explanations for why the lunar core might contain less iron).

Blanketed atop the Moon’s crust is a dusty outer rock layer called regolith. Both the crust and regolith are unevenly distributed over the entire Moon. The crust ranges from 38 miles (60 km) on the near side to 63 miles (100 km) on the far side. The regolith varies from 10 to 16 feet (3 to 5 meters) in the maria to 33 to 66 feet (10 to 20 meters) in the highlands. Scientists think that such asymmetry of the lunar crust most likely accounts for the Moon’s off-set center of mass. Crustal asymmetry may also explain differences in lunar terrain, such as the dominance of smooth rock (maria) on the near side of the Moon.

The Moon has a relatively insignificant and tenuous atmosphere. One source of this atmosphere is outgasing – the release of gases, for instance radon, which originate deep within the Moon’s interior. Another important source of gases is the solar wind, which is briefly captured by the Moon’s gravity.

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Solar Radiation

Solar Radiation — Solar radiation is radiant energy emitted by the sun due to nuclear fusion reactions.

Fusion is the process whereby stars produce huge quantities of energy from the fusion of hydrogen or helium, in one of the most efficient processes of energy generation.

The radiation referred to is usually electromagnetic energy, particularly infrared radiation, visible light, and ultraviolet. Some stars are known to emit radiation of other wavelengths.

Solar neutrinos are a different type of radiation emitted by the nuclear reactions in stars.

Electrons and positrons (anti-electrons) are delocalised because the matter in stars is a plasma. These leptons may also be considered a form of solar radiation, but they do not travel far from the solar body.

Fusion begins with the combination of four hydrogen-1 nuclei to create two hydrogen-2 nuclei. As a result, two positrons (positive electrons) and two neutrinos are released.

These two hydrogen-2 nuclei, together with another two hydrogen-1 nuclei, form two helium-3 nuclei and release gamma radiation. These two unstable isotopes of helium fuse to form helium-4 and two particles of hydrogen-1.

The whole process can be summed up by saying that four protons undergo fusion to produce a helium nucleus and energy.

The energy radiated away in the form of gamma radiation, as well as the positrons and neutrinos, is solar radiation. The hydrogen-1 nuclei are not radiation, by its strict definition, as they are usually used again as an input in the fusion chain-reaction.

Also note that energy is conserved, so by calculating the mass of the four protons, and the mass of the helium nucleus, and subtracting you can calculate the mass of energy (energy and mass are interchangeable) emitted in gamma and positron radiation.

The equation E = mc2 can be used to convert between mass and energy in joules. Since these values are very small, it is useful to convert joules into electron volts.

An eV (electron volt) is equal to 1.6 10-19 joules, but in most cases the energy released in reactions is measured in MeV or mega-electron volts, or larger quantities.

Climate effect of solar radiation

On earth solar radiation is obvious as daylight when the sun is above the horizon. This is during daytime, and also in summer near the poles at night, but not at all in winter near the poles.

When the direct radiation is not blocked by clouds, it is experienced as sunshine, a combination of bright yellow light (sunlight in the strict sense) and heat. The heat on the body, on objects, etc., that is directly produced by the radiation should be distinguished from the increase in air temperature.

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Van Allen Radiation Belt

Van Allen Radiation Belt — The Van Allen radiation belt is a torus of energetic charged particles around Earth, trapped by Earth’s magnetic field.

The presence of a radiation belt had been theorized prior to the Space Age and the belt’s presence was confirmed by the Explorer I on January 31, 1958 and Explorer III missions, under Doctor James Van Allen. The trapped radiation was first mapped out by Explorer IV and Pioneer III.

Qualitatively, it is useful to view this belt as consisting of two belts around Earth, the inner radiation belt and the outer radiation belt. The particles are distributed such that the inner belt consists mostly of protons while the outer belt consists mostly of electrons. Within these belts are particles capable of penetrating ~1g/cm2 of shielding (1 millimeter of lead).

The term Van Allen Belts, refers specifically to the radiation belts surrounding Earth, however similar radiation belts have been discovered around other planets. The Sun does not support long-term radiation belts.

The atmosphere limits the belts particles to regions above 200-1000 km, while the belts do not extend past 7 RE. The belts are confined to an area which extends about 65 from the celestial equator.

The Inner Van Allen Belt

The inner radiation belt extends over altitudes of 650-6,300 km (up to one RE). This ring is most concentrated in the Earth’s equatorial plane. It consists mostly of protons on the order of 10-50 MeV, a by-product of collisions between cosmic ray ions and atoms of the atmosphere. The belt also contains electrons, low-energy protons, and oxygen atoms with energies of 1-100 keV. When these electrons strike the atmosphere they cause the polar aurora.

The intensity of the belt fluctuates, partly due to the influence of the solar cycle, and is strongest between 2-5,000 km. The inner radiation belt comes nearest to Earth’s surface at the South Atlantic Anomaly.

The number of cosmic ray ions is relatively small and the inner belt therefore accumulates slowly, but because the trapped protons are very stable in this belt (with particle lifetimes of up to ten years), high intensities are reached as they build up over many years.

The belt was discovered by a Geiger counter on board the Explorer 1 satellite built by James Van Allen and the University of Iowa and launched on January 31, 1958 as part of the IGY. The instrumentation on board Explorer 1 actually registered no radiation at the altitude of the radiation belts, an anomaly which was explained, by Explorer III’s more sophisticated data recording capabilities, as being due to intense radiation having overwhelmed the earlier detector.

The Outer Van Allen Belt

The outer radiation belt extends from an altitude of about 10,000-65,000 km and has its greatest intensity between 14,500-19,000 km. The outer belt is thought to consist of plasma trapped by the Earth’s magnetosphere. The USSR’s Lunik I reported that there were very few particles of high energy within the outer belt.

The electrons here have a high flux and along the outer edge and E > 40 Kev electrons can drop to normal interplanetary levels within about 100km (a decrease by a factor of 1000). This drop-off is a result of the solar wind.

The particle population of the outer belt is varied, containing electrons and various ions. Most of the ions are in the form of energetic protons, but a certain percentage are alpha particles and O+ oxygen ions, similar to those in the ionosphere but much more energetic. This mixture of ions suggests that ring current particles probably come from more than one source.

The outer belt is larger and more diffuse than the inner, surrounded by a low-intensity region known as the ring current. Unlike the inner belt, the outer belt’s particle population fluctuates widely and is generally weaker in intensity (less than 1 MeV), rising when magnetic storms inject fresh particles from the tail of the magnetosphere, and then falling off again.

There is debate as to whether the outer belt was discovered by the US Explorer IV or the USSR Sputnik II/III.

Radial Diffusion Induced by Magnetic Fluctuations

A sudden increase in solar wind pressure can cause the radiation belts to change shape. In such an instance, particles on the sunward side of the planet will be carried inward (toward the planet), while particles on the far side of the planet will be carried further from the planet. This can give the radiation belts somewhat of a tear-drop shape. After such an incident, the belts tend to return to a more spherical shape.

Without this sort of “mirroring,” ions and electrons would not be trapped in the Earth’s magnetosphere, but would instead follow their guiding field lines into the atmosphere, where they would be absorbed and become lost. What happens instead is that every time a trapped particle approaches Earth, it is reflected back. It is thus confined to the more distant section of the field line.

The Van Allen Belt’s Impact on Space Travel

Solar cells, integrated circuits, and sensors can be damaged by radiation. In 1962, the Van Allen belts were temporarily amplified by a high-altitude nuclear explosion and several satellites ceased operation.

Magnetic storms occasionally damage electronic components on spacecraft. Miniaturization and digitization of electronics and logic circuits have made satellites more vulnerable to radiation, as incoming ions may be as large as the circuit’s charge. The Hubble Space Telescope, among other satellites, often has its sensors turned off when passing through regions of intense radiation.

A object satellite shielded by 3 mm of aluminum will received about 2500 rem (3) per year.

Belts of Other Planets

The gas giant planets Jupiter, Saturn, Uranus and Neptune, all have intense magnetic fields with radiation belts similar to the Earth’s outer belt.

Jupiter’s belt is the strongest, first detected via its radio emissions in 1955 though not understood at the time. Jupiter’s belt is strongly affected by its large moon Io, which loads it with many ions of sulfur and sodium from the moon’s volcanoes.

Saturn seems to have an “inner belt” similar to the Earth’s, observed by Pioneer 11 during its 1979 fly-by and probably produced by cosmic rays which eject neutrons from Saturn’s planetary rings.

The Van Allen Belts and Why They Exist

The Soviets once accused the US of creating the inner belt as a result of nuclear testing in Nevada. The US has, likewise, accused the USSR of creating the outer belt through nuclear testing. It is uncertain how particles from such testing could escape the atmosphere and reach the altitudes of the radiation belts. Tom Gold has argued that the outer belt is left over from the aurora while Alex Dessler has argued that the belt is a result of volcanic activity

It is generally understood that the Van Allen belts are a result of the collision of Earth’s magnetic field with the solar wind. Radiation from the solar wind then becomes trapped within the magnetosphere. The trapped particles are repelled from regions of stronger magnetic field, where field lines converge. This causes the particle to bounce back or “mirror.”

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Cosmic Background Radiation

Cosmic Background Radiation — The Big Bang theory predicts that the early universe was a very hot place and that as it expands, the gas within it cools. Thus the universe should be filled with radiation that is literally the remnant heat left over from the Big Bang, called the cosmic microwave background radiation, or CMB.

When any patch of the sky is observed where no individual sources can be discerned, and the effects of the interplanetary dust, and interstellar matter are taken into account, there is still is radiation.

This radiation is known as Cosmic Background Radiation. The origin of this radiation depends on the region of the spectrum that we are observing.

Certainly the most famous component is the Cosmic microwave background radiation, a remainder of the epoch when the universe, still hot, became transparent for the first time to radiation.

There is also background radiation in the infrared, x-rays, etc., with different causes; most of these are ultimately attributable to unresolved individual sources.

The existence of the CMB radiation was first predicted by George Gamow in 1948, and by Ralph Alpher and Robert Herman in 1950. It was first observed inadvertently in 1965 by Arno Penzias and Robert Wilson at the Bell Telephone Laboratories in Murray Hill, New Jersey. The radiation was acting as a source of excess noise in a radio receiver they were building.

Coincidentally, researchers at nearby Princeton University, led by Robert Dicke and including Dave Wilkinson of the WMAP science team, were devising an experiment to find the CMB. When they heard about the Bell Labs result they immediately realized that the CMB had been found.

The result was a pair of papers in the Physical Review: one by Penzias and Wilson detailing the observations, and one by Dicke, Peebles, Roll, and Wilkinson giving the cosmological interpretation. Penzias and Wilson shared the 1978 Nobel prize in physics for their discovery.

Today, the CMB radiation is very cold, only 2.725 above absolute zero, thus this radiation shines primarily in the microwave portion of the electromagnetic spectrum, and is invisible to the naked eye. However, it fills the universe and can be detected everywhere we look. In fact, if we could see microwaves, the entire sky would glow with a brightness that was astonishingly uniform in every direction.

Since light travels at a finite speed, astronomers observing distant objects are looking into the past. Most of the stars that are visible to the naked eye in the night sky are 10 to 100 light years away. Thus, we see them as they were 10 to 100 years ago.

We observe Andromeda, the nearest big galaxy, as it was three million years ago. Astronomers observing distant galaxies with the Hubble Space Telescope can see them as they were only a few billion years after the Big Bang. (Most cosmologists believe that the universe is between 12 and 14 billion years old.)

The CMB radiation was emitted only a few hundred thousand years after the Big Bang, long before stars or galaxies ever existed. Thus, by studying the detailed physical properties of the radiation, we can learn about conditions in the universe on very large scales, since the radiation we see today has traveled over such a large distance, and at very early times.

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NASA

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Electromagnetic Radiation

Electromagnetic Radiation — Electromagnetic radiation is a combination of oscillating electric and magnetic fields propagating through space and carrying energy from one place to another.

Light is a form of electromagnetic radiation. The theoretical study of electromagnetic radiation is called electrodynamics, a subfield of electromagnetism.

When any wire (or other conducting object such as an antenna) conducts alternating current, electromagnetic radiation is propagated at the same frequency as the electric current. Depending on the circumstances, it may behave as waves or as particles.

As a wave, it is characterized by a velocity (the velocity of light), wavelength, and frequency. When considered as particles, they are known as photons, and each has an energy related to the frequency of the wave given by Planck’s relation E = h f, where E is the energy of the photon, h is Plancks constant and f is the frequency of the wave.

Generally, electromagnetic radiation is classified by wavelength into radio, microwave, visible light, X-rays and gamma rays. The details of this classification are contained in the article on the electromagnetic spectrum.

The effect of radiation depends on the amount of energy per quantum it carries. High energies correspond to high frequencies and short wavelengths, and vice versa. One rule is always obeyed, regardless of the circumstances. Radiation in vacuum always travels at the speed of light, relative to the observer, regardless of the observer’s velocity. (This observation led to Albert Einstein’s development of the theory of special relativity).

Much information about the physical properties of an object can be obtained from its electromagnetic spectrum; this can be either the spectrum of light emitted from, or transmitted through the object. This involves spectroscopy and is widely used in astrophysics. For example; many hydrogen atoms emit radio waves which have a wavelength of 21.12 cm.

When a electromagnetic radiation passes through a conductor it induces an electric current flow in the conductor. This effect is used in antennas. Electromagnetic radiation may also cause certain molecules to oscillate and thus to heat up; this is exploited in microwave ovens.

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Electromagnetic Spectrum

Electromagnetic Spectrum — The electromagnetic spectrum describes the various types of electromagnetic radiation based on their wavelengths.

Radio, representing wavelengths from a few feet to well over a mile, is at one end of the spectrum. Gamma ray radiation is at the other end: the wavelength of the harder types is so short, in the subatomic range, that we do not have instruments capable of directly measuring it.

While the above classification scheme is generally accurate, in reality there is often some overlap between neighboring types of electromagnetic radiation. For example some low energy gamma-rays actually have a longer wavelength than some high energy X-rays.

This is possible because “gamma-ray” is the name given to the photons generated from nuclear decay or other nuclear and subnuclear processes, whereas X-rays on the other hand are generated by electronic transitions involving highly energetic inner electrons. Therefore the distinction between gamma-ray and x-ray is related to the radiation source rather than the radiation wavelength.

Generally, nuclear transitions are much more energetic than electronic transitions, so most gamma-rays are more energetic than x-rays. However, there are a few low-energy nuclear transitions (eg. the 14.4 keV nuclear transition of Fe-57) that produce gamma-rays that are less energetic than some of the higher energy X-rays.

Use of the radio frequency spectrum is regulated by governments. This is called frequency allocation.

Radio Waves

Radio is at the weak end of the spectrum, with low energy and long wavelength. It’s used for transmission of data, via modulation. Television, mobile phones, wireless networking and amateur radio all use it.

Microwaves

Microwaves come next. They can cause entire molecules to resonate. This resonance causes water to move rapidly and enables the microwave oven to cook food.

Between 300 GHz and the mid-infrared, the absorption of electromagnetic radiation by molecular vibration in the Earth’s atmosphere is so great that the atmosphere is effectively opaque to electromagnetic radiation, until the atmosphere becomes transparent again in the so-called infrared and optical window freqency ranges. However, there are certain wavelength ranges (“windows”) within the opaque range which allow partial transmission, and can be used for astronomy.

It should be noted that the average Microwave oven is, in close range, powerful enough to cause interference with poorly shielded electromagnetic fields such as those found in mobile medical devices and cheap consumer electronics.

Infra-red Radiation

The next category is infra-red. This makes chemical bonds resonate. When a chemical bond resonates, the vibrations add internal energy to the molecule. The molecule becomes hot. The bulk substance becomes hot when its molecules’ bonds are all resonating. When you touch it, you feel its warmth or you lose the tip of your finger, depending on how violent the resonance is.

Visible radiation (light)

After infra-red comes visible light. This is the range in which the sun and stars similar to it emit most of their radiation. When this is scattered or reflected by an object, we can infer the existence of the object. I can see the light scattered from my room’s light by my keyboard, so my brain infers that the keyboard exists.

Ultraviolet light

Next comes ultraviolet. This is radiation whose wavelength is shorter than the violet end of the visible spectrum. It was discovered to be useful for astronomy by a Mariner probe at Mercury, which detected UV that “had no right to be there”. The dying probe was turned over to the UV team full time.

The UV source turned out to be a star, but UV astronomy was born. Being very energetic, UV can break chemical bonds. Chlorine will not normally react with an alkane, but give it UV and it reacts quickly. This is because the UV breaks the bond holding chlorine atoms into molecules of Cl2. Lone atoms are extremely reactive and will react with the otherwise almost-inert alkanes. It also makes a mess of DNA, causing cell death at best and uncontrolled cell reproduction (cancer) at worst.

X-rays

After UV come X-rays. Hard X-rays are of shorter wavelength than soft X-rays. X-rays are used for seeing through some things and not others, as well as for high-energy physics and astronomy. Black holes and neutron stars emit x-rays, which enable us to study them.

Gamma rays

After hard X-rays come gamma rays. These are the most energetic photons, having no lower limit to their wavelength. They are useful to astronomers in the study of high-energy objects or regions and find a use with physicists thanks to their penetrative ability and their production from radioisotopes.

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Geocentric Model

Geocentric Model — The geocentric model of the cosmos is a paradigm which places the Earth at the center of the universe. Common in ancient Greece, it was believed by both Aristotle and Ptolemy. Most Greeks assumed that the Sun, Moon, stars, and planets orbit Earth. Similar ideas were held in ancient China.

The geocentric model was gradually replaced by the heliocentric model of Copernicus and Galileo due to the simplicity and predictive accuracy of that newer model.

In this model, a set of fifty-five concentric crystalline spheres were considered to hold the Sun, the planets, and the stars. These spheres (called deferents) revolved at varying velocities around the Earth to account for the rising and setting of celestial objects every day.

However, this simple model of the revolutions of spheres could not explain all astronomical phenomena. In particular, planets were observed to wander across the fixed fields of stars over time; mostly they wandered in one direction, but occasionally they seemed to reverse course.

