Congo suspect to face war crimes charges

By Alexandra Hudson

THE HAGUE (Reuters) – A Congolese militia leader accused of
conscripting children for war will be the first suspect to face
trial at the International Criminal Court, the chief prosecutor
of the ICC said on Saturday.

Thomas Lubanga arrived at an ICC temporary detention center
late on Friday night after having been flown from the
Democratic Republic of Congo aboard a French military plane one
day after Congolese authorities surrendered him to the court.

“Thomas Lubanga Dyilo was transferred to The Hague and is
now in the custody of the Court,” the ICC’s Chief Prosecutor
Luis Moreno-Ocampo told a press conference.

Lubanga was the founder and leader of one of the most
dangerous militia in Congo’s lawless northeastern district of
Ituri, Moreno-Ocampo said.

Tens of thousands of people have been killed during years
of militia violence in Ituri, one of Congo’s most violent
areas.

Lubanga has been charged with enlisting children under the
age of 15 as soldiers, but investigations continue and the
charges against him could yet be expanded, Moreno-Ocampo said.

“These are extremely serious crimes. Forcing children to be
killers jeopardizes the future of mankind,” he added.

“We will show pictures of Thomas Lubanga inspecting the
camps where children from seven years were training to become
soldiers,” Moreno-Ocampo said.

The conflict in the mineral-rich area pits various
ethnic-based militias against each other and has displaced some
100,000 people since December, hampering the former Belgian
colony’s efforts to recover from a wider five-year war.

International pressure to arrest Ituri’s warlords, some of
whom have joined Congo’s national army as part of a peace deal,
increased last month after U.N. Bangladeshi peacekeepers were
killed in an ambush by unknown gunmen.

The ICC was set up as the first permanent global war crimes
court to try individuals, and Lubanga is the first suspect to
be delivered into its custody.

The court’s registrar Bruno Cathala said Lubanga would
appear for an initial hearing on Monday afternoon, but the
precise charges against him would be determined during a later
hearing.

The prosecutor for Ituri and U.N. human rights experts have
been gathering evidence of crimes carried out in the district.

“We will investigate crimes committed by other militias and
other persons — this is the first case, not the last,” the
chief prosecutor pledged.

Those accused will be tried either in a Congolese court or
the International Criminal Court, due to try those responsible
for crimes committed in Ituri after July 1, 2002.

The arrest of Lubanga was a step forward to ending impunity
and atrocities all over the world, Moreno-Ocampo said.

“For 100 years, a permanent international criminal court
was a dream – this dream is becoming reality,” he added.

The ICC issued its first warrants last year for five
leaders of Uganda’s Lord’s Resistance Army (LRA), which
operates in Uganda, southern Sudan and the DRC. The court has
also launched investigations into war crimes in Congo and
Sudan’s Darfur region.

The United States opposes the new court, fearing it will be
abused for politically motivated cases against its troops and
citizens.

The Biopsychosocial Approach to Adolescents With Somatoform Disorders

By Kreipe, Richard E

Somatoform disorders constitute a group of disorders within the Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition (DSM-IV] that have two features in common: (1) physical (somatic) symptoms that suggest a medical condition, but that are not explained fully by a medical or mental disorder or the direct effects of a substance, and (2) the symptoms “must cause clinically significant distress or impairment in social, occupational or other areas of functioning” [1]. Because of the physical nature of symptoms, somatoform disorders are more likely to present to a primary care provider or medical specialist than to a mental health provider. Six distinct diagnoses are included in this category: somatization disorder, undifferentiated somatoform disorder, conversion disorder, pain disorder, hypochondriasis, and body dysmorphic disorder. Factitious disorder and malingering can present with similar symptoms, and often are considered in the differential diagnosis, but each is placed in a separate category in DSM-IV.

In clinical practice, psychiatric symptoms that are associated with somatoform disorders often are assumed by adolescent patients and their parents to be the result of a physical illness, whereas physicians tend to interpret underlying mental health problems as causing the symptoms. Somatic symptoms present challenges to medical providers who attempt to distinguish a physical source from a psychiatric source, not only because the two domains are inseparably interactive, but also because a diagnostic work-up that is guided by this often proceeds along a path that leads to conflict and dissatisfaction for all parties involved (adolescent patients, their parents, and their physician).

Adolescents present special challenges in the diagnosis and treatment of somatic symptoms that are associated with psychiatric dysfunction. Usually, the second decade of life is characterized by significant changes in biologic, psychologic, and social domains, which blurs the distinctions between function and dysfunction. Primary and specialty care providers for adolescents recognize the significant interactions across these domains in all adolescents, but may not be equipped to meet the challenges that patients present when psychologic problems rise to the level of a psychiatric diagnosis as they do in somatoform disorders. As noted by Spratt and DeMaso [2], the somatoform disorders represent the extreme end of a continuum of somatic symptoms (the other end of which are the mild and self-limited symptoms of unknown etiology that frequently present to primary care physicians) with recurrent complaints that present puzzling diagnostic dilemmas and even more difficult treatment barriers. Adding to the difficulty, after being informed that no medical/surgical illness has been found and that the symptoms cannot be explained fully by a medical diagnosis, adolescents or their parents may continue to seek repeated medical/ surgical evaluation and treatment.

This article addresses the shortcomings of commonly used diagnostic categories and therapeutic strategies, counterbalanced by the advantages of the biopsychosocial approach in the context of somatoform disorders. It also includes practical suggestions and clinical pearls for primary care providers who evaluate and treat adolescents who have somatic symptoms. Following a description of the present DSM-IV diagnostic algorithm in the somatoform spectrum, a discussion of an alternative approach that applies the biopsychosocial approach to adolescents is described. By offering strategies that can be applied to all adolescents, regardless of their symptoms, this article presents an approach that is especially useful in the diagnosis and management of adolescents who have psychiatric problems, with or without somatic symptoms. Each of the following scenarios represents an actual case that was referred to the author for an adolescent medicine consultation at some point in the course of a somatoform illness. They highlight some potential pitfalls in the management of these challenging conditions, and are used to emphasize the value of the biopsychosocial approach for all of the conditions that are addressed in this issue.

Case scenarios

A 16-year-old girl had been evaluated by an ophthalmologist, an allergist, and an otolaryngologist, and was admitted to the hospital by a neurologist because of unrelenting headaches that made it impossible for her to attend school regularly. She had a history of abdominal pain, vomiting, and diarrhea that were attributed to “food allergies”; chronic fatigue and rheumatic symptoms that were attributed to “fibromyalgia”; and recurrent chest pain that was attributed to “costochondritis.” The adolescent medicine consultant returns to the patient’s room as she is being transported for a repeat electroencephalogram (EEG), now with nasopharyngeal leads. Her mother turns to him and says “I hope that they find something…”

A 12-year-old boy had “seizures” while playing soccer. Treatment for asthma had been initiated 4 months earlier, but without improvement in his wheezing. EEG with video monitoring is normal and pulmonary function tests reveal flow-volume loops with inspiratory flattening, which is characteristic of vocal cord dysfunction.

A 15-year-old girl was evaluated for chronic midepigastric pain. After extensive inpatient testing, she was transferred to a university hospital, where repeat tests remained normal and endoscopy failed to identify the cause of her pain. Adolescent medicine consultation revealed that her estranged father had remarried recently and taught at her school. He had not visited her during hospitalization, but had shown much attention to his stepdaughter when she was ill with abdominal pain. The patient described herself as “much more mature than my classmates” and as a “drama queen.” Regular outpatient visits with the adolescent medicine specialist, using a somatically oriented cognitive behavioral approach to symptomatic relief and resolution of ongoing family conflicts, resulted in gradual improvement.

Two years later, she presented to her primary care physician with acute lower abdominal pain. Because of her history of somatoform pain disorder, he focused on stressors and learned that she had not resolved her conflict with family members, but was planning to move to New York City to become an actress. Brief palpation of her abdomen revealed tenderness, but she seemed to “overreact” to the physical examination. She was prescribed antacids, and was recommended to work on family relationships. Five days later, she presented to the Emergency Department because of worsening pain. When a pelvic examination was performed, 75 mL of pus from a ruptured pyosalpinx spontaneously drained from her posterior vaginal vault.

A 17-year-old boy was evaluated for recurrent back pain that was worse at night, but which responded quickly to ibuprofen. He was a well-known scholarathlete from a small rural town, who was feeling “overwhelmed” by stress. The best player on a winless football team, he mentioned to his physician that it would be good to have an “excuse” not to be on the team. He said, “Could you give me an excuse, Doc?.. Just kidding.” He reported trouble sleeping because of the pain and “all the things on my mind.” Physical examination and standard radiographs of the spine were unremarkable; fluoxetine was added to the ibuprofen because of symptoms of depression and anxiety. When the pain did not improve, he was referred to an adolescent medicine specialist for counseling. Because of his history, a CT scan was obtained first, which revealed a suspected small vertebral osteoid osteoma. After this was removed, his pain did not return, but he continued to work on coping with stress, and expressed relief that his pain was not “all in his head,” as he had presumed when prescribed fluoxetine.

Potential pitfalls in diagnosing somatoform spectrum disorders in adolescents

Limitations of the Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition in somatoform disorders

The classification scheme that is applied to psychiatric conditions, the DSM, now in its fourth edition and published by the American Psychiatric Association, highlights characteristics or unique features of various mental health diagnoses. Mayou and colleagues [3] recently concluded that the “existing category of somatoform disorders may be regarded to have failed” because (1) the terminology is unacceptable to patients, because interpreting symptoms as merely a mental disorder in somatic form raises doubt about the genuineness of their suffering; (2) dichotomizing symptoms into those that reflect disease or are psychogenic in origin is theoretically questionable, incompatible with cultures that do not dichotomize mind-body issues, and countertherapeutic; (3) somatoform disorders do not form a coherent category and overlap with other psychiatric disorders (eg, depression, anxiety) that include somatic symptoms; and (4) the medical condition exclusion criteria are ambiguous-a patient could be assigned axis III (irritable bowel syndrome) and axis I (undifferentiated somatoform disorder or pain disorder) diagnoses for identical somatic symptoms.

In addition, the DSM-IV has limitations when applied to adolescents who have somatoform disorders because many primary care providers are not familiar with the intrica\cies and subtleties of a formal psychiatric diagnostic evaluation and the application of the five DSM “axes” (I = mental disorders; II = personality disorders and mental retardation; III = physical conditions and disorders; IV = psychosocial and environmental factors; V=global assessment functioning). In addition, most adolescents do not meet full criteria threshold, but fall to an “undifferentiated” or “not otherwise specified” level of specificity within a diagnostic category. Finally, diagnostic criteria for some conditions (eg, somatization disorder), are intended for adult populations, although a pattern of somatic symptoms is established clearly by adolescence.

Diagnostic and Statistical Manual for Primary Care, Child and Adolescent Version

To respond to these and other limitations in the DSM-IV, the American Academy of Pediatrics published a companion document in 1996. The Diagnostic and Statistical Manual for Primary Care (DSM- PC), Child and Adolescent Version takes into account the developmental issues that are considered in pdiatrie primary care [4]. With respect to somatizing and other symptoms that are assumed to have some relationship to emotional issues, the major advantage of this classification scheme is the creation of two hierarchical subthreshold categories for patients who have symptoms: those that do not interfere with everyday functioning, but that might benefit from intervention (somatic complaint variation V65.49), and those that cause distress or impairment (somatic complaint problem V40.3). The formal DSM-IV criteria are retained in DSM-PC for the most symptomatic patients. Some health insurers do not reimburse visits that are labeled only with “V-codes,” although the recognition of such may lead to significant cost savings in the avoidance of unnecessary diagnostic tests. Thus, the DSM-IV remains the standard coding system that is used most commonly in practice and in research; however, rigid adherence to any of the criteria in DSM-IV can be counterproductive clinically. As Morrison noted [5], “diagnoses are not decided by criteria; diagnoses are decided by clinicians, who use criteria as guidelines.”

Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition diagnostic algorithm for somatoform disorders: potential problems at every step

Ruling out underlying medical conditions

The first step in the diagnostic algorithm in somatoform disorders that is suggested in DSM-IV [1] is to rule out an underlying medical condition that might explain the symptoms. This usually involves diagnostic testing that might include: (1) analysis of blood, urine, stool or spinal fluid; (2) indirect imaging by ultrasound, radiographs, CT, or MRI; (3) direct imaging of internal organs by endoscopy or laparoscopy; or (4) procedures that are related to the function of the heart (eg, ECG or echocardiograms), lungs (eg, pulmonary function tests), brain (eg, EEG), metabolism (eg, breath hydrogen), or other targets that are suggested by the symptoms. When presented with symptoms that are not accounted for by history or physical examination, physicians may perform a battery of tests, some of which will be uninformative and unnecessary either “to be complete” and to reassure themselves, or to respond to pressures by the patient or parents to “find out what is wrong.” Because diagnostic tests rarely have 100% sensitivity to detect pathology, some amount of residual uncertainty remains with negative results. Because of false positivity, the more tests that are performed, the greater is the likelihood that some “abnormality” will be detected.

Although such a strategy may satisfy an individual physician’s required level of diagnostic certainty that a medical condition has been “ruled out,” a series of negative tests may lead to requests or demands from the adolescent or parents for additional tests. Often, these consumers arrive at an office visit armed with misinformation that has been gleaned from the Internet. Sometimes the requests are for unusual tests, such as to detect “dysbiosis” that is related to “yeast overgrowth,” which is diagnosed by the presence of antibodies of unknown significance. Often, the sources of such information are for-profit entities (a web address ending in “.com”). Thus, in practice, a physician often is faced with the dilemma of diagnostic testing that confuses, rather than clarifies, “what is wrong.” On the one hand, “absence of proof does not constitute proof of absence. ” Conversely, the presence of abnormal findings (eg, gallstones) does not necessarily account for symptoms (abdominal pain), and the presence of a medical diagnosis may be distracting and cause a psychiatric condition to go unrecognized.

Thus, “normal” findings may not be reassuring, because they are interpreted by the adolescent as “my doctor thinks that nothing is wrong” or “the symptoms are all in my head” (eg, the boy who had osteoid osteoma). This is especially true if a physician follows a report of negative test results (“good news, everything is normal”) with questions about underlying stress or emotional problems that might be causing symptoms. When a physician reports negative test results and then inquires about stress, a linear cause-effect relationship reasonably can be inferred. It is understandable why an adolescent might conclude that the physician believes that symptoms are being “faked,” are due to “emotional instability,” or are used to get “attention.”

Thus, when adolescent patients or their parents seem to be disappointed when they learn of “normal” test results, the reason may be iatrogenic. When diagnostic tests are preceded by a statement such as, “we will do some tests to see what is wrong,” the implication is that the tests will result in a diagnosis. From the patient’s perspective, normal tests mean that the diagnosis remains unknown and the prognosis is uncertain, so the logical next step would be to obtain more tests. Negative test results also are distressing because adolescents may infer that without a positive test, there will not be any effective treatment and the symptoms may continue indefinitely. This only exacerbates the suffering that is being caused by the symptoms. Such was the case with the 16-year- old girl in the case scenarios, who already had established a pattern of bodily symptoms that was well on its way to somatization disorder.

If the physician indicates that no further studies are indicated because “everything has been normal so far,” the patient or parents often become resentful because the severity of the symptoms is often not perceived as being appreciated by the physician. Likewise, there may be a sense of abandonment when the patient hears statements like “there is nothing more I can do for you,””you will just have to learn to live with it” or, “you need to see a psychiatrist, because I cannot find anything wrong with you physically.” These are additional ways in which a rift in the patient-physician relationship occurs. Obtaining more tests may mend this rift temporarily, but when more negative test results are returned, a vicious cycle has already been set in motion. Some practitioners believe that performing “too many” tests only may reinforce the belief that a medical condition exists, which “feeds into the illness.” Not performing “enough tests” may indicate to the adolescent or parents that the symptoms are not being taken seriously, which often leads to “doctor shopping.” The medical care of patients who have somatoform disorders requires a balance of art and science that can help to avoid some of these pitfalls.

Involuntary versus voluntary (intentional) symptoms

The second step in the DSM-IV diagnostic algorithm is to determine if the adolescent is producing symptoms intentionally. The purpose of this step is to distinguish somatoform disorders from factitious disorder (Munchausen syndrome) or malingering, in which symptoms are produced intentionally to assume the sick role, or for some external gain, respectively. Although the somatoform disorders are characterized by symptoms that are not under voluntary control, attempting to determine if symptoms are produced intentionally tends to be counterproductive in clinical practice; it undermines the trust that is required in a therapeutic partnership between a physician and an adolescent patient. Furthermore, it is nearly impossible to determine if symptoms are being feigned; attempts to do so are inferred as the physician believing that symptoms are being produced to avoid something negative (primary gain), to obtain something positive (secondary gain), for attention, or because of psychologic illness. . i

If an adolescent perceives that his/her physician believes that he/she might be “faking it,” the formation of a therapeutic alliance is extremely difficult. In practice, there is little clinical advantage to identifying symptoms as being under voluntary control in the early phases of assessment. Either side of the clinical algorithm presents a slippery slope. Adolescents who are not intentionally producing symptoms are offended and suffer further because they are not believed, or worse, are believed to be “crazy”; adolescents who are producing symptoms intentionally may become indignant, or escalate or modify their symptoms. This dynamic tends to produce resentment on the part of physicians (suspicious of being duped) and defensiveness on the part of patients (for not being believed).

Additionally, it can lead to splitting of parents, if one parent/ stepparent believes that the adolescent is “making up” symptoms, while the other parent/stepparent believes that a medical condition is “being missed” by the physician. Such was the case with the 12- year-old boy in the case scenarios. Because conversion disorder was suspected before the video-EEG was performed, adolescent medicine consultation was obtained early in the course of the illness, and the normal EEGwas interpreted as reassuring. In addition, because a positive diagnosis of conversion disorder was made, the diagnosis of asthma also was reconsidered and was changed to vocal cord dysfunction, based on inspiratory flow-volume loops. Because of this process, his mother and father were unified in the approach to treatment. Of course, if the diagnosis of factitious disorder is being entertained, it is important to corroborate data from numerous sources, but not to confront the adolescent or parent directly until confirmatory data have been obtained. The production of signs or symptoms to assume the sick role-whether by the adolescent or by a proxy-can be associated with significant harm, including death, and always represents significant psychiatric illness. It must be approached cautiously, and should not be avoided.

Symptoms caused by unresolved conflict or stress

The third step in the DSM-IV diagnostic algorithm is to determine if unconscious, unresolved conflict or stress is related to the symptom pattern. In conversion disorder, stress or unresolved conflict that cannot be dealt with on a conscious level is interpreted to submerge below the level of awareness, but emerge as (is converted into) somatic-often neurologic-symptoms. Thus, the symptom often has symbolic meaning, and reflects a “model” [6]. Classically, primary and secondary gains can be identified that represent something that the adolescent is avoiding and is approaching, respectively. The avoidance-approach dynamic is not unique to conversion dynamics, but it provides homeostatic balance by allowing the adolescent to avoid the source of stress or unresolved conflict (primary) and to approach something desirable, such as attention (secondary). As is true of the other elements in the DSM-IV algorithm, this criterion is difficult to apply clinically because it is not clear how one can determine if psychologic factors are related etiologically to the somatic symptoms.

Similar to the dilemma regarding attempts to determine if symptoms are produced intentionally, there is little advantage to make a definitive cause-effect linkage between emotional distress and physical symptoms in conversion or pain disorder. Recognizing that the proposed dynamic reflects the emergence of somatic symptoms because of stress or conflict that could not be dealt with on a conscious level, it is clinically useless and potentially countertherapeutic to bring these issues to conscious awareness during symptom assessment. Treatment is directed at helping the adolescent to resolve the conflict or develop alternative coping skills and to gain insight into how future problems might cause their bodies to function improperly. A physician who merely points out the link between somatic symptoms and emotional distress does not make affected adolescents competent to deal with underlying problems.

Likewise, the presence of significant stress or unresolved conflict does not mean necessarily that the symptoms are causally related. Although the 17-year-old in the case scenarios had acknowledged not coping well with life stressors that deserved attention, their presence caused his physician to miss the symptoms of osteoid osteoma. The history of somatoform pain disorder in the 15-year-old girl sidetracked her physician, and precluded an interval history and physical examination, which caused her pelvic inflammatory disease to be overlooked.

Failure of the biomedical model in somatoform disorders

Faced with all of these problems, it is understandable that Silber and Pao [7] noted that many clinicians are “baffled by the onslaught of symptoms, become annoyed by the time consumed in caring for patients who are ‘not really sick,’ or feel frustrated by the never-ending recurrent complaints.” Fabrega [8] emphasized that the biomedical paradigm espoused by Western medicine, is in part responsible for this situation, because it reduces a patient’s subjective distress and impairment to objective disease and pathophysiologic processes understood only in terms of biophysical or chemical processes.

The prevalence of these conditions adds to the challenge to clinicians. Somatic complaints are common in primary care [9-13]; recurrent abdominal pain accounts for up 5% of pediatric office visits, and headaches, nausea, chest pain, or fatigue are reported by 10% of adolescents [7]. Some somatizing adolescents have coexisting psychopathology, family conflict, school absenteeism, and increased use of health and mental health services [14], as well as emotional problems [15,16] and persistent physical symptoms later in adulthood [17], which compounds this situation. Therefore, a different paradigm is needed for diagnosis and treatment. The biopsychosocial approach offers many advantages with respect to somatizing adolescents and their families.

The biopsychosocial approach in adolescent medicine

Proposed by Engel [18] in a landmark article in the journal Science in 1977 [18], the biopsychosocial approach offers a means of incorporating existing, as well as emerging and new areas (eg, psychoneuroimmunology), that better explain the cause and treatment of all symptoms that might present in health care settings than does the traditional dualistic approach in which illness is dichotomized into two domains: the body or the mind (Fig. 1). Thus, it “supplements and enriches the discoveries of biomedicine, rather than undermining them” [19]. Central to the biopsychosocial model is an appreciation of the continuum of hierarchical natural systems that always are interacting at any point in time in a patient’s experience of symptoms. Engel noted that “each level of hierarchy represents an organized dynamic whole. . .(with) qualities and relationships distinctive for that level of organization. . .In no way can the methods and rules appropriate for the study and understanding of the cell as cell be applied to the study of the person as person or the family as family” [19]. Furthermore, “each system as a whole has its own unique characteristics and dynamics; as a part it is a component of a higher-level system” [20]; however, “neither the cell nor the person can be fully characterized as a dynamic system without characterizing the larger system(s) (environment) of which it is a part” [20]. Thus, “with the systems hierarchy as a guide, the physician from the outset considers all information in terms of systems levels and the possible relevance and usefulness of data from each level for the patient’s further study and care” [20]. In practice, Frankel and colleagues [21] noted that “a comprehensive understanding of every aspect of care from diagnosis to treatment depends upon an appreciation of both linear and nonlinear processes associated with disease and illness.”

Fig. 1. Biopsychosocial model. (From Engel GL. The clinical application of the biopsychosocial model. Am J Psychiatry 1980;137:537; with permission.)

Another important contribution to the literature was Medical Choices, Medical Chances, a book that was published in 1981 by Bursztajn and colleagues [22], which was based on the fact that the practice of medicine inevitably involves probabilities and uncertainties. The way in which uncertainty is handled by a physician can increase suffering or promote healing. Although often considered distinct and separate, subjective domains (eg, patient- reported history, symptoms) and objective domains (eg, physical examination, laboratory findings) are continuous and interactive in this viewpoint. As Cassell [23] pointed out, regardless of the diagnosis or the underlying emotional issues “the patient does not have the option, nor the interest, to relate things objectively where illness is concerned.” Although the diagnostic process traditionally begins with the history, he also noted that “taking a history is unavoidably and actually an exchange of information” [23]. Therefore, issues of cross-systems relationships, trust, and therapeutic partnerships become central to the suffering that the adolescent and family is experiencing and to the healing process. Nowhere is this truer than with adolescent “psychiatric” issues, not only because of the intrinsically subjective nature of the suffering, but because psychiatric diagnoses tend to be highly stigmatized in many cultures. Within psychiatric diagnoses there probably is no greater risk of doing unintentional harm-as well as the potential for doing good-than in the somatoform disorders. The emphasis of the remainder of this article is on the latter.

The recent emergence of biologic psychiatry, with its focus on neurotransmitters and neural circuitry, also runs the risk of being reductionistic. For example, simplifying adolescent depression to the level of a “chemical imbalance in the brain,” addresses only the molecular contribution to the illness. Although such a framework may minimize stigmatization and enhance the acceptance by patients or parents to use medications that “restore balance,” it ignores the other contexts and systems in an adolescent’s life. This is especially true if a 15-minute medication check with a psychiatrist only targets symptom reduction and medication side effects. As pointed out by Sharf and Williams in the article on psychopharmacology elsewhere in this issue, medication can be a useful tool in the treatment of adolescents who have psychiatric symptoms; however, its optimal effect is realized when it is used as a component of a multi-pronged therapeutic approach. Addressing the molecular systems level is important, but the larger view biopsychosocial approach must be integrated into the other systems that are operating in an adolescent’s life.

Communication in adolescent somatoform disorders

Language in communication

The word “communication” is derived from the Latin communicare (to share, or to have in common). Most adolescents see themselves as having little in common with their physicians, so communicat\ion may be limited. Patients who have somatoform symptoms may have additional difficulties communicating, based on the diagnostic approaches that sometimes are used. If a patient and his/her physician share the goal of understanding the likely cause of symptoms and developing a treatment plan that is likely to restore function and promote healing, then successful outcomes are possible. The best way to establish shared goals is through spoken language.

Spoken language in clinical interactions has two dimensions that are relevant to the patient and the provider: receptive and expressive. Although adolescent patients rarely are aware of these issues, clinicians who treat adolescents must attend to receptive and expressive language for the patient and the provider. To emphasize the importance of this concept, Cassell [23] noted that “spoken language is our most important diagnostic and therapeutic tool, and we must be as precise in its use as is a surgeon with a scalpel.”

During diagnosis, language can be an impediment in working with adolescents who have somatoform symptoms. Several examples were illustrated, but others can be considered. For example, seizurelike activity may be labeled as “psychogenic,” whereas abdominal pain is called “psychosomatic.” Regardless of the root term that follows, many adolescents and their parents regard the prefix “psych” as a negative and nonvalidating term. “I cannot find anything wrong with you” is not helpful on several levels. Depending on where the emphasis is placed (or perceived) in this comment, an adolescent might infer that: (1) another physician might be able to find something wrong, (2) there is nothing wrong, (3) the symptoms are being imagined, (4) the symptoms are being falsified intentionally, or (5) there is nothing that can be done. Silber and Pao [7] noted that the concept of “functional versus organic” misses the mark, because it does not reflect the current thinking that symptoms are the result of a complex interplay of several factors.

Identifying pain as “real”

Traditional wisdom teaches the importance of clinicians acknowledging explicitly to the patient who has somatoform pain disorder their belief that the pain is “real”; however, patients often realize that this is a forced and unnatural response. Adolescents who have a broken arm, appendicitis, or strep throat are not informed that their pain is real; explicitly validating symptoms can have the unintended effect of invalidating them. Patients who are referred to adolescent medicine specialists by organ-based specialists note, not uncommonly, “The doctor who sent me here said that he knows that my pain is real, but I think that he was just saying that and did not really believe it.”

Therein lies a subtle, but critical, point with respect to communication, which is applicable to somatoform disorders. In addition to the actual words of spoken language that are expressed and received in communicating, there is an unspoken need for the words to be authentic and truly express what the physician and the adolescent patient truly believe. Pellegrino [24] pointed out that, “a person becomes a patient when, in his perception of his own existence, he passes some point of tolerance for a symptom or debility and seeks out another person who has professed to help. The patient bears and suffers something, and his expectation is that every act of the physician will be to relieve him of that burden and restore his lost wholeness-which is, incidentally, the meaning of the AngloSaxon word heal.”

“Believing” reported symptoms

Physicians may not believe that the symptoms (eg, pain) that are experienced by a patient who has somatoform disorder are real, when “all of the tests are negative.” A significant amount of time may be invested by clinicians to determine if an adolescent is trying to: (1) avoid something (primary gain), (2) seek attention (secondary gain), or (3) feign symptoms for an internal or external reward. Although adolescents who have somatoform disorders may lack interceptive awareness, they usually are extremely sensitive and aware of any lack of authenticity. Scrupulous attention to honesty requires the physician to acknowledge uncertainty.

Therefore, beliefs about the symptoms are more important than what is spoken about the symptoms; acknowledging that pain is real can cause an adolescent to suffer more if the words expressed say “1 believe you,” but the message received says “I do not believe you.” As a basic principle, Cassell [23] suggested that physicians “accept that physical symptoms always have a physical basis no matter what the underlying cause.” Understanding the significance and meaning of symptoms is important in the diagnosis and in planning treatment.

Changing our understanding of symptoms based on scientific knowledge

Dysmenorrhea provides an excellent example of the limitations of the language and our understanding of adolescent somatic symptoms and their relationship to psychologic issues. Between 1972 and 1989, a highly respected quarterly pediatric series published three articles on adolescent dysmenorrhea. In 1972, primary dysmenorrhea was defined by Sloan [25] as “the presence of painful menstruation in the absence of any somatic or pelvic lesion. The term intrinsic. . .was derived from the belief, sometimes still held, that the etiology for the pain lay in the uterus itself.” Based on this understanding, he stated “the cause. . .that can account for the vast number of cases is and remains psychogenic. As stated, this is almost 100% true in the patient in her teens or younger” [25].

By 1981, advances in our understanding of menstrual physiology led Gantt and McDonough [26] to define primary dysmenorrhea as “painful menstruation without significant pelvic pathology.” Citing scientific findings over the previous 5 years based on microtransducer techniques, and studies of pain receptor physiology and a variety of prostaglandins and their metabolites, they concluded that “the common denominator in most women with primary dysmenorrhea is excess myometrial activity” and “the importance of psychological factors in dysmenorrhea is dubious” [26]. In the 1972 article, the focus was on the patient almost to the exclusion of the pain, whereas in the 1981 article, the focus was more on the pain, with less attention on the patient.

A more balanced approach than either of these dualistic conceptualizations was offered in 1989 by Coupey and Ahlstrom [27], who synthesized knowledge about the physiology and psychology of dysmenorrhea and noted that “some adolescent girls will be found to have disability related to menstrual cramps that seems out of proportion to the severity of the pain. Occasionally, an underlying psychosocial problem,. . .personal or family problem may be contributing to the decreased pain tolerance and heightened anxiety centered around the menses in these girls.” This formulation considers the pain in the context of the patient and the various domains that affect pain.

In addition to spoken language, the astute diagnostician interprets the body language of the adolescent patient as part of the evaluation, and makes use of body language and other techniques to facilitate the adolescent’s expressive language. These techniques include: (1) giving the patient undivided attention (writing as little as possible and making direct eye contact), (2) using reflective language to clarify traditional elements of the history (eg, timing, location, radiation, quality, severity, precipitants, and relievers of pain as well as any associated symptoms), (3) using a conversational style to identify things that the patient is unable to do as a result of the symptoms, (4) developing a differential diagnosis that include specific diagnoses or diseases that the patient (and parents) might be worried about. All of these are directed at helping the clinician to understand the story and the meaning of the illness, as well as the suffering that is caused by it. As Cassell [23] pointed about, “thinking about symptoms, attaching meaning to them, searching for explanations, are a much a part of the illness as are its physical expressions. These thoughts are not caused by the illness, they are part of the illness.”

Using reflective listening to establish a therapeutic partnership

Reflective listening goes beyond not talking. It requires being attentive to subtle nuances of verbal and body language. The physician should not expect to get “facts” from the patient and parents, but an “understanding of what it is like for the patient to be sick.” Central to this process should be an exploration of the fears, worries, or concerns that might be evoked by the symptoms- for the adolescent or the parents. Because what may be stressful to one adolescent may be inconsequential to another, it is important not to make assumptions. There are two major fears that adolescents who have somatoform symptoms often have: an unrecognized physical illness or unrelenting symptoms. The somatizing 16-year-old in the case scenarios had both. These can lead to adolescents seeing themselves as vulnerable, and they may be “overprotected” by parents. As Epstein and colleagues [28] noted, in determining any previous assessment or treatment, the emphasis needs to be on the “experience of the illness.” One also must be aware that circumstances change over time. The 15-year-old girl who had somatoform pain disorder had initiated unprotected intercourse and had developed pelvic inflammatory disease.

Nonverbal communication

Communicating with adolescents who have somatic symptoms need not occur only through spoken or body language. Specifically, asking the patient to keep a detailed daily journal that includes all activities and symptoms can provide written documentation of patterns that are impossible to capture in conversation. This also emphasizes to the adolescent that the symptoms are being taken seriou\sly. Alternatively, patients may find it easier to communicate about their illness through poems or drawings. All of these nonverbal formats serve the dual purpose of aiding in the diagnostic process by adding dimensions that usually are not included in traditional medicine, and being therapeutic, because they give the patients an opportunity to express themselves by a means other than through somatic symptoms.

Applied principles of the biopsychosocial approach in adolescent somatoform disorders

There is not a large evidence base regarding the treatment of somatoform disorders in adolescence. In the literature, the sequence of events often is described as assessment, followed by diagnosis, followed by treatment. In practice, these are not discrete processes, but are highly iterative. Rather than address the specific diagnoses separately as occurs in the DSM-IV, the approach that is used by family physicians [29,30] is more applicable in the primary care of adolescents. Campo and colleagues [9,14,15,31] have translated what is known about adult somatoform disorders into pediatrics; their contributions form the basis of many of the principles regarding the management of somatizing adolescents that follow.

Fig. 2. Somatoform disorders: functional gastrointestinal disorders as a model. (Modified from Drossman DA, editor. Rome II: The functional gastrointestinal disorders. McLean (VA): Degnon Associates; 2000. p. 4; with permission.)

The functional gastrointestinal disorders as a model

The gastrointestinal (GI) system is among the most vulnerable to dysfunction, based on psychosocial influences (Fig. 2). Thus, the criteria for the diagnosis of somatization disorder includes two GI symptoms other than pain. Recognizing the profound interaction between the gut and the brain, the biopsychosocial conceptualization was defined clearly and broadly by an international group of GI specialists that developed a compendium, now it its second edition, entitled Rome II: The functional gastrointestinal disorders: diagnosis, pathophysiology and treatment: a multinational consensus [32]. This 764-page monograph focuses on helping the clinician and investigator to: (1) make a positive diagnosis of disorders that result in pain, nausea, vomiting, diarrhea, constipation, or any combination of these-after metabolic, infectious, neoplastic, and other structural abnormalities have been excluded; (2) understand the pathophysiology of these conditions; and (3) make effective treatment decisions. Rome II is a model for all other organ-based specialties to address functional symptoms that are central to somatoform disorders.

The gut is one of the most vulnerable organ systems in the body with respect to psychosocial problems causing symptoms. Although several different systems interact with each other, the brain-gut interactions have been studied the most widely. The central and enteric nervous systems seem to function in interdependent processes that are only beginning to be understood. The resultant GI pathophysiology is not detectable with traditional tests (blood, urine, or stool), or imaging techniques, and the perception of sensations is totally subjective. Therefore, the diagnosis of a functional GI disorder relies heavily on history and physical examination, rather than on excluding a medical or surgical illness. The resulting behaviors and the way in which these conditions are managed by clinicians can have an influence-either positive or negative-on an adolescent’s outcomes and quality of life. The similarities between this model, applied to functional GI symptoms, and our present understanding of dysmenorrhea, applied to functional gynecologic symptoms, are striking.

Targeted history to demonstrate attention to detail and identify medical/surgical conditions

Agreeing on the diagnostic process

A first step in the process of exchanging information (mistakenly labeled as “taking” a history) in somatoform disorders is to have all parties (clinician, adolescent, and parent) agree that physical symptoms have physical causes, but that these are due to pathologic or functional processes. Pathologic processes (eg, inflammation, infection, cancer) cause cellular disruption, tissue damage, or anatomic distortions that can be detected by a variety of tests, imaging procedures, or direct visualization with endoscopy. Other pathologic conditions (eg, epilepsy, cardiac conduction defects, lactose intolerance) are detected through procedures, such as EEG, ECG, or breath hydrogen measurement. Pathologic processes require medication, surgery or both, but also may benefit from supportive treatments that are prescribed with functional disorders. Thus, a daily routine, including a healthy diet and good sleep hygiene, physical activity, social supports, and skills to deal with stress, can be helpful. Functional processes can result in symptoms that are just as debilitating as pathologic ones, but are related to disruption of normal physiologic function to a degree that might not be detected by “testing.” Thus, the history and physical examination become essential elements in diagnosis. The example of a muscle spasm in the calf (“charley horse”) can help patients and parents understand what is meant by a functional disorder. This example is useful in the case of parietotemporal headaches or colicky abdominal pain, in which muscle contraction is the cause of the pain, although the resulting degree of distress and social dysfunction may be extreme. Mothers are especially likely to relate to this, because calf muscle spasms are common during pregnancy. The clinician can point out that muscles function by contracting and relaxing. If a muscle contracts and stays that way (spasm), the result is painful and tender to the touch, but any blood test, imaging, or even a biopsy of the muscle would be “normal.” Generally, functional disorders are diagnosed by history and physical examination; testing is performed to exclude conditions that might represent a threat to health or that may require different treatments.

Detailed history focused on the presenting symptoms

When somatoform disorders are being considered, some practitioners focus on psychosocial issues: wanting to avoid “reinforcing that something is wrong,” but to “go where the money is.” Experience suggests that it is better to focus meticulously on “chief complaints.” This does not reinforce illness, but gives a message that the symptoms are being taken seriously and prepares the patient for talking about symptoms, rather than testing for symptoms. The timing, location, radiation, quality, severity, prcipitants, and relievers of pain, as well as any associated symptoms, should be explored. With respect to functional disorders (eg, those that suggest a neurologic disorder, even if the symptoms are not in keeping with recognized neuroanatomy or physiology), the story of the symptoms should be examined in detail.

Although the history should focus on the details of symptoms, medical and psychosocial issues should be examined together; the assessment lays the groundwork for treatment. Thus, when an adolescent reports that her body “hurts all over,” inquiry about “What does that hurt stop you from doing?” puts the symptoms in the context of psychosocial issues. Even if a patient has a serious medical or surgical condition, it is important to know something about how an adolescent patient might cope with such a condition. Hippocrates is credited with the adage “I would rather know what kind of person has a disease, than what kind of disease a person has.” This is less likely with a “vertical” assessment process, in which medical conditions are addressed first, followed by an exploration of psychosocial factors only after there is a lack of medical evidence to account for symptoms. With a “horizontal” assessment, medical symptoms and psychosocial factors are addressed side by side; the latter are considered as a context in which to understand medical diagnoses or as a possible primary cause for symptoms. This approach also will reveal strengths and vulnerabilities that the adolescent and family have, and increase the likelihood of making a positive somatoform diagnosis, rather than one by exclusion.

History between visits essential to establish patterns

A daily journal of symptoms that is kept by the adolescent can help to establish patterns of what makes symptoms worse or better. An emphasis on the latter is useful in the treatment phase, because somatizing patients often report that “nothing makes it better.” If a parent completes a symptom journal for an adolescent, this is evidence that the suffering is extending to family members. If one asks an adolescent to keep such as journal, it is important to review the log during each visit. Otherwise, the patient may assume that there is not a real interest in the symptoms. Significant progress is being made when the adolescent is able to say, “I do not want to talk about what is in the journal anymore, I want to talk about the trouble that I am having with my parents.”

Physical examination focused on symptoms

Regardless of how unlikely it may seem that any abnormalities will be detected based on the history, a physical examination to determine the cause of functional symptoms should occur on the initial visit, as well as on subsequent visits. Patients who have neurologic symptoms should have a neurologic exam, using as many techniques that involve the “laying on of hands” as possible, including indirect ophthalmoscopy, deep tendon reflex testing, cranial nerve evaluation, and evaluation of cerebellar function. On follow-up visits, this can be done quickly; the interval history can be obtained and feedback regarding findings can be given during the examination. Physical examination for adolescents who have suspected somatoform disorders (1) reinforces the diagnosis of a somatoform condition for the physician; (2) identifi\es any changes that might occur over time, acknowledging that a positive diagnosis of a somatoform disorder is never 100% certain; and (3) demonstrates to the adolescent and parents that the illness will be monitored closely, even though this may not include diagnostic testing.

Laboratory and imaging studies

Laboratory and imaging studies should be selected based on the history and physical examination. Somatizing adolescents or their parents may ask for specific tests to be performed (eg, MRI for a headache, upper GI for abdominal pain). Such requests need to be interpreted with care; they may be generated by (mis)information that was obtained from television, the Internet, friends, or family members. Rather than outright rejection of a test as “inappropriate,” one can respond, “We could get that test, but it only would tell us about anatomy. Based on the history, I suspect that the cause of your pain is due to muscle spasms that will not show up on any test. ” If the symptoms and physical examination cause diagnostic uncertainty, the least invasive test that provides necessary information should be obtained. For example, an ultrasound of the abdomen can provide a great deal of detail. When such a test is reported as “normal,” it can be helpful to review the details of the study-in visual (the actual study) and written forms (report)- with the adolescent and parents. Similar to the detailed history and physical examination, this transmits the fact that the diagnostic process is being conducted carefully to identify any pathologic conditions.

Before any diagnostic procedures are performed, it is worthwhile to prepare the adolescent and parents for the expected results, including a positive framing on “negative” studies. One could say, “Based on your history and physical examination, I feel confident that your headaches are due to muscle spasm. The muscles that are most tender are those on the side of your head that attach to your jaw. As I showed you in the anatomy book, they are called the temporalis and masseter muscles. But, you and your parents are still worried that you might have a brain tumor. We can get a CT scan to provide reassurance that there is no tumor. You already know some of things that cause your headaches to get worse, but there may be others that we have not figured out yet. Even before the CT scan comes back normal, we can work on some things that should help reduce your pain and suffering. For one thing, you are not sleeping very well and we know that sleeping problems can cause these muscles to tighten. You also seem to have a lot of worries, which also can cause involuntary contraction of the scalp muscles that attach to the jaw.”

Applied physiology in diagnosis and the development of intervention strategies

As Barsky and Borus [33] pointed out, without an explanatory model for the symptoms, negative findings provide little reassurance to the patient and family. But, as pointed out by Campo and Fritz [9], after a somatoform disorder is the operating diagnosis, the clinician should present the diagnostic impression clearly, frankly, and directly; however, this should be done in a manner that builds a foundation for intervention. Three physiologic explanations can be used to provide an understanding of the likely cause of symptoms, alone or in combination.

Conditioned responses

Conditioned responses are well-recognized patterns that are based on normal physiology, in which a repeated stimulus causes a repeated response. The result is that the response can occur in the absence of the original conditioning stimulus, especially if it is linked with another stimulus. With operant conditioning, symptoms are self- perpetuating. Thus, symptoms that may have been initiated by a virus or other agent, “take on a life of their own.” Most adolescents and parents are familiar with the concepts of conditioned response in the context of training desired animal behaviors. Using this paradigm, symptoms are viewed as undesired conditioned responses, and operant deconditioning can be included as an element of treatment. To avoid the impression that this is something that is being done to the adolescent, one should include the adolescent in the development of the deconditioning strategies that are used for symptom reduction.