To explain this strange retrogradation, Aristotle claimed that planets were attached, not directly to deferents, but to smaller spheres called epicycles. The epicycles were themselves attached to the deferents; the simultaneous revolution of both sets of spheres created an occasional apparent reversal of the planets’ motions across the skies of the Earth.

Ptolemy further modified this model to more accurately reflect observations by placing epicycles upon epicycles, creating an extraordinarily complicated–but fairly accurate–depiction of the cosmos. He also displaced the Earth from the center of the universe, claiming that, while Earth was enclosed by the celestial spheres, the spheres actually revolved around a point called an eccentric, which was near the Earth but not quite on it.

This elaborate theoretical system stemmed largely from two deeply held Greek beliefs: that the Earth was the center of the universe, and that all heavenly objects move in a uniform circular motion.

This view of a geocentric universe held sway for well over a millennium, until the publication of Copernicus’s De Revolutionibus Orbium Coelestium in 1543.

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Interstellar Cloud

Interstellar Cloud — Interstellar cloud is the generic name given to accumulations of gas and dust in our galaxy. Depending on the density, size and temperature of a given cloud, the hydrogen in it can be neutral (HI clouds) or molecular (molecular clouds).

Chemical compositions

Analysing the composition of interstellar clouds is achieved by studying electromagnetic radiation that we receive from them. Large radio telescopes scan the intensity in the sky of particular frequencies of electromagnetic radiation which are characteristic of certain molecules’ spectra.

Interstellar clouds are cold and tend to give out EM radiation of large wavelengths. We can produce a map of the abundance of these molecules to produce an understanding of the varying composition of the clouds.

Radio telescopes can also scan over the frequencies from one point in the map, recording the intensities of each type of molecule. Peaks of frequencies mean that an abundance of that molecule or atom is present in the cloud. The height of the peak is proportional to the relative percentage that it makes up.

Unexpected chemicals detected in interstellar clouds

Until recently the rates of reactions in interstellar clouds were expected to be very slow, with minimal products being produced due to the low temperature and density of the clouds. However, large organic molecules were observed in the spectra that scientists would not have expected to find under these conditions.

The reactions needed to create them normally only occur at much higher temperatures and pressures. The fact that they were found indicates that these chemical reactions in interstellar clouds take place faster than suspected. These reactions are studied in the CRESU experiment.

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NASA

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Massive Compact Halo Object (MACHO)

Massive Compact Halo Object (MACHO) — Massive compact halo objects, or MACHOs, are a type of astronomical body proposed as one possible explanation for the presence of dark matter in galactic halos.

A MACHO is a small chunk of normal baryonic matter, far smaller than a star, which drifts through interstellar space unassociated with any solar system. Since MACHOs would not emit any light of their own, they would be very hard to detect.

Recent work has suggested that MACHOs are not likely to account for the large amounts of dark matter now known to be present in the universe; the Big Bang as it is currently understood simply couldn’t produce enough baryons.

However, some MACHOs may still exist (at the upper end of their size scale they would be brown dwarfs) and there are some attempts being made to detect them by the gravitational lensing they would cause in the light of stars as they pass in front of them.

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Lawrence Livermore National Laboratory (LLNL)

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Brown Dwarf

Brown Dwarf — Brown dwarfs are a special type of low-mass star (approximately 13-70 Jupiter masses) that do not have nuclear fusion occurring in their cores during their time on the main sequence.

Early in their development most brown dwarf stars do have lithium fusion in their cores, and a lack of lithium is a test for low-mass objects that are suspected of being brown dwarfs. Many brown dwarfs continue to glow in the red and infrared after their lithium is exhausted.

This glow is from the leftover heat generated by their formation and by the earlier lithium fusion, and is thought to reach temperatures of 1,730°C in large, young brown dwarfs.

A few potential brown dwarf candidates have been detected, and they are thought to be the most common type of star in the Milky Way galaxy. Gas giant planets that form directly from a collapsing nebula rather than accreting from a protostellar disk like other planets are more properly termed brown dwarf stars.

Recent observations of known brown dwarf candidates have revealed a pattern of brightening and dimming of infrared emissions that suggests relatively cool, opaque cloud patterns obscuring the hot interior and stirred by winds. The weather on such bodies is thought to be extremely violent, comparable to but far exceeding Jupiter’s famous storms.

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NASA

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Pleiades

Pleiades — in astronomy, in astronomy, famous open star cluster in the constellation Taurus; cataloged as M45.

The cluster consists of some 500 stars, has a diameter of 35 light-years, and is 400 light- years distant from the earth.

Six stars are easily visible to the naked eyeAlcyone (the brightest), Electra, Celaeno, Sterope, Maia, and Taygete. Known as the Seven Sisters, this group was named by the Greeks for the seven daughters of Atlas and Pleione; the seventh Pleiad was, according to legend, lost or in hiding.

Many faint stars associated with the other six are visible with the telescope; one of these stars may have been much brighter and visible to the naked eye in ancient times, thus accounting for the many early references to seven stars.

The Pleiades cluster is 150 million years old, making it a young star cluster.

In Japan, the Pleiades are known as Subaru.

It is said that the Native Americans measured keenness of vision by the number of stars the viewer could see in the Pleiades.

To the Maori of New Zealand, the Pleiades are called Mataariki and their heliacal rising signifies the beginning of the new year (around June).

The Australian Aborigines believed they were a woman who had been nearly raped by Kidili, the man in the moon. Alternatively, they were seven sisters called the Makara.

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Insects in the Classroom: A Study of Animal Behavior

Abstract.

These activities allow students to investigate behavioral responses of the large Milkweed bug, Oncopeltus fasciatus, and the mealworm, Tenebrio molitor or Tenebrio obscurus, to external stimuli of light, color, and temperature. During the activities, students formulate hypotheses to research questions presented. They also observe insects for a period of time, record observations, analyze the data, and draw conclusions. Important outcomes include experience with critical and analytical thinking and appreciation for the process of science as well as the biology of living things. The activities described herein are appropriate for upper elementary grades, middle school, and high school biology classes.

Keywords: behavior, biology laboratory activities, insects, mealworm, Milkweed bug

Insect studies are an excellent opportunity to provide firsthand observation to your students with little hassle. The large Milkweed bug (see Figure 1) is nearly perfect for classroom rearing for several reasons: it can be maintained with minimal care; all of its life stages are visible and development is fairly rapid; the sexes are easily distinguished; and it is harmless and colorful. Mealworms (not true worms but larval beetles) are easy insects to rear as well (see Figure 2). All that is required is a container and food, although they will benefit from having water supplied by a wet paper towel or cloth. Both the larvae and the adults are tough and not easily injured, and they do not bite-aspects that enhance their usefulness in the classroom. Furthermore, because they are relatively slow moving and the adults do not fly, escapes are seldom a problem.

The activities described below allow students to investigate behavioral responses of the large Milkweed bug, Oncopeltusfasciatus, and the mealworms, Tenebrio molitor and Tenebrio obscurus, to a variety of external stimuli. The stimuli are analogous to those typically encountered by insects in their natural settings. The responses are immediate and easily observable in typical biology classroom settings. Students develop their observation skills and ask questions about what they have observed as they search for patterns and generalizations, develop hypotheses, and assess the quality of the data collected. The overall outcome is that students gain an appreciation for the process of science by doing science. The activities described herein are appropriate for upper elementary grades, middle school, and high school life science courses and address the National Science Standards that focus on science as inquiry, life science, and measurement.

FIGURE 1. Milkweed bugs on common milkweed plant. Both adult (far left) and immatures (right) are present. The immatures can be identified by their shorter (immature) wing structures.

FIGURE 2. The photograph shows the three developmental stages of the beetle, Tenebrio molitor. The larval stage (left), pupal stage (center), and adult stage (right). The larval stage of this insect is commonly referred to as the yellow mealworm.

As mentioned earlier, mealworms are the larvae of certain black beetles. The yellow mealworm, T. molitor, is the species usually available from commercial sources. The larvae are honey-brown in color and the adults are shiny black. As its name implies, the dark mealworm, T. obscurus, is a darker yellow-brown color and the adult is a dull black color. Initial stocks are readily obtained from biological supply houses, pet stores, and fish bait dealers. They can also be found around stored grain facilities and feed stores or anywhere there is spilled grain. The large Milkweed bugs can also be purchased from biological supply houses (see Appendix A) or collected from milkweeds.

Additional information about how to rear insects such as large Milkweed bugs and mealworms can be found from a variety of sources (see Appendix A). Because meal worms are not “true worms,” an activity to determine why mealworms are not worms, but insects, is an appropriate exercise to conduct prior to beginning the laboratory activities describe here.

Background

All animals respond to their environment with either instinctive or learned behavior. Even forms that lack a well-defined brain or nervous system have distinctive behavior patterns. In many simple animals, there is an instinctive or fixed pattern of behavior, which is referred to as taxis. Taxis is either a direct movement in response to some stimulus in the environment or a series of trial and error movements that ultimately lead the animal into appropriate conditions or favorable environments.

Two factors that influence animal behavior are physiology and external stimuli. An example of animal behavior that is closely tied to its physiology is prdation. When a predator seeks prey, its nervous system and digestive system are involved. The lack of food in the digestive system is part of the information the nervous system processes and interprets as hunger, which stimulates food- seeking behavior. External stimuli can also direct certain animal behaviors as exemplified by the wood lice (see Figure 3), also known as “roly-poly bugs” or “pill bugs.” Roly-poly bugs live best in moist conditions and tend to congregate in moist places. When their environment begins to dry, roly-poly bugs start moving until they encounter another moist area. These simple movements keep roly-poly bugs in favorable environments, ensuring their survival.

Within their own genetic capabilities and physiological demands, animals do what they can to successfully cope with their particular environments for as long as possible. In so doing, they move from place to place, seek food, avoid predators, and reproduce.

Methodology

Each activity described below, presents a research question. Students should develop a hypothesis in the form of a statement that attempts to answer the research question. At this point, it is helpful to explain the experimental design of the activities and address any questions students may have regarding collecting and analyzing the data. After the data has been collected and analyzed, ask students to draw conclusions from the results and formulate a statement of whether or not the data supports their hypothesis. In addition, after the completion of each exercise, direct them to speculate on the significance of their findings. This involves an interpretation of the data with respect to what is currently known and how it relates to the biology of insects. Their interpretations can be presented through a group discussion or in a formal paper or lab report. It is also appropriate for students to develop a presentation of their results, especially if they pursue any of the extensions of the activity described below. These presentations can be accomplished with the use of computer software such as MS Power Point (Microsoft Corporation) or construction of a poster or other graphic displays.

FIGURE 3. “Roly-poly bugs,” sometimes referred to as “pill bugs,” are shown here. These gentle arthropods are of the order Isopoda. They live under stones and in damp places.

ACTIVITY 1: INSECT RESPONSETO LIGHT AND COLOR

The purpose of this exercise is to observe insect responses to light and color. Students will determine if the insects under investigation have a preference for light or dark conditions and if they have a color preference.

Materials needed per group of 2 or 3 students:

1. Insects, 20 to 30 milkweed bugs and/or 20 to 30 mealworms per group.

2. A large (9 in. 13 in.) cake pan (aluminum or glass) or a plastic tub.

3. Two “lids,” pieces of Plexiglass or window glass, each large enough to cover the pan.

4. Cardboard to cover half of the cake pan.

5. Lamp, a goose neck desk lamp equipped with a 40 watt light bulb.

6. Colored light bulbs: white, red, yellow, green, and blue; 40 watt if available. Cellophane: clear, red, yellow, blue or green may be used as a substitute if you use white or clear light bulbs. Metal lampshades may be covered with the colored cellophane to produce different color exposures. Different colored construction paper placed underneath a clear glass pan will work as well.

Part A: Response to Bright or Dark Light Conditions

Research Question: Do the insects show a preference to certain light conditions?

Procedure:

1. Check the fit of the Plexiglass or glass “lid” to the pan. If the fit does not appear to be escape-proof, smear a layer of petroleum jelly (approximately 1.0 to 1.5 cm width) around the inside rim of the pan. (Note that decisions about who does steps 1- 3 in Part A and B will be up to your judgement, depending on the grade level and whether glass or plexiglass is used.)

2. Position the lamp, with a white colored light bulb, to illuminate the cake pan evenly from above. Record the light bulb wattage and temperature of room in the data table shown in Figure 4.

3. Place 20 to 30 insects of the same kind in the center of the pan and cover with the lid. Then immediately cover half of the lid with cardboard.

4. Observe and count the number of insects in the dim or low light area (under the cardboard) and the bright light area (uncovered) at five-minute intervals. Record the results in Figure 4.

Results

Generally the Milkweed bugs will congregate in the lighted area while mealworms prefer the dim lighted or dark areas. Students should try to expl\ain what they have observed with respect to the biology of the insects. For example, mealworms are regarded as a stored grain pest. They are typically found in and around grain elevators where light conditions are dim or there is no light at all. Large Milkweed bugs, on the other hand, are typically found on milkweed plants during daylight hours.

Variations of the Activity

Students may ask further questions that require a greater understanding of insect biology. Listed below are some questions that generally come up after working with these insects. Students can develop hypotheses to the following research questions, and then design and conduct experiments to test their hypotheses.

1. Do adult insects respond differently than immatures with respect to light conditions?

2. Do male and female adults respond differently with respect to light conditions?

3. Do male and female immatures respond differently with respect to light conditions? (Not recommended for mealworms because their sex is very difficult to determine when they are larvae; the sex of adults are much easier to distinguish.)

4. Do young immatures respond differently than older immatures with respect to light conditions?

Because these activities require a greater understanding of insect biology, it may be necessary to allow more time for students to acquire additional background information specific to Milkweed bugs and mealworms (see Appendix A). Students may elect to develop a presentation of their results or a poster for display in the classroom.

Part B: Response to Different Colors of Light

Research Question: Do the insects show a preference for color?

FIGURE 4. Data table for Activity 1A and B: Response to Light and Color. The dim light area is under the cardboard that covers half of the arena, the bright lighted or colored lighted area is the uncovered portion of the arena. Students observe insects under different light conditions and record the number of insects at each time interval. Students should be instructed to record the room temperature and the light bulb wattage.

Procedure:

1. Repeat steps 1-3 of the previous experiment using different colored light bulbs.

2. Another way to set up this experiment is to cut pieces of colored cellophane (red, yellow, blue, and green) and cover the pan lid with the different colors. Lay a colored piece of cellophane on the clear lid. Carefully place the second piece of Plexiglass/glass over the cellophane thus creating a “cellophane sandwich.”

3. Center the lamp with a white or clear light bulb over the pan. Record the light bulb wattage in Figure 4.

4. Place 20 to 30 insects of the same kind in the center of the pan and immediately cover with the “cellophane sandwich” lid, being careful to center it over the pan and under the lamp. Cover half of the pan with cardboard as previously described.

5. Observe and record the number of insects in the two areas at 5- min intervals as previously described. Record the results in Figure 4.

Results

Some of the mealworms will avoid the bright light and therefore the bright colors as well. Some of the large Milkweed bugs will congregate under the bright colors. It is not unusual to see no pattern at all with this set up. From my experience with this activity, the number of insects under any one particular color was never large enough to be significant.

Variations of the Activity

The variations described above can be applied to this activity as well. In addition, students may intuitively want to test combinations of colors (including clear or no color) rather than using the dim light or dark condition with one color. Moreover, student may want to vary the wattage of the light bulb and test if this has any effect on behavior.

FIGURE 5. Diagram of a bug trough set-up for the temperature gradient experiment. The ends of the bug trough and the top can be enclosed with plastic wrap. Holes in the top allow thermometers to be inserted, which will permit students to measure and to record a temperature gradient. (Diagram by Barb Ball)

ACTIVITY 2: INSECT RESPONSETO TEMPERATURE

The purpose of this exercise is to observe insect responses to varying temperatures (warm/hot or cold) and determine if there is a preference.

Materials needed per group of 2 or 3 students:

1.Bug trough (see Figure 5; refer to Appendix B for instructions on how to build a bug trough).

2. Plastic wrap to cover the bug trough.

3. hot plate or electric heating pad.

4. Water and ice.

5. Two large beakers (600 ml or larger). One will be used for ice water and the other for hot water as shown in Figure 5.

6. Five Celsius thermometers.

Safety Precautions: Care should be taken when using electric heating pads or hot plates. Instruct the students to keep the setting low to avoid injuring the insects or themselves and to prevent damage to the bug trough. Plastic products could melt from high temperatures attained from hot plates. Therefore, large beakers containing hot water are recommended. Never leave the bug trough unattended. Remove thermometers from the bug trough and place them in a secure location when not in use.

Research Question: Do the insects show a temperature preference?

Procedure:

1. Place one end of the bug trough on a large beaker of water heated with a hot plate or electric heating pad under it. Adjust the setting to achieve the desired temperature. Because of the variability of hot plates or heating pads, it is recommended that the instructor determine what settings work best prior to letting the students work with the equipment. Place the opposite end of the bug trough on a large beaker of ice water. (Again, who performs steps 1-3 is based on your discretion.)

2. Cover with plastic wrap and allow a temperature gradient to become established (about 10 minutes). Thermometers can be inserted through the plastic wrap to confirm and record a temperature gradient. The temperatures indicated in the table in Figure 6 are approximate and serve as a guide for establishing a range of temperatures that can be expected as a result of the bug trough set- up. Once the temperatures are recorded, thermometers should be removed from the bug trough and placed in a secure location when not in use.

3. Release 20 to 30 insects of the same kind in the center of the bug trough (cut an opening in plastic wrap).

4. Observe and count the number of insects in the cold, cool, warm, and hot areas at five-minute intervals. Record the results in Figure 6.

FIGURE 6. Data table for Activity 2: Insect Response to Temperature. Students measure and record the temperature (0C) at each described section of the bug trough (Figure 2), then place 20 to 30 insects in the middle of the bug trough and observe where the insects migrate in response to the different temperatures. At each time interval, the number of insects is recorded in the data table. The temperatures indicated are approximate and may vary from set-up to set-up.

Results

Typically, most insects will avoid cold temperatures. During the beginning of this activity, the insects may appear to move indiscriminately about the bug trough. As time passes, they will congregate to the warmer end of the bug trough.

Variations of the Activity

Design and conduct experiments to determine if:

* Adults and immatures respond differently

* Male and female adults respond differently

* Young and old immatures respond differently

* Young and old adults respond differently

As stated before, these activities require a greater understanding of insect biology and may require additional background information specific to the insects used for these activities.