Multiple triggers and precipitants

Because mind-body disconnections often lead to polarized viewpoints about symptom causation, patients often interpret any psychologic interpretation as “you think it is all in my head.” To avoid this dichotomization, it may be helpful to discuss with the adolescent how the body has a limited number of ways to respond to various triggers (ie, the muscles of the GI tract can contract or relax; bowel wall spasm or distention each can cause pain); however, many things can trigger a “final common pathway.” Bowel wall spasm causes the same pain, whether it is related to irritable bowel syndrome or to lymphoma. Factors that are mediated through the central nervous system-and therefore, are made worse by anxiety or depression-should be included in the list of triggers that are discussed. This is more realistic and accurate than there being a single “cause” for symptoms, and prepares the adolescent for working on psychologic issues, in addition to incorporating other therapies (eg, diet [including fiber], physical activity, bowel habits, antispasmodic medications, relaxation techniques). One can avoid the dichotomization by asking, “If working on psychological issues can help your symptoms improve by 10%, wouldn’t that be worth it? Now, I believe that your symptoms can improve a lot more than that, but there is no single thing that will provide full relief. It’s a package deal.”

Reflexes

Because adolescents who have somatoform disorders often are sensitive to implications that their symptoms are voluntary, purposeful, or intentional (possibly because of the DSM-IV diagnostic algorithm), it often helps to emphasize that several automatic, involuntary, subcortical “reflexes” are at work and cause symptoms. Function in the autonomie nervous system is based on the balance of sympathetic and parasympathetic tone. Insufficient or excessive activity or imbalance between the two arms can result in symptoms that are related to this dysfunction. The vagus nerve, which carries autonomie efferents from the brain to the heart, lungs, stomach, and intestines, has numerous outputs that can result in symptoms. Most adolescents are familiar with feeling “butterflies” in their stomach when nervous, and all parents are familiar with the gastrocolic reflex of infants.

The explanation for the symptoms that was provided to the 12- year-old who had conversion reaction in the case scenarios was, “The EEG was normal during the movements that looked like a seizure. Therefore, we know that the muscles were not twitching because of any messages coming directly from the brain, but they were twitching when they were not supposed to and you definitely did not want them to. Somewhere along the pathway between the nerves and the muscles, the messages to fire got mixed up. The same thing happens with the muscles that make your vocal cords move. When they are supposed to relax, they remain contracted part-way. That is why you had noisy breathing that sounded like asthma. The pulmonary function test shows the pattern of what happens if someone tries to breathe in when the vocal cords are not relaxed completely. Fortunately, the muscle twitching and the vocal cord dysfunction are not caused by anything permanent, and should get better over time. But, we do not have to just wait until your symptoms get better; there are some things that we can help you with to get those muscles contracting and relaxing the way you want them to, when you want them to. Some of my patients who have symptoms like these worry about them happening around friends or in school. So, we also need to work on helping you deal with worries.”

Prescribe face-saving interventions

The biopsychosocial approach that has been mapped out so far is highly interactive, and is a therapeutic partnership between the clinician and the adolescent. Underlying mood disturbance, anxiety, stress, or unresolved conflict need to be addressed. Because the presentation is somatic, the treatment must include some kind of somatic intervention, usually in combination with a variety of cognitive-behavioral interventions, such as described by McCann and LeRoux elsewhere in this issue. Family therapy also can be helpful [34], especially if the symptoms are disruptive to family functioning. Mental health treatment may be accepted more readily if it is described as a part of the treatment plan that is included in all such cases, and that the purpose of mental health intervention is to prevent secondary problems that might perpetuate symptoms. Framing the therapist as a professional who will help the clinician manage the overall care also can be helpful. It should be made clear that the primary care or specialty provider will continue to monitor the adolescent’s symptoms in partnership with the mental health therapist. Depending on the nature of the symptoms, the somatic interventions that are prescribed may be attention to daily structure of eating and sleep; physical, occupational, or speech therapy; or various complementary and alternative medicine (CAM) therapies (eg, biofeedback, yoga, massage, acupuncture). It can be useful to include the family in this phase of symptom management, because the family (especially grandparents) may have beneficial folk remedies that could be suggested. If physical, occupational, or speech therapy is prescribed, or if any CAM therapies are pursued, it is useful for the clinician to describe the situation about the adolescent to the therapists to avoid team splitting. Return to school is important because not attending school may cause the adolescent to fall behind academically. It may \be useful to have the patient return to school only after a prescribed period of tutoring to ensure that the patient is caught up with class work. Tutoring should not be open-ended, but should be based on the tutor’s assessment of the time that is needed. Some schools allow in- school tutoring, which provides a graduated re-entry into school; the adolescent is in the school building, but does not have the pressure of being in the classroom. The socialization that can occur in such circumstances can encourage the full return to school. Returning to school half-days initially also can smooth the re- entry process for adolescents who have missed a great deal of school because of somatic symptoms. The plan for school return should be previewed with the school nurse and guidance counselor to ensure that it is feasible and that someone will be able to monitor progress. Because of the dynamics of overprotectiveness that can arise in these situations, a parent may impede return to school. When such collusion is suspected, it may help to contact the other parent directly to engage his or her help in carrying out the plan.

Summary

Somatoform disorders are presented in the first article in this issue of Adolescent Medicine Clinics because the physical symptoms that cause the adolescent to present for diagnosis and treatment reflect the interaction of the psyche and the soma in ways that are poorly understood. Because of dualistic conceptualizations that are encouraged by technology such as MRI, CT scans and other technologically advanced tools, patients who have these conditions often suffer. As noted by Cassell [35], “suffering is experienced by persons, not merely by bodies, and has its source in challenges that threaten the intactness of the person as a complex social and psychological entity.” Clinicians who care for adolescents who have somatic complaints also suffer when they are unable to provide relief of an adolescent’s suffering. Cassell [36] noted that “physicians are less skilled at what were once thought to be the basic skills of doctors-discovering the history of an illness though questioning and physical examination, and working toward healing the whole person.” The biopsychosocial approach offers a means of working toward healing the whole person, and the focus of this article is on practical solutions to difficult challenges that are presented by adolescents and their families.

References

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[5] Morrison J. DSM-IV made easy: the clinician’s guide to diagnosis. New York: Guilford Press; 1995.

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Medical Conditions With Psychiatric Manifestations

By O’Brien, Rebecca Flynn; Kifuji, Kayoko; Summergrad, Paul

This article reviews medical disorders that may be mistaken for a primary psychiatric disturbance because of prominent and commonly associated psychiatric or behavioral manifestations. Although the main focus of treatment in such cases is on the underlying medical condition, symptomatic treatment for the psychiatric or behavioral manifestations should not be overlooked or even considered secondary; it should occur parallel to medical management. Several factors make the accurate diagnosis of psychiatric disorders due to medical conditions challenging. First, recognition of psychiatric illness in the general medical setting irrespective of cause is generally low. Second, adolescents who present with emotional or behavioral symptoms may not have symptoms that rise to the level of full psychiatric disorders (so-called “subsyndromal” presentations). Third, adult patients with known psychiatric illnesses have a higher rate of major medical disorders than those without a psychiatric diagnosis. Fourth, some psychiatric diagnostic criteria include physical symptoms (eg, fatigue or loss of energy in major depression, or tachycardia in panic disorder). Fifth, adolescents with behavioral and cognitive disorders may have difficulty in clearly describing their symptoms, whether they are somatic or psychiatric. Sixth, given the stigma often associated with mental illness even among professionals, once an adolescent is believed to have a psychiatric illness, somatic symptoms might be downplayed or ignored. Finally, physicians unfamiliar with psychiatric conditions may make psychiatric diagnoses purely by exclusion, by focusing on “ruling-out” medical conditions.

Box 1. Underlying disorders that cause delirium

Box 1. Underlying disorders that cause delirium

To avoid these pitfalls, the evaluation of adolescents whose behavioral symptoms may be secondary to medical disorders should proceed with a consistent and thoughtful approach. This approach should: (1) focus on cognitive symptoms (eg, hopelessness or sense of doom) more than on somatic symptoms (eg, fatigue, tachycardia), with symptom complexes that suggest major depression or panic disorder; (2) identify the details of any personal or family history of psychiatric illness and response to treatment, even if the phenotype in prior generations is different than the current presentation; (3) include a meticulous neurologic examination with appropriate emphasis on a full cognitive and psychiatric mental status exam as part of the physical examination, (4) search carefully and repetitively at the adolescent who does not respond to standard care, with special attention to symptoms that may have been overlooked or deemphasized during prior examinations; (5) recognize that psychiatric diagnoses are made by the presence of specific symptoms and not merely by the exclusion of medical conditions, and that problems in the two domains often co-exist; and (6) include consultation with a psychiatrist who has experience in caring for adolescents in medical settings.

The 2000 version of the Diagnostic and Statistical Manual (DSM IV – TR [text revision]) eliminated the distinction between “organic” and “non-organic” conditions because most psychiatric disorders ultimately have a biologic basis. To diagnose a mental disorder due to a general medical condition three criteria must be met: (1) evidence from the history, physical examination, or laboratory findings shows that the disturbance is the direct physiologic consequence of such a condition, (2) the disturbance is not better accounted for by another mental disorder, and (3) the disturbance does not occur exclusively during the course of delirium. Clues that a medical condition may be causing the psychiatric disorder include an abrupt onset with no or minimal recognized precipitants, a temporal association between onset, exacerbation and remission of psychiatric symptoms with the course of the medical condition, and the presence of atypical features, such as severe weight loss in the setting of mild depressive symptoms [1].

Delirium is a disturbance of consciousness, attention, cognition, and perception-not explained by an underlying dementia-that is a consequence of an illness or its treatment. By definition, it is a medical condition presenting with psychiatric or behavioral manifestations, the hallmarks of which are a decreased attention span and a waxing and waning type of confusion. Box 1 lists the various types of disturbances that can result in delirium [2] as well as the specific multiplicity of causes within a given type of problem. All of these conditions must be considered when evaluating an adolescent with delirium, and these same conditions should be considered with other psychiatric presentations as well. Because delirium tends to present as an acute, neuropsychiatrie emergency, the reader is referred to the article by Edelsohn and Gomez in this volume that addresses psychiatric emergencies.

The medical differential diagnoses of major psychiatric presentations are summarized in Box 2 [3]. Just as it is important to consider the diagnosis of depression when an adolescent is fatigued, or of anxiety when the presenting symptom is chest pain (see article elsewhere in this volume by Brookman and Sood), so too must an underlying medical or surgical condition be considered with a variety of psychiatric symptoms. Although adolescents with a variety of medical conditions and chronic illnesses are at increased risk of developing adjustment problems and internalizing symptoms of depression and anxiety, this article focuses on conditions in which psychiatric or behavioral manifestations may appear as primary symptoms but not be recognized as a component of the underlying problem. Of greatest concern are conditions in which the underlying physiologic aberration is not recognized, with the psychiatric symptoms being the sole focus of attention. Just as is true of delirium, the lack of recognition of the underlying condition will preclude optimal treatment, even though the psychiatric treatment might be appropriate for the symptoms. The remainder of this article addresses the various medical diagnoses in relation to their psychiatric and behavioral manifestations in a systems-based approach but does not address the nonpsychiatric details of diagnosis or treatment of medical conditions that are the focus of other volumes in this series.

Central nervous system

Traumatic brain injury

Traumatic brain injury (TBI) includes the primary focal or diffuse brain injury due to direct impact, causing shearing and stretching, as well as secondary indirect injuries. TBI is associated with several neuropsychiatrie disturbances that can range from subtle deficits to severe disturbances including cognitive deficits, mood and anxiety disorders, psychosis, and behavioral problems [4]. More than 50% of individuals with TBI develop psychiatric sequelae [5]. Although a variety of terms have been applied to the neuropsychiatrie symptoms occurring after TBI, Rao uses the term “behavior dyscontrol disorder” to describe post-TBI somatic, mood, cognitive, and behavior symptoms. The minor variant, post-concussive syndrome refers to a cluster of signs and symptoms sometimes occurring after minor TBI, often not accompanied by loss of consciousness. Most will recover within 3 to 6 months, although 15% may persist longer than a year.

Box 2. General medical considerations in various child and adolescent psychiatric diagnoses

Box 2. General medical considerations in various child and adolescent psychiatric diagnoses

Box 2. General medical considerations in various child and adolescent psychiatric diagnoses

Mood disturbances include depression and anxiety [4]. Cognitive impairments include problems with attention, memory, concentration, and executive functions. Symptoms are related to the area of the brain injured: (1) disinhibition occurs with orbital-frontal injury, (2) executive function problems are seen with dorsal convexity of the frontal lobe injuries, and (3) emotional lability and memory problems are related to temporal lobe injury. Common behavioral elements include irritability, anger and rage, and behavioral problems of impulsivity, aggression, and hyperactivity along with cognitive deficits and can be challenging to treat [4]. The management of psychiatric disorders of TBI needs to be interdisciplinary and include empirical trials of pharmacotherapy, behavioral therapy, and caregiver and family education and support [5].

Epilepsy

Several types of epilepsy can present with psychiatric features. Partial seizures, both simple and complex (associated with disturbance in consciousness), usually have paroxysmal onset and symptoms depend on their origin of location; for example, those arising from the temporal lobe may cause hallucinations or panic attacks. Simple partial seizures may present with motor signs, somatosensory or visual, tactile, auditory, or gustatory hallucinations, autonomie symptoms or signs, or with symptoms including “deja-vu,” anxiety, depression, euphoria, involuntary laughing or crying, or delusions. In complex partial seizures, the adolescent may appear confused. Behaviors during a complex partial seizure may range from automatisms, such as lip smacking, fumbling with clothing or sheets, to looking around or walking aimlessly, to more complex behavior ranges, such as dis\robing or dancing; the behavior pattern in complex partial seizures is neither directed nor purposeful, however. Rarely the patient can be violent, although usually this occurs during attempts to restrain the patient [6].

Mesial temporal lobe epilepsy secondary to mesial temporal sclerosis, or scarring in the hippocampus, can be intractable to medication treatment, with a typical course being partial complex seizures in childhood that initially responds to medication but then returns in adolescence. More than 90% of patients have an aura, often a rising epigastric sensation, followed by motor arrest, staring, and automatisms. Diagnosis of mesial temporal lobe epilepsy is made by anterior temporal slowing and epileptiform discharges on EEG, and hippocampal atrophy on high-resolution MRI. Seizures can be eliminated surgically in 80% to 90% of patients [7].

Frontal lobe epilepsy is a poorly understood but distinct seizure type characterized by brief, stereotypical, nocturnal seizures with the explosive onset of screaming, agitation, stiffening, kicking, bicycling of the legs, or incontinence. Adolescents may be misdiagnosed as having a sleep disturbance or a primary psychiatric disorder. Interictal EEGs are often normal, and diagnosis often requires long-term video EEG monitoring [8].

Behavioral and psychiatric problems are commonly seen in adolescents with epilepsy and include attention-deficit hyperactivity disorder (ADHD) (-40%), depression (~30%), anxiety (~25%), and oppositional defiant or conduct disorder (~35%) [9]. Depending on when the symptoms occur relative to seizure activity, psychosis associated with epilepsy is classified as ictal, postictal or interictal and is most common in temporal lobe epilepsy. Ictal psychosis is generally associated with partial complex status epilepticus. In postictal psychosis, there typically is a nonpsychotic period of hours to days immediately after a seizure, followed by psychotic symptoms including delusions, hallucinations, or catatonia and affective symptoms (manic or depressive) that usually resolve within a few days. Chronic interictal psychosis is rare in adolescence, typically occurring more than 10 years after the onset of seizures. It is sometimes referred to as schizophrenia- like psychoses of epilepsy (SLPE) and may be only partially responsive to anti-psychotic agents. Psychosis may also be a side effect of some antiepileptic drugs [10,11].

Post-stroke

In adults, left middle cerebral artery infarction has been associated with an increased rate of major depression, even when controlling for degree of disability. There is much less known about the psychiatric complications of stroke in adolescents [12]. In a study comparing 29 patients 5 to 19 years old who had a stroke to those with congenital clubfoot or scoliosis, post-stroke psychiatric disorder occurred in 59%, compared with only 14% of the control group. The most common diagnoses were ADHD, anxiety, and mood disorders [13].

Multiple sclerosis and acute disseminated encephalomyelitis in childhood

Multiple sclerosis (MS) and acute disseminated encephalomyelitis (ADEM) are autoimmune neurologic disorders accompanied by demyelination on MRI scan. ADEM usually presents acutely after a viral infection or vaccination and is typically a monophasic illness with associated systemic symptoms, presenting with encephalopathy, fever, seizures, motor or cranial nerve abnormalities, although psychosis is rarely a major feature [14]. In contrast to ADEM, MS is characterized as a relapsing-remitting disease. Depression, anxiety, and cognitive changes can be seen [15]. Sluder and colleagues [16] published a comprehensive review of MS in children and adolescents in a recent volume in this series.

Sleep disorders

Difficulty falling asleep and nighttime awakenings are associated with major depressive disorder and anxiety disorders. Early morning awakening associated with major depression may be associated with anxiety and mood disturbances that are worse in the morning and improve over the course of the day. Primary sleep disorders including obstructive sleep apnea syndrome (commonly due to obesity in adolescents), narcolepsy, parasomnias, and delayed sleep phase syndrome can present with attentional problems. These need to be differentiated from sleep disorders that accompany medical conditions such as sleep-related asthma, gastroesophageal reflux, neurologic disorders such as sleep related epilepsy, and cluster headaches [17]. Kleine-Levin is a rare syndrome that presents in adolescents, more commonly in males, characterized by episodes of excessive somnolence, overeating, and abnormal behavior, thought to be due to hypothalamic dysfunction. During attacks, affected adolescents display irritability, depression, difficulty concentrating, incoherent speech, apathy, lethargy, delusions, hallucinations, and amnesia. Diagnosis can be delayed and can be confused with other sleep disorders, hypothalamic tumors, encephalitis, or psychiatric diagnoses such as affective disorder [18].

Central nervous system tumors

Behavioral changes, including change in personality, lethargy, depression, or irritability can be seen in half of adolescents with brain tumors [19]. The clinical presentation of brain tumors depends on their location. Cerebral hemispheric tumors often produce headaches, seizures, or focal neurologic deficits. Supratentorial midline tumors present with symptoms related to compression or infiltration of structures. Infratentorial rumors of the cerebellum produce gait abnormalities, ataxia, and signs of increased intracranial pressure. Increased intracranial pressure, with prominent vomiting, is characteristic of ependymomas that arise in the floor of the fourth ventricle. Tumors most likely to be associated with behavioral disturbances, including presentations that can mimic anorexia nervosa are those around the hypothalamus and optic chiasm, such as craniopharyngioma [20].

Endocrine and metabolic disorders

Thyroid disorders

Hypothyroidism

Common clinical symptoms due to hypothyroidism relevant to the focus of this article include fatigue, drop in school performance, impaired memory, slowed mental processing, and depression [21]. Hypothyroidism may rarely present as psychosis, ataxia, seizures or coma [22]. The term myxedema madness refers to the cognitive and psychotic symptoms, such as paranoid delusions and auditory hallucinations, seen before the availability of effective treatment [23]. Affective symptoms in the context of somatic symptoms of hypothyroidism (slow growth, short stature, pubertal delay, cold intolerance, bradycardia, periorbital edema, constipation, dry skin, galactorrhea and amenorrhea) should prompt a thyroid evaluation.

Hyperthyroidism

Common symptoms of hyperthyroidism include nervousness, hyperactivity, restlessness, palpitations, emotional lability, sleep disorder, weight loss, or fatigue-all of which may suggest anxiety (both generalized anxiety and panic disorder), attentional, or mood disorder. Behavioral abnormalities including declining school performance, emotional instability, and anxiety may dominate the clinical picture. In other patients, cardiovascular signs are more prominent, and attention may be focused on a cardiac murmur or decreased exercise tolerance. In juvenile thyrotoxicosis, 60% to 70% have fatigability and objective muscle weakness; myopathy, including periodic paralysis, may be the most prominent symptom [24]. If hyperthyroidism is due to Graves disease, a search for other autoimmune diseases should be conducted, not only because adolescents can have more than one autoimmune condition but also because conditions such as systemic lupus erythematosus can be associated with psychiatric symptoms.

Adrenal disorders

Hyperadrenalism (Cushing syndrome)

Rare in adolescents, adrenal hyperactivity may result in major depression as an early manifestation; mania, anxiety, and cognitive dysfunction are less common [25]. The depression seen in Cushing syndrome may be intermittent and associated with greater irritability than is usually seen with major depression [23]. In contrast to adults, in whom more than half present with depression, only about one-fifth of adolescents present with mental or behavioral problems [26]. Hypercortisolemic children have been reported to exhibit obsessive-compulsive behavior. After treatment of hypercortisolism, symptoms of anxiety or irritability may persist, and school performance [25] and cognitive ability may decline [27]. Mood disorders, both depression and mania, are common side effects of exogenous administration of corticosteroids, especially at higher doses. Treatment can include reduction or change in medication, as well as short-term use of atypical antipsychotic or mood-stabilizing agents.

Adrenal insufficiency

Adrenocortical insufficiency is often associated with psychiatric symptoms, most commonly depression. In addition to the somatic symptoms of depression (weakness, fatigue, poor appetite, and weight loss), irritability, anhedonia, psychosis, delirium, and coma may occur. Adrenal insufficiency also may be mistaken for anorexia nervosa, but patients with eating disorders do not have hyperpigmentation (associated with elevated ACTH) nor hyponatremic hyperkalemia characteristic of adrenal failure [23,28].