Follow-Ups

The instructor can pool the class data to create a larger sampling. Students can then perform elementary statistics (mean, standard deviation, standard error) on the class data and compare the class results to their own. This enables students to assess the significance of the quality and variability in the data collection process. They will also learn the value of controls and experimental design through comparison with the results of other groups. In addition, by comparing the results of both insect types, students will be able to develop a greater appreciation for the diversity of insects and their biology.

Assessment

Instruct the students to write a formal laboratory report. The laboratory report format should include a title, an introduction section describing the background information and a logical hypothesis based on the research question, a materials and methods section, results section (including data tables and graphs of the data), and conclusions/discussion section. In addition, the use of computers and appropriate software provides a means for incorporating technology into the activity. Student can use word processing software to generate the written portion of their report and spreadsheet software to generate data tables, analysis of the data, and graphs. As mentioned before, students can develop and give presentations of their investigation to the class using MS PowerPoint software.

Because each investigation is initiated with a research question, it is reasonable to expect students to be able to develop a hypothesis that indicates their understanding of basic biological principles related to the insects under investigation. Furthermore, students can be expected to describe the experimental design and methodology as it pertains to the collection and analysis of data, and provide a clear explanation of the results. Consideration should be given to the students’ ability to critically evaluate the experimental results, accept or reject the hypothesis, support their conclusions with examples taken from the data collected, and generate inferences to explain their findings. From my experience, students discovered quite a few connections between behavior and biology including the following:

* Insects tend to avoid cold places because they are cold blooded and cannot move around as easily incold environments.

* If the temperature is cold enough to freeze the water in their bodies, the ice crystals that form will damage their cells and cause death.

* If the environment is too warm, they also risk losing too much water, and death would result as well. An example is given in the Background section with respect to the roly-poly bugs’ behavior to seek moist places.

Students are encouraged to make connections based on information they gather from doing research, and the teacher should be skilled enough to guide students in their research. The most obvious connection is the relationship between where a particular insect is found in the environment and its ability to survive there. From my experience, students realize that different insects can survive in different environments because of adaptation (natural selection).

Conclusion

Insect studies offer a broad range of instructional opportunities as well as provide students with positive learning experiences. The insects studied in this activity can be observed firsthand with few restrictions compared to vertebrate animals. Furthermore, insects are inexpensive, easy to rear, and take up little space. These insects as well as others provide teachers with excellent models to illustrate many biological processes that occur in all living organisms as well as basic principles such as ecology and behavior.

Acknowledgment

I wish to thank Barb Ball, Department of Biological Sciences Graphics Laboratory, Northern Illinois University, for her technical assistance with the graphics. Also, special thanks to Mr. James Kalisch, Department of Entomology, University of Nebraska-Lincoln for his gifts of insect photographs.

JON S. MILLER is an assistant professor of biology and directs the secondary Teacher Certification Program for biology and general science at Northern Illinois University, DeKalb, Illinois, USA. His research interests focus on signal transduction in insect cellular immunity. In addition to his duties with teacher certification, Dr. Miller works with in-service biology teachers for professional development and consultants with school district science departments for K-12 science curriculum reform.

Appendix A: Resources for Obtaining and Rearing Large Milkweed Bugs and Mealworms

Internet Resources:

* Carolina Biological: http://www.carolina.com

* Keeping and raising mealworms: http://www.icomm.ca/dragon/ mealworm.htm

* Mealworm information: httpV/insected.arizona.edu/mealinfo.htm

* Milkweed bug rearing: http://insected.arizona.edu/milkrear.htm

* Milkweed bug information: http://www.geocities.com/ brisbane_bugs/MilkweedBug.htm

Insect Biology Resources:

* Borror, D., C. Triplehorn, and F. Norman. 1989. An introduction to the study of insects (6th ed). New York: Saunders College Publishing/Harcourt Brace College Publishers.

* DaIy, H., J. Doyen, and A. Percell III. 1998. Introduction to insect biology and diversity. New York: Oxford University Press.

* Romoser, W., J. Stoffolano, and W. Brown. 1994. The science of entomology. Dubuque, IA: William C. Brown Publishers.

Appendix B: Building a Bug Trough

A bug trough (Figure 5) is a narrow trough in which one can test insect responses to stimuli such as light, odors, humidity, or temperature. It can be built of cardboard, wood, foam-core board, plastic, or metal. It should be one to four inches wide and long enough to establish a gradient of at least 75 cm. One to 1.5 meter lengths work well. Wood, foam-core board, and cardboard troughs are not very good for testing response to temperature gradients, as these materials are poor heat conductors. A metal or plastic trough works best for conduction. The trough can be fashioned from sheet metal, but it is much simpler to use a piece of gutter material (metal or vinyl) that can be purchased from a local home improvement store. Use a gutter with a flat bottom and, preferably, one with two straight sides. Vinyl gutters are smooth and slippery, making it difficult for the insects to move about. You can cover the bottom of the trough with masking tape to give the insects traction for walking or crawling.

The trough should be covered to prevent insects from “going over the wall” and to prevent air currents from disturbing the temperature or odor gradient being tested. Clear plastic wrap works well for this purpose and allows for easy observation.

Copyright HELDREF PUBLICATIONS Summer 2004

The History of the Terms Prokaryotes and Eukaryotes

In the debate among American biologists, especially Carl R. Woese, Ernst Mayr, and Lynn Margulis, whether there are two or three superkingdoms, domains, or empires of all life-forms – either only Prokarya (bacteria) and Eukarya (symbiosis-derived nucleated organisms), or Archaea, Bacteria (or Eubacteria), and Eukarya – all agree that it was the French protistologist Edouard Chatton (1883- 1947) who in the 1930’s divided life into two primary categories: prokaryotes and eukaryotes. (About Chatton’s life see four obituaries: Caullery 1947; Lwoff 1947, 1947-1948; Roubaud 1947). And all quote the same reference: “Chatton E. (1937 or 1938) Titres et Travaux Scientifiques [Titles and Scientific Works] (1906-1937). E. Sottano [the printer], Ste, France [sometimes wrongly Italy]”. However, no one recites the wording of the passage, nor gives the page of the book where the two fundamental terms are introduced.

This is namely one of the cases where most authors copy a footnote from another without having seen the original source. The book is extremely rare in public libraries, and it seems that in the USA, there is only one print copy and one microfilm copy, both in the Bioscience Library of the University of California in Berkeley. Probably, they are the only ones outside France. In the online catalogue of 22 of the largest university libraries in the UK plus the British Library (COPAC), you find only two other works of Chatton. And even in France, the Bibliothque Nationale does not possess the book nor is it to be found in the collective library catalogue of France or in the Pasteur Institute. Only an individual email inquiry brought two private (one in France, one in the USA), and four library copies to light, two in the small French sea coast places where Chatton had worked (Banyuls and Ste), and two in Paris: one in the library of the Acadmie des Sciences of which Chatton was a Correspondent, and one in the Central Library of the Musum National d’Histoire Naturelle.

The book has 407 pages. On the title page the professions of the author are stated, and the year of publication is 1937. However, after page 60, there is a second title page with the new position of Chatton which had changed in the meantime, and the year is 1938. (There are also copies only with the title page of 1938 at the beginning.) The one and only mention of the terms Eucaryote and Procaryote is on page 50. Here, for the first time, the French text and an English translation of the relevant paragraph is published:

Les protistologues s’accordent, aujourd’hui, considrer les Flagells autotrophes, comme les plus primitifs des Protozoaires noyau vrai, des Eucaryotes (ensemble qui embrasse aussi les Vgtaux et les Mtazoaires), parce qu’ils sont les seuls pouvoir faire la synthse totale de leur protoplasme partir du milieu minral. Les organismes htrotrophes sont donc subordonns leur existence, ainsi qu’ celle des Procaryotes chimiotrophes et autotrophes (Bactries nitrifiantes et sulfureuses, Cyanophyces).

The protistologists accord today to consider the autotrophic flagellates, being the most primitives of the protozoa with a true nucleus, Eucaryotes (assemblage that embraces also the plants and the metazoa [animals]) because they are the only ones capable to make the total synthesis of their protoplasm beginning from the mineral environment. The heterotrophic organisms are thus subordinated to their existence as well as to that of the chemotrophic and autotrophic Procaryotes (nitrifying and sulphurous bacteria, cyanophyceae [cyanobacteria]).

Chatton’s huge biological work was almost exclusively on protozoa. He was a specialist, not a generalist. Therefore, he probably was not aware of creating a fundamental dichotomy of the whole living world as was attributed to him in the scientific literature. Time was not yet ripe. Moreover, he had used the two terms already 12 years before.

In 1925, Chatton dedicated 81 pages of the “Annales des Sciences Naturelles: Zoologie” (Chatton 1925) to the description of an amoeboid protist he had already discovered in 1906: “Pansporella perplexa. Reflexions sur la Biologie et la Phylognie des Protozoaires”. Beginning on page 32, he tried to find the place of this protist within the systematics of protozoa. As he detected none on more than 40 pages, on page 75 he invented a special new group for Pansporella, the sporamoebas. In the whole text there is no mention of the two categories. However, on pages 76 and 77, there are “Synoptic tables [today we would call them dendrograms] of the place of Pansporella in the classification and the phylogeny of protists” (from the table of contents). And in both diagrams, the two main branches of the tree are named Procaryotes and Eucaryotes. The three twigs of the Procaryotes are Cyanophycae, Bacteriacae, and Spirochaetacae. The Eucaryotes have only protist twigs: Mastigiae (Flagellata, including chlorophyll-bearing flagellates, Rhizopoda, and Sporozoa), Ciliae, and Cnidiae. That means that at that time, Chatton did not think of plants and animals as Eucaryotes. He only considered eucaryotic protists.

Figure 1. Lieutenant of the Tunisian Infantry Edouard Chatton in 1918 with the director of the Pasteur Institute in Tunis, Charles Nicolle (1866-1936), who in 1928, received the Nobel Prize in medicine “for his work on typhus” (In 1909 he had discovered that typhus fever is transmitted by the body louse.). Chatton was associate, and for one year the deputy of Nicolle (photograph courtesy of Family Chatton).

The paper of Chatton of 1925 is so specialized that only protistologists perused it. The book of 1937/38 undoubtedly also was no reading matter for non-protozoologists, and moreover, it is so rare that it is highly improbable that it would fall into the hands of a general biologist. Thus, the expressions procaryote and eucaryote (written today with k instead of c) would still slumber undetected on these esoteric pages if there had not been another way to propagate them and to make them common knowledge.

The French Nobel prize winner Andr Lwoff (1902-1994) is famous for his research on the lysogeny of bacteriophages; however, it is not so well known that he also was a studious protistologist, and beginning in 1921, worked first as a pupil and later as a close colleague and friend of Chatton (Soyer-Gobillard 2002; Soyer- Gobillard and Schrevel 2003). Together, they co-authored 55 papers. Since 1921, Lwoff had been interested in the nutrition of protozoa, and after having published 23 papers on this subject, he summed up his work and the results of other workers in 1932 in a Monograph of the Institut Pasteur (at the same time his thesis for Sc. D.): “Recherches Biochimiques sur la Nutrition des Protozoaires” (Lwoff 1932). He began it in the Introduction on page 3 with the words (the French translated into English):

We divide with E. Chatton (1926 ) the Protists into: 1 Procaryotic Protists, without a definite nucleus and individualised mitochondria: Bacteria and affined forms. 2 Eucaryotic Protists, equipped with a nucleus and mitochondria. These are the Protozoa in the largest acceptation of the term. For the ease of the expos which follows we divide the eucaryotic protists, or Eucaryotes, arbitrarily in two groups… In the monograph the terms Eucaryotes and Procaryotes are found several times. However, Eucaryote was used only for protists, not for plants or animals.

What Lwoff did in France with protozoa, the bacteriologist Paul Fildes (1882-1971) and the biochemist Bert Cyril James Gabriel Knight (1904-1981) did in England with bacteria. They studied their nutritional requirements, since 1929 together, and from 1934 to 1939 in a “Unit for Bacterial Chemistry”, established by the Medical Research Council, in the Middlesex Hospital in London. When Knight was composing the monograph “Bacterial Nutrition” (Knight 1936), he came across the treatise of Lwoff. he got in touch with his French colleague, and in the acknowledgements of his booklet (p. 175), he thanked him “for having read the MS, and offered valuable criticisms and emendations”.

Figure 2. Edouard Chatton in the gown of professor of the University of Strasbourg (1922-1932) (photograph courtesy of Family Chatton).

On page 156 of “Bacterial Nutrition”, Knight referred to A. Lwoff (1932) and wrote: Lwoff divides the protista into: Procaryotic Protista, without nucleus and individual mitochondria: bacteria and related forms. Eucaryotic Protista, having a nucleus and mitochondria. These Eucaryotes (protozoa in the widest sense) are further subdivided by Lwoff… Thus, for Knight, it was not Chatton but Lwoff who grouped the protists into procaryotes and eucaryotes. After page 158, the two words were not mentioned anymore.

In 1938, Lwoff published a paper in French in the German “Archiv fr Protistenkunde” (the precursor of “Protist”): “Remarques sur la physiologie compare des Protistes eucaryotes” (Lwoff 1938) in which he wrote again: We divide with E. Chatton (1926) the Protists into Procaryotes and Eucaryotes…

The morphological evolution of microbes was studied since the last third of the 19th century. However, it seems that Lwoff was the first to investigate consciously their physiological evolution. An important finding of Lwoff, enunciated already in 1932 and confirmed by Knight in 1936, was that a regressive physiological evolution can lead, especially among p\arasites, to the gradual irreversible diminution or disappearance of certain biosynthetic abilities, and consequently, to new accessory essential nutritional requirements (growth factors, vitamins). In 1944, Lwoff published a book, dedicated to Chatton, about this subject: “L’volution Physiologique. tude des Pertes de Fonctions chez les Microorganismes” (The Physiological Evolution. Study of the Losses of Functions among the Microorganisms) (Lwoff 1944). And here once more he repeated on page 71 : We divide with Chatton (1926) the protists into two great groups: a) The Procaryotes,… b) The Eucaryotes…

That means the two terms were propagated in 1932 and in 1944 in the French, in 1936 in the English, and in 1938 in the German microbial literature. However, they were still restricted to protozoa and bacteria. And it seems that only one American student followed Lwoff’s use of the designations prokaryotic and eukaryotic, though only “to clarify the phytogeny of primitive organisms”, not to divide all life-forms into two superkingdoms: Ellsworth Charles Dougherty (1921-1965).

In 1957, Dougherty published an abstract “Neologisms Needed for Structures of Primitive Organisms” in the Journal of Protozoology (Dougherty 1957) in which he proposed the terms “prokaryon”, plural “prokarya”, for the moneran (bacterial) nucleus enclosing the genomic DNA not by a nuclear membrane, “eukaryon”, plural “eukarya”, for the nucleus of higher organisms bounded by a nuclear membrane and containing true chromosomes, and the corresponding adjectives “prokaryotic” and “eukaryotic”, denoting, respectively, “the condition of possessing prokarya or eukarya”. Dougherty’s prokarya and eukarya were nuclei, not what they mean today. Furthermore, Dougherty did not use the term prokaryote for the organisms possessing a prokaryon within their cells or the term eukaryote for those with a eukaryon in their cells.

After the incomprehensible indifference to Lwoff’s multiple mention of Chatton’s terms procaryote and eucaryote, we owe their general use for all organisms in today’s sense mainly to the Canadian bacteriologist Roger Yates Stanier (1916-1982) who had already in the 1940s made an unsuccessful attempt to define “The Main Outlines of Bacterial Classification” (Stanier and Van Niel 1941). The professor of the University of California in Berkeley used his sabbatical year 1960/61 for a stay at the Pasteur Institute in Paris, and there in an exchange of ideas with Lwoff in January or February 1961, he came to know the two expressions. In the Foreword of the book “The Biology of Cyanobacteria” (Stanier 1982), Stanier wrote: It was Andr Lwoff who proposed these two names [eukaryotes and prokaryotes] during a discussion that I had with him in 1961. He revived these historically appropriate names from oblivion, citing as his authority an equally obscure and rare publication from the great French protozoologist Edouard Chatton (1938).

In his autobiography (Stanier 1980), Stanier wrote: Andr Lwoff drew my attention to Chatton’s taxonomic dichotomy, printed in a rare publication… I adopted these terms with enthusiasm…

Stanier used his new knowledge in a French lecture at the French Society of Microbiology on 2 March 1961 titled “La place des Bactries dans le Monde Vivant” (The place of bacteria in the world of living) (Stanier 1961), in which he said (translated from the French): …the cell of inferior protists, bacteria and blue algae [cyanobacteria], is organized in a manner different from the cell one knows among the superior protistsp, among the plants and among the animals. A specific designation for these two types of cells has become essential, and I will adopt the terminology proposed twenty years ago by Chatton. The cell of the type, which exists among the bacteria and the blue algae, is a procaryotic cell; the cell of the type, which exists among the other organisms, is a eucaryotic cell.

Of more influence, especially in the English-speaking world, was an English paper Stanier wrote in 1962 together with his Dutch- American teacher and colleague Cornells Bernardus van Niel (1897- 1985) (Spath 1999) in a German journal, the “Archiv fr Mikrobiologie”, titled “The Concept of a Bacterium” (Stanier and Van Niel 1962): It is now clear that among organisms there are two different organizational patterns of cells, which Chatton (1937) called, with singular prescience, the eucaryotic and procaryotic type. This sentence and the following frequent use of the adjectives procaryotic and eucaryotic (cells, protists, etc.) introduced the fundamental bipartition of all living beings into the world of science for good. However, it is interesting that Stanier and van Niel did not use the nouns procaryotes and eucaryotes in their basic paper, but always spoke only of procaryotic and eucaryotic organisms (Stanier also helped in propagating “procaryotic” and “eucaryotic” – still with c – in the 2nd edition of the standard work “The Microbial World” by Stanier, Doudoroff, Adelberg 1963.). The footnote in Stanier’s French and English paper with the title of Chatton’s work, its printer, and the year of publication (1937) obviously is the source, which most authors copied without having seen the book itself.