Pheochromocytomas

Pheochromocytomas are rare catecholamine-secreting tumors that may mimic panic attacks with paroxysmal episodes of anxiety. Clues to a pheochromocytoma include associated symptoms of headaches, palpitations, diaphoresis, elevated blood pressure, and lack of phobic symptoms that might suggest panic disorder [28].

Parathyroid disorders and disorders of calcium metabolism

Hyperparathyroidism

Overactivity of the parathyroid gland results in elevated parathyroid hormone levels causing hypercalcemia. Symptoms associated with moderately elevated blood calcium levels include depression, decrea\sed concentration, paranoia, and memory problems. Higher levels of calcium can be associated with confusion and delirium. The differential diagnosis of hypercalcemia also includes paraneoplastic syndromes, hyperparathyroidism in association with multiple endocrine neoplasias, thyrotoxicosis, hypophosphatemia, hypervitaminosis A, Vitamin D excess, excessive exogenous calcium administration, thiazides, lithium, prolonged immobilization, granulomatous diseases such as tuberculosis or sarcoidosis [23,28,29].

Hypoparathyroidism

Reduced parathyroid activity and lowered parathyroid hormone levels results in hypocalcemia, which can be associated with depression, irritability, and anxiety. Hypomagnesemia, itself a cause of weakness, fatigue, and decreased cognitive ability, can cause hypoparathyroidism and is often associated with alcohol abuse and poor diet [28].

Diabetes mellitus

Diabetes in adolescents is associated with a threefold increased risk of psychiatric disorders, as high as 33% [30], primarily major depression (28%) [31] and anxiety disorder (18%) [32]. Psychiatric illness is often associated with poor metabolic control, especially in adolescents with recurrent diabetic ketoacidosis. Type I diabetes is associated with eating disorders [33]; a recent cross sectional study found a nearly fivefold increased mortality rate for adolescents with comorbid anorexia nervosa and diabetes as compared with anorexia alone, and almost 16 fold higher compared with those with diabetes alone [34]. Hyperglycemia, either as diabetic ketoacidosis or hyperosmolar nonketotic syndrome, can cause mental status changes from lethargy and drowsiness to delirium and coma. With hypoglycemia, autonomie symptoms often arise suddenly and include anxiety, palpitations, tremulousness, diaphoresis, and pallor. Symptoms appearing more gradually include easy fatigability, lightheadedness and depersonalization, and even delirium [35].

Electrolyte disturbances

In addition to those conditions described in the endocrine disorders section earlier, electrolyte disturbances can present with a variety of symptoms that affect mental status. see Table 1 for a summary of the symptoms related to deficiency and excess of various electrolytes.

Uremia

Uremic encephalopathy

Encephalopathy represents a constellation of neuropsychiatrie symptoms including a progressive loss of memory and cognitive ability, subtle personality changes, inability to concentrate, lethargy, and progressive loss of consciousness. With renal failure, symptoms depend on its cause and whether renal failure occurs acutely or insidiously. Delirium may develop, often with visual hallucinations, and in some, asterixis and dysarthria; with progression, stupor, coma, and death may ensue [35]. Adolescents on dialysis have high rates of depression.

Copper (Wilson disease)

Wilson disease is an autosomal recessive disorder of hepatic copper metabolism. Clinical findings associated with tissue copper accumulation include liver disease, Kayser-Fleisher corneal rings, and neuropsychiatrie manifestations that often present initially in adolescence. One third of adolescents present with psychiatric disturbances such as reduced school performance, depression, labile mood, or frank psychosis. A progressive movement disorder of dysarthria, dysphagia, apraxia, and tremor-rigidity syndrome can develop [36]. Wilson disease should be considered in adolescents who have elevated liver enzymes, tremors, dysarthria, dysphagia, movement disorders (including micrographia making handwriting illegible), mood disorders, Coombs negative anemia, cirrhosis, or liver failure. Diagnosis is most often made clinically by presence of pathognomonic Kayser-Fleisher rings by slit lamp examination and low levels of serum ceruloplasmin. Early diagnosis is essential before permanent CNS damage has occurred. Treatment is lifelong, with various chelating agents such as penicillamine or trientene [36,37].

Table 1

Electrolyte disturbances causing psychiatric manifestations

Porphyria

The porphyrias are a group of metabolic disorders caused by enzyme defects in the biosynthetic pathways of heme production and may be inherited or acquired. The major clinical manifestations are cutaneous photosensitivity and neurologic dysfunction, most commonly presenting as abdominal pain, usually categorized into acute or chronic forms. The combination of recurrent abdominal pain (most likely due to an autonomie neuropathy in the gut) and episodic psychiatric symptoms should prompt consideration of porphyria. Neuropsychiatrie symptoms may accompany the acute attacks, often precipitated by various medications, fasting, alcohol, or hormonal changes of the menstrual cycle and include anxiety, depression, disorientation, hallucinations, and frank paranoia. Numerous medications can precipitate abdominal pain in adolescents with porphyria (http://www.porphyriafoundation.com/) [37a]. Peripheral neuropathy, sensory losses over the trunk, cranial neuropathy, seizures, or coma may develop. Urine porphobilinogen is increased (causing purple urine) in most acute porphyric attacks that manifest with neuropsychiatrie abnormalities [38].

Vitamin deficiencies

Thiamine deficiency (vitamin B1, beri-beri)

Thiamine deficiency can be seen with severe malnutrition or malabsorption such as occurs with prolonged parenteral nutrition, after gastric bypass surgery, malignancies, anorexia nervosa, or hyperemesis gravidarum. The full classic triad of ocular abnormalities, mental status changes, and ataxia are not always present, and thiamine deficiency is often underdiagnosed; in a review of pdiatrie cases, 42% were diagnosed post mortem. Mental status changes (confusion, somnolence, stupor, or coma) represented the most frequent symptom in 82%, ocular signs (ophthalmoplegia, nystagmus, or ptosis) in 68%, and ataxia in 21 %. MRI abnormalities include increased T2-weighted images and contrast enhancement of basal ganglia, medial thalami, mamillary bodies, or peri-aqueductal gray matter [39].

Niacin deficiency (nicotinic acid, vitamin 83, pellagra)

Niacin deficiency is uncommon in industrialized countries but has been associated with gastrointestinal disorders and medications (isoniazid, anticonvulsants, pyrazinamide, 6-mercaptopurine, 5- fluorouracil, azathioprine, and antituberculars). Symptoms of pellagra include diarrhea, dementia, and dermatitis that typically begins with erythema and progresses to vesicles and bullae in sun- exposed areas [40]. Psychiatric symptoms progress from irritability, depression, anxiety, and insomnia to hallucinations, delusions, and dementia.

Vitamin B12 (cobalamin) deficiency

Vitamin B12 deficiency can cause a spectrum of neuropsychiatric disease including paresthesias, peripheral neuopathy, corticospinal and dorsal tract disease, irritability, personality change, depression, psychosis, mild memory impairment, or dementia. Risk factors in adolescent patients include dietary restriction such as strict vegans, malabsorption from Crohn’s disease, celiac disease, pernicious anemia, gastric or ileal surgery, and prolonged use of H2 receptor or proton pump inhibitors and metformin. Diagnosis can be made by a low-serum vitamin Bi2 level and elevated methylmalonic acid and homocysteine. Contrary to prevailing medical practice, recent studies support the use of oral vitamin B12 supplementation [41].

Cardiopulmonary disorders

Mitral valve prolapse

Recent research has not confirmed a previously assumed association between mitral valve prolapse (MVP) and anxiety [42]. In a case-control study of children and adolescents with anxiety disorder, none of the 52 subjects with anxiety disorder had MVP, compared with one of 51 controls [43].

Palpitations

Because palpitations that are associated with dizziness, near syncope, or syncope are more likely to be associated with a cardiac arrhythmia than otherwise asymptomatic palpitations, they deserve further evaluation [44]. Palpitations without evidence of compromised circulation to the brain are more likely to be related to anxiety disorder or panic attacks. A total of 15% to 30% of patients with palpitations have panic disorder. Other noncardiac causes of palpitations include stimulant drugs and medications, alcohol, caffeine, tobacco, beta-agonists, anemia, electrolyte imbalance, fever, hyperthyroidism, hypoglycemia, hypovolemia, pheochromocytoma, vasovagal syndrome, and pulmonary disease.

Given the high prevalence of anxiety and panic disorders and the frequency with which they go undetected, a screening question to detect panic attacks in general medical settings has been proposed by Ballenger [45]: “Have you experienced brief periods, for seconds or minutes, of an overwhelming panic or terror that was accompanied by racing heart beats, shortness of breath or dizziness?” Given the high frequency of panic disorder, especially in emergency settings, it may be valuable for clinicians to ask about family or personal history of anxiety disorders and also to ask specifically about fears of “going crazy” or needing to flee to a safe place in an attempt to distinguish between panic disorder and cardiac diagnoses. Although anxiety may cause palpitations, clinicians must avoid prematurely attributing palpitations to anxiety. Lessmeier and colleagues [46] found that two-thirds of a group of patients with paroxysmal supraventricular tachycardia (PSVT) also met criteria for panic disorder. However, for more than half of these patients their physicians had diagnosed only panic, anxiety, or stress before the identification of PSVT, and this was twice as likely to occur in young women.

Asthma

The relationship between asthma and psychiatric issues has been explored frequently. Psychiatric conditions that can mimic asthma include anxiety disorders, panic attacks, hyperventilation, and somatoform disorders such as psychogenic upper airway obstruction that has been variously labeled “factitiousasthma,””vocal cord dysfunction,” and “emotional laryngeal wheezing” [47]. Conversely, asthma may be associated with comorbid psychiatric disorders, especially anxiety and depression [48,49]. Direct exacerbation of asthma symptoms from panic and anxiety may occur through hyperventilation. Those with anxiety or panic may overuse as-needed asthma medications, have more frequent hospitalizations with longer length of stay, and more use of corticosteroids, independent of objective pulmonary findings [50,51]. Stressful life events increase the risk of new asthma attacks both acutely and up to 7 weeks after [52]. Coexistent depression and severe asthma increases the risk for fatal status asthmaticus [53].

Gastrointestinal disorders

Bidirectional neuroendocrine pathways linking cognitive and emotional centers in the brain with the enteric nervous system are called the “brain-gut axis” [54]. The effect of the stress response on the gastrointestinal system is now recognized as the activation of vagal and sacral parasympathetic efferents that can inhibit gastric secretion and motility, inhibit small intestinal motility, enhance large bowel transit, deplete mucin and mucosal blood flow, and increase susceptibility to inflammation and stress ulcration, likely through corticotrophinreleasing hormone [55]. These factors do not result in primary psychiatric manifestations but are important to recognize in their management, applying a biopsychosocial model.

Inflammatory bowel diseases

Although physicians tend to believe that psychosocial factors affect the clinical exacerbations but do not cause inflammatory bowel diseases (IBD) [56], more than half of the patients with IBD believe that stress or personality is a major contributor to the development of their disease, and more than 90% think that stress influences disease activity [57,58]. Ringel and Drossman [59] recently summarized human studies in IBD and psychosocial aspects, noting that: (1) epidemiologic and clinical data have historically indicated an association between various psychosocial stressors and illness exacerbation, (2) data relating life events to IBD exacerbation are inconsistent and conflicting, (3) data linking life events and daily stressors with physiologic effects (eg, pain and diarrhea) are supported, (4) the major stressors identified in life events research are not unique and include illness and death in the family, divorce or separation, interpersonal conflict, or other major loss, and (5) the data on effects of psychotherapeutic intervention with the illness or disease activity are insufficient and require additional research with careful design and careful choice of assessment instruments.

Irritable bowel syndrome

Irritable bowel syndrome (IBS) is the most common gastrointestinal condition seen in clinical practice [60] and is the most common functional gastrointestinal disorder. Evidence suggests that there is altered colonie wall sensitivity and motility in these patients, resulting in exaggerated motor reactivity to various stimuli, including meals, psychological stress, and balloon distention of the rectosigmoid colon. The resulting symptoms are pain and altered transit time resulting in constipation, diarrhea, or both. The commonly observed phenomenon of “entrainment” with the menstrual cycle, which results in a worsening of symptoms around the time of menses, can easily result in the incorrect diagnosis of dysmenorrhea or endometriosis for these women [61].

A total of 50% to 90% of patients who seek treatment for IBS have a lifetime history of, or currently have, one or more psychiatric conditions including: social phobia (14% to 30%), dysthymia (55% to 60%), posttraumatic stress disorder (15% to 30%), depression (6% to 37%), generalized anxiety disorder (15% to 20%), personality disorder (10% to 20%), panic disorder (6% to 25%), and somatization disorder (30% to 45%) [62-64], and 40% to 60% of patients have some form of anxiety, depression, or panic disorder [65]. Severe stressors account for more than 90% of the variance of IBS symptoms. The symptoms of IBS do not likely induce psychiatric disease because such features predate or occur simultaneously with the onset of bowel symptoms in 65% to 85% of patients [66]. The prevalence of anxiety and mood disorders, particularly panic disorder, in patients attending gastroenterology clinics with functional bowel disorders (50% to 60%) is approximately twice that of IBD [67,68].

Peptic ulcer disease

Psychologic stress causing increased gastric acid excretion was suggested by early studies to have a role in peptic ulcer formation. Psychological factors affecting clinical expression of symptoms may do so by reducing immune responses and thus increasing vulnerability to H. Pylori infection [69]. A study that included patients with peptic ulcer and IBD of recent onset showed that 16% of patients had definite psychiatric disorders and 32% had mild psychiatric disorders [7O]. Peptic ulcer disease is associated with anxiety or depression [71], neuroticism [72], and personality traits of social withdrawal, suspiciousness, hostility, and dependency in a group of patients [73,74].

Infectious diseases

Syndenham chorea

Syndenham chorea (SC) is a neuropsychiatrie disorder seen in 15% of patients with acute rheumatic fever. The disorder begins with psychiatric signs such as emotional lability, hyperactivity, separation anxiety, and obsessions and compulsions followed over the next several weeks by chorea and hypotonia [75]. Behavioral symptoms often arise abruptly with obsessive-compulsive symptoms arising shortly before the movement disorder. The disease is characterized by chorea with other motor symptoms, including facial grimacing, hypotonia, and loss of fine motor control and gait disturbance. Half of acute SC cases appear to spontaneously recover within 2 to 6 months; however, mild or moderate chorea may persist for more than 2 years in half of SC cases [76]. Corticosteroids may help symptoms to resolve [77].

Pediatric autoimmune neuropsychiatric disorders associated with streptococcal infection

The acronym PANDAS for pdiatrie autoimmune neuropsychiatrie disorders associated with streptococcal infection was suggested by Swedo and colleagues [78] who described 50 young subjects with a post-Group A streptococcal tic disorder and obsessive-compulsive disorder. Although this has been proposed to be a variant of SC, the absence of an associated carditis makes this unlikely [79,80]. Other poststreptococcal neuropsychiatrie manifestations have been described including ADHD, myoclonus, dystonia, dyskinesias, disseminated encephalomyelitis, and anorexia nervosa. This remains a controversial area and the reader is referred to Kurlan and Kaplan’s article for a discussion of clinical considerations [79].

Epstein-Barr virus

Psychiatric symptoms of Epstein-Barr virus (EBV) include prolonged fatigue, hypersomnia, and short-lived depressive disorders [81]. A characteristic neuropsychiatric disorder of EBV infection is the “Alice-in-Wonderland” syndrome (AIWS) in which patients experience micropsia (objects appear smaller), macropsia (objects appear larger), metamorphopsia (objects, such as faces, appear distorted), teleopsia (objects appear far away), and depersonalization [82]. In a case report of AIWS, MRI findings included transient T2 prolongation and swelling of the cerebral cortex, especially at the bilateral temporal lobes, bilateral cingulated gyrus, right upper frontal gyms, bilateral caudate nucleus, and bilateral putamen, whereas CT showed no abnormalities [83]. The once hypothesized association between EBV (or human herpes virus) and “chronic fatigue syndrome” has not been found in epidemiologic studies.

Lyme disease

Lyme disease (LD) is caused by infection with the spirochete Borrelia Burgdorferi and is transmitted through the bite of the deer tick (Ixodes scapularis). The clinical presentations of LD are summarized in Table 2 [84-97]. After acute, untreated infection, about 60% of patients may progress to later stage LD and develop chronic symptoms. A recent review cites a variety of psychiatric symptoms that have been associated with LD: “depression, mania, delirium, dementia, psychosis, obsessions or compulsions, panic attacks, catatonia, and personality change” [98]. Many of the studies linking LD to psychiatric symptoms, however, relied on a single Lyme ELISA without confirmatory Western blot, and further controlled studies are needed [87].

Table 2

Lyme disease

The literature on neurocognitive abnormalities in young patients does not always specify age ranges, making it difficult to comment about the effects of LD on adolescents. Language, memory, learning, visuospatial, and constructional abilities appear to be spared in LD in pediatric patients. New-onset behavioral changes (eg, listlessness, irritability, malaise, and loss of interest) may adversely affect other abilities and learning problems may be seen in educational and vocational settings [99]. In a study of 37 children with early disseminated LD, the most frequent self- reported symptoms included fatigue, listlessness (84%), headache (81%), and mood disturbances (70%), but psychometric testing showed no differences between cases and controls [89]. Because those with early disseminated disease do not have long-term complications, neuropsychologic testing is not recommended in this group. However, further studies are needed to confirm chronic neurologic sequelae in adolescents with late LD presentations [87].

Meningoencephalitis

Meningoencephalitis is unlikely to present only with psychiatric symptoms, but these may predominate in highly localized infections. Acute bacterial and viral meningitis presents with fever, headache, stiff neck, and may be accompanied by change in level of consciousness (drowsiness, stupor, or coma), mood symptoms (irritability or depressed mood), anxiety, or psychosis. All o\f these symptoms are compatible with delirium, discussed earlier in this article. Encephalitis generally presents with disorientation, altered level of consciousness, and behavioral or speech disturbances. The extent and location of the involvement of the brain determine clinical findings, with rabies for example affecting the limbic system and causing delusions [10O]. Herpes simplex encephalitis is the most common focal encephalitis affecting frontal and temporal lobes, and diagnosis is suggested with symptoms of fever, headache, personality change, decreased level of consciousness, and focal neurologic signs such as hemiparesis, dysphasia, or focal seizures. Diagnosis may be difficult as many infections can mimic herpes simplex encephalitis [101,102]. Mania may be the only initial manifestation. Given the predilection of herpes virus to affect the temporal lobe, symptoms consistent with complex partial seizures (including olfactory and gustatory hallucinations) may occur [10O]. The diagnosis is made by polymerase chain reaction detection of herpes simplex virus DNA in the CSF [101]. Chronic meningitis causative agents include Mycobacterium tuberculosis, Cryptococcus, and Coccidioides. Symptoms include neck stiffness, fever, headache, cognitive impairment, behavioral change, confusion, change in consciousness (drowsiness, stupor or coma), mood symptoms (irritability or depression), anxiety, and psychosis. CSF typically shows a lymphocytic pleocytosis with elevated protein, decreased glucose, and elevated opening pressure. Specific CSF antigen may be positive and helpful, as fungi and tuberculous bacilli may take weeks to grow in culture. Cryptococcus is most often seen in immunocompromised patients, often associated with human immunodeficiency virus (HIV) infection [101]. As discussed previously, Lyme disease is also a cause of chronic meningitis.

Human immunodeficiency virus

High rates of social and emotional dysfunction and behavior problems have been observed in youth with HIV infection; these problems may be due to the disease process but may also be manifestations of environmental stresses encountered by these youth and their families [103]. Emotional problems (withdrawal, depression, apathy, or anxiety) and attentional problems, and hyperactivity are common sequelae, and more rarely reported problems include psychotic symptoms in progressive encephalopathy and end- stage wasting syndrome with apathy and withdrawal symptoms [99]. Psychiatric conditions, such as bipolar disorder, schizophrenia, depression, and anxiety, have been associated with both HIV- associated risk behavior and HIV infection [104]. A study of HIV- infected children found that the most frequent psychiatric diagnoses were major depressive disorder (47%) and ADHD (29%). The appearance of psychiatric complication indicates severe HIV infection, and depressive disorders may be a clinical form of encephalopathy [105].

Perinatally infected patients have higher risk to be hospitali/ ed for psychiatric illnesses, such as depression and behavioral disorders than the incidence in the general pediatric population. Although syphilis must be considered in the differential diagnosis of neurologic disease in HIV-infected patients [106,107], neurosyphilis (which affects the frontal lobes and results in personality changes, development of poor judgment, irritability, and decreased care for self) is a late complication, rarely seen in adolescents.

Collagen vascular diseases and other vasculitides

Primary vasculitis

Large vessel vasculitis is uncommon in adolescents. Takayasu giant cell arteritis occurs in young females, more commonly in Asians. Absent peripheral pulses, syncope and visual disturbance are classic symptoms. Medium-sized vessel arteritides including periarteritis nodosa, Kawasaki disease, Churge-Strauss syndrome, and Wegener granulomatosis can all present with stroke and encephalopathy [108].

Table 3

Selected drugs taht alter mental status and muscle tone

Table 3

Selected drugs taht alter mental status and muscle tone

Secondary vasculitis

Central nervous system involvement is commonly seen in systemic lupus erythromatosis (SLE) and mixed connective tissue disease, rarely in scleroderma and rheumatoid arthritis. Sjogren syndrome can complicated collagen vascular disorders and can have focal or diffuse CNS disease due to antineuronal antibodies, with symptoms of motor, sensory, language, movement disorders, encephalopathy, aseptic meningitis, and dementia. Behet disease can also present with CNS disease including encephalitis, meningoencephalitis, and neuropathy but will be accompanied by oral or genital ulcers and often ocular involvement [108].

SLE is a multisystem autoimmune disease that has a variable presentation and course. Whereas skin, musculoskeletal, and renal systems are the most commonly involved, neuropsychiatrie lupus (NP- SLE) occurs in up to 30% of adolescents at presentation and in up to 95% at some time during their illness. Headache is the most common symptom of NP-SLE and often is resistant to analgesics. Psychiatric manifestations include an acute confusional state (delirium) in 20% to 40%, anxiety disorder in 20% to 57%, mood disorder/depression in 28% to 57%, psychosis in 12% to 30%, and cognitive dysfunction in 28% to 57% [109]. Psychiatric disorders in SLE are related to presence of antiribosomal P antibodies in serum. Distinguishing SLE- mediated psychosis from treatment effects with corticosteroids can be challenging. NP-SLE can occur at any time during the course of the disease and is likely caused by many factors, including autoantibody production, microvasculopathy, and pro-inflammatory cytokines [110,111]. Other features of NP-SLE include CNS involvement of aseptic meningitis, stroke, demyelinating syndromes, chorea, seizures, as well as peripheral nervous system syndromes. Diagnosis and management are summarized elsewhere [109-111].

Substance use and toxic ingestion

Whenever an adolescent presents with neuropsychiatrie disturbance, substance use and toxic ingestion must be considered. This is, however, beyond the scope of this article. Table 3 summarizes some of the drugs that may alter mental status [112]; Eicher and Avery [113] have recently published an excellent review of toxic encephalopathies.

Summary

A variety of medical conditions can present, or be associated, with psychiatric symptoms. At times, these may be so prominent that they can overshadow the underlying pathophysiologic process that accounts for them. Thus, it is equally important for mental health providers to be alert to the possibility that adolescents whom they are treating may have symptoms related to a treatable medical condition as it is for primary care providers to conduct a targeted history and physical examination with their adolescent patients exhibiting psychiatric symptoms. Using the biopsychosocial approach, these two domains are not considered separately or hierarchically, but as highly interactive. In some cases (eg, adrenal insufficiency), appropriate and continued treatment of the underlying condition results in resolution of the psychiatric symptoms. In others (eg, SLE), treatment of the underlying condition may alleviate but may also exacerbate psychiatric symptoms. Therefore, comprehensive treatment of adolescents with psychiatric symptoms due to a medical condition may require the professional services of primary care, mental health, and specialty care providers, but their services should follow the collaborative model espoused throughout the other articles in this volume.

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Rebecca Flynn O’Brien, MD(a,*), Kayoko Kifuji, MD, PhD(b), Paul Summergrad, MD(b)

a Tufts University School of Medicine, Division of General Pediatrics and Adolescent Medicine, The Floating Hospital for Children, Tufts-New England Medical Center, 750 Washington Street, Box 479, Boston, MA 02111, USA

b Tufts University School of Medicine, Department of Psychiatry, Tufts-New England Medical Center, 750 Washington Street, Box 1007 Boston, MA 02111, USA

* Corresponding author.

E-mail address: [email protected] (R.F. O’Brien).

Copyright Hanley & Belfus, Inc. Feb 2006

Congo hands first suspect to Hague war crimes court

By Wendel Broere

AMSTERDAM (Reuters) – A Congolese militia leader accused of
conscripting and enlisting children aged under 15 for warfare
became the first suspect sent for trial at the International
Criminal Court (ICC), the court said on Friday.

Thomas Lubanga Dyilo left Congo aboard a French military
plane and is expected to arrive in The Hague later. He will be
taken to a temporary detention center in the Dutch city.

“Thomas Lubanga must answer for war crimes,” the ICC said
in a statement.

Lubanga, leader of the Union of Congolese Patriots (UPC),
an ethnic militia now registered as a political party, stands
accused of widespread human rights abuses in eastern Congo’s
lawless Ituri district.

The controversial ICC was set up as the first permanent
global war crimes court to try individuals, and Lubanga is the
first suspect to be delivered into its custody.

The ICC issued its first warrants last year for five
leaders of Uganda’s Lord’s Resistance Army (LRA), which also
operates in northeast Congo. It has launched investigations
into war crimes in Congo and Sudan’s Darfur region.

The United States opposes the new court, fearing it will be
abused for politically motivated cases against its troops and
citizens.

ONLY THE BEGINNING

Lubanga, 45, stands accused of three counts of war crimes
carried out from July 2002, but could face more charges.

Senior U.N. officials said earlier that Lubanga, who is due
to appear in court next week, was suspected of ordering the
February 2005 killing of nine United Nations peacekeepers, but
the court’s arrest warrant made no mention of the incident.

“This is not the end of the investigation into the UPC and
into the Congo. The investigation is sequential. We are doing
one at a time and this is just the beginning,” a spokesman for
ICC prosecutor Luis Moreno-Ocampo said. “The prosecutor expects
to raise other charges at a later stage.”

Other militia leaders have already been arrested on
suspicion of killing the Bangladeshi U.N. soldiers.

Lubanga’s UPC, dominated by the Hema ethnic group, stands
accused of widespread human rights violations in Ituri, where a
range of foreign and local militias have raped, looted and
murdered civilians during and since Congo’s 1998-2003 war.

The ICC said there “were reasonable grounds to believe
Lubanga had committed the following war crimes: conscripting
and enlisting children under the age of 15 years and using them
to participate actively in hostilities.”

Lubanga was arrested in March 2005 in the Congolese capital
Kinshasa, where he had moved more than a year earlier and
registered the UPC as a political party.

His arrest was part of a U.N. crackdown after the deadly
attack on its peacekeepers the previous month.

U.N. military sources said Lubanga was suspected of
ordering the attack. Other militia leaders also accused of
involvement have been arrested and detained in Kinshasa.

Tens of thousands of people have been killed during years
of militia violence in Ituri, one of Congo’s most violent
areas.

In all, the war and subsequent militia violence is
estimated to have killed 4 million Congolese, mostly through
hunger and disease caused by the conflict.

Helped by 17,000 U.N. troops and police — the world body’s
biggest peacekeeping force — the former Belgian colony the
size of Western Europe is racing to organize its first national
democratic elections in four decades on June 18.

But it faces huge problems with continued militia fighting,
chaos and dissent in the new national army and difficulties in
organizing voting in places with no roads or communications
after decades of war and mismanagement.

(Additional reporting by Willy Kabwe in Kinshasa)

UK drug drama could set back other trials: expert

By Patricia Reaney

LONDON (Reuters) – Tragic results from a clinical study of
a new drug which has left six men in Britain seriously ill
could be a setback for other trials, at least in the
short-term, an industry expert said on Friday.

Two of the paid volunteers who were given the drug designed
to treat chronic inflammatory conditions and leukemia remained
in critical condition despite being given blood transfusions.

Four others being treated at Northwick Park Hospital in
northwest London where they were given the drug TGN 1412 early
this week were listed as serious but showing signs of
improvement.

Doctors and family members have pleaded for international
help from scientists to help save the lives of the men, who
suffered multiple organ failure.

Aisling Burnand, chief executive of the Bioindustry
Association in Britain, expressed her concern.

“It is shocking because of its severity,” she told Reuters.

Burnand said the industry will do everything it can to work
with regulators to implement whatever comes out of an inquiry
by the Medicines Healthcare products Regulatory Agency (MHRA),
which is looking at why the men suffered such a reaction.

Burnand anticipated the tragedy will deter volunteers from
taking part in drug trials.

“There may be initial reticence to actually get involved in
clinical trials,” she said. “I think it will have a short-term
impact, albeit hopefully small.”

British police are talking to the MHRA and German
prosecutors said on Friday they were considering whether to
start a formal investigation into the private German
biopharmaceutical company TeGenero AG that makes the drug.

EXTREMELY RARE EVENT

Serious side effects are extremely rare in so-called Phase
1 clinical studies that test the safety of experimental
compounds on healthy people.

Doctors treating the men in the trial run by U.S. drug
research company Parexel International Corp. on behalf of
TeGenero, said they do not known what went wrong.

Parexel said it had operated within regulatory guidelines.

A volunteer who was given a placebo, or dummy drug,
described how the other men were writhing in agony, vomiting
and screaming about the pain in their heads after taking the
drug.

TGN 1412 belongs to a class of drugs known as monoclonal
antibodies which target specific proteins on the surface of
cells.

Industry analysts said the tragedy had not impacted
biotechnology stocks in Europe, with investors so far viewing
it as a one-off event.

“It hasn’t had a knock-on impact as far as we can tell,”
said Mike Booth of stockbroker Canaccord Adams, adding that it
had highlighted the inherent risks involved in new medicines.

A total of 18 antibody products have been approved for sale
and their combined worldwide sales reached $14 billion last
year. They include a number of promising anti-cancer
treatments, such as Roche’s Herceptin, as well medicines to
fight rheumatoid arthritis.

(Additional reporting by Ben Hirschler in London)

English Language Learners, LD, and Overrepresentation: A Multiple- Level Analysis

By Rueda, Robert; Windmueller, Michelle P

Abstract

Continuing unresolved problems in the field of special education include the continued use of discrepancy models; the need for better identification models; continued debate over programmatic issues, ranging from inclusion to self-contained models; and the continued overrepresentation of certain ethnic and racial groups in the learning disabilities (LD) category. This article focuses on students with mild learning disorders in general, and LD in particular, providing a perspective on how this problem has been addressed and suggesting a multilevel approach in which local context plays a central role. We suggest that overrepresentation is best conceptualized as an indicator of underlying issues rather than as the proper focal point of remediation efforts.

A recent comprehensive review of the history of learning disabilities (LD) by Hallahan and Mock (2003) has noted continuing problems in the field of special education that remain unresolved. These problems include the continued use of discrepancy models as ineffective means of diagnosis; the need for better identification models; continued debate over programmatic issues, ranging from inclusion to self-contained models; and the continued overrepresentation of certain ethnic and racial groups in the LD category. We frame the context of this article around this last issue, focusing on students with mild learning disorders in general and on students with LD in particular. In this article, we provide a perspective on the ways in which this problem has been addressed. We suggest that a multilevel approach is required, in which various levels of the learning and development ecology are considered, and in which local context plays a central role. Moreover, we suggest that overrepresentation is best conceptualized as an indicator of underlying issues rather than as the proper focal point of remediation efforts.

Documenting and Unpacking Overrepresentation

In 1979, the National Research Council was asked to conduct a study to determine the factors accounting for the disproportionate representation of minority students and male students in special education programs for students with mental retardation and to propose criteria and practices that would address this problem (National Research Council, 1982). This initiative was driven at least in part by the earlier work of Mercer (1973) on the disproportionate identification and placement of African American and Chicano/ Latino students in classes for students with mental retardation, the extension of the civil rights movement of the 1960s to people with disabilities, and subsequent litigation that focused on unfair practices in assessment and other aspects of the special education process. One indication of the continuing importance of the issue of overrepresentation is the fact that this same body saw the need to commission another report on the same topic 20 years later. This resulted in the recent review, Minority Students in Special and Gifted Education (National Research Council, 2002), confirming that the disproportional representation of certain ethnic and racial groups in special education that has troubled the special education field for more than 3 decades still persists (Artiles, Trent, & Palmer, 2004). Yet during the time between these two major policy reports, much has changed in the educational landscape, including the increasing diversity of the school-age population, the distribution of students within the various special education categories, educational legislation and policies, and various educational initiatives focused on areas such as school reform, accountability, bilingual education, and reading practices and curricula (McLaughlin & Rouse, 1999; Rueda, Artiles, Salazar, & Higareda, 2002).

The report by the Harvard Civil Rights Project (Oswald, Coutinho, & Best, 2000) suggested several actions to address the issue of overrepresentation of minority students in special education programs in urban public schools, including (a) increasing access to health services for poor women and children; (b) expanding early intervention programs; (c) increasing discretionary programs of research and technical assistance under the Individuals with Disabilities Education Act (IDEA); (d) improving monitoring and enforcement of IDEA; and (e) fully funding IDEA. These suggestions begin to approximate a multiple level approach as suggested by Rogoff (2003).

In general, overrepresentation refers to “unequal proportions of culturally diverse students in special education programs” (Artiles & Trent, 2000, p. 514) and is often assessed by calculating a group’s representation in general education or special education in reference to the representation of a comparison group-most often White students. There are several indices (e.g., risk indices, composition indices, and odds ratios; see Note) that provide different lenses on the scope of the problem. However, there is controversy about the best indicators, and several procedures and formulas have been proposed and used throughout the history of this problem (see Reschly, 1997, for a discussion of the strength and limitations of each of these formulas). Whichever index is used, the typical disability categories involved in the issue of overrepresentation have included mild mental retardation (MMR), emotional-behavioral disorders (EBD), and specific learning disabilities (SLD). The most common groups involved in overrepresentation generally include African American, Chicano/ Latino, American Indian, and a few subgroups of Asian American students (see Artiles & Trent, 2000, and Artiles, Harry, Reschly, & Chinn, 2002, for an overview).

The most comprehensive and recent look at the issue of overrepresentation is the National Research Council (2002) report. This report justifiably acknowledged weaknesses in currently available national datasets (from the Office of Special Education Programs; OSEP; and the Office for Civil Rights; OCR), including a lack of precision and consistency in definitions, inaccuracies in self-report data, state-to-state variations, and other problems. In spite of these weaknesses, the report noted the “epidemic” (p. 47) increase in the risk of children of all racial and ethnic groups except Asian/Pacific Islanders for the LD category. The risk indices for these groups ranged from 1.03 to 1.6 in 1974 and from 6.02 to 7.45 in 1998. When data are aggregated across 12 disability categories, African American students have a slightly higher odds ratio (1.18), and Hispanic students have a slightly lower odds ratio (0.94) than European Americans.

Over this same period, in the category of LD specifically, the odds ratios for classification as having LD for African American and Hispanic students fluctuated around 1.0, indicating no significant overrepresentation (although a consistent pattern of higher rates was found for American Indian/ Alaskan Natives compared to European Americans). The panel thus concluded that

The OSEP data provide no evidence that minority children are systematically represented in low-incidence disability categories in numbers that are disproportionate to their representation in the population. While there is some variation in each category, no single race/ethnic group can be singled out as having higher or lower incidence across all categories. (National Research Council, 2002, p. 61)

In spite of this overall “big picture” view, previous work early on suggested the need to unpack the findings from the analyses of large aggregate data sets. Finn (1982), for example, reviewed the available OCR data and found that minority students were overrepresented in certain categories. Specifically, Finn (1982) found overrepresentation effects for the categories of educable mental retardation (EMR) and trainable mental retardation (TMR) as well as in EBD classes based on district size and size of minority enrollment. The instances of highest disproportion were found where bilingual programs were small or nonexistent. More recently, Artiles and Trent (1994) noted that

1. The larger the minority student population is in the school district, the greater the representation of students in special education classes;

2. The bigger the educational program, the larger the disproportion of minority students; and

3. Variability in overrepresentation data has been found as a function of the specific disability condition and the ethnic group under scrutiny, (p. 414)

Oswald, Coutinho, and Best (2000) and Oswald, Coutinho, Singh, and Best (1998) have analyzed district-level data related to the proportion of students from low-socioeconomic status (SES) backgrounds or to the proportion of minority students in the school population. Schools that served low-SES students were those who may be eligible to receive free or reduced-cost lunches as defined by the federal guidelines. High-poverty schools were defined as those where at least half (50%) of the students served are eligible for and do receive free or reducedcost lunches. Oswald and colleagues have found that African American and Hispanic students were identified as having LD and EBD more often in districts considered low SES, and they were identified as having mental retardation (MR\) more often in low-poverty districts. It should be kept in mind that although these relationships are important, they are correlational and not causal.

Finally, in work conducted in California (Artiles, Rueda, Salazar, & Higareda, 2002, 2005), placement patterns were examined in special education programs as well as by disability category. These analyses compared English learner placement, given the new language policy in California, to the restrictiveness of special education services (i.e., more or less segregated), providing a view of placement as language support was reduced. Given that English language learners (ELLs) are expected to transition rapidly to English-only classes over time, placement patterns by grade level were also examined. Briefly, in the 11 urban districts in California with high proportions of ELLs, high minority enrollments, and high poverty levels, the results revealed an overrepresentation of ELLs in special education emerging by Grade 5 and remaining clearly visible until Grade 12. At the district level, the ELL population was overrepresented in the MR and language and speech (LAS) categories, especially at the secondary level. ELLs were 27% more likely than English-proficient students to be placed in special education in elementary grades and almost twice as likely to be placed in secondary grades (Artiles et al., 2002).

Looking at the degree of isolation, ELLs in straight English immersion (where there is no primary language support in the classroom) were more isolated in the special day class option than ELLs in modified English immersion (where some primary language support is offered in the classroom) or bilingual classrooms (where primary language support is part of the daily instructional program). ELLs in straight English immersion classrooms were almost three times more likely to be placed in a resource specialists program than ELL students in bilingual classrooms; 2.2% of ELL students in straight English immersion were sent to special day classes, compared to 1.9% in bilingual classrooms. As with earlier studies, this work suggests that specific patterns and issues can get obscured when data are aggregated above district levels. It also suggests the need to broaden the placement focus on language proficiency as well as on ethnicity, race, and other critical factors. ELL placement is rarely “unpacked”-that is, variations by disability category, grade level, and type of language support are rarely examined-and few studies focus on older (secondary) students.

In sum, overrepresentation continues to be an issue in the field, although specific patterns have changed. Both early and recent studies have suggested that reliance solely on largescale databases may obscure important patterns at the more local level.

How Should Overrepresentation Be Conceptualized?

As might be expected, the explanations for overrepresentation are numerous, and there is much contention about how to interpret both the patterns and the implications. In many ways, the disagreements regarding the meaning of these data reflect the often contentious discussion about paradigmatic differences in the field of special education (Artiles, 2003; Brantlinger, 1997). In discussing the overrepresentation issue, the National Research Council (2002) report indicated,

The interactions of minority and nonminority achievement levels with different levels of poverty and the composition of student enrollments are likely to be complex. It is possible, however, that lower achievement by Black or Hispanic students in a school context in which most of the White and/or Asian students are achieving at a higher level creates the circumstances that lead to greater disproportionate enrollment of the lowerachieving Black or Hispanic students in special education. If there are smaller achievement differences between groups of students in districts with both high concentrations of minority students and high poverty, less disproportion may be observed as a consequence, (p. 77)

Thus, the report focused on two explanations: the systematic bias hypothesis (i.e., bias at some level of the system leads to disproportionate identification and placement rates for some groups) or the achievement difference hypothesis (i.e., those students who demonstrate greater need are in fact those who get placed). There is another possibility, which is considered here: the misalignment or imbalance of the multiple levels of the teaching/ learning system. A multilevel approach will be discussed a little later that incorporates different levels or intervention targets and sees all elements or levels as needing to be balanced and aligned according to the features and demands of the local context. Before discussing this possibility in more detail, we provide a brief discussion of how predominant theoretical frameworks have shaped the thinking and practices related to the issues focused on here.

A Brief Look at Educational Frameivorks and Interventions

Over the last 50 years, a broad variety of theoretically driven interventions and educational programs have been developed in special education, and the relative merits of each have been strongly debated (Andrews et al., 2000). Although the specific number and labels of the various theoretical approaches on which these programs are based can be debated, it is possible to recognize distinct approaches that have helped shape the field over the last 5 decades. These frameworks have guided special education practice over the last half century, and are briefly outlined in Table 1. Although extended discussion of the various approaches is beyond the scope of the present article, it is safe to say that they do represent different and recognizable emphases in addressing special education intervention issues.

Much of the intervention work in special education has understandably focused on learning and instruction. There are recognizable programs, classroom interventions, and instructional practices that are traceable to the frameworks represented in Table 1. Although it would be possible to provide representative examples of approaches and practices, these will not be presented here, because they will be familiar to most readers and because to do so would risk losing the primary focus of this article. Specifically, there are some notable points about these frameworks. First, they have led to powerful interventions that have all been successful to varying degrees in different contexts. Second, the predominance of work in special education has been guided by the first three frameworks (behavioral, cognitive, and social cognitive). Third, much of the work in the field relies most heavily on a single framework. Finally, the three most commonly used frameworks tend to center on individual learner variables.

TABLE 1

Educational Intervention and Remediation Perspectives

To illustrate these points, we draw on examples from the domain of reading because of its prominence in the research literature due to federal priorities and other policy considerations. Much of the current research and the resulting interventions are driven by a cognitive framework, which seeks to understand the component cognitive processes that result in successful reading both for monolingual speakers (e.g., Lindsey, Manis, & Bailey, 2003; Schatschneider, Carlson, Francis, Foorman, & Fletcher, 2002; Semrud- Clikeman, Guy, Guy, Griffin, & Hynd, 2000; Swanson, Saez, Gerber, & Leafstedt, 2004;) and for ELLs (Cisero & Royer, 1995; Durgunoglu, Nagy, & Hancin-Bhatt, 1993; Muter & Diethelm, 2001).

This same emphasis is evident in other work as well. Synthesizing research on effective approaches, Swanson, Harris, and Graham (2003) reviewed a multitude of interventions for successful instruction of students with LD. These included effective remediation of word identification and decoding difficulties, teaching text structure to improve reading comprehension, enhancing the mathematical problem solving of students with mathematical disabilities, process writing and interventions for writing disabilities, and science and social studies issues. Similarly, Gersten and Baker (2000) synthesized the results of 24 studies (15 intervention studies and 9 descriptive studies) and identified a set of instructional guidelines for teaching ELLs. These guidelines ineluded (a) building and using vocabulary as a curricular anchor; (b) using visuals to reinforce concepts and vocabulary; (c) implementing cooperative learning and peer-tutoring strategies; (d) using native language strategically; and (e) modulating cognitive and language demands.