“… the Chatton-Stanier concept of a kingdom (better, superkingdom) Prokaryota for bacteria (in the broadest sense) and a second superkingdom Eukaryota for all other organisms has been widely accepted with enthusiasm.” (Corliss 1986a).

“The work of Chatton was, with some few exceptions, devoted to the protozoa…” (Lwoff 1947-1948, p. 123). “He possessed also, allied to an almost violent and exclusive love for Protozoa, a peculiar sense which enabled him to recognize every known protozoon…” (Lwoff 1947). However, Chatton regarded himself less as a protozoologist, but primarily as a “protistologue” (protistologist). This is shown in a slip of his memory (or a deliberate act?) in his book (Chatton 1937/1938). On page 29, he wrote: “… I entered in 1907 at the Pasteur Institute into the Service of Protistology and Colonial Microbiology of Mr. F. Mesnil.” But Flix Mesnil (1869-1938) became in 1898 head of the Laboratory of Protozoology, and in 1907, also of the newly created Service de Microbiologie Coloniale (France had colonies until after the second World War with endemic infectious diseases, which were studied by the Pasteur Institutes.). In the annual reports of the Pasteur Institute of 1911 and 1912 it was called “Service de Protozoologie et de Zoologie Tropicale”.

In his book, Chatton also described his “Works of pathological protistology”, his “Works of protistology and marine zoology”, and “My works in the protistological literature”, and wrote: “During twelve annual volumes I gave analyses of French or foreign papers of protistology in the ‘Bulletin de l’Institut Pasteur'”. The French words “protozoologie” and “protozoologiste” (or “protozoologue”) are never used, only “protozoaires” (protozoa). However, it seems that the “protistologue” Chatton never defined what he understood by protists.

Probably, he agreed with Ernst Haeckel (1834-1919) who had introduced the term protist in 1866: “… we propose to sum up all those independent stocks of organisms, which cannot be ascribed with full certainty and without contradiction to the kingdoms of animals or plants, under the collective name of protists.” Footnote: “protiston, to (in Greek letters), the first of all, the primordial.” (Haeckel 1866, p. 203). Therefore, according to Haeckel, biology had three branches: A. Zoology, B. Protistology, C. Botany (Haeckel 1866, p. 21). (For a modern definition of protists, see the chapter “What is a Protist?” in Corliss 2000, pp. 131-132, and Corliss 1991.)

In 1735, the “father of taxonomy” Carolus Linnaeus (Carl von Linn 1707-1778) subdivided the Imperium Naturae (Empire of Nature) into three kingdoms: the Regnum Lapideum (Mineral Kingdom; lapideum, Latin, stony), the Regnum Vegetabile (Plant Kingdom), and the Regnum Animale (Animal Kingdom) (Linnaeus 1735). Parts of the varied history of taxonomy since then, especially concerning the search of the proper place for the microscopic living beings, and the changing number of kingdoms have been told by several authors (e.g., Corliss 1986 b, 1992, 1998; Rothschild 1989; Scamardella 1999). Here, only the most important milestones since 1938 are listed leaving out the many detours and wrong tracks, and outmoded terms like mychota or non-euphonic and unnecessary terms like protoctista.

When Chatton died on 23 April 1947, it was a little more than eight years since Herbert F. Copeland (1902-1968) had written in December 1938: “This paper proposes the recognition of certain groups of living creatures as kingdoms in addition to the two which are conventionally regarded [animals and plants]” (Copeland 1938, p. 383). Copeland (who had forerunners in the 19th century) added two kingdoms: the Monera (bacteria) and the Protista. If Chatton had come to know Copeland’s paper, he probably would have been very happy that his beloved protists were raised to the rank of a kingdom at the same level as animals and plants.

In 1959, Robert H. Whittaker (1920-1980) split off the kingdom Fungi from the kingdom Plantae, but for him, the bacteria were included in the Protista as a subkingdom (Whittaker 1959). In 1981, Thomas Cavalier-Smith (born 1942) “treated the Chromophyta and Cryptophyta as subkingdoms of a newlydefined kingdom Chromista” because “…the Chromista are so different from both the Protista and the Plantae that to lump them with either would cause great confusion” (Cavalier-Smith 1981, pp. 462, 477). Thus, he had two superkingdoms, the Prokaryota and the Eukaryota, and six kingdoms: Bacteria, Fungi, Animalia, Protista, Plantae, and Chromista.

At the time of the death of Chatton, the biological applications of the electron microscope in the US had began only a few years ago (\1940), and the double helix of 1953 and the wonders of molecular biology were still in the future. In the meantime, these revolutionary new methods to study the ultrastructure of organisms have enormously deepened our understanding of biodiversity, and changed fundamentally our conceptions also in the field of taxonomy. Because of the kingdom Protista being “immensely too heterogeneous” and “too diverse”, and because of “the arbitrariness of its boundaries” with the kingdoms Plantae, Fungi, and Animalia, in 1993 Cavalier-Smith split it into the three major kingdoms Archezoa, Protozoa, and Chromista (Cavalier-Smith 1993, p. 956). That is, he used the older and more familiar name Protozoa, rather than Protista, for the basal eukaryotic kingdom. In 1998, he reduced the Archezoa to a subkingdom of Protozoa, and thus, we now have besides the kingdom Bacteria two zoological kingdoms, Protozoa and Animalia, and three botanical kingdoms, Plantae, Fungi, and Chromista (Cavalier-Smith 1998).

“…the diversity of the protists is too great to be confined to a single kingdom and, thus, … their species require dispersal throughout all of the several kingdoms of the eukaryotic biotic world that are becoming widely recognized today.” (Corliss 1998, p. 85). Therefore, the problem was to distribute the great motley variety of more than 200,000 species of protists to the five eukaryotic kingdoms. That was done mainly by Cavalier-Smith and John O. Corliss (born 1922). Corliss specifies 35 phyla containing all known species of protists, and distributes 14 of them to the kingdom Protozoa, 11 to the kingdom Chromista, 6 to the kingdom Plantae, 2 to the kingdom Fungi, and 2 to the kingdom Animalia (Corliss 1998, 2000). The protistan megasystematics will remain in a state of flux, but if this taxonomy of Corliss is accepted, only minor modifications are to be expected in the future.

If Edouard Chatton could see the taxonomical scene of today, he might possibly be disappointed that the protists do not constitute a kingdom of nature anymore and are scattered in all other eukaryotic kingdoms; however, he probably would be consoled by the fact that his favorite field of research and life-long great love and passion, protistology, is, nevertheless, still very much alive and active. The most convincing proof is this journal which, more than half a century after Chatton’s death, is continuing to prosper. In his country the “Groupement des Protistologues de Langue Franaise” (Grouping of Protistologists of French Language), founded in 1962, is busy.

Among the huge tasks of protistology in the future is the answering of two major questions: How did eukaryogenesis, the coming- into-being of the eukaryotic cell, occur, and what protistan groups may have served as progenitors of the “higher” eukaryotic kingdoms? (Corliss 1989).

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Stanier RY, Van Niel CB (1962) The concept of a bacterium. Arch Mikrobiol 42: 17-35, p 20

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Friedrich Katscher1

Private historian of science, Mariahilfer Str. 133, A-1150 Vienna, Austria

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e-mail [email protected]

Copyright Urban & Fischer Verlag Jun 2004

The Problem With Constructivism

Abstract

This paper argues that constructivism is a needed educational reform that will succeed only when three types of readiness are in place: teacher, curricular, and societal. The failure of constructivism and other reform movements can be attributed to the fact that these three forms of readiness were never in alignment. The author contends that technological innovation may have sufficient impetus to encourage the three types of readiness. Nonetheless, reform will he truly successful only if it incorporates a constructivist philosophy of education.

Constructivism, in all of its various incarnations, is now a major educational philosophy and pedagogy. What the various interpretations of constructivism have in common is the proposition that the child is an active participant in constructing reality and not just a passive recorder of it. Constructivism thus echoes the philosophy implicit in Rousseau’s Emile (1962) in which he argued that children have their own ways of knowing and that these have to be valued and respected. It also reflects the Kantian (Kant 2002) resolution of the nature/nurture controversy. Kant argued that the mind provides the categories of knowing while experience provides the content. Piaget (1950) created the contemporary version of constructivism by demonstrating that the categories of knowing, no less than the contents of knowledge, are constructed in the course of development. Vygotsky (1978) added the importance of social context to the constructivist epistemology-a theory of knowledge and knowledge acquisition.

Constructivism in education has been approached at many different levels and from a variety of perspectives (e.g., Larochelle, Bednarz, and Garrison 1998). In this essay, I will limit the discussion to those writers who have attempted to translate constructivism into a practical pedagogy (e.g., Brooks and Brooks 1993; Fosnot 1996; Gagnon and Collay 2001; Lambert et al. 1997). Though many different models have been created and put to test, none have been satisfactorily implemented. The failure of the constructivist reform movement is yet another in the long list of ill-fated educational reform movements (Gibboney 1994).

The inability to implement constructivist reforms is particularly instructive with regard to the failures of educational reforms in general. Constructivist reforms start from an epistemology. This sets constructivism apart from those educational reforms inspired by political events (such as the curriculum reform movement spurred by the Russian launching of the Sputnik) or by social events (such as the school reforms initiated by the Civil Rights Movement) or by a political agenda (e.g., A Nation at Risk [National Commission on Excellence in Education 1983]; the No Child Left Behind initiative). That is to say, the constructivist movement is generated by genuine pedagogical concerns and motivations.

The lack of success in implementing this widely accepted educational epistemology into the schools can be attributed to what might be called failures of readiness. Consider three types of readiness: teacher readiness, curricular readiness, and societal readiness. Teacher readiness requires teachers who are child development specialists with curricular and instructional expertise. Curriculum readiness requires courses of study that have been researched as to what, when, and how the subject matter should be taught. Societal readiness requires a nation that is willing-indeed eager-to accept educational change. For a reform movement to succeed, all three forms of readiness must be in alignment.

Teacher Readiness

Those who have tried to implement a constructivist pedagogy often argue that their efforts are blocked by unsupportive teachers. They claim that some teachers are wedded to an objectivist view that knowledge has an independent existence and needs only to be transmitted. Others have difficulty understanding how to integrate the learner’s intuitive conceptions into the learning process. Still others are good at getting children actively involved in projects but are not able to translate them effectively into learning objectives. These problems are aggravated by an increasingly test- driven curriculum with little opportunity for creativity and innovation.

The problem, however, is not primarily with teachers but with teacher training. In the United States, many universities and colleges have done away with the undergraduate major in education. In Massachusetts, for example, a student with a bachelor’s degree in any field can get a provisional certification after a year of supervised internship. After five years and the attainment of a master’s degree, the candidate is eligible for permanent certification.

The demise of the undergraduate major in education can be attributed to a number of different factors that were enunciated in Tomorrow’s Schools of Education (Holmes Group 1995) written by the deans of 80 of some of the nation’s most prestigious schools of education. The report (1995, 45-46) targeted the education faculty who “ignore public schools to concentrate on theoretical research or to work with graduate students who do not intend careers as classroom teachers.” In effect, the education faculty has failed to provide the kind of research that would be useful to teachers. As the report (1995,45-46) argued, “Traditional forms of academic scholarship have a place in professional schools, but such institutions are obliged as well to learn from practice and to concern themselves with questions of applying knowledge.” These observations are supported by the facts. Few teachers read the educational research journals, and few educational researchers read the journals directed at teachers such as Educational Leadership and Young Children. This also is true for researchers in the field of child development. Much of the research on children’s cognitive, social, and emotional development is directly relevant to teaching. Yet, the educational implications of these studies are rarely, if ever, discussed in the literature.

The end result is that much of teaching as a profession has to be learned in the field. While this is true for all professions to a certain extent, it is particularly true of education. Indeed, one could make the case that teaching is, as yet, more art than profession. Professional training implies a body of knowledge and skills that are unique and that can be acquired only through a prescribed course of study. It is not clear that such a body of knowledge and skills exists for education. In fact, each educational reform movement challenges the practices currently in play. Perhaps it is because there is no agreed upon body of knowledge and skills that reform in education is so frequent and so unsuccessful. To be sure, all professions have disagreements but they all share some fundamental common ground, whether it is anatomy in medicine or legal precedence in the field of law. There is, however, no such common base in education.

Teaching will become a true profession only when we have a genuine science of education. Such a science will have to be multidisciplinary and include workers from traditional educational psychology, developmental psychology, sociology, and various subject matter disciplines. Researchers would investigate individual and group differences in learning styles in relation to the acquisition of the various tool subjects (i.e., reading, writing, arithmetic, science, and social studies) at different age levels. Teacher training would provide not only a solid grounding in child development but also would require domain specific knowledge as it applies to young people at different age levels. Teachers also would be knowledgeable about research and would have access to journals that serve both teachers and investigators.

The failure to treat education as a profession has a long history but was made patent by Flexner’s (1910) report Medical Education in the United States and Canada. That report was critical of medical education in the United States and suggested that training in medicine should be a graduate program with an undergraduate major. It also argued for the establishment of teaching hospitals as a means of practical training under supervision. Though the report was mandated by the Carnegie Foundation for the Advancement of Teaching, no comparable critique and suggestions were made for teachers and teacher training. The only innovation taken from this report was the founding of lab schools which would serve the same function as teaching hospitals at various universities. These schools, however, were more often used for research than for training. Today, only a few lab schools remain in operation.

Before any serious, effective reform in education can be introduced, we must first reinvent teacher training. At the very least, teachers should be trained as child development specialists. But teachers need much more. Particularly today, with the technological revolution in our schools, teacher training should be a graduate program. Even with that, teaching will not become a true profession unless and until we have a true science of education (Elkind 1999).

Curricular Readiness

A constructivist approach to education presupposes a thorough understanding of the curriculum to be taught. Piaget understood this very well. Much of his researc\h was aimed at shedding light on what might be called the logical substructure of the discipline. That is to say, to match the subject matter to the child’s level of developing mental abilities, you have to understand the logical demands it makes upon the child’s reasoning powers. In his research with Inhelder (1964), Piaget demonstrated that for a child to engage in the addition and multiplication of classes, relations, and numbers, children first need to attain concrete operations. Similarly, Inhelder and Piaget (1958) showed that true experimental thinking and dealing with multiple variables require the formal mental operations not attained until adolescence. Task analysis of this sort is required in all curricular domains. Only when we successfully match children’s ability levels with the demands of the task can we expect them to reconstruct the knowledge we would like them to acquire.

In addition to knowing the logical substructure of the task, we also need research regarding the timing of the introduction of various subject matters. For example, the planets often are taught at second grade. We know that children of seven or eight do not yet have a firm grasp of celestial space and time. Does teaching the planets at grade two give the child an advantage when studying astronomy at the college level? Similar questions might be asked about introducing the explorers as a social study topic in the early elementary grades. I am not arguing against the teaching of such material; I am contending that we need to know whether this is time well spent. We have little or no research on these issues.

Another type of curriculum information has to do with the sequence of topics within any particular course of study. In elementary math, is it more effective to teach coins before or after we teach units of distance and weight? Some sequences of concepts are more effective for learning than others. In most cases, we don’t have data upon which to make that kind of decision. In most public school textbooks, the order of topical instruction is determined more by tradition, or by the competition, than by research. We find this practice even at the college level. Most introductory courses begin with a chapter on the history of the discipline. Yet many students might become more engaged in the subject if the first topic was one to which they could immediately relate. Again, we have little or no research on such matters. This is true for teaching in an integrated or linear curriculum format.

The argument that there is little connection between academic research and practical applications has many exceptions. Nonetheless, as long as these remain exceptions rather than the rule, we will not move toward a true science of education.

Societal Readiness

If the majority of teachers are not ready to adopt a constructivist pedagogy, neither are educational policy makers and the larger society. To be successfully implemented, any reform pedagogy must reflect a broad and energized social consensus. John Dewey was able to get broad backing for his Progressive Education Reform thanks to World War I and the negative reaction to all things European. Up until the First World War, our educational system followed the European classical model. It was based on the doctrine of formal discipline whereby training in Greek and Latin, as well as the classics, rigorously trained the mind. In contrast, Dewey (1899) offered a uniquely American functional pedagogy. he wanted to prepare students for the demands and occupations of everyday life. There was general consensus that this was the way to go.

The launching of the Russian Sputnik in 1957 was another event that energized the nation to demand curriculum reform. Russia, it seemed, had outstripped us scientifically, and this reflected badly on our math and science education. The National Science Foundation embarked on a program of science and math curriculum reform. To this end, the foundation recruited leading figures in the fields of science and math to construct new, up-to-date curricula in these fields. These scholars knew their discipline but, for the most part, they did not know children. The new curricula, which included variable-base arithmetic and teaching the principles of the discipline, were inappropriate for children. When these curricula failed, a new consensus emerged to advocate the need to go “back to basics.” The resulting teacher-made curricula dominated education prior to the entrance of the academicians. While “back to basics” was touted as a “get tough” movement, it was actually a “get easier” movement because it reintroduced more age-appropriate material.

Many of the educational reforms of any category have not had much success since that time. Though A Nation at Risk (NCEE 1983) created a number of reforms, the report itself did not energize the nation, and there was not sufficient motivation to bring about real change. In large part, I believe that this was because there was no national consciousness of a felt need for change. The current educational movement, No Child Left Behind, was introduced for political rather than pedagogical reasons. This legislation was avowedly for the purpose of improving student achievement and changing the culture of American schools. These aims are to be achieved by requiring the states to test all children every year from grades three through eight. Schools that do not meet statewide or national standards may be closed or parents given an opportunity to send their children to other schools.

This is an ill-conceived program based on a business model that regards education as akin to a factory turning out products. Obviously, children are not containers to be filled up to a certain amount at each grade level. The program forces schools to focus on tests to the exclusion of what is really important in the educational process. Testing is expensive and depletes already scarce educational resources. Students are being coached to do well on the tests without regard to their true knowledge and understanding. The policy is corrupt in that it encourages schools to cheat. The negative results of this policy already are being felt. A number of states are choosing to opt out of the program. The No Child Left Behind legislation is a good example of bad policy promoted for political gain that is not in the best interests of children.