Taken as a whole, this important body of work has led to increased understanding and powerful interventions for students at risk of being placed in LD programs. However, as a group, they tend to draw on a single theoretical perspective, thus minimizing consideration of other important variables, such as those discussed by Klingner et al. 2005. The argument here is that the overall impact of this important work may be limited in the long run primarily because of the predominant focus on a single-level approach to interventions and remediation that is primarily aimed at addressing individual deficits based on component cognitive processes. To restate the argument, existing studies typically focus on one level rather than on multiple levels of inquiry. The singular focus of each theoretical approach to research most often does not address educational intervention and remediation perspectives from a multilevel approach.

What Is Missing From Current Solutions?

Though recognizing the value of existing work, it is our assertion that a more comprehensive approach that includes simultaneous attention to multiple levels of learning and development in specific local settings may prove most effective to addressing the needs of these special students in the diverse contexts and schools serving them. This contention is bas\ed on recent extensions of sociocultural theory that conceptualize learning and development as a function of multiple, interacting levels of influence (Rogoff, 2003). The multiple levels of analysis approach includes the individual, the interpersonal, and the cultural-institutional focus of analysis (Rogoff, 2003). Individual factors include cognitive, motivational, and other learning-related characteristics. Work in this tradition has targeted component cognitive skills, learning strategies, metacognitive and executive factors, and motivation-related variables such as self-efficacy and attributions for failure and success. Interactional factors have to do with interpersonal relationships and the social-organizational features of specific settings with respect to how they affect engagement, participation, cooperative learning, and achievement. Institutional and community factors include home and family, community, and larger sociopolitical considerations, such as conflict over bilingual education, immigration, and economic resources.

According to Rogoff (2003), a multidimensional approach described as transformation of participation perspective encourages and addresses the educational problems in the context of the classroom, family, and the larger sociocultural spheres. Until now, theories, policies, and intervention programs have tended to address only one single level of the intersecting system. It is our premise that all three dimensions must be considered to alleviate issues of both overrepresentation and illiteracy.

We believe that the existing, current approaches are powerful. However, we also argue that although these approaches are not wrong, they are incomplete for two reasons. First, in the attempt to address “scaling up,” projects often do not take local context into account. What works in one setting will not always work elsewhere without conscious attention to features of the local context. Second, they tend to address a single level rather than multiple levels in a coordinated and comprehensive way, thus ignoring important sociocultural variables that interact with cognitive and social variables in complex ways, especially for populations in at- risk circumstances.

There are examples where projects have taken a somewhat broader focus to include an emphasis on factors such as school-community collaboration and culturally responsive assessment and instructional practices (Arreaga-Mayer & Perdomo-Rivera, 1996; Artiles & Ortiz, 2002; Baca, De Valenzuela, & Garcia, 1996; Barrera, 2003; Cloud, 2002; Garcia, 2002; Ortiz, 2002; Ortiz & Yates, 2002). One study in particular that represents the use of a multiple level approach is that of Klingner, Ahwee, Pilonieta, and Menendez (2003). This research focused on instructional practices, strategies, and support offered to teachers in addition to addressing barriers to scaling up. Conclusions addressed the instructional barriers of time and support and referenced problem issues in the local school context and culture. This particular project drew on a multilevel approach and focused on many areas in an integrated fashion; furthermore, the specific focus was tailored to the local context. We posit that after examining a particular school environment, an intermediate step and analysis may be necessary to tailor programmatic and placement decisions for a particular setting.

Building on a Multiple Level Approach

How does one go about thinking how to address these intersecting levels in a given context? It is evident that the issue of overrepresentation is a pervasive problem, persisting over time. One implication of the pervasive nature of this issue is that this is a systemic, organizational problem that requires solutions at a variety of levels and from a variety of perspectives. As described earlier, there are good examples of programs and initiatives that have had some success at the levels and in the specific settings they are designed to address. However, the emphasis on scaling up has been more difficult to achieve. We suggest that this may be due to a focus on “packageable” solutions that are meant to be universally applicable rather than on multitiered solutions based on generalizable principles that are adapted to the local sociocultural context.

A Problem-Solving Model for Helping Integrate Levels: Gap Analysis

One potentially helpful problemsolving model that may help think about integrating various levels of analysis is from the work on human performance and organizational settings-specifically, gap analysis (Clark & Estes, 2002). In general, approaches such as this try to solve organizational performance problems by bringing to bear a systematic problem-solving process that considers many factors simultaneously. Although a comprehensive review of this work and this approach in particular is beyond the scope of this article, it involves setting organizational (e.g., school district or school) goals that are meaningful and important and clearly communicated. These long-term, broad goals then translate to more immediate goals that reflect specific, measurable indicators that can be used to compare with some ideal standard. The difference between the current performance on these goals and the ideal is known as the “gap.” The next step in the problem-solving process is to determine the causes of the gap. What do specific individuals or teams of individuals need to do to close the gap? That is, what is the specific cause of the gap? Factors that might be targeted include lack of knowledge, motivational issues, or organizational issues (organizational cultural models or policies, practices, and structures) that need to be addressed. Before taking steps to provide solutions, these potential or presumed causes need to be examined and validated. When this step is complete, targeted solutions can be developed and assessed for effectiveness (Champion, 2002; Kirpatrick, 1994).

When translated to the issue of overrepresentation, schools and districts might think about collaboratively setting appropriate long- term goals related to achievement, student outcomes, overrepresentation, and other related issues. These goals would then need to be clearly communicated to all members of the learning community involved, and then the gap in performance must be determined. The specific indices and goals related to overrepresentation and low achievement would need to be set at the local level and might vary considerably. Next, consideration would need to be given to determine what individuals or teams of individuals would need to do to close the gap and meet the goals. The causes of the gap would need to be determined. Knowledge issues might include not knowing about the characteristics of ELLs, not knowing how to address cultural or linguistic issues in teaching, lack of awareness about recent research on second language development and literacy, and so on. Motivational issues (drawing from current theories of motivation, e.g., Covington, 2000; Ormrod, 2003; Pintrich, 2003; Wigfield & Eccles, 2000) might be related to a number of factors, from self-efficacy (beliefs about how successfully one can teach low-achieving students or ELLs) to dysfunctional attributions (“These students cannot learn because they are not motivated and have low IQs”) to low task value for changing practice. There may also be organizational issues, such as an institutional cultural model that does not consider important the needs of the local community, or counterproductive organizational policies and procedures, such as funding formulas that encourage the labeling of students or policies that deny some services once other services are obtained (e.g., special education vs. bilingual education). There may be clashes in the cultural models between parents and community members on the one hand and the school or district on the other hand (e.g., expectations about the allocation of resources). The specific solutions to these problems would be dependent on the validation process that would rule out presumed causes that turn out not to be important explanatory or causal factors.

The point of such a gap analysis is that it involves systematic, active problem solving at a variety of levels simultaneously. Moreover, it involves a generalizable approach that can be used in a variety of very different settings but that still requires attention to and adaptation to the local context. Such a process also implies a much more multidisciplinary approach than has been the case in the past, requiring that we venture beyond the boundaries that have been useful analytically but that have perhaps hindered the possibility of looking at the “big picture.”

Discussion and Conclusions

The National Research Council (2002) report suggested the need to move the analysis of learning problems and overrepresentation beyond a singular focus on the child:

The conceptual framework in which the committee considered the issue of minority disproportion in special education and gifted and talented programs, then, is one in which the achievement or behavior at issue is determined by the interaction of the child, the teacher, and the classroom environments. Internal child characteristics play a clear role: what the child brings to the interaction is a function both of biology and of experience in the family and the community. But the child’s achievement and behavior outcomes will also reflect the effectiveness of instruction and the instructional environment, (p. 3)

Unfortunately, there has been little guidance or direction about how such an approach might proceed, and there have been few, if any, examples of successful implementation. Most interventions to solve overrepresentation have focused on one level of analysis-the individual student (individual instructional interventions), the classroom (classroom organization or social and cultural accommodations), or the institutional/policy level (changingpolicy or restructuring). Although each level is important, we argue that a variety of levels need to be considered simultaneously and that these need to be examined in a specific local context (see Figure 1). The continuing nature of the problem of overrepresentation and underachievement of minority students suggests that we need to move beyond the advances we have made in understanding the problem thus far.

There is a powerful intellectual inheritance in special education, which has been well summarized by Reid and Valle (2004):

In that medicine and psychology spawned the field of learning disabilities (as well as the institution of special education), it is no surprise that the traditional conceptualization of learning dis/abilities embodies the scientific, medical, and psychological discourses; a scientific expert (e.g., school psychologist, neuropsychologist, clinical psychologist) must make a “diagnosis” based on comparisons with the performance of children thought to be “disability-free.” However, as a disciplinary offspring not only of medicine but also of psychology, special education also embraces the inherent assumptions of that parent discipline. We see the basic tenets of science, medicine, and psychology in the centering and privileging of statistically defined “normalcy” (Davis, 1995), individualizing and pathologizing of difference, and adherence to the objective traditions of science (Linton, 1998). Hence, special educators choose the individual as the primary unit of analysis, (p. 515)

Although the contributions from this inheritance have been valuable, the issue of overrepresentation may need to move beyond existing disciplinary boundaries, especially as they have facilitated a lens that focuses primarily on individuals. Different intellectual traditions and disciplines have much to contribute in looking at a variety of levels of the learning and development system. Thus, interdisciplinary collaboration should be a valuable part of the solution.

FIGURE 1. What is an appropriate unit of analysis to “locate” and address overrepresentation?

Frequently, overrepresentation is treated as an outcome rather than as an indicator of underlying problems. The problem-solving approach suggested here may help address this issue through the systematic examination and validation of presumed causes from a variety of different perspectives. The argument is not that the amount of specialized expertise and assistance provided to students should be decreased or disappear, as urban schools are filled with students who need meaningful assistance. Rather, we argue that the assistance needs to be more closely targeted to the underlying (validated, not presumed) causes. Finally, as schools and districts seek to monitor their efforts with regard to this problem, the type of data collected and the need to unpack these data must be carefully considered.

NOTE

The risk index (RI) is calculated by dividing the number of students in a given racial or ethnic category served in a given disability category by the total enrollment for that group in the school population. Thus, a risk index of 6 for African American students in a given category means that 6% of all African Americans were given that label. The composition index is calculated by dividing the number of students of a given racial or ethnic group enrolled in a particular disability category by the total number of students (summed across all groups) enrolled in that same disability category. The sum of composition indices for all the groups will total 100%. This index does not control for the baseline enrollment of a given group. Finally, the odds ratio divides the risk index of one group by the risk index of another (most often White) group for comparative purposes. Odds ratios higher than 1.0 indicate greater risk of identification.

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ABOUT THE AUTHORS

Robert Rueda, PhD, is a professor of educational psychology at the Rossier School of Education at the University of Southern California. His interests focus on learning and motivational processes related to reading and literacy with English learners and students in at-risk circumstances. Michelle P. Windmueller, PhD, is a school administrator in the Los Angeles Unified School District. Her interests include reading for English learners, early intervention for at-risk learners, special education inclusion for students with learning disabilities, and professional development to improve reading practices in urban classrooms. Address: Robert Rueda, University of Southern California, Rossier School of Education, Waite Phillips Hall, 601B, 3470 Trousdale Parkway, Los Angeles, CA 90089-4036; email: [email protected]

Copyright PRO-ED Journals Mar/Apr 2006

Woman Pleads Guilty to Murder With Vehicle

By Kevin Hoffmann, The Kansas City Star, Mo.

Mar. 17–A Kansas City woman pleaded guilty Thursday to using her vehicle to run down her boyfriend and then leaving him in the street, where another car ran over and killed him.

Regina R. Williams, 37, pleaded guilty to second-degree murder and assault in the death of 32-year-old Maurice S. Landis, also of Kansas City. Williams faces up to 17½ years in prison. Prosecutors agreed to drop an armed criminal action charge that carried a possible sentence of life in prison.

In answering questions from a Jackson County Circuit judge, Williams said she understood she was waiving her right to a trial. Had the case gone to trial, prosecutors — to gain a murder conviction –would have had to prove Landis died as the result of Williams committing a felony.

More than a dozen relatives and friends of Landis were at the hearing.

Williams testified she was drinking alcohol at a party Oct. 30, 2004, when she and Landis began fighting. The two continued to fight outside, and Williams got into her GMC Jimmy and began chasing Landis. She drove onto a grassy area and struck Landis. He ended up in the street in the 5200 block of Blue Ridge Cutoff, where another car hit and dragged him.

When tested by police, Williams had a blood-alcohol content of 0.125 percent.

During the hearing, Williams said Landis repeatedly had struck her in the past.

Sentencing was set for May.

To reach Kevin Hoffmann, call (816) 234-7801 or send e-mail to [email protected]

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Copyright (c) 2006, The Kansas City Star, Mo.

Distributed by Knight Ridder/Tribune Business News.

For information on republishing this content, contact us at (800) 661-2511 (U.S.), (213) 237-4914 (worldwide), fax (213) 237-6515, or e-mail [email protected].

Ex-Aryan Brotherhood leader says members must kill

By Tori Richards

SANTA ANA, Calif (Reuters) – The Aryan Brotherhood recruits
sociopaths and inmates willing to kill without hesitation, a
former leader of the prison gang testified on Wednesday in the
conspiracy and racketeering trial of four of its leaders.

Convicted killer Clifford Smith, who sat shackled and
chained to the witness stand and wore a black eye patch, was
the first witness called by prosecutors in one of the largest
death penalty cases in the United States.

“Not everybody wants to kill somebody, some people are kind
of squeamish about that stuff,” Smith, who admitted committing
eight murders and directing at least 10 more, said in
describing the rare inmate welcomed into the Aryan Brotherhood,
also known as the Brand.

Asked by a prosecutor to further describe a candidate for
the notorious prison gang, Smith, who is in protective custody
after dropping out of the gang and cooperating with
authorities, said, “A sociopath.”

Aryan Brotherhood chief Barry “The Baron” Mills, top
lieutenant Tyler “The Hulk” Bingham, Christopher Gibson and
Edgar “Snail” Hevle are charged with ruling U.S. prisons
through murder, assault and intimidation.

The defendants say they are not a criminal gang but
prisoners who banded together to survive. Defense lawyers argue
the government case is built on testimony from convicted felons
willing to lie in exchange for leniency.

Smith recalled joining the Aryan Brotherhood shortly after
arriving in prison in 1977. “I wanted in because I’m a
predator,” he said. “Prison is made up of two types of people,
predators or prey. You have to pick one.”

In order to get into the Brand, a prospective member must
“kill someone in spectacular fashion” and vow never to leave
the group, he said, and his initiation was stabbing a fellow
inmate 37 times in full view of guards and other prisoners.

“It was meant to be a public execution,” Smith said. “Even
Jesus Christ and his disciples are not going to help you if we
want to get you.”

Defense attorneys used their cross-examination of Smith to
portray him as a liar, saying he was hoping to win parole
someday from the maximum-security prison where is housed.

After Smith told jurors he had told the truth while
testifying in two trials involving members of the Hells Angels
motorcycle gang, defense attorney Michael White played a tape
of Smith telling a sheriff’s deputy in 1998 that he had lied
during those cases.

White then accused Smith of being evasive on the witness
stand and looking for “a way out” of being caught in perjury.

“There wasn’t no way out. You caught me,” Smith responded.

Hearing Set in Michael Murder Case: WVUH: Wife Had Access to Drug

By Natalie Neysa Alund, The Dominion Post, Morgantown, W.Va.

Mar. 15–A preliminary hearing for murder suspect Michelle L. Michael is set for 3 p.m. March 20 in Monongalia County Magistrate Court in front of Magistrate Jennifer Wilson, said a court assistant. Michael’s bond on the first-degree murder charge was set at $350,000 in Mon County Circuit Court on Tuesday, said Peri DeChristopher, assistant prosecuting attorney. Michael was in custody at the North Central Regional Jail on Tuesday evening. “If she is able to post, she can be on home confinement,” DeChristopher said. Michael, 34, was charged with firstdegree murder and first-degree arson in the death of her husband, James Andrew Michael, in Magistrate Court on Friday. Bond was set at $100,000 in Magistrate Court for that charge. Access to deadly drug Although the drug that killed James Andrew Michaels is kept locked up, hospital medical professionals have access to it, said WVU Hospitals Spokesman Bill Case. Police said James Michael, 33, was killed with a “nondepolarizing neuromuscular blocking drug” — a drug that causes temporary paralysis, according to the National Institutes of Health. “It is used when people who are taking care of a patient need to insert a breathing tube,” Case said Tuesday. “Because that has to happen in a hurry often, the drug is kept in all of the intensive care units and in all of the operating rooms.” The drug is stored in a locked cabinet or a locked medical storage room, Case said. Physicians and other providers who administer the drug can get it at any time. That includes nurse practitioners. Michelle Michael, also known as Shelly, is a University Health Associates nurse practitioner assigned to work in the Pediatric Intensive Care Unit at Ruby Memorial Hospital, Case said. Police said Michael was found dead Nov. 29, 2005, after an arson fire at his home at 545 Killarney Drive. Based on the autopsy performed by the state medical examiner’s office, they say he died from a lethal dose of the drug, not from carbon monoxide poisoning from the fire. Case said Tuesday that Michelle Michael is still employed, but is on leave. He has said he cannot comment on whether any of the drug that killed James Michael was missing around the time of his death. “I can’t answer that because it would get into the specifics of the investigation of the case,” he said. The criminal complaint notes that the drug was present in Michael’s blood and caused his death. Morgantown Police Chief Phil Scott said Tuesday that police are not releasing copies of the autopsy, toxicology report, or police report. “It (the case) has not been adjudicated, and they are part of the investigation still,” Scott said. Morgantown Police Sgt. H.W. Sperringer said MPD is not releasing if James Michael was dead before the fire broke out or how much of the drug was in his blood. He also would not say if police have any other suspects, because the investigation is ongoing and the case is awaiting the preliminary hearing. Sperringer did say that police are waiting lab results from the U.S. Bureau of Alcohol, Tobacco, Firearms and Explosives to learn if an accelerant was used to start the fire, which damaged two upstairs bedrooms of the home. Before Friday, Morgantown Police would not comment on how Michelle Michael came to be a suspect in her husband’s death. But according to the criminal complaint, Michael had access to the drugs, which are not available to the public. It says Michelle Michael went to work during the early morning hours of the fire, left work and returned to her residence before the fire was discovered, then returned to work.

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Copyright (c) 2006, The Dominion Post, Morgantown, W.Va.

Distributed by Knight Ridder/Tribune Business News.

For information on republishing this content, contact us at (800) 661-2511 (U.S.), (213) 237-4914 (worldwide), fax (213) 237-6515, or e-mail [email protected].

Good for What Ails You? Finns Go Ice Swimming

By Rex Merrifield

OULU, Finland — Some call it sport, some call it fun, others swear by its health benefits, rattling off a list that would make a snake-oil salesman blush.

Ice swimming will ease arthritis and relieve rheumatism, cure depression and keep colds and flu at bay, devotees say.

Headaches or sinusitis? Having trouble sleeping? They insist things will improve if you go regularly to the “avanto,” the Finnish word for a hole in the ice.

A dip in a frozen lake during the Arctic winter might not seem the most appealing pastime, but for many in Finland it is a weekly habit, as regular as cross-country skiing or skating.

“It is really something very special, something excellent,” said 85-year-old Leo Wanamo, climbing out of a hole cut through about half a meter of ice (1-1/2 feet) after a short dip in the sea water below.

The retired Finnish army colonel praises the invigorating effects of cold water as he dons a sheepskin coat against a -15 Celsius (5 Fahrenheit) breeze, icicles forming on his grey temples.

“As a young man, I used to do it every single day, but now I am down to three times a week.”

While Wanamo does not make any specific claims for the health benefits of an icy dip, he delights in being fitter and healthier than his peers who have not been hooked.

“The first time is the worst. After that it is very, very fine.”

VIM, Vigor, VERVE AND VITALITY

Medical researchers say studies show ice swimming can help to treat some illnesses or rehabilitate injuries, but add there is not much proof of any effectiveness in preventing ill-health.

“In studies on rheumatic diseases, cold treatment reduces aches and pains, and in some cases, depending on the treatment, patients can do without painkillers,” said Juhani Smolander, a senior medical researcher who is studying the clinical benefits.

“It doesn’t cure the disease, but it does relieve the symptoms.”

Smolander, who admits to being just an occasional winter swimmer himself, said there was not much hard evidence for long-term physical benefits.

But researchers have found a positive psychological impact: people who immerse themselves in icy water regularly say they feel better than those who simply stay indoors, peering out at the brave or foolhardy jumping through the ice on a frozen lake.

“For many people, the biggest benefit is overcoming their fear,” said Taina Kinnunen, a cultural anthropologist who co-authored a book about ice swimming.

“It raises your self-confidence when you can do something you are afraid of, but there are also the health and beauty aspects. People who do it consider they are doing something that is good for them,” she said.

SPOTLESS MIND

“My skin is smoother and softer,” said Mariia Yrjo-Koskinen, organizer of the March 3-5 World Winter Swimming Championships in northern Finland.

“And it is even good for my husband, or so it seems,” said the 43-year-old, who had a baby daughter six months ago.

About 120,000 Finns go ice swimming regularly, but about five times that number — roughly 10 percent of the population — have taken the plunge at least once.

Many of the regulars do it to cool off between bouts in the traditional Finnish sauna, but the more seasoned are happy just to swim, without the welcoming warmth of the steam.

Yrjo-Koskinen said for some people it is serious exercise, but also simple fun.

That was what attracted many of the 1,000 or so swimmers to the championships, which included Australians, Canadians and even some from Kazakhstan, racing against each other in a 25-meter, eight-lane pool cut through the ice.

“If you have a hangover, are angry, or have something on your mind, cold-water swimming wipes it clear,” said Stephen Hodnett, a Dubliner racing at the championships in Oulu.

“It just clears it all. The only problem is that you get cold.”

COLDER THAN A WELL-DIGGER’S BREECHES

In subzero conditions, it is warmer in the water than out in the open air, which is below freezing for most of the winter in Finland.

As you descend into the avanto, first comes the shock of the cold, sudden and thorough. Then comes tingling and sometimes a slight dizziness, almost like vertigo, as the cold seeps well into your bones.

A mild numbness follows as you linger in the water briefly.

Then, as you climb the ladder out of the swimming hole, the cold wind envelops you, frosting the hair on the nape of your neck. Suddenly you feel quite dry, and a strange feeling of serenity and well-being starts to seep outwards.

Yrjo-Koskinen, standing next to the pool at the world championships said that was why many people got into the habit: “It’s like getting high, in a very healthy way.”

The 50 Largest Companies in the US Healthcare Industry Occupy 60% of the $350 Billion Market

Research and Markets (http://www.researchandmarkets.com/reports/c34322) has announced the addition of Managed Healthcare – Industry Profile to their offering.

Our easy-to-use, quarterly industry profiles provide you with the industry analysis you need to better understand any particular business. We synthesize information from hundreds of sources into an easy to digest format, giving you invaluable information about your target market, highlighting critical industry statistics and issues, changes that have taken place since the last quarterly update and key concerns that can have negative or positive impacts on investments. Utilizing the financial and forecasting data while simultaneously learning from educational business overviews can help you and your customers plan more effectively and invest wisely.

Our industry reports will educate your sales team on critical industry trends in target markets, empowering them to create more strategic proposals. These industry reports are also essential for professional organizations that want make savvy, educated business decisions. We provide industry reports that are simple to use and help you understand the most important facets of industry trends and developments.

This profile is updated quarterly. At time of ordering, you will receive the most recent edition.

Topics Covered:

Industry Overview

Quarterly Industry Update

Business Challenges

Trends and Opportunities

Call Preparation Questions

Financial Information

Industry Forecast

Website and Media Links

Glossary of Acronyms

Summary

Brief Excerpt from Industry Overview Chapter:

The US healthcare industry includes about 3,000 managed healthcare companies with combined annual revenue of about $350 billion. Large participants include Aetna, UnitedHealth, and Humana, and non-profit organizations such as Kaiser Permanente and state Blue Cross/Blue Shield organizations. The industry has become concentrated, with the 50 largest organizations holding more than 60 percent of the market.

COMPETITIVE LANDSCAPE

Demand is driven by the rising costs of providing medical care. The profitability of individual companies depends on efficient operations and the ability to negotiate favorable contracts with healthcare providers. Large companies and organizations have advantages in negotiating contracts with healthcare providers. Small companies can compete successfully only by providing special coverage plans, or in small markets. The industry is highly automated, with annual revenue per employee close to $1 million.

PRODUCTS, OPERATIONS & TECHNOLOGY

The industry provides various types of health insurance plans that have built-in cost containment measures, unlike traditional indemnity plans that pay whatever costs are incurred. Among the major products are health maintenance organization (HMO); preferred provider organization (PPO); point of service (POS); and indemnity benefit plans. Companies usually offer a number of such plans and may operate dozens of them.

HMO plans, sometimes called ‘closed system’ plans, have the most active cost-containment features. Consumers choose a primary care doctor from the HMO’s network of providers, who acts as a gatekeeper for any other medical services the consumer may need. PPO plans, also called ‘open access’ plans, allow consumers to …

For more information visit http://www.researchandmarkets.com/reports/c34322

Forensic Expert Uses Blood to Re-Create 1996 Slayings

By Jon Frank, The Virginian-Pilot, Norfolk, Va.

Mar. 14–VIRGINIA BEACH — The master bedroom where Elise Makdessi and Quincy Brown were killed 10 years ago was a blood-stained mess when police arrived on the evening of May 14, 1996.

Two bodies with multiple wounds had produced bloo d patterns everywhere.

Blood speckled the walls, stained the bed and floor, and covered clothing worn by the victims and the chief suspect in the slayings: Elise’s husband, Eddie Makdessi.

On Monday, that bloody scene became a crash course in forensics for jurors who will decide whether Makdessi is guilty of two counts of first-degree murder.

One of the nation’s top crime scene experts — Ross Gardner of Atlanta — testified Monday that based on the blood evidence, the slayings could not have happened in the manner described by Makdessi in his statements to police.

Gardner presented a PowerPoint analysis of the blood-stain evidence at the crime scene.

Using computer software, Gardner’s three-dimensional analysis re-created two of the crime’s participants — Brown and Eddie Makdessi — showing where they likely were located when Brown was shot three times in the upper body .

Gardner also described how he thinks Elise Makdessi, an air traffic controller at Oceana Naval Air Station, was stabbed with a knife as she lay spread-eagle on the bed, her arms and legs tied to the four-poster bed.

Based on the blood spatters in the room, Gardner testified, the slayings could not have happened in the manner described by Makdessi in his statements to police.

Gardner acknowledged that after nine years of analysis, there are still things about the bedroom he cannot explain. “There is a complexity there,” he said. “I am looking, but I can’t find what I need to know.”

Gardner’s three hours of testimony concluded the prosecution’s case against Makdessi. The defense will begin its case today.

Gardner wrote several books on crime scene analysis and lectures worldwide on the subject. He was the commonwealth’s 47th witness in the trial, which began one week ago.

Prosecutors claim that Makdessi killed Brown and his wife partly out of jealous rage and partly to collect $700,000 in life insurance benefits.

Makdessi claims that he was assaulted and knocked unconscious by Brown after returning with his wife from a restaurant. He claims that when he came to, he saw Brown raping and stabbing his wife. He claims he shot Brown, then tried to save his wife. He claims he shot Brown a second and third time as Brown lunged at him, then Makdessi called 911.

Brown died at the scene. Elise Makdessi was pronounced dead at the hospital.

When police initially failed to charge Makdessi, an insurance company paid him $500,000 for temporary coverage arranged by the couple in the weeks before Elise Makdessi’s death.

Kevin Heaney of the New York Life Insurance Co. testified Monday that Makdessi called him frequently before receiving the check, wanting to know, “Where do I stand? Am I going to get paid?”

Makdessi also received $200,000 from the Navy.

After getting the money, Makdessi left the country for six years. He was arrested when he returned to the United States in 2003, and he has been in jail awaiting trial ever since.

Last week, a crime scene analyst with the Virginia Beach Police Department testified that he made a mistake when he first looked at the crime scene almost a decade ago.

“I was wrong,” said Harry Holmes. His initial evaluation of the blood-spatter evidence seemed to confirm part of Makdessi’s version of how the incident occurred.

Gardner testified Monday that the bedroom was a “confusing, very complex crime scene” that continues to leave many questions unanswered.

For instance, he said, he cannot tell which victim was killed first, nor can he explain why Eddie Makdessi’s DNA does not appear on the knife used to kill Elise Makdessi, while Brown’s DNA does.

Gardner said he can definitely say Brown was not shot in the manner described by Makdessi.

Gardner said blood-spatter evidence on the back wall and on Makdessi’s clothing proves that Brown was shot the first time while kneeling in the bedroom. He said Brown then was shot twice while falling back onto the floor. Additional blood spatter, and a bullet found imbedded in the carpet immediately below Brown’s body, proves this, Gardner testified.

The last shot was fired with Makdessi standing directly over Brown, Gardner said.

Also, Gardner said, there is no evidence that Brown ever held the knife that killed Elise Makdessi, but there are multiple stains on Eddie Makdessi’s clothing made by contact with the knife.

Gardner said the earlier crime scene analysis was wrong because it did not take into account how multiple gunshots create extra blood-

spatter patterns.

Reach Jon Frank at (757) 222-5122 or [email protected].

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Copyright (c) 2006, The Virginian-Pilot, Norfolk, Va.

Distributed by Knight Ridder/Tribune Business News.

For information on republishing this content, contact us at (800) 661-2511 (U.S.), (213) 237-4914 (worldwide), fax (213) 237-6515, or e-mail [email protected].

Unknown:NYI,

Police: Husband Drugged to Death: James Michael Did Not Die in House Fire

By Natalie Neysa Alund, The Dominion Post, Morgantown, W.Va.

Mar. 14–Police say Suncrest resident James Andrew Michael didn’t die from fire — he died from a lethal dose of drugs. His wife, Michelle L. Michael, 34, was charged with first-degree murder and first-degree arson in connection with his death Friday. James Michael, 33, was found dead the morning of Nov. 29, 2005, after a fire engulfed his home at 545 Killarney Drive. The fire was ruled an arson. M i c h a e l ‘ s autopsy, conducted by the state medical examiner’s office, determined that he did not die from carbon monoxide poisoning caused by the fire, according to the criminal complaint. The complaint says that a toxicology indicates that a lethal dose of a “nondepolarizing neuromuscular blocking drug” was present in Michael’s blood, which caused his death. Nondepolarizing neuromuscular blocking drugs are primarily used in hospitals and are not available to the public, the complaint says. The drugs, which cause temporary paralysis, are generally used before inserting tracheal tubes, according to the National Institutes of Health Web site. Michelle Michael, also known as Shelly, is a nurse practitioner in the Neonatal Intensive Care Unit at Ruby Memorial Hospital and has access to those drugs, the criminal complaint says. WVU Hospitals spokesman Bill Case said Monday evening he did not have sufficient information about which WVUH employees have access to the drugs because those who know were gone for the day. Before Friday, Morgantown Police would not comment on how Michelle Michael came to be a suspect in her husband’s death. But according to the criminal complaint, James Michael was with his wife on the night before he died and on the morning of his death. It also says Michelle Michael went to work during the early morning hours of the fire and then left her place of work and returned to her residence before the fire was discovered. She then returned to work. Michelle Michael was later interviewed by detectives in reference to her activities on the day her husband died. Her statements were inconsistent and some were proven to be false, the complaint says. Michelle Michael remained incarcerated Monday at North Central Regional Jail. Background On Nov. 29, James Michael was found dead in an upstairs bedroom at his two-story brick house in the Suncrest section of Morgantown. He was the only person home at the time of the fire. Officials were unable to identify James Michael’s body for several days after the blaze. A positive ID was made through dental records, police said. The fire was ruled an arson in February. While battling the blaze, firefighters were made aware that James Michael had not shown up for work that morning as he usually did. His car then was found in the garage. Investigators from the Morgantown Fire Department and the U.S. Bureau of Alcohol, Tobacco, Firearms and Explosives said the fire originated in a bedroom of the house, but would not say which one. James Michael was the president and CEO of Mountaineer Home Medical, a Maple Drive home-respiratory therapy company. He also was the head coach of the Evansdale Youth Football team. James Michael left behind two children from a previous marriage. Michelle Michael also has two from a previous marriage. Morgantown Police Sgt. H.W. Sperringer said the children were put in the care of family members after Michelle Michael’s arrest.

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Copyright (c) 2006, The Dominion Post, Morgantown, W.Va.

Distributed by Knight Ridder/Tribune Business News.

For information on republishing this content, contact us at (800) 661-2511 (U.S.), (213) 237-4914 (worldwide), fax (213) 237-6515, or e-mail [email protected].

Families Settle With Bar Owners: Owners of PUB Where Driver Drank Will Pay Victims’ Kin $850,000

By Kathryn Thier, The Charlotte Observer, N.C.

Mar. 14–The families of two Lincoln County cousins killed two years ago in a drunken-driving wreck outside Birkdale Village have settled a wrongful-death lawsuit with the corporate parent of the bar that served the intoxicated driver.

The settlement announced in Mecklenburg County Civil Court Monday morning stipulates that Firefly Five Inc. will pay $850,000 to the families of the dead women, Sally McKenzie Clark and Anna Grace Jordan, and to a third teen, Suzanne Paige Kessler, who survived the wreck.

The money will be divided equally among the three groups.

Firefly Five was the owner of the former Graduate Food and Pub in Cornelius, where David Scott Shimp drank excessively for hours before the crash.

Shimp pleaded guilty last year to second-degree murder of the two teenagers and was sentenced to at least 13 years in prison.

Clark’s father David Clark, who filed the lawsuit with Jordan’s mother, said he hopes the settlement sends a message to bars and restaurants that they are responsible for their patrons’ drinking.

The evening the bar served Shimp, it “loaded the gun,” Clark said. “Mr. Shimp simply pulled the trigger.”

Clark said the families feel “no joy or happiness in the outcome” of the settlement, but feel comforted that the pub was held accountable.

“Never again in this life will I see Sally’s beautiful smile, share with her our mutual love of Carolina basketball or attend a country music concert with her and (Anna) Grace, or hear Grace’s voice call ‘Uncle David,’ ” Clark said.

The cousins were 19 when they died. Sally Clark was from Iron Station and a freshman at Peace College in Raleigh. Jordan was from Denver and a freshman at N.C. State.

An attorney for Firefly Five said his clients don’t admit liability, even though they settled the suit.

“I think everyone’s glad the case is over,” said Dayle Flammia of Raleigh, Firefly Five’s attorney. “We feel really badly for the families involved and our thoughts are still with them.”

David Clark said the settlement amount was “inconsequential” to his family, except as a means to hold Firefly Five accountable and close the pub down. Court documents show Shimp drank six pints of beer and three liquor drinks in less than two hours at The Graduate.

The pub later closed, but not because of the lawsuit, Flammia said. The Graduate currently located in Cornelius is under different ownership.

Clark said his family will donate its share of the settlement, about $283,000, to a new YMCA they plan to build in East Lincoln called Sally’s Y.

“Sally’s life was about faith,” he said, touching the silver Christian fish bracelet of hers on his wrist.

“I’ll wear it forever,” he said.

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Copyright (c) 2006, The Charlotte Observer, N.C.

Distributed by Knight Ridder/Tribune Business News.

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WBAL Radio Cancels Rush Limbaugh: Station is First to Drop Show, Wants to Focus on Local News

By Rob Hiaasen, The Baltimore Sun

Mar. 14–Rush Limbaugh, one of the most popular and polarizing radio personalities of recent years, has been sacked in Baltimore.

WBAL-AM Radio has canceled Limbaugh’s syndicated call-in talk show, saying it wants to focus on local news and hosts. It is the first station to cancel the show, which is heard in nearly 600 markets, according to Limbaugh’s syndicate, Premiere Radio Networks.

“In this market at this time, we just think we can perform better without him,” said Jeff Beauchamp, station manager and vice president at WBAL. “It was a great run, though.”

After a decade in Baltimore, the conservative talk-show host will no longer be heard on WBAL after May 31. Sandwiched between local hosts Chip Franklin and Ron Smith, Limbaugh has been a WBAL mainstay in its noon-to-3 p.m. time slot. WBAL, fourth among adults in its market and fifth among listeners age 12 and older, has seen Limbaugh’s ratings decline. According to Arbitron, which rates radio stations, Limbaugh’s audience share on WBAL dropped 27 percent last fall compared to fall 2004.

Limbaugh, however, was No. 1 for his time slot among adult males, Beauchamp said. “But his ratings are not at the lofty level they once were.

“There’s no doubt Rush is an American icon,” he said. “It’s not a personal thing, it’s not a political thing. It’s about being successful and giving listeners want they want.”

Station research has shown WBAL listeners want more local news coverage and more local voices discussing community issues, Beauchamp said. Radio has become “homogenized and vanilla,” and a syndicated program, such as Limbaugh’s, does not fit into the station’s plans for expanded local coverage, he said.

Limbaugh’s departure doesn’t necessarily signal that Baltimore has lost its taste for conservative radio, Beauchamp said. “Ron Smith is conservative,” he said. “People still have a taste for conservative radio. Rush is an individual taste.”

Jayson Loviglio, an assistant professor of American studies at University of Maryland, Baltimore County, said yesterday that he credits Limbaugh with inventing a new style of radio talk-show host, but that his cancellation in Baltimore might have been inevitable.

“Rush was really the Elvis of right-wing talk radio. But you just don’t need him anymore with so many other places to get what Rush brought before anyone had it,” said Loviglio, whose 2005 book, Radio’s Intimate Public, discusses how the medium shapes American life and popular culture. “If this is a trend, he’s a victim of his own success, because he’s no longer a voice in the wilderness.”

WBAL’s decision to expand local coverage makes sense if local radio is to survive, Loviglio said. Listeners can get opinions from podcasts and other newer media outlets, but who is going to talk about electric rate increases or local athletes? Not a syndicated talk-show host, he said.

“WBAL is actually starting an important trend,” he said. “The only thing broadcast radio has to offer in the next 10 years is localism — as in providing voices of people from your community talking about issues from your community.

“There’s no other point of broadcast radio.”

Despite losing one local affiliate, Limbaugh remains popular nationwide.

He is heard by an estimated 2 million weekly listeners on nearly 600 radio stations, and the number of his affiliates has remained consistent, according to Premiere Radio Networks.

“The station decided to go all local, so the syndicated program goes — whether it’s the biggest talent in the business or somebody else,” said Premiere spokeswoman Amir Forester. “We’re looking forward to announcing a new home in the near future.”

Premiere said Limbaugh will air on another station June 1, but declined to elaborate. Limbaugh is still carried on Maryland radio affiliates in Frederick, Frostburg and Salisbury.

Tim Graham, an analyst with the Media Research Center, a conservative media watchdog group, also played down the significance of the Limbaugh cancellation in Baltimore. “If you have 600 stations, losing one market is not something to worry about. If you go from 600 to 500, then you have a story,” Graham said. He added that Limbaugh’s publicized hearing loss in 2001 and rehab stint in 2003 were more cause for concern about the state of conservative radio.

“Those were moments when you could really worry, but I don’t think now is one of those times,” he said.

Still, Beauchamp said, WBAL’s cancellation of Limbaugh’s show was a “bold move.” Over its 15-year history, The Rush Limbaugh Show has gone off the air in markets where radio stations have switched formats. But this is the first time his show has been canceled, according to his syndication company.

The radio station posted its new lineup on its Web site yesterday — along with a reminder that Limbaugh can be heard through May 31, and listeners can hear his show on his Web site. Limbaugh’s departure will mean expanded programs for talk-show hosts Franklin and Smith. Beginning June 1, Franklin’s program will air from 9:30 a.m. to 2 p.m., and Smith will add an hour to his program, airing from 2 p.m. to 6 p.m. WBAL-AM Edition, a 5 a.m.-to-5:30 a.m. news program, will also debut in June.

—–

Copyright (c) 2006, The Baltimore Sun

Distributed by Knight Ridder/Tribune Business News.

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NYSE:ARB,

Mathematical Myths: Teacher Candidates’ Beliefs and the Implications for Teacher Educators

By Barlow, Angela T; Reddish, Jill Mizell

Abstract

For more than 2 decades, professional, state, and federal agencies have adopted educational standards aimed at improving mathematics instruction. One way of measuring the success of these adopted standards is to examine their impact on the mathematics attitudes and beliefs of students who received their education during this reform period. How teachers approach and implement these mathematics standards is heavily influenced by what they believe about mathematics content and pedagogy. For those who seek to improve mathematics education, examining beliefs regarding mathematics and the factors that influence those beliefs is imperative. In this paper we explore the persistence of teacher candidates’ beliefs in myths despite changing educational standards. The beliefs of 76 current elementary teacher candidates were compared to beliefs of 131 elementary teacher candidates from 1990. The results confirm the pervasiveness and persistence of math myths among female elementary teacher candidates.

How teachers interpret and implement curricula is influenced significantly by their knowledge and beliefs (Cooney & Wiegel, 2003; Thompson, 1992). Beliefs about subject matter, including orientations to subject matter, have been found to contribute to the choices teachers make in their classroom instruction (Borko, 1992). Beliefs impact practices because beliefs affect how teachers see their students, how they view the practices of other teachers, and how they accept the ideas given to them to develop practice-whether those ideas are introduced through staff development, content courses, or pedagogy courses. In the discipline of mathematics, teacher practices are more influenced by beliefs about mathematical content than by beliefs about mathematical pedagogy (Raymond, 1997). Teachers “see what their beliefs allow them to see, that is, their beliefs act as a filter through which their observations are shaped” (Cooney & Wiegel, 2003, p. 800). Often, teachers’ content-related beliefs are influenced by their personal experiences as students.

Teacher Beliefs and Teacher Education

The potential impact of beliefs on teacher practices makes it a relevant topic of consideration for mathematics teacher educators (Chauvot, 2000; Grant, Hiebert, & Wearne, 1998; Skott, 2001). The current emphasis at both the national and state levels on preparing highly qualified professionals along with the ongoing efforts of the National Council of Teachers of Mathematics (NCTM) to shift the role of the mathematics teacher from one of a giver of information to one of a facilitator of learning make the importance of continually examining teacher beliefs about mathematics even more evident. Clearly, teacher preparation programs have been tasked with helping future teachers meet these expectations.

Understanding teacher candidates’ beliefs in myths about mathematics is vital for mathematics teacher educators striving to design and implement effective teacher education programs. Hart (2002) stated that in order to determine the effectiveness of a teacher education program, teacher candidate beliefs must be a primary consideration. Beliefs in myths about mathematics are of particular importance because beliefs in math myths can interfere with teacher candidates’ adoption of effective practices. Beliefs in myths about mathematics can lead to math anxiety and even math avoidance (Frank, 1990). Additionally, when false impressions or beliefs regarding mathematics are established, all other ideas regarding mathematics are accepted or rejected based on their alignment with these accepted impressions (Skott, 2001). For example, many teachers believe that students must master basic mathematical facts before engaging in problem solving, despite evidence to the contrary. Therefore, these teachers’ classrooms emphasize the memorization of basic facts and are void of rich mathematical tasks that engage students in problem solving.