Other than a national crisis, there is another way for social consensus to bring about educational reform. In Kuhn’s (1996) innovative book on scientific revolutions, he made the point that such revolutions do not come about by the gradual accretion of knowledge. Rather they come about as a result of conflicts between opposing points of view with one eventually winning out over the other. Evolution, for example, is still fighting a rearguard action against those who believe in the biblical account of the origin of man. In education, the long-running battle between nature and nurture (read development and learning) is not likely to be resolved soon by a higher order synthesis.

An alternative view was offered by Galison (1997), who argued that the history of science is one of tools rather than ideas. he used the history of particle physics as an example. The tools of particle physics are optical-like cloud chambers and electronic- like photographic emulsions that display particle interactions by way of images. One could make equal claims for the history of biology and astronomy. As both Kuhn and Galison acknowledged, scientific progress can come about by conflict or the introduction of new technologies.

Education seems likely to be changed by new tools rather than conflicting ideas. Computers are changing education’s successive phases. In the first phase, computers simply replaced typewriters and calculators. In the second phase, computers began to change the ways in which we teach. The widespread use of e-mail, Blackboard, PowerPoint, and simulations are examples. And there is an active and growing field of computer education with its own journals and conferences (e.g., Advancement of Computer Education and Association for the Advancement of Computing in Education). The third phase already has begun, and we are now seeing changes in math and science curricula as a direct result of the availability of technology. Education is one of the last social institutions to be changed by technology, but its time has come.

Conclusion

In this paper, I have used the failure of the constructivist reform movement to illustrate what I believe is necessary for any true educational innovation to succeed. There must be teacher, curricular, and societal readiness for any educational innovation to be accepted and put into practice. In the past, reforms were generated by one or the other form of readiness, but without the support of the others. I believe that technology will change this. It is my sense that it will move us toward making teaching a true profession, the establishment of a multidisciplinary science of education, and a society ready and eager to embrace a technologically based education.

Education is, however, more than technology. It is, at its heart, people dealing with people. That is why any successful educational reform must build upon a human philosophy that makes clear its aims and objectives. Technology without a philosophy of education is mechanical, and a philosophy without an appropriate technology will be ineffective. Technology is forcing educational reform, but we need to harness it to the best philosophy of education we have available. I believe this to be constructivism. The current failure to implement constructivism is not because of its merits but because of a lack of readiness for it. We need to make every effort to ensure that the technological revolution in education creates the kinds of teachers, curricula, and social climate that will make constructivism a reality in our classrooms.\Only when we successfully match children’s ability levels with the demands of the task can we expect them to reconstruct the knowledge we would like them to acquire.

To be successfully implemented, any reform pedagogy must reflect a broad and energized social consensus.

References

Brooks, J. Gv and M. G. Brooks. 1993. In search of understanding: The case for constructivist classrooms. Alexandria, Va.: Association for Supervision and Curriculum Development.

Dewey, J. 1899. The school and society. Chicago: University of Chicago Press.

Elkind, D. 1999. Educational research and the science of education. Educational Psychology 11(3): 171-87.

Flexner, A. 1910. Medical education in the United States and Canada. New York: Carnegie Foundation for the Advancement of Teaching.

Fosnot, C. T. 1996. Constructivism: Theory, perspectives, and practice. New York: Teachers College Press.

Gagnon, G. W. J., and M. Collay. 2001. Designing for learning: Six elements in constructivist classrooms. Thousand Oaks, Calif.: Corwin Press.

Galison, P. L. 1997. Image and logic: A material culture ofmicrophysics. Chicago: University of Chicago Press.

Gibboney, R. A. 1994. The stone trumpet: A story of practical school reform. Albany, N.Y: State University of New York Press.

Holmes Group. 1995. Tomorrow’s schools of education. Ann Arbor: University of Michigan.

Inhelder, B., and J. Piaget. 1958. The growth of logical thinking from childhood to adolescence: An essay on the construction of formal operational structures, trans. A. Parsons and S. Milgram. New York: Basic Books.

Inhelder, B., and J. Piaget. 1964. The early growth of logic in the child, classification and seriation, trans. E. A. Lunzer and D. Papert. New York: Harper and Row.

Kant, I. 2002. Immanuel Kant: Theoretical philosophy after 1781, trans. G. Hatfield and M. Friedman. New York: Cambridge University Press.

Kuhn, T. S. 1996. The structure of scientific revolutions, 3rd ed. Chicago: University of Chicago Press.

Lambert, L., M. Collay, M. Dietz, K. Kent, and A. E. Kichert. 1997. Who will save our schools? Teachers as constructivist leaders. Thousand Oaks, Calif.: Corwin Press.

Larochelle, M., N. Bednarz, and J. Garrison. 1998. Constructivism and education. Cambridge, England: Cambridge University Press.

National Commission on Excellence in Education. 1983. A nation at risk: The imperative for educational reform. Washington, D.C.: U.S. Government Printing Office.

Piaget, J. 1950. The psychology of intelligence, trans. M. Piercy and D. E. Berlyne. London: Routledge and Paul.

Rousseau, J. J. 1962. Emile, trans. W. Boyd. New York: Teachers College Press.

Vygotsky, L. S. 1978. Mind in society: The development of higher psychological processes, ed. M. Cole. Cambridge, Mass.: Harvard University Press.

David Elkind is Professor of Child Development at Tufts University. His research is in the area of cognitive, perceptual, and social development where he has attempted to build upon the research and theory of Jean Piaget. Professor Elkind is currently working on the role of play in the healthy development of children.

Copyright Kappa Delta Pi Summer 2004

Armstrong, Simeoni Clash at Tour De France

LONS-LE-SAUNIER, France – When Lance Armstrong lays down the law in the Tour de France, others riders sometimes have no choice but to obey. Filippo Simeoni, who is involved in a legal battle with the five-time champion, tried to speed ahead of the pack Friday on the Tour’s 18th stage. Armstrong’s reaction was unequivocal: No way.

Even though Simeoni is way down in the overall standings and cannot threaten Armstrong’s march to a record sixth Tour victory, the Texan chased after him.

Their animosity stems from Simeoni’s testimony against sports doctor Michele Ferrari, with whom Armstrong has ties. Ferrari faces allegations of providing performance enhancers to riders and in 2002, Simeoni told an Italian court that Ferrari advised him to take drugs. Ferrari has testified that he never prescribed or administered banned substances.

The result at this Tour is bad blood between Armstrong and Simeoni.

“All he wants to do is destroy cycling and destroy the sport that pays him, and that’s wrong,” the Texan said after his extraordinary move to rein in Simeoni.

The Italian was trying to catch a group of six riders who, in an effort to win, pulled away from the main pack early in the stage through eastern France.

Armstrong went tearing after him. When he and Simeoni caught the escape group, the riders there told Simeoni he was not welcome. They knew that their chances of winning the stage were nil if Armstrong stayed with them. Simeoni eventually demurred, breaking off his attack and returning to the main pack – with Armstrong.

“Armstrong demonstrated to the entire world what type of person he is,” Simeoni said. “It is not reasonable that a great champion doesn’t give a chance to a small rider like me and the others. … I suffered an injustice from him while everyone was watching.”

Juan Miguel Mercado, who was part of the escape group Simeoni wanted to join, went on to win, beating fellow Spaniard Vicente Garcia Acosta in a sprint at the finish at Lons-Le-Saunier.

The stage win was 26-year-old Mercado’s first in two Tours. He finished 36th last year.

He completed the 103.2 miles in 4 hours, 4 minutes, 3 seconds.

“It’s a fantastic day,” he said. “I had the good fortune of being in the right escape.”

Simeoni could only rue what might have been.

“I felt very, very good and I made a great move to get to the front,” he said. But he added: “When I understood that Armstrong would stay there because I was there, out of respect for the other riders I sat up and went back.”

That Armstrong felt the need to spike Simeoni’s effort showed both the depth of his anger at the Italian and that he is feeling so confident about a sixth Tour victory that he can afford to take his mind off the race momentarily.

Armstrong said other riders congratulated him when he brought Simeoni back to the main pack.

“Everybody understood that this is their job and they absolutely love it and they’re committed to it and they don’t want somebody within their sport destroying it,” he said. “He’s not a rider who thinks about other riders and the group in general. So … when I came back I had a lot of riders patting me on the back and saying ‘Thank you.'”

After his three wins in three days in the Alps, Armstrong and the rivals he outclassed were in no mood to race Friday. Because none of the riders in Mercado’s group ranked highly in the overall standings, they let them get away, rolling in as a giant bunch 11 minutes and 29 seconds after the winner.

“It was a pretty relaxed day,” Armstrong said.

His overall lead on Italian Ivan Basso remained unchanged at 4:09 – more than enough to see him through to the finish in Paris. He will carry that advantage into the last big challenge of this Tour – a time trial Saturday in Besancon, where Armstrong is again a favorite to win.

The next day, barring a major disaster, Armstrong will become the first six-time winner of the 101-year-old race. And the bad news for his rivals is that he’s not done yet.

He said he will race another Tour, although maybe not next year. He is eager to try other events, including Classic races that are an important part of cycling tradition and which “require a different type of focus.”

Armstrong has faced criticism within cycling for focusing too heavily on the Tour and ignores other events.

“It’s a special race. It’s everything. You can’t have this intensity in any other event,” he said. “I’ll do it again before I stop.”

In a newspaper interview earlier in the Tour, Simeoni defended his testimony against Ferrari and said that Armstrong was giving him the cold shoulder. He also said Armstrong has called him a liar and because of that, he is suing him for libel.

“In the morning I look for him, I ride up to him, but he is cold, detached. He acts as if I don’t exist,” Simeoni told the French sports daily L’Equipe.

Sebastien Joly, a French rider who was in the escape group, said they asked Simeoni to leave them.

“When he let go, Lance had the kindness to do the same thing,” he said. “I think it was a reaction of pride on Armstrong’s part.”

“It was bizarre, really strange,” Mercado added.

Study Shows Oceans Absorb Carbon Dioxide Excess

By RANDOLPH E. SCHMID

WASHINGTON (AP) — Nearly half the excess carbon dioxide spilled into the air by humans over the past two centuries has been taken up by the ocean, a study says. If that continues, it could damage the ability of many ocean creatures to make their shells, says an accompanying report.

Carbon dioxide, produced by burning fossil fuels and other industrial processes, is one of the most important “greenhouse” gasses that many scientists fear may be causing global warming by trapping heat in the Earth’s atmosphere.

The atmosphere currently includes about 380 parts per million of carbon dioxide, up from 280 parts per million in 1800, according to scientists.

But that accounts for only about half the CO2 released into the air in that period, causing researchers to speculate about what had happened to the rest.

A team led by Christopher L. Sabine of the National Oceanic and Atmospheric Administration, reports in Friday’s issue of the journal Science that the missing gas is dissolved in the ocean.

“The ocean has removed 48 percent of the CO2 we have released to the atmosphere from burning fossil fuels and cement manufacturing,” Sabine said after reviewing data gathered between 1989 and 1998 from three major studies of the Atlantic, Pacific and Indian oceans. The studies collected more than 72,000 ocean samples.

Overall, Sabine said, between 1800 and 1994 the oceans absorbed 118 billion metric tons of carbon that had been released into the air. A metric ton is 2,205 pounds, indicating that during that period carbon dissolved in the oceans about equaled the weight of 118 billion small cars.

While some researchers have raised the possibility that increasing forests and other plants could take up CO2, that appears not to have been the case until recent years.

Over the past two centuries, land plants appear to have contributed CO2 to the air as forests were cut for farming, Sabine said. Only in the last few decades, as reforestation has gotten under way, has that been reversed with plants taking in more carbon dioxide than they release.

Taro Takahashi of Columbia University’s Lamont-Daugherty Earth Observatory notes in an accompanying commentary in Science that over time, the amount of CO2 taken up by plants has been nearly balanced by CO2 released by changes in land use patterns.

The oceans could continue absorbing the gas for centuries, Sabine said, because ocean waters mix slowly and most of the CO2 is in near-surface water.

An accompanying study by Richard A. Feely, also of NOAA’s Pacific Marine Environmental Laboratory in Seattle, notes that dissolving CO2 in water forms an acid and that process can affect ocean life.

Feely and his research team found in laboratory tests that the water near the ocean surface with added CO2 can cause shells of marine animals, including corals, snails and plankton, to dissolve.

Carbon dioxide levels that may occur in the seas by the end of the century could reduce the amount of calcium in shells by 25 percent to 45 percent, the researchers said.

That process hasn’t yet been studied in the oceans, he noted, but the lab findings indicate a need for concern.

The increasing CO2 could “compromise the fitness or the success” of these animals, said Victoria J. Fabry of California State University at San Marcos.

That might mean a change in the structure of the food chain, she said, but not enough is known about the effects yet to say what that change would be.

Data for the ocean CO2 study was collected in three research efforts: the National Science Foundation-led World Ocean Circulation Experiment, the Joint Global Ocean Flux Study, and NOAA’s Ocean-Atmosphere Carbon Exchange Study. The data from these studies were analyzed for the two papers, by Sabine and Feely.

Sabine and Feely worked together on the studies and each is listed as a co-author on the paper led by the other. Other researchers on their teams came from the United States, South Korea, Australia, Canada, Japan, Spain and Germany.

Funding for the studies came from NOAA, National Science Foundation, Department of Energy and Pohang University of Science and Technology in South Korea.

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Uganda’s High Population Growth Causes Economic Problems: Minister

Uganda’s high population growth causes economic problems: minister

KAMPALA, July 11 (Xinhua) — Ugandan Minister of Finance, Planning and Economic Development Gerald Ssendaula said on Sunday that high population growth will have an impact on the country’s resources and cause economic problems.

The minister made the remarks in his statement to mark the World Population Day which falls on July 11.

Ssendaula said that “we need to plan for our rapidly increasing population, currently at a growth rate of 3.4 percent per annum with a fertility rate of 6.9 children per woman.”

“This population growth rate is the highest in the region. If this trend continues unchecked, our population will double in just 20 years from now,” the minister warned.

He reminded his countrymen that “results of the 1991 census showed that Uganda had a total population of 16.7 million people,” adding that “this rapidly rose to 24.7 million in 2002 census. Today, Uganda’s population stands at 26.6 million people.”

“This means that there has been an increase of 10 million people in a space of only 13 years. This rapid increase has serious and disastrous implications for the provision of services and infrastructure especially in the fields of health, education, land for food production, among others,” the minister said.

He stressed that “our ability to maintain or even improve such services and infrastructure is going to be that much more difficult and is likely to strain our national poverty eradication efforts.”

This year’s World Population Day marks the mid-point of the 20- year Cairo Program of Action. Some 11,000 participants from over 180 states and various agencies and organizations attended the 1994 International Conference on Population and Development (ICPD) in Cairo.

The ICPD passed a 20-year action plan on issues of population and development, with three major thematic goals: reduction of infant, child and maternal mortality; provision of universal access to education particularly for girls; and provision of universal access to a full range of reproductive health care and family planning services.

North Korean Leader Claims He Invented Hamburgers

North Korean leader Kim Jong Il has introduced hamburgers to his reclusive, communist country in a campaign to provide “quality” food to university students, media reported Wednesday.

The hamburgers were introduced in 2000 and dubbed “gogigyeopbbang,” Korean for “double bread with meat,” according to the June 29 edition of the North Korean state-run newspaper Minju Joson. The report was carried by South Korea’s Yonhap news agency on Wednesday.

Although reports from the isolated country have in recent years mentioned the introduction of the American fast food classic, the latest announcement seems to credit the country’s leader for their advent.

The news marks a curious development for North Korea, where U.S. consumerism is routinely reviled in the official media and people refer to the soft drink Coca Cola as the “cesspool water of American capitalism.”

Wednesday’s report cites leader Kim Jong Il as saying at the time of the hamburger’s introduction: “I’ve made up my mind to feed quality bread and french fries to university students, professors and researchers even if we are in (economic) hardship.”

The government then built a hamburger plant and Kim Jong Il ordered officials to pay close attention to modernizing mass production, the report was quoted as saying by Yonhap.

Hamburgers from the factory were first provided only to students at the elite Kim Il Sung University in Pyongyang, but were later provided to other schools, the daily said.

Hamburgers are now familiar to many North Koreans, it added.

 

 

Five States Have More Sunshine Than Florida

FORT LAUDERDALE, Fla. (AP) — The license plates proclaim Florida the Sunshine State, but the National Weather Service says five other states catch more rays.

Arizona is No. 1, followed by California, Nevada, New Mexico and Texas, according to the weather service, which monitors about 265 weather stations nationwide.

“We ought to call ourselves the Partly Cloudy State instead of the Sunshine State,” Miami-based meteorologist Jim Lushine said. “But it probably wouldn’t get the Chamber of Commerce’s vote.”

Florida has more days where between 20 to 70 percent of the sun is blocked by clouds than anywhere else in the continental United States, weather officials said. Weather experts said warm water surrounding the state, high humidity and a long rainy season make for cloudy skies.

Apalachicola, the sunniest spot in Florida, sees an average of 128 clear sunny days per year and Miami has 74. For comparison, Yuma, Ariz., has 242.

The Miami-Fort Lauderdale area averages 175 partly cloudy days per year and West Palm Beach, 159. Outside of Florida, the closest partly cloudy skies contender is Denver, with an average of 130.

But Florida still gets its fare share of sun. Key West sees sun an average 76 percent of its available daylight hours – the most in the state – followed by Miami with 70 percent.

Those cities still trail Yuma, which sees 90 percent sun; Redding, Calif., 88 percent; and Reno, Nev., 85 percent.

No need to get glum though – South Florida is consistently warmer than anywhere else in the continental United States, weather officials said.

Over the course of a year, Key West has a mean temperature of 78.1 degrees, Miami, 76.7 and West Palm Beach, 75.3.

Outside of Florida, the only places that come close are Yuma, with 75.3 degrees, and Brownsville, Texas, 73.3, the weather service said. Most of the nation hovers between the 50s and 60s.

Florida’s sunshine is also strong, because the state is in the subtropics. Rays arrive at a steep angle, bringing a high degree of ultraviolet radiation.

“It may not be sunny all the time in Florida,” Lushine said. “But what sun we do get is very intense.”

That could be a factor in Florida’s high rate of skin cancer. It ranks in the top five nationally, according to the Centers for Disease Control and Prevention.

Intense sunlight can also make people look older than their age, said Dr. Heather Woolery-Lloyd, a dermatologist.

“It’s a general belief that about 80 percent of our aging process is due to sun exposure and 20 percent is due to genetic factors,” she said. “I can tell where my patients grew up, Michigan or Miami, just by looking at their skin.”

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On the Net:

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Sci-Fi Synergy ; Paul Allen’s New Science Fiction Museum and Hall of Fame Aims to Inspire Interest in Reading, Science and Technology

Walk into Seattle’s new Science Fiction Museum and Hall of Fame, and you’ll see E.T. the alien, in the (fake) flesh, the creature that became Elliott’s best friend in the 1982 movie.

Next to him is Capt. Kirk’s chair from the original “Star Trek” television series, along with a couple of Starfleet uniforms. Downstairs, there’s the 18-foot alien queen from “Aliens,” and the loader Sigourney Weaver’s character used to fight her. Hanging from the ceiling in another room is a spinner car from “Blade Runner.”

It’s enough to frustrate a science-fiction fan, particularly because of the glass walls that keep visitors from touching anything.

But it’s also a demonstration of the conundrum of a museum dedicated to literature. Some of the most intriguing concepts in science fiction have never been made into movies, so there are no props to show off.

For example, a copy of Larry Niven’s book “Ringworld” hanging on the wall never will have the impact of the double-jawed alien queen. “Ringworld,” which was never made into a movie, is about a man- made, ring-shaped planet that encircles a sun – an amazing work of science-based imagination.

Science fiction about complex issues can be tough to make into movies or display in a gallery, too. How would one portray Robert Heinlein’s “Stranger in a Strange Land”?

However, the museum’s founder, Paul Allen, and his impressive board of directors have collected just about everything they could to make science fiction a visual, visceral experience.

Walk into a basement gallery called “Fantastic Voyages,” and you’ll feel like you’re standing deep in the hold of a spaceship. A low rumble sounds like engines, and the floor gently vibrates. A window seems to look out on an active spaceport, with ships from sci- fi books and movies zooming about.

The museum’s mission is to inspire children and adults, said museum director Donna Shirley, an engineer who retired in 1998 as manager of the Jet Propulsion Laboratory’s Mars Exploration Project. She led the team that built the Sojourner Mars Rover, which landed on Mars in 1997.

“Our purpose is really to get them interested in reading, to get them interested in science, to get them interested in technology,” she said. “We want to replicate the ‘Harry Potter’ phenomenon.”

(J.K. Rowling’s books about Harry Potter inspired an enormous surge in children’s reading.)

The Science Fiction Museum is housed in a section of the Experience Music Project, the undulating, chrome-and-colored building at Seattle Center. The museum uses space once occupied by a gallery called “The Artists’ Journey” and a ride called “Funk Blast.” The exhibit was too expensive to maintain, Shirley said, and was shut down a couple of years ago.

Allen, Microsoft’s co-founder and one of the world’s richest men, is a longtime science-fiction collector. He considered using the EMP space to display his collection but decided to make it a museum. He donated $20 million to start it up.

Shirley and others say it’s the only full-blown, multimedia science-fiction museum in the United States and one of few in the world. It will house the Science Fiction Hall of Fame, now based in Kansas City. Authors who have been inducted are represented by elegant Lexan bricks engraved with their likenesses, plus interviews playing on screens throughout the museum.

Aside from the immaculate Hall of Fame, the museum is styled to emulate “Wreck Tech,” a trend in science fiction since 1977, when the broken-down, filthy Millennium Falcon debuted in “Star Wars.” Since then, spaceships and space stations, from the Nostromo in “Alien” to Star Trek’s “Deep Space Nine” have been battered, well- used creations.

Hallways in the museum are dark, unadorned; exhibits often look chipped or damaged.

Science-fiction fans from every generation should find something to coo over, from author Harlan Ellison’s typewriter to an elaborate sci-fi convention costume. In an armory, Barbarella’s crossbow hangs next to an “atomic disintegrator toy” from 1954, and nearby is a Klingon Bat’leth weapon smeared with fake blood from “Star Trek: The Next Generation.”

In a hallway in the “Fantastic Voyages” gallery, a replica of Robby the Robot argues gently with “The Robot” from “Lost in Space” (yes, the robot that said “Danger, Will Robinson!”) as replicas of robots from “Terminator 2,””RoboCop,””Star Wars” and a cylon from “Battlestar Galactica” wait nearby.

“You should recognize things from your youth, as well as from adulthood,” said Greg Bear, a Lynnwood science-fiction author who is chairman of the museum’s advisory board. “You see how much science fiction has permeated our culture. Science fiction has always been political, looking toward the future, looking toward change, anticipating change, criticizing change.”

The museum isn’t all movie memorabilia. Exhibits in the museum address science fiction that became science reality, such as cloning, and the exploration of Mars – Shirley’s favorite topic. She donated her half-sized model of the Sojourner and her Martian meteorite to the exhibit.

And science fiction often paralleled issues in society. Exhibits showcase books about people being taken over, such as “Invasion of the Body Snatchers” and “The Puppet Masters,” which were popular when the United States was gripped by fear of communism. Ursula K. Le Guin’s complex novels reflected the tumult of the Vietnam era.

Probably the most fun in the museum, though, are three view stations where futuristic science fiction comes to life.

At the spaceport window, spaceships fly by in, seemingly, three dimensions. There’s the Nostromo, and behind it Rama from Arthur C. Clarke’s “Rendezvous with Rama.” An X-wing fighter and TIE fighter from “Star Wars” zip past. The entire city of New York, encased in a dome, lifts off, a concept from James Blish’s book “Cities in Flight.”

Touch-screen monitorslet you pick any of the ships to learn more about them.

Around the corner, another enormous window shows a dark cityscape. Then a car floats by, spotlighting a man sleeping on a rooftop. It’s a scene out of “Blade Runner,” the influential 1982 movie. The view soon changes to “The Matrix,” and later, “The Jetsons.” They’re three views of future society – one a bit more lighthearted than the others.

And a small display in a corner has one of the most intriguing stops in the museum. A touch screen allows visitors to pick one of six planets from science fiction, including Arrakis from “Dune,” the living planet of “Solaris” by Stanislaw Lem and Hoth from “Star Wars.” A globe hanging above morphs into the planet the visitor has picked, and a voice explains its history and economy – as if we humans have been there, explored it and visit regularly.

Sci-fi fans should be pleased.

Shirley and Bear both said members of their advisory board, including Sir Arthur C. Clarke and other distinguished authors, rushed to answer their questions.

“It’s kind of a homecoming for a lot of important people,” Bear said.

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Lisa Kremer: 253-597-8658

[email protected]

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If you go

What: Science Fiction Museum and Hall of Fame

Where: At the Experience Music Project, 325 Fifth Ave. N., Seattle

When: Opens Friday. Ticket reservations required for opening day. Free opening ceremony at 10 a.m.; guests in costume encouraged. Also on opening day, at 11 a.m. National Public Radio’s “Science Friday” will be broadcast from the museum. At 1 p.m. authors Greg Bear, Octavia Butler, Gregory Benford, David Brin and artist Michael Whelan will sign autographs, and at 7 p.m. physicist Lawrence Krauss will talk about physics in “Star Trek.”

Hours: 10 a.m.-8 p.m. daily (hours may change in the fall)

Tickets: $12.95 adults; $8.95 seniors and youth 7-17; free for children 6 and younger. Tickets to both EMP and the Science Fiction Museum are $26.95 for adults and $19.96 for seniors and youth.

Reservations: 1-877-SCI-FICT or 206-724-3428

Information: www.sfhomeworld.org

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What you’ll see

Some figures about the new Science Fiction Museum and Hall of Fame

Size: 13,000 square feet

Cost: $20 million, contributed by Paul Allen

Advisory board: Includes authors Greg Bear, Ray Bradbury, Arthur C. Clarke, Octavia Butler, Neal Stephenson, Jane Yolen, Orson Scott Card, Harlan Ellison and directors James Cameron, George Lucas and Steven Spielberg

Artifacts: Include Klaatu’s spaceship from “The Day the Earth Stood Still,” a skateboard from “Back to the Future,” a glass-domed forest from “Silent Running,” a stillsuit and sandworm hook from “Dune,” first-edition copies of Isaac Asimov’s “Foundation” trilogy and many other rare science-fiction books, and original sci-fi paintings by Chesley Bonestell, Michael Whelan and others

Cocaine ‘Godmother’ Released From Prison

MIAMI – A 61-year-old woman known as “The Godmother” whom police said ran a ruthless cocaine empire in the 1980s was released from prison and set to be deported to Colombia.

Griselda Blanco was in custody of the U.S. Bureau of Immigration and Customs Enforcement on Sunday as U.S. and Colombian officials arranged her travel, bureau spokeswoman Barbara Gonzalez said. Gonzalez said she could not comment on when Blanco would be deported, citing security procedures.

Blanco was turned over to federal immigration officials Wednesday by Florida corrections officers.

Blanco had been serving three concurrent 20-year sentences after pleading no contest in 1998 to second-degree murder charges. Authorities said Blanco arranged three contract killings in 1982 that took the lives of toddler Johnny Castro, 2, and drug dealers Alfredo and Grizel Lorenzo.

The child died when bullets meant for his father, Jesus Castro, hit the boy instead, police said.

Blanco already had been serving prison time for cocaine trafficking when she entered her plea in the killings. She only had to serve about one-third of the sentence because of guidelines in effect at the time of the shootings.

Blanco, who was known for her love of shopping and beauty salons, is described by authorities as a charter member of the “cocaine cowboys” who engaged in drug trafficking, contract killings and gangland shootouts in the 1980s.

“If she owed you money she’d kill ya, and if you owed her money she’d kill ya,” said Nelson Andreu, a retired Miami police homicide detective who investigated Blanco.

Blanco was reportedly a fan of the film “The Godfather,” naming one of her sons Michael Corleone, apparently after the character played by Al Pacino in the film.

Nathan Diamond, Blanco’s defense attorney, declined to say where she planned to go after returning to Colombia, but said she had been in communication with family members.

“There are no charges pending against her there, so certainly she would be free to live her life in Colombia,” Diamond told The Miami Herald.

Andreu said three of Blanco’s four sons went back to Colombia after serving U.S. prison sentences and were assassinated.

“She could be in the cocaine business by Tuesday, she could be dead by Tuesday,” agent Joe Kilmer of the U.S. Drug Enforcement Administration’s Miami office said.

“When you live by the sword, you die by the sword. She’s one of the most ruthless people we ever encountered in South Florida,” Kilmer said.

Information from: The Miami Herald, http://www.herald.com

Discovery Puts South America, Africa Together Longer

A pair of dinosaur discoveries is shaking up scientific understanding of when South America and Africa split into separate continents.

The discovery of one African dinosaur fossil in particular indicates that a land bridge may have connected the continents 95 million years ago, 25 millions years after they were thought to have parted.

Found in the Sahara desert and dubbed Rugops (Roo-gops) primus, meaning ”first wrinkle face,” the 30-foot-long carnivore resembles similar fossils found in India and South America.

Earth’s continents regularly drift apart and pull together in roughly 600-million-year intervals, a phenomenon known as plate tectonics. The Asian and South American continents, once joined, were slowly drifting apart during the age of the dinosaurs, which ended 65 million years ago.

Scientists have long believed that the continents of Africa and South America split apart for good 120 million years ago. But Rugops’ existence in Africa years later indicates that the continent was still connected in some way to South America, says University of Chicago paleontologist Paul Sereno, a National Geographic explorer-in-residence who led the discovery team.

”One mystery had been how southern dinosaurs got across separated continents. There’s clear evidence of dispersal, which suggests a land bridge,” Sereno says.

Rugops had a short, round snout and small, delicate teeth, typical of carnivorous dinosaurs called abelisaurids. Sereno says the creature likely scavenged the kills of other carnivores or simply beat them to herbivore remains, given its skull’s shape. Other predators had thicker skulls and longer, slashing teeth, suggesting Rugops played a different role in the ancient world.

The team also uncovered fossils of a second dinosaur species, named Spinostropheus (Spine-o-stro-phee-us) gautieri, also an abelisaurid dinosaur. They emerged in Niger in 135-million-year-old rocks. Both finds are described in today’s Proceedings of the Royal Society of London, Biological Sciences journal.

Paleontologist Thomas Holtz Jr. of the University of Maryland in College Park says dinosaur scientists and geologists will be interested in what the fossils show about how the ancient continents split and how the abelisaurids related to one another across continents.

Fossil traces of Spinostropheus had been discovered over the last few decades, but Sereno’s team first recognized the new species.

An oddity of Rugops is that its skull was probably covered in a tough layer of keratin, the material in fingernails and bird beaks.

Sereno and other paleontologists have suggested that many dinosaurs — like triceratops, the wickedly horned herbivore found in every grade-schooler’s dinosaur diorama — may also have been armored in keratin, rather than the reptilian scales long considered standard for these oversized creatures. The shell, like a vulture’s beak, probably helped Rugops rip at carrion, Sereno says.

Visitors to Chicago’s Garfield Park Conservatory can see the fossils as part of an exhibition of African dinosaurs until Sept. 6.

Program Theory: A Framework for Theory-Driven Programming and Evaluation

The recent publication of Therapeutic Recreation practice models has strengthened the conceptual basis for TR practice. The critiques of these models argued for greater specificity of the model tenets and greater clarification of their applicability to professional practice. Therefore, an important next step is to advance knowledge of how these models can be used to develop theory-based programming. Program theory is presented as a conceptual framework and method for developing theory-based practice. Using the Self-Determination and Enjoyment Enhancement (SDEE) model (Dattilo, Kleiber, & Williams, 1998), the process of constructing a program theory is reviewed, a conceptual example is provided, and the implications for program evaluation are discussed.

KEY WORDS: Program. Theory, Therapeutic Recreation Practice Models, Program Theory Evaluation

Practitioners within the field of therapeutic recreation (TR) have long been expected to demonstrate the efficacy of their programs. Increasingly, practitioners in a wide range of human service and community based programs (e.g., after-school programming, health promotion and prevention, social services, youth development) are also expected to provide empirical evidence that their programs work (Easterling, 2000; Shalock & Bonham, 2003). Evidence of program efficacy is usually achieved through impact evaluation studies that examine whether or not desired outcomes occur. While these impact studies often do provide empirical evidence of outcomes they often do not adequately account for how the outcomes occurred (see Hamilton, 1980).

A more compelling evaluation would account for the processes by which the program outcomes were achieved (Davidson, 2000; Donaldson, 2001). However, this type of theory-driven evaluation needs to extend from theory-driven program planning. As recent calls for greater use of theory-driven programming and evaluation in the field of recreation illustrate, the use of theory is not yet a common practice (Baldwin, 2000; Caldwell, 2000; Mobily, 1999; Payne, 2002).

There are likely numerous reasons why theory is not more readily applied in real life program contexts. The scope of many social science theories may make it difficult for practitioners to determine how tenets of a theory affect programming decisions (Finney & Moos, 1992). Whereas researchers are generally concerned with advancing theory through empirical tests of that theory, practitioners working in real life situations may design programs based not on theory, but on best practices or conventions that have evolved over time through experience (Sussman & Sussman, 2001). While there may be a general consensus on the merit of these practices, they rarely have been tested through systematic research.

In some cases practitioners may choose, as their ultimate goal, efficacy on several outcomes and base programs not on a single theory but on a number of theories (West & Aiken, 1997). Practitioners may also prefer to use program components or activities that affect more than a single outcome, whereas researchers may be interested in a specific theory and distinct program components that affect a specific program outcome (West & Aiken). Thus, despite the increased calls to employ theory driven programming and evaluation, doing so in real life program contexts means adequately overcoming these challenges.

Recently published TR practice models have provided one way to better integrate issues of theory and practice. In a review of practice models presented in the Therapeutic Recreation Journal special series, Mobily (1999) concluded that one of the contributions of these models was a framework for examining such practice issues as dosage, population specificity, and explaining how programs work. Mobily focused on the fact that multiple models drawn from established theories should support more rigorous examination of TR practice. However, an additional theme found in the published critiques of these models was that they lacked specificity. As Freysinger (1999) noted, the usefulness of the models lays in the guidance they provide for deriving research questions, that is, testable theoretical tenets about how programs work. If the models do not provide such direction, their contribution for linking theory and practice is limited.

Thus, there is the need to better define how TR models can influence theory-driven practice. Better theory-based programming can then support analysis of how programs produce desired outcomes.

Program theory is a way of linking practice and theory and the purpose of this article is to discuss program theory as a basis for theorydriven programming and evaluation. Elements of a program theory and the relationship between program theory and TR practice models are reviewed. Using the Self-Determination and Enjoyment Enhancement (SDEE) model (Dattilo, Kleiber, & Williams, 1998) a conceptual example of a program theory is provided and the contributions and limits of using principles underlying program theory for program development and evaluation are discussed.

Two Levels of Theory

Adequately applying theory to program design and addressing the question of how programs work is fostered by thinking about two distinct levels of theory (West & Aiken, 1997). If one begins with a clear and specific program outcome (also referred to as factor or condition) then TR programming is informed in part by understanding of theory related to the etiology of that outcome (Johnson & Pandina, 2001). However, a theory concerning this outcome does not generally address how interventions or prevention programs can affect that outcome (West & Aiken). A second layer of theory is the program theory which specifies precise operational methods (i.e., program components) that affect the desired proximal program outcomes (also called mediators).

Conventionally, the term program theory often incorporates the psychosocial theory that links proximal and distal program outcomes. Thus, the program theory explains how program components affect proximal outcomes and how these proximal outcomes affect distal outcomes.

Program Theory

Rogers (2000) described a program theory as an explicit representation of the “mechanisms by which program activities are understood to contribute to the intended outcomes” (p. 209). Program theory is a framework that guides practice and is “a specification of what must be done to achieve the desired goals, what other important impacts may also be anticipated, and how these goals and impacts could be generated” (Chen & Rossi, 1992, p. 43). It establishes “links between what programs assume their activities are accomplishing and what actually happens at each small step along the way” (Weiss, 2000, p. 35).

To the extent that TR practice models specify the mechanisms through which learning and personal changes are theorized to occur in TR, they meet the definition of a program theory (Rogers, 2000; Rogers, Hasci, Petrosino & Huebner, 2000). However, because TR practice models were designed to encompass a wide array of practice settings, they, like many other social science theories, tend to be relatively broad in scope, vague in regard to program outcomes, and often difficult to interpret. That is, TR practice models do not completely function as program theory because they fail to adequately articulate distinct program components and their links to outcomes. A program theory for an actual program, designed for a particular context, requires a narrow frame of reference (Reynolds, 1998). The two layers of theory previously described, are often not clearly articulated in descriptions of a TR practice model.

In a program theory, the processes that link program components with proximal and distal outcomes are explicitly defined. For example, Bickman (1996) described how program components were linked to proximal, intermediate, and ultimate (a.k.a., distal outcomes) outcomes during the intake, assessment, and treatment phases of mental health services. Client intake criteria (program component) were established to increase access to mental health services (proximal outcome). If this component and outcome were successful, then two intermediate outcomes were hypothesized: increased number of clients served and increased client satisfaction with intake procedures. It was then hypothesized that better intake procedures influenced greater client participation in treatment planning during the assessment phase of the program. The timing of assessment (another program component) was hypothesized to affect the proximal outcome of better treatment planning. Intake and assessment outcomes were then linked to treatment services (program components) representing a larger continuum of treatment services. The program components and outcomes associated with the intake, assessment, and treatment phases were hypothesized to affect ultimate or distal outcomes of improved mental health and quicker recovery.

It is important to note that program theory is more than a flow chart of program processes because, as Rogers (2000) stated, flow charts do not necessarily explain “how program activities are understood to lead to intended outcomes” (p. 227) and they do not “convey what it is about the program activities that seems to he\lp bring about the goal” (p. 227). Again, theory is employed at two levels, the conceptualization of mediating processes that link program components to proximal outcomes and the psychosocial theory that explains proximal outcomes that mediate distal outcomes (West & Aiken, 1997).

Elements of a Program Theory: Modification and Refinement of a TR Practice Model

Whether working with an existing social science theory or a TR practice model, the application of the theory to guide program design and evaluation requires a refined and explicit representation of the function of program components and resulting mediational program processes. Refining and specifying a TR practice model into a testable program theory involves making explicit the theoretical tenets derived from the model, program context, program components and activities, and desired outcomes. Researchers use various labels for these program characteristics, but they are generally summarized as: (a) the problem area or behavior to be addressed by the program, (b) the target population, (c) context conditions, (d) program content, or skills to be acquired that will be sufficient to produce an effect (i.e., program components), and (e) key responses and outcomes of the program (see Reynolds, 1998).

To illustrate, a program theory can be developed from the Self- Determination and Enjoyment Enhancement (SDEE) practice model (Datillo et al., 1998). This model originates in established psychosocial theories of optimal experience (Csikszentmihalyi, 1990) and self-determination (Ryan & Deci, 2000), which are predominant in the fields of TR and Leisure Studies. Furthermore, as noted by Mobily (1999), the SDEE model “shows remarkable fidelity to its theoretical origins . . . The result of the close correspondence between theory and practice is that Dattilo et al. are able to provide clear methods for producing optimal experiences and favorable changes in the TR environment” (p. 185).

Overview of the SDEE Model

The SDEE model (Dattilo et al., 1998) model is a “self- reinforcing” model whereby enjoyment in leisure is influenced by activity engagement associated with self-determination, intrinsic motivation, perceptions of manageable challenge, and investment of attention. Enjoyment of activity is hypothesized to affect functional improvement. Dattilo et al. have also incorporated factors associated with activity settings, such as choice, goal- setting, and feedback that affect intrinsic motivation, self- determination, challenge, investment of attention and enjoyment. However, despite its importance, the process of internalization, which also explains how self-determination is enhanced (Ryan & Deci, 2000), was only briefly mentioned.

For each aspect of the model, Dattilo et al. (1998) proposed how it would be linked to practice. They proposed that: (a) self- determination is associated with making decisions and developing self-awareness, (b) intrinsic motivation is associated with positive feedback and focus on internal standards, (c) manageable challenge is associated with skill assessment and activity adaptations, and (d) investment of attention is associated with reducing distractions and maladaptive attributions. Their presentation of the model in TR programming format (assessment, planning, implementation, and evaluation) provided a very generalized view of real life program contexts. Figure 1 summarizes their discussion of the SDEE model elements within each programming phase.

Consistent with the development of a program theory, Figure 1 was designed to carve the SDEE model up into successive small steps. This successive small step format is essential for evaluating the theoretical and program logic and helps identify strengths, assumptions, potential confounds, and unclear aspects of the model. In particular it is important that a program theory illustrate program components (what the client or practitioner does at each step of a program) and how those components result in proximal outcomes. That is, one should be able to read from left to right in Figure 1 and find a logical flow that links the desired outcomes evaluated during the assessment phase with program activities that lead to those outcomes. While this can be done in some instances, such as activity adaptations, it is difficult to do with the other program components listed.

FIGURE 1. SUMMARY OF SDEE MODEL (DATTILO ET AL., 1998) IN PROGRAM THEORY FORMAT.

As acknowledged by Dattilo et al. (1998), a great number of theoretical concepts or constructs are introduced in the SDEE model and it is difficult to ascertain clear paths for the theoretical concepts introduced. It is also difficult to see how elements of the SDEE model should be differentiated for a program that could be rigorously evaluated. For example, the role of the TRS is not completely clear. Making choices and reducing distractions are associated with the assessment phase of the SDEE model. Presumably the therapeutic recreation specialist (TRS) has an important role in framing and organizing these choices, but it is unclear from this model what parameters and techniques are used.

Not only is it is difficult to match the model elements to specific program components (TRS actions, activity structure, etc.), very similar concepts are introduced throughout the sequential process presented by Dattilo et al. (1998). It is very difficult to distinguish, for example, attribution processes (client’s internal versus external explanations of their actions) from feedback (TRS’s feedback or client’s self-talk). The referents for these elements in Figure 1 are unclear. For example, avoiding disruptive feedback is a desired participant skill. However, program components associated with this skill listed in the implementation column of Figure 1 only describe TRS actions, not how clients develop this skill. Does giving strategic feedback during activity engagements foster internal attributions as suggested, or is there an additional instructional element whereby a TRS also teaches clients how to process feedback in situations they will encounter post-program?

A hypothetical program theory example addresses these issues. As illustrated in Figure 2, program components and links to outcomes are identified. The case example also integrates realistic program parameters and measurable mediating variables. The format of the program theory illustrates a linear program progression, reflective of an actual program setting.

A Program Theory Derived from the SDEE Model

In this case example TR is a treatment modality in a short-term rehabilitation context, and it was assumed that clients were facing the onset of-or a major change in-a disabling condition and that optimizing their physical strength and endurance was a common goal for all treatment modalities (i.e., occupational therapy, physical therapy, medicine). The imposition of this distal outcome is an overriding element that further defined the TR context and the application of the SDEE model components.

It is assumed that at the initial assessment most clients will not have the knowledge, attitude or skill sets to successfully engage in self-determined and enjoyable physical activity (i.e., optimal recreation engagement). Guided activity involvement characterized by high levels of intrinsic motivation (or internally driven extrinsic motivation, see Ryan & Deci, 2000), awareness of environmental modifications, challenge management, and self- allribulions are mediators.

The program theory is modeled as successive mediating steps associated with program experiences and content. This example assumes that all clients are directed to the TR program and are assessed on a one-to-one basis by the TRS. The criterion for participation has been specified as being a client in the hospital as the result of an onset, or change in, a disabling condition. The hypothesis guiding the TR program is that all clients will benefit from TR sessions that enhance the participant’s engagement (characterized by self-determination and enjoyment) in physical activity. The distal outcome of improved physical functioning is an antecedent factor important to overall recovery from the disabling condition and is a shared goal the entire treatment team advances.

Assessment and guided activity planning are used to appraise the client’s current level of self-determination and enjoyment in physical activity and, possibly, to inform the TRS’s structuring of four guided activity sessions. That is, the overall intensity of the first guided activity session can be adapted or modified based on the client’s perceived competence and ability. The program consists of modifications of one of three types of physically active recreation engagements (stationary cycling, aquatics, modified aerobics). Choice of activity is delimited based in part on the ultimate functional goal but also to reflect that most TR settings cannot support meaningful guided engagement in a limitless variety of activities. Other limitations associated with real life program context have also been incorporated. For example, the number of sessions and amount of time a TRS may spend with a client is limited.

Assessment results and guided activity planning reflect program components used to foster personal agency and involvement in the treatment plan. These program elements are a form of autonomy support consistent with the SDEE model. Self-determination and enjoyment of a physical activity is enhanced through four guided activity sessions. The role of activity is emphasized in the program theory and guided recreational activity engagement is clearly identified as an essential program component, something not clearly identified in the SDEE model.

Guided activity session 1 is a preliminary session designed to establish the client’s baseline performance in physical activity. Each of the successive sessions has been designed to target the client’s: (a) level \of enjoyment (through activity modifications), (b) activity challenge management (through cognitive and behavioral strategies), and (c) self-talk and attributions (through cognitive and behavioral strategies). Proximal outcomes associated with each activity session are also identified. The TRS also infuses informative feedback during activity engagement throughout sessions 2 to 4.

The program theory case example also addresses each of Reynolds’ (1998) previously described elements of a program theory (problem area, target population, program context conditions, etc). These elements, along with theory concerning optimal end states of functioning, are the basis for theory-driven program planning in this case.

The program design also lends itself to evaluation. Pre-post measurement strategies, could be carried out in experimental, quasi- experimental, or single-subject research designs. Additionally, the program theory supports conceptual analysis of the impact of variations of program components; more is said about this point in the following sections of this article.

Theoretical Rationale for the SDEE Program Theory

Dattilo et al. (1998) acknowledged that the theoretical components of the SDEE model were complex and, in some places, ambiguous. They further acknowledged that this theoretical complexity and ambiguity could make it difficult to interpret and apply the model. The following discussion clarifies the theoretical and practical aspects of the clinical case example provided in the previous section.

In building the program theory case example, characteristics of the population and the reasons for being directed to a TR program lead to assumptions about clients’ capacity for self-management of physical activity as a meaningful and enjoyable recreation activity. This assumption helped clarify the important program aspects integral to a program theory (Reynolds, 1998). As previously discussed, the problem area, target population, and key outcomes largely influence many aspects of this TR context.

Key program components of choice, feedback, internal versus external perceptions of causality (attributions), and orientation to challenge are in the SDEE model, but their application in a TR context requires clarification. For example, choice could mean choice of: (a) participation in a TR program (i.e., issues of selection into a program, whether required, prescribed, or voluntary), (b) unlimited choice of type of activity engagement (“what would you like to do?”), or (c) choice within a limited range of activity engagements, set by a TRS. Thus, choice as a condition may enter a program experience in many ways. Understanding what aspects of choice are most important to optimal engagement in physical activity is important to the application of theory and the SDEE model to the TR setting in the case scenario.

In the case example, choice, in terms of type of activity, is restricted to one of three activities. Making decisions about environmental modifications that would enhance enjoyment (e.g., music, participating with others) is another aspect of choice. Limiting choice is consistent with the needs of the clients (i.e., maximizing physical functioning) and helped focus the purpose of assessment. The way choice is defined and used as a program component in this case example is a theoretically derived working hypothesis and it can be contrasted with alternative interpretations. For example, an alternative program format would be to have all clients participate in the same activity (i.e., no activity choice) or provide clients with a free choice of activity engagements. Self determination theory and the SDEE model suggests that both of the choice conditions will be more effective than the no choice condition but does not specify which of the choice conditions is better. Therefore, it is a compelling question worthy of inquiry.

It could be argued that the treatment of choice in the program theory case example violates or misrepresents essential elements of TR practice and differs from the description provided by Dattilo et al. (1998). For example, it could be argued that assessment and the selection of activities should be open-ended, completely individualized, and that the TR experience would be optimal when the client has “complete” control (i.e., choice) to subjectively define what activity has the greatest potential for enjoyment. This individualized and subjective definition is problematic because it is so broad that it is difficult to identify aspects of functioning important for assessment. Furthermore, there is no assurance that the activity the client chooses will have physical benefits.

Respect for clients’ subjective views regarding their preferred types of activity is likely to be important. However, to adopt a conceptualization that the assessment, program components, and outcomes are open ended and subjectively defined casts TR in rather broad and vague terms. At the very least it means that specific program outcomes cannot be established until a rather broad assessment occurs with the client. In reality, the program context (including institutional priorities) dictates some of the outcomes that need to be advanced.

The clinical context described in the case example affected the conceptualization of choice and the application of intrinsic motivation and self-determination theory, which underlie the SDEE model. One interpretation of intrinsic motivation within leisure research is that recreational activity is inherently intrinsically motivating. However, in the TR context described in the case example, physical activity likely has an instrumental character, and clients may not feel competent or intrinsically motivated. To apply self-determination theory in this context required careful consideration of the complex relationship between intrinsic and extrinsic motivation not discussed in the SDEE model. As Ryan and Deci (2000) noted,

. . . people will be intrinsically motivated only for activities that hold intrinsic interest for them, activities that have the appeal of novelty, challenge, or aesthetic value. For activities that do not hold such appeal, the principles of CET [cognitive evaluation theory] do not apply, because the activities will not be experienced as intrinsically motivated to begin with. To understand the motivation for those activities, we need to look more deeply into the nature and dynamics of extrinsic motivation. (p. 71)

Extrinsic motivation and the process of internalization are more relevant to the TR context described in the clinical case example, and the treatment of choice and other program components were applied and interpreted from this extrinsic motivation framework.

Dattilo et al. (1998) largely assumed that a TR session would involve an activity of interest. If such interest is thwarted due to progressive illness or some other change in a client’s capacity, then there may indeed be other concerns and an activity of interest may not be possible. Programs may need to focus on the expression of interest, re-engagement in recreational activity for which the individual has an intrinsic interest, and/or developing recreational skills for activities that are instrumentally valuable. It could be the case that the activities of intrinsic interest to the client have instrumental value, however, this cannot be assured.

It is true that a TR client may not be interested in the activities used in the case example (cycling, aquatics, or modified aerobics) and may want to advance other activity goals such as a diversion from the medical setting (see for example, Hutchinson, 2000) rather than physical fitness in their TR session. However, when enhanced physical functioning is established as an outcome, theory and activity are employed with that end in mind.

Fortunately, many of the kinds of things that foster or deter intrinsic motivation are also important to fostering internal forms of extrinsic motivation. For example, choice is a program condition that affects the expression of intrinsic motivation and the internalization of values associated with two internal forms of extrinsic motivation (Ryan & Deci, 2000). In this situation, a program may be structured to foster internalization, helping the client to learn to value and enjoy a physically demanding recreational activity one has to do to achieve the desired physical functioning outcome. Thus, the goal of the TR session in this context is to foster self-determination in non-intrinsically motivated behaviors.

In summary, there are two essential points to this theoretical overview. The first point is that context matters and largely defines essential program aspects that must be carefully specified in the program theory. In an attempt to stress a common underlying process that can be applied to a number of populations and service formats, program planning is often presented generically, as in the SDEE model, without reference to a specific program context. The limitation of that approach is that the affect of these elements may be overlooked. Second, development of the program theory called for a revision of the SDEE model based on understanding of its underlying theories and the program context.

Self-determination theory is comprised of two sub-theories, one addresses conditions of initial intrinsic interest and another the conditions of instrumental participation (Deci, 1992; Ryan & Deci, 2000). This distinction is important because of the program context and because the process of internalization may have greater implications for TRS behavior than intrinsically motivating activities. As Ryan and Deci noted, “. . . Because extrinsically motivated behaviors are not typically interesting, the primary reason people initially perform such actions is because the behaviors are prompted, modeled, or valued by significant others . . . ” (p. 73). Therefore, this modeling and the character of the client-TR\S relationship are important aspects of the guided activity session and facilitation of the process of internalization.

The application of the SDEE model in this context was also tied to activity adaptation, challenge management, self-talk, and attributions as leisure skills that naturally build upon each other. Informative feedback, designed to enhance competence and performance, was provided by the TRS and relates to these skills. Feedback was infused throughout guided activity sessions 2-4. Other aspects of the SDEE model were not included in the program theory. For example, investment of attention was de-emphasized in favor of the construct of attributions.

The program theory represented in Figure 2 is a step-by-step, time ordered progression of a program, with the sequential steps, program components, and their proximal and distal outcomes identified. Representing a program in this manner serves to clarify the underlying beliefs about how the program works. Thus, the benefit of a well-specified program theory is that it provides a detailed explanation of how a program works. These hypothesized links between program components and outcomes can then provide a guiding framework for systematic program evaluation.

Program Theory Evaluation

Program theory evaluation (PTE) is an evaluation that is at least partly guided by a program theory (Rogers, 2000; Rogers et al., 2000). What distinguishes PTE from a typical outcome evaluation is that PTE is based on an explicit program theory, which has clear testable tenets about how the program produces desired effects. For this reason it can demonstrate both that programs have effects and substantiate how programs works (Rogers et al.). It is conceptually similar to other theory-driven evaluation models that require a specific “causal” model such as logic models (Weiss, 1972) and the generic input-processoutcome model used by the United Way (see Rogers et al.).

Benefits of Program Theory Evaluation

One of the benefits of constructing a program theory and using it as the basis for evaluation is that it can help practitioners identify and assess key hypotheses or assumptions guiding practice. For example, if the TR specialist wants to test the hypothesis that actual activity engagement is important to enhancing levels of self- determination and enjoyment in leisure, then a program can be designed in which there is an experiential component to the program for one group, and individual counseling without guided activity participation for another. Likewise, aspects of the therapists’ interpersonal involvement (e.g., teaching style) could be examined. By manipulating different theoretically meaningful components of a program (and keeping everything else the same) a TRS can evaluate whether they do affect proximal and distal program outcomes. Demonstrating a predictive relationship between hypothesized variations in the program components and outcomes provides empirical evidence for a particular path or mechanism (Hamilton, 1980; Trochim & Cook, 1992).

An explicit program theory should also help evaluators discriminate whether lack of expected outcomes relates to problems of implementation or problems of theory (Rogers, 2000; Reynolds, 1998). Quite often process evaluations are restricted to examining whether the program was implemented in a manner consistent with its design. This is particularly an issue when a specific program is replicated at numerous sites. If the program was properly implemented then lack of outcomes may be attributed to problems with the theory, that is, lack of empirical support for the specified mechanisms (Rogers).

Other Issues to Consider During Evaluation

It should be noted that the evaluation of a program using a guiding program theory does not necessarily cover all of the theoretically important aspects of programming nor all of the things practitioners may want to evaluate. Finney and Moos (1992) encouraged evaluators of programs to carefully assess assumptions regarding research design and other related aspects of a program before making conclusions about program mechanisms and the efficacy of a program. In particular, they suggested that the impact of at least three processes be carefully considered even though not all of these processes would be examined in a single evaluation study. These theoretically important processes are: (a) client’s selection into treatment (e.g., intake criteria, characteristics of the target population); (b) etiology of desired outcomes (origins and processes underlying the problems to be treated); and (c) matching clients with treatment (Finney & Moos). Identifying each of these or assumptions related to these three processes alongside the program theory helps clarify the contribution and limits of a single evaluation study and various evaluative designs.

FIGURE 2. PROGRAM THEORY CASE EXAMPLE.

FIGURE 2. PROGRAM THEORY CASE EXAMPLE.

Client’s selection into treatment. Issues related to selection into treatment reflect the need to identify real world conditions that may influence an individual entering “treatment” (i.e., therapeutic programs) and the type of treatment they select. It involves assessing factors that precede entry into a program and means understanding how decisions are made about who should and actually does attend a program as these factors may affect client participation.

Factors related to how clients come to be in a program (voluntary, required, or prescribed) may restrain program effects. For example, an outreach TR program for families with children with disabilities may be designed to build family cohesion, but the types of families that sign up for the program may be unknown. The program may attract relatively cohesive fami lies looking for an opportunity to spend more time together rather than families in conflict. In this case failure to show improvement in family cohesion may be related to the type of families that chose to participate in the program.

Understanding who chooses a program is more than an issue of target marketing and cannot be completely resolved by research design. According to Finney and Moos (1992) the predominance of experimental and quasiexperimental designs in evaluation research has resulted in a tendency to overlook the impact of selection issues. As they argued:

Selection processes occurring before the point of random assignment (Why did these people present for treatment?) and after it (Why did some people participate more intensively in the treatment program?) are generally not considered because they have no direct impact on the internal validity of global treatment effect estimates. Treatment in the real world is a different and more complicated process than that modeled in experimental designs, however, (p. 18)

Finney and Moos’ point is that even if random assignment of clients into treatment and control groups could be achieved in an evaluation study of a real program context, the study design does not aid understanding of the life conditions or factors that lead an individual to become a client. Yet, knowledge of these factors may indeed affect program participation and judgments of program efficacy. In some cases, systematically assessing the characteristics of who attends should be a focus of research.

Etiology of the “problem.” Processes related to understanding the etiology of the problem refer to appreciating and using theory and the latest knowledge of the characteristics of the disabling problem in program development and evaluation. Specifically, it requires identifying the antecedents, correlates, or factors that affect the manifestation of the problem, condition, or disorder. It means understanding the pathways and factors that contribute to clients’ recovery, adjustment, or non-recovery, maladjustment, and relapse. For example, in a rehabilitation context where people who have experienced a traumatic injury (e.g., spinal cord injury, stroke, traumatic brain injury) or are dealing with a chronic illness (e.g., diabetes, multiple sclerosis), the TRS uses knowledge of the etiology of the disabling condition and optimal recreation engagement to inform the design of the program.

This point was made previously in the discussion of using psychosocial theory to explain how proximal program outcomes affect distal outcomes. However, it is important to recognize that there may be no single etiological model that explains adaptive, functional, or dysfunctional factors associated with various health problems and disabling conditions. In fact, the list of possible factors is often long and there may be gaps in knowledge in these etiological frameworks (Johnson & Pandina, 2001). Nonetheless, the aim of a prevention or intervention program is to affect factors in these etiological theories.

Depending on the program context characteristics, all aspects of the etiology of a problem may not be directly integrated into programming. Nonetheless, this knowledge may be very relevant to making claims about program efficacy. For example, a program for youth with alcohol problems may target the adoption of a hobby as means for constructive use of free time and a reduction in engagement in alcohol consumption. The program for these youth would focus on merging treatment (how hobbies are adopted) with theories that suggest factors related to juvenile alcohol problems (excessive amount of free time spent hanging out). However, the role of peers may also need to be accounted for, even if it is not part of this particular program. Thus, elements that are not included in the program may still be included in the evaluation study.

Evaluation data collected after the program may find that the extent to which the youth desired to be with peers impacted the program efficacy. Those youth who spent more time with peers (post- program) may have engaged less in the targeted hobby and had more relapses of alcohol consumption than those who spent less ti\me with peers. While a common programmatic response may be to integrate peer relations skills into the program, doing so may be unrealistic under the current agency and program structure, or including a program component on friendship may require dropping some other program component.

Thus, knowledge of the etiology not only affects programming decisions, it affects the evaluation of the program. Known factors beyond the scope of the program may moderate its success. The TR program cannot and likely should not try to affect all factors, but the evaluation can account for an additional limited set of factors when measuring program outcomes, which affords a more accurate understanding of the efficacy of the program.

Matching clients with treatment. Client matching addresses those within-program modifications based on known characteristics of subgroups that enhance program effects. For example, activity modifications (e.g., to leadership style, equipment, environment, procedures) based on client characteristics may be made within a treatment session to influence optimal activity engagement. Again, while these modifications reflect common practices associated with TR, such as adapting recreational equipment, what is important is to represent them in a program theory and treat them as testable hypotheses in an evaluation design. Program adjustments reflect client-by-treatment interactions (moderators). That is, client characteristics influence how successfully a particular program component works. These client characteristics could be measured and assessed in an evaluation design. One implication for data analysis is that the client population for a program is subdivided by the factor believed to impact how the program works. If differences are found then modifications in programming can be made and tested.

Who enters a program and why, knowledge about the disabling condition, and ways to best match clients with program activity components are not new TR practice issues. However, these steps may often be taught as if all the important variables can be adequately addressed in a single program. Or, activity adaptations may be made based on past practice or assumptions that were never systematically assessed. The Finney and Moos (1992) discussion of these processes from an evaluative framework helps limit grand generalizations about program efficacy and encourages more theory-based, discrete and limited assessments of program components, processes, and outcomes.

Conclusion

As previously stated, using an established TR practice model to drive program design and evaluation within a particular practice setting (e.g., rehabilitation, long term care, juvenile detention) requires some refinement and specification of a TR model and the application of it in a specific program context. Development of a program theory that connects program components with proximal and distal outcomes serves this purpose. However, developing a program theory may be challenging as existing programs are often multifaceted, and developing a useful and measurable representation of program processes requires carving up the interconnected flow of life (Britt, 1997). When working with actual ongoing programs, development of a program theory may need to occur over time through several steps in a repetitive process (see Rogers, 2000). While it would be difficult to describe this process, the goal of the case example was to illustrate the level of refinement and specification needed for theory-based programming and evaluation.

Program theory links theory and practice. Conceptually, a program theory creates a link between an abstract theory, studies “manufactured” exclusively for research purposes of testing theory, and actual theory-driven programs which can serve as “natural” studies of theory (Reynolds, 1998). Since a program theory hypothesizes how programs work, well-designed evaluations based on the program may serve as empirical tests of theory in real life program contexts (Johnson & Pandina, 2001; Lerner et al., 1994).

There have been numerous calls for the use of theory in TR practice and suggestions that TR practice models serve this role. However, TR practice models have been largely decontextualized and found lacking in regard to specification of program components and what it is about program components that leads to intended outcomes. Program theory can serve to clarify both theory and context and therefore holds great potential as a framework for future inquiry.

In the area of practice, program planners can concentrate on testing whether the program components they use actually produce the intended effects (see Fetterman & Bowman, 2002; Simon, Bosworth, & Unger, 2001). In the case where program components are not working as expected, practice can be refined. Secondly, practitioners can examine whether social science theories support a link between proximal outcomes associated with their program and distal outcomes they desire to affect. Where theory and empirical evidence support such a link, practitioners can develop a comprehensive program theory and evaluation strategy that can be used to produce strong evidence for the efficacy of their programs.

In the area of research, the program theory framework can be used to refine and apply TR models to create interventions that include assessment of key theoretical hypotheses that can be rigorously tested. Theoretically driven examinations of TR practice in real life settings can produce findings that lead to evidence-based practice and support theory driven programming. As the previous discussion of the program component of choice illustrated, an aspect of this future work would be examining predominant TR practices that have not been thoroughly specified. A benefit of this type of research would be that it would bring research and practice closer together, further advancing evidence-based TR practice.

References

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Donaldson, S. I. (2001). Mediator and moderator analysis in program development. In S. Sussman (Ed.), Handbook of program development for health behavior research and practice (pp. 470- 496). Thousand Oaks, CA: Sage.

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Hntchinson, S. L. (2000). Discourse and the construction of meaning in the context of therapeutic recreation. Unpublished doctoral dissertation. University of Georgia, Athens, GA.

Johnson, V., & Pandina, R. J. (2001). Choosing assessment studies to clarify theory-based program ideas. In S. Sussman (Ed.), Handbook of program development for health behavior research and practice (pp. 321-344). Thousand Oaks, CA: Sage.

Lerner, R. M., Miller, J. R., Knott, J. H., Corey, K. E., Bynum, T. S., Hoopfer, L. C., McKinney, M. H., Abrams, L. A., Hula, R. C., & Patterson, A. T. (1994). Integrating scholarship and outreach in human development research, policy, and service: A developmental contextual perspective. In D. L. Featherman, R. M. Lerner, & M. Perlmutter (Eds.), Life-span development and behavior (pp. 249- 273). Hillsdale, NJ: Lawrence Erlbaum.

Mobily, K. (1999). New horizons in models of practice in therapeutic recreation. Therapeutic Recreation Journal, 33, 174- 192.

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Simon, T. R., Bosworth, K., & Unger, J. B. (2001). Component studies. In S. Sussman (Ed.), Handbook of program development for health behavior research and practice (pp. 321-344). Thousand Oaks, CA: Sage.

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Trochim, W. M. K., & Cook, J. (1992). Pattern matching in theory- driven evaluation: A field example from psychiatric rehabilitation. In H. Chen & P. H. Rossi, (Eds.), Using theory to improve program and policy evaluations (pp. 49-69). New York: Greenwood Press.

Weiss, C. H. (1972). Evaluation research: Methods of assessing program effectiveness. Englewood Cliffs, NJ: Prentice Hall.

Weiss, C. H. (2000). Which links in which theories shall we evaluate? In P. J. Rogers, T. A. Hacsi, A. Petrosino, & T. A. Huebner (Eds.), Program theory In evaluation: Challenges and opportunities (pp. 35-45). San Francisco, CA: Jossey-Bass.

West, S. G., & Aiken, L. S. (1997). Toward understanding individual effects in multicomponent prevention programs: Design and analysis strategies. In K. J. Bryant, M. Windle, & S. G. West (Eds.), The science of prevention: Methodological advances from alcohol and substance abuse research (pp. 167-209). Washington DC: American Psychological Association.

Baldwin is an Assistant Professor with the Human Services Program at Aurora University. Hutchinson is an Assistant Professor with the School of Hotel, Restaurant and Recreation Management at Pennsylvania State University. Magnuson is an Assistant Professor with the Division of Leisure, Youth, and Human Services at the University of Northern Iowa.

Direct correspondence to Baldwin: Human Services Program, Aurora University, 347 South Gladstone Avenue, Aurora, IL 60506-4892. Phone: 630-844-4227. fax: 630-949-5532. email: [email protected]

Copyright National Recreation and Park Association First Quarter 2004

‘House Moms’ Give Comfort to Strippers

LAS VEGAS – Clad only in a pair of bikini bottoms and a lobster-red sunburn, a stripper at Sapphire Gentleman’s Club turns to the one person allowed to touch her at work.

“Mom, can you put some lotion on my back?” she asks sheepishly.

Marcy Perez – the club’s official “house mom” – has just the remedy. She uncaps some aloe vera gel and massages it into the girl’s back.

“There’s somebody that always needs something,” says Perez, a cheerful 46-year-old woman who is dwarfed by the girls in their eight-inch heels.

At a number of strip clubs across the country, house moms do more than just help the performers get ready for the next shift. They listen when the girls need to vent and console when a customer gets abusive. They are part coach, part guidance counselor and very much a surrogate mother.

“They’re good for everything,” says Vye, a 26-year-old stripper from Las Vegas. “They’re better than a real mom.”

For many of these young women, a stripper’s world is one of stigma and isolation. Many refuse to tell their loved ones how they earn a living. Instead, they pass themselves off as cocktail waitresses or bartenders.

“There are a lot of parents that would disown their daughter if they knew they were strippers,” said Charlotte Andrews, a longtime house mom at Club Paradise.

For many, family consists of other strippers and the women paid to care for them.

“That’s why they come to us,” Perez said. “You’re the only one who knows the real them.”

On a recent night, Andrews busied herself backstage at Club Paradise, helping one stripper hide her tattoo with makeup and talking to another about an upcoming baby shower.

“They know they can talk to us about anything, where they can’t talk to their own families,” said Andrews, 58.

At Sapphire, Perez provides everything a stripper might need for the night. Bins filled with hair products, makeup and bite-sized snacks line an enormous dressing room mirror. Scents of “vanilla fantasy” and “night-blooming jasmine” permeate the air as the girls sample from a perfume collection also provided by Perez.

But rather than amenities and treats, it’s often the free advice and comfort the girls seek.

“They make you feel like a princess, no matter what you have on,” said September, a 23-year-old stripper at Sapphire. “They tell you you’re beautiful.”

House moms are trusted confidantes. They are older and wiser. They know what to do about a cheating boyfriend, a missed car payment and a family argument.

“They lend us their experience. They make you feel like no matter what happens, it’s OK,” said September.

While Perez and the two other house moms at Sapphire work solely on tips, Andrews and her two Club Paradise counterparts also earn an hourly wage.

The job rarely ends when the shift is over, and Perez’s cell phone rings frequently.

Mom, do you have the name of a good doctor?

Mom, where’s a good place to eat?

Not all house moms are as nurturing, according to the girls.

“At other clubs, they just sit there and collect money,” said Leilani, a 25-year-old stripper from Las Vegas.

“Here the house moms pamper us,” said Samantha K., a 23-year-old stripper at Sapphire who has worked at several East Coast clubs.

From fixing ripped costumes to taking food orders, good house moms see to the girls’ needs. They keep an eye on belongings backstage and serve as mediators when the girls’ competition for wealthy customers and tips leads to disputes.

“I use them for emotional support. And candy,” giggled Charlene, a 24-year-old stripper from Las Vegas. “If you forget your G-string at home – God forbid! – they sell them.”

Despite the odd late-night hours, the house moms enjoy their jobs for the chance to feel useful and to connect with young women who could be their daughters.

“I get involved with the girls because I miss the mother-daughter thing,” said Perez, whose own daughter is 27 and mentally disabled. “When they need you, you’re there.”

Andrews says she’s the most concerned about those young women who have yet to set goals, who are living the party life instead of looking to the future.

“They don’t know how strong they are or how much potential they have,” Andrews said. “I have 200 daughters here. I worry about all of them.”

Lax space program management contributed to rocket explosion that

BRASILIA, Brazil (AP) — Lax space program management and underfunding set the stage for a rocket explosion that killed 21 engineers and technicians three days before the scheduled launch last year, according to a report by an investigative commission released Tuesday.

The report on Brazil’s worst space program accident ever ruled out sabotage but confirmed that an electrical flaw triggered one of the VLS-1 VO3 rocket’s four solid fuel boosters while it was undergoing final preparations at the remote seaside launch pad.

The government-appointed commission said it was not able to determine the exact nature of the electrical problem and that further investigation is under way to reach a conclusion

The 130-page report painted a damning picture of the only space program in Latin America and said decisions by government managers long before the Aug. 22 accident led to a breakdown in safety procedures, routine maintenance and training.

Problems at the Alcantara Launch Center in northeastern Brazil, near the equator, included dangerous buildups of volatile gases, deterioration of sensors and electromagnetic interference — all of which posed serious safety hazards, the report said. Space center employees charged with maintaining quality control were overworked and understaffed, it added.

“We observed a lack of formal, detailed risk management, especially in the conduct of operations involving preparations for launch,” the report said.

After releasing the report, Defense Minister Jose Viegas ordered the Air Force, which oversees the space program, to put in place solutions outlined in the report.

Viegas said the program needs US$100 million to be revamped, and that he hopes it can launch a rocket capable of deploying satellites by 2006 — at the end of President Luiz Inacio Lula da Silva’s first term.

Brazil’s space program is extremely modest by international standards, and far behind efforts by other developing countries, such as India. The Brazilian program currently gets about US$30 million a year, compared to India’s annual space budget program of US$300 million.

Brazil can’t guarantee that another disaster won’t occur, but Viegas vowed “that we can no longer run the kind of risks we have.”

Relatives of those who died in the accident will hold the government to making the improvements, said Jose Oliveira, president of an association representing the relatives.

“The issue now is whether the government will accept these recommendations,” said Oliveira, who served on the investigative commission. “We are guardedly optimistic that the government will do so.”

Some said the report’s description of wide-ranging problems shows Brazil should take away control of the space program from the military and place it in civilian hands, similar to space programs in the U.S. and Europe.

If the program was funded separately, it wouldn’t be subjected to periodic defense budget cuts, said Francisco Conde, president of the union representing space program workers

“Brazil shouldn’t be just the world’s soybean and coffee supplier forever,” Conde said. “We need modern technology, and space exploration is a window for development of cutting edge technology in many areas.”

Experts believe Brazil will continue its space program because Alcantara, located 1,500 kilometers (930 miles) north of Brasilia, is a near-ideal launch site just 2.3 degrees south of the equator. Because the earth’s rotation is faster at the equator, rockets can be launched into space using less fuel and with heavier payloads.

Last year’s accident the space program’s third failure but the first with casualties. In 1997, a rocket launched from Alcantara crashed into the Atlantic Ocean shortly after liftoff. In 1999, officials destroyed a rocket after it veered off course three minutes after takeoff.

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Associated Press Writers Alan Clendenning and Tom Murphy contributed to this report from Sao Paulo, Brazil.