Over 25 years of research on mathematics myths has revealed that teacher candidates have maintained stable myth beliefs despite active reform efforts in teacher training (Frank, 1990; Hart, 1999; Kogelman & Warren, 1978). The original study by Frank was conducted in the late 1980s and examined 12 mathematical myths identified by Kogelman and Warren. Our replication of Frank’s study is designed to explore cohort differences in myth beliefs. The timing of our study was important, given that the state and federal education governing bodies and the NCTM have implemented reform efforts since Frank’s study was conducted, allowing a direct examination of the level of concurrence in mathematical myths following 15 years of systematic reform efforts.

Myths About Mathematics

Kogelman and Warren (1978) described 12 mathematical myths, stating that these myths provided false impressions as to how mathematics is done. The presence of these myths or variations of these myths has been repeatedly demonstrated in the literature (Kenschaft, 1988; National Research Council, 1991; Op’t Eynde & DeCorte, 2003; Stanczuk, 2003). The paragraphs that follow provide each of the 12 myths, along with a brief description of Kogelman and Warren’s arguments.

Myth 1

Some people have a math mind and some don’t. This myth is based on the belief that people who have a math mind do mathematics easily and quickly with correct answers just popping in their heads. This belief is invalid because an individual’s ability to understand and do mathematics is impacted more by receiving instruction that supports his or her efforts to construct meaning than it is by the individual’s cognitive ability. When this belief is held, the inability to perform mathematics in such an effortless fashion leads to a lack of self-confidence, one of the most important determinants in mathematical performance.

Myth 2

Math requires logic, not intuition. Intuition is “the act or faculty of knowing without the use of rational processes” (Kogelman & Warren, 1978, p. 32). Mathematics incorporates a great deal of intuition. Number sense is an example of this. The role intuition plays in initiating and verifying solution processes is well noted. Many early mathematical ideas were initially based on intuitive notions.

Myth 3

You must always know how you got the answer. Arriving at a solution is not always the result of a conscious sequence of mathematical actions. Being able to reflect on one’s thinking or engage in metacognition is necessary in order to elaborate on how one arrives at an answer. Not all individuals are able to do this. Although it is the goal of mathematics education to develop this ability, not knowing how one arrived at a solution does not always indicate a lack of understanding. Often, it is more of an indicator of the need to develop the ability to reflect on one’s own thought processes than it is an indicator of a lack of mathematical understanding.

Myth 4

Math requires a good memory. The likely origins of this myth reside in the teaching practices of traditional mathematics teachers. If the goal of instruction is not conceptual understanding, the study of mathematics becomes the memorization of procedures and rules, and mastery of it necessitates a good memory. “Knowing math means that concepts make sense to you and rules and formulas seem natural. This kind of knowledge cannot be gained through rote memorization” (Kogelman & Warren, 1978, p. 40).

Myth 5

There is a best way to do a math problem. Many students are under the impression that the best way to solve a problem is the one presented either by their teacher or their textbook. In reality, math problems can be solved in a variety of ways. Being able to provide multiple ways to solve a problem is indicative of having a solid understanding of mathematics. While one way of solving a problem may be more efficient than another, the best way to solve a problem depends on the individual. No one way is necessarily better than another. When students believe one best way to solve a problem exists, they lack motivation to try to develop their own solution paths. The emphasis is on trying to remember what was presented by the teacher or text versus thinking through a problem.

Myth 6

Math is done by working intensely until the problem is solved. The idea that the manner in which math is done involves working nonstop until the problem is solved is probably rooted in classroom experiences. In schools, students are often rewarded for being the first one finished, and their mathematical experiences are often limited to the efficient application of algorithms. Solving mathematics problems or learning new concepts requires a process of alternating between working and resting. Periods of rest allow the mind to assimilate ideas and to develop new ones. Viewing math as the efficient application of algorithms discourages students from being persistent when faced with challenging problems that do not offer an immediate route to the solution. The true nature of mathematics as an exercise in thinking is replaced by a belief that mathematics is an exercise in recall.

Myth 7

Men are better in math than women. No evidence has been found to suggest that innate differences exist in mathematical ability between men and women.

Myth 8

It’s alway\s important to get the answer exactly right. In many circumstances, approximate answers are more appropriate than exact answers. This is true when a person is grocery shopping, estimating sales tax, calculating a tip, etc. Although problems have exact answers, as stressed in testing situations, there is value in estimating, conjecturing, and hypothesizing. These are important mathematical processes, none of which requires an exact calculation. An overemphasis on exact answers results in a depreciation of the importance of the process of mathematics.

Myth 9

Mathematicians do problems quickly in their heads. The process of solving a genuine mathematics problem, one for which there is no immediate route to a solution, is not a quick process. Time is needed to identify the question being asked by the problem as well as to plan the exploration of possible solution strategies. The only problems that mathematicians do quickly in their heads are ones they have previously solved. In the field of mathematics, it is not uncommon for a mathematician to spend months working on a single problem.

Myth 10

There is a magic key to doing math. There is no formula or rule that will demystify mathematics. Many students fail to develop a true understanding of the mathematics they are studying, relying instead on shortcuts for solving problems. The shortcuts are viewed as tricks because the mathematics is not understood and remains a mystery, despite the student’s ability to produce correct answers.

Myth 11

Math is not creative. Belief in this myth is most likely derived from schooling experiences that involve the modeling of one solution strategy that is to be mimicked by the students on a given assignment or exam. However, generating solution strategies, multiple representations, hypotheses, and conjectures are all mainstays of mathematics that require creativity. Mathematics is a result of a creative process. It is unfortunate that most people have not experienced the creative nature of mathematics, particularly when it is the essence of the discipline.

Myth 12

It’s bad to count on your fingers. Finger counting can be very useful in doing arithmetic and indicates an understanding of the mathematics being computed. Fingers are no less a mathematical manipulative than are base-10 blocks, two-sided counters, or other counting materials. The idea that students must compute answers in their heads fails to legitimize the understanding demonstrated through finger counting. In addition, prohibiting students from finger counting does not allow them to naturally progress through the developmental phases associated with counting.

Methods

The intent of the current study was to replicate a study conducted by Frank (1990) in which she examined beliefs in myths about mathematics held by a sample of elementary teacher candidates. Frank created a 12-item survey based on Kogelman and Warren’s (1978) mathematics myths on which participants noted whether they agreed or disagreed with each of the 12 statements. In addition, participants were instructed to select 1 of the statements with which they agreed and write a paragraph explaining why they agreed with that statement. No information was provided as to the validity or reliability of the survey.

The sample for Frank’s study included 131 preservice elementary teachers enrolled in a mathematics content course for teachers. No data were provided as to the makeup of this sample or the university from which it was drawn. Frank reported that 125 of the 131 participants agreed with at least one of the myths.

Subjects

In an effort to replicate Frank’s (1990) study, 138 teacher candidates enrolled in 4 sections of a mathematics content course for teachers completed a 12-item beliefs survey. Of these teacher candidates, 79 were early childhood majors seeking initial certification in elementary education. As only 3 of the early childhood majors were male, the decision was made not to include them. This small number of males could have resulted in misrepresentative generalizations regarding male elementary teachers. As a result, responses from the 76 female early childhood majors were used in this study.

The state university from which this sample was taken is located in northwest Georgia and has a current enrollment of over 10,000 students, over 7,600 of which are undergraduates. The average undergraduate age is 22 years, and 3.5% of students are from states other than Georgia. Approximately 8.5% of the undergraduates are early childhood majors.

Procedures

Participants in this study completed Frank’s (1990) beliefs survey during the 1st week of the semester in an effort to identify what beliefs teacher candidates held upon initially entering the teacher education program. The data were analyzed in three ways. First, each participant was assigned a total agreement number based on the number of myths with which she agreed. second, the percentage of teacher candidates agreeing with each myth was calculated. For each myth, participants’ responses in this sample were compared with Frank’s original findings.

The third analysis involved examing the participants’ written responses. First, we separated the responses according to which myth the participants addressed. For each myth, we identified the themes reported by preservice teachers regarding their adherence to a mathematical myth.

Limitations

Before presenting the results and implications from this research, limitations of the study must be noted. The first limitation is the unique sample and setting. The generalization of these results to other elementary teacher candidates is limited because of the makeup of the sample. The participants were all females attending the same state university. Therefore, the results may not necessarily generalize to larger universities or to male teacher candidates.

The second limitation is the survey instrument used in order to provide a direct replication of Frank’s (1990) study. The survey included only one item per myth, which limited the possible use of more sophisticated statistical analyses such as a factor analysis in drawing conclusions about the myths. In addition, without a Likert- type scale, conclusions regarding the level of agreement with each myth were not possible.

Results

In investigating the beliefs held by elementary teacher candidates, two questions were posed. First, what myths about mathematics do elementary teacher candidates hold? Second, how do the beliefs held by the current sample of elementary teacher candidates compare to the beliefs held by a previous sample of elementary teacher candidates?

Table 1

Teacher Candidates Agreement With Each Myth

Teacher Candidate Math Myths

Using the number of endorsed myths as a measure of myth presence, our results revealed teacher candidates agreed with 5 of the 12 myths on average (M= 5.0; SD = 1.78; range 1-10). In addition to participants’ total myth agreement, the percent of agreement with individual myths was calculated (see Table 1). Myths 1 through 4 received a higher percentage of agreement than the remaining 8 myths. The written responses provided by the teacher candidates offer insight into why the teacher candidates hold beliefs in these 4 myths. The myth, “Some people have a math mind and some people don’t,” received not only the highest percent of agreement (89%) but also was the subject of the highest percent of teacher candidates’ written responses. Many teacher candidates defined “having a math mind” as being able to do math easily:

I agreed to the statement “Some people have a math mind and some don’t” because I have seen this prove itself since my childhood. I believe some people can catch on more quickly to math and its concepts better than others; the same as in any other school subject.

I believe that some people can understand math better than others. I have never been one that math comes easily to; it just takes me a little longer to get it. I always had to get extra help from teachers.

I agree that some people have a math mind and some don’t because I am one who doesn’t, yet my sister does. Math has never come easily or naturally, and I’ve always had to work at it. On the other hand, my sister can pick up a problem and figure it out like it’s nothing. Math just comes a lot more naturally to her . . . she has the mind for it.

The myth, “Math requires a good memory,” received the second highest percentage of agreement with 76%. In the written responses, teacher candidates pointed towards the need to know formulas, equations, steps, and basic facts.

I agree with the statement that math requires a good memory. I feel that this is true b/c in math there are a lot of rules, theorms, and equations that you must remember in order to correctly complete a majority of problems.

My boyfriend does poorly in math and I think its partially due to his bad memory. He can’t ever remember the orders of steps in solving a problem.

Receiving the third highest percentage of agreement was, “You must always know how you got the answer” (75% agreed). Teacher candidates who chose to write about this statement seemed to view “not knowing” how you got the answer as a form of guessing. Many teacher candidates felt that a person needed to know how the correct answer was determined in order to be able to work similar problems in the future. Some teacher candidates also said it was needed so that one could judge the correctness of the answer, explain the process to someone else, or make sense of the mathematics.

I think that if you don’t show all of your work and know how you got through the one problem, you won’t understand the next one.

I believe that to fully understand a mathematical concept, you must always know how you get the answer. If you don’t, then you really do not know how to work the problem. Stumbling upon an answer will not help you in the future. You must learn and comprehend mathematical concepts!

Comparison With Fr\ank’s Sample

In comparing the beliefs held by the two samples, two similarities appear. First, for both samples, M1, M2, M3, and M4 received the highest percentages of agreement. second, both samples showed little agreement with 6 of the myths (M5, M7, M9, M10, M11, and M12). For each myth, a statistical comparison utilizing a z statistic was made between the proportions of participants agreeing in each sample (see Table 1). Using a p

Discussion

Our results indicate the elementary teacher candidates maintained beliefs in mathematical myths, many of which are in direct conflict with the beliefs about mathematics expressed in Principles and Standards for School Mathematics (National Council of Teachers of Mathematics, 2000). The incompatibility of these beliefs with those underlying improvement efforts “blocks reform and prolongs the use of a mathematics curriculum that is seriously damaging the mathematical health of our children” (Battista, 1994, p. 462). Therefore, close examination of these beliefs is imperative.

Three primary themes emerged from the analysis of the written responses. First, the majority of teacher candidates in this sample believe a person is either good in math-meaning that mathematical answers come quickly and easily-or they are not-meaning that learning mathematics is very difficult, if not impossible. When teacher candidates view themselves as not having a math mind, a lack of self-confidence in their mathematical ability may result (Kogelman & Warren, 1978). As practicing teachers, they may see their students as either having a math mind or not; they may fail to challenge all students to understand mathematics and to encourage students to develop the self-confidence needed to be successful in mathematics.

The second theme involved teacher candidates’ view of mathematics as a set of rules, procedures, or facts that must be memorized. Teachers with such beliefs will likely teach a concept as a procedure to be followed rather than as a process to be understood. This belief may lead to more class time being devoted to the memorization of mathematical rules and procedures and less time spent working to enable their students to understand mathematics and to make connections within and among the mathematical concepts.

The final theme revolved around teacher candidates’ lack of understanding of the role that intuition can play in doing mathematics. Participants’ perceptions of mathematics following a step-by-step procedure support a view that mathematics requires logic not intuition. Viewing intuition as merely blind guessing, these teacher candidates are likely to rely primarily on algorithmic approaches to math.

Unexpectedly, a comparison of the beliefs held by this sample with the beliefs of participants in Frank’s (1990) study revealed that mathematical myths have remained constant despite 15 years of reform in mathematics education. Based on this comparison, it appears as though mathematics education is experiencing a counter- productive cycle. Unless teacher education programs are designed to correct these beliefs and disrupt this cycle, these teacher candidates will return to the classroom and perpetuate these myths with their learners. Although reform efforts have addressed these issues, the results of this study indicate that this is not enough. We propose that teacher education programs hold the key to breaking the cycle, provided the programs are deliberate in debunking the standard myths held by students entering the teaching profession.

Implications for Teacher Educators

Given the goal of teacher preparation programs to prepare highly qualified mathematics teachers, this re-examination of elementary teacher candidates’ beliefs points toward critical recommendations for teacher educators. First, the literature and the findings of this study indicate the importance of recognizing the beliefs in myths teacher candidates bring with them into a teacher preparation program.

Teacher preparation programs must not only be concerned with the beliefs their teacher candidates have about mathematics, but also with how the program itself works to influence those beliefs. Research has shown that the experiences teachers have as learners can have a tremendous impact on the beliefs and attitudes they bring into their own classrooms (Chappell & Thompson, 1994). Thus, mathematics content courses are the most logical place within teacher education programs to combat beliefs in myths, calling into question the myths preservice teachers have and recognizing the power of these beliefs in altering the instructional processes of future math teachers.

The results of the written responses also revealed that teacher educators need to provide teacher candidates with experiences that require making sense of mathematics rather than viewing it as a set of rules. Teacher educators need to facilitate candidates’ examination of the issue of whether or not some people really have mathematical minds and encourage candidates’ exploration of the role of intuition in mathematics. Finally, teacher educators will need to dedicate time to guiding teacher candidates in reflecting back on these experiences and in exploring how these experiences contradict the beliefs that they hold.

References

Battista, M. T. (1994). Teacher beliefs and the reform movement in mathematics education. Phi Delta Kapan, 75, 462-468.

Borko, H. (1992). Learning to teach hard mathematics: Do novice teachers and their instructors give up too easily? Journal for Research in Mathematics Education, 23(5), 194-222.

Chappell, M. F., & Thompson, D. R. (1994). Modeling the NCTM standards: Ideas for initial teacher preparation programs. In D. Aichele (Ed.), Professional development for teacher of mathematics: 1994 yearbook of the National Council of Teachers of Mathematics (pp. 186-199). Reston, VA: National Council of Teachers of Mathematics.

Chauvot, J. (2000). Conceptualizing mathematics teacher development in the context of reform. Unpublished doctoral dissertation, University of Georgia, Athens.

Cooney, T. J., & Wiegel, H. G. (2003). Examining the mathematics in mathematics teacher education. In A. Bishop, M. Clements, C. Keitel, J. Kilpatrick, & F. Leung (Eds.), second handbook of mathematics education (pp. 795-828). Boston, MA: Kluwer Academic.

Frank, M. L. (1990). What myths about mathematics are held and conveyed by teachers? Arithmetic Teacher, 37(5), 10-12.

Grant, T. J., Hiebert, J., & Wearne, D. (1998). Observing and teaching reform-minded lessons: What do teachers see? Journal of Mathematics Teacher Education, 2, 217-236.

Hart, L. C. (2002). Preservice teachers’ beliefs and practice after participating in an integrated content/methods course. School Science and Mathematics, 102(1), 4-14.

Kenschaft, P. C. (1988). Confronting the myths about math. Journal of Career Planning and Employment, 48(4), 41^44.

Kogelman, S., & Warren, J. (1978). Mind over math: Put yourself on the road to success by freeing yourself from math anxiety. New York: McGraw-Hill.

National Council of Teachers of Mathematics, (2000). Principles and standards for school mathematics. Reston, VA: Author.

National Research Council. (1991). Moving beyond myths: Revitalizing undergraduate mathematics. Washington, DC: National Academy Press.

Op’t Eynde, P., & De Corte, E. (2003). Students’mathematics- related belief systems: Design and analysis of a questionnaire. Paper presented at the Annual Meeting of the American Educational Research Association, Chicago, IL. (ERIC Document Reproduction Service No. ED475708)

Raymond, A. M. (1997). Inconsistency between a beginning elementary school teacher’s mathematics beliefs and teaching practice. Journal of Research and Development Education, 28(5), 550- 576.

Skott, J. (2001). The emerging practices of a novice teacher: The roles of his school mathematics images. Journal of Mathematics Teacher Education, 4, 3-28.

Stanczuk, T. (2003). Dispelling the math myths. Retrieved April 5, 2004, from Komotech Publishing V Innovative Teaching Web site: http://www.komotech.com/ Article,%20Dispelling%20the%20Math%20Myths.htm

Thompson, A. G. (1992). Teachers’ beliefs and conceptions: A synthesis of the research. In D. Grouws (Ed.), Handbook of research on mathematics teaching and learning (pp. 127-146). New York: MacMillan.

Angela T. Barlow

Mathematics, University of West Georgia

Jill Mizell Reddish

Curriculum and Instruction, University of West Georgia

Copyright Ball State University Teachers College Winter 2006

Convergent Morphology in Small Spiral Worm Tubes (‘Spirorbis’) and Its Palaeoenvironmental Implications

By Taylor, Paul D; Vinn, Olev

Calcareous tube-worms generally identified as Spirorbis range from Ordovician to Recent, often profusely encrusting shells and other substrates. Whereas Recent Spirorbis is a polychaete annelid, details of tube structure in pre-Cretaceous ”Spirorbis” suggest affinities with the Microconchida, an extinct order of possible lophophorates. Although characteristically Palaeozoic, microconchid tube-worms survived the Permian mass extinction before being replaced in late Mesozoic ecosystems by true Spirorbis. Recent Spirorbis is stenohaline but spirorbiform microconchids also colonized freshwater, brackish and hypersaline environments during the Devonian-Triassic. Anomalies in the palaeoenvironmental distributions of fossil ‘Spirorbis’ are explained with the recognition of this striking convergence between microconchids and true Spirorbis.

Convergent evolution generally results from unrelated species adopting similar lifestyles. Frequently cited examples include birds and bats, and ichthyosaurs and dolphins. Recognizing convergence depends on being able to show that the taxa concerned belong to different biological groups or clades. This is straightforward for the vertebrates cited above because their complex morphologies furnish ample characters amenable to cladistic analysis that reveals their true biological affinities. However, it can be more problematical in fossil invertebrates with simple skeletons. This study concerns some calcareous worm tubes where the failure to recognize convergence has led to false conclusions about their geological longevity and utility as palaeoenvironmental indicators.

Small, planispirally coiled calcareous tube-worms encrust hard and firm substrates of Late Ordovician to Holocene age (Fig. 1). They are routinely identified as Spirorbis because of their close resemblance to this polychaete annelid, which is widespread in today’s oceans. Supposed species of Spirorbis feature in numerous palaeoecological studies of Palaeozoic hard substrates (e.g. Sparks et al. 1980; Sando 1984; Nield 1986; Fagerstrom 1996). Taken at face value the genus Spirorbis has a remarkable geological longevity of at least 450 Ma (Howell 1962).

Evidence that some Palaeozoic species of ‘Spirorbis’ are unrelated to true Spirorbis began to emerge during the 1970s. Tube microstructure, internal septa and bulb-like tube origins initially pointed to British Carboniferous specimens being sessile, vermetid- like gastropods (Burchette & Riding 1977; Weedon 1990). Subsequently, affinities with the problematical tentaculitids (Weedon 1990, 1991) and with lophophorates (Weedon 1994) were suggested. The microstructure of minute lath-like crystallites arranged in chevron-shaped growth increments found in Recent Spirorbis was shown to contrast markedly with the often punctate, lamellar microstructure of Palaeozoic ‘spirorbiform’ fossils (Weedon 1994). Unfortunately, these findings have not been adequately assimilated and it is still commonplace to find Palaeozoic spirorbiforms incorrectly identified as Spirorbis.

To clarify the true affinities of fossil spirorbiform worms, we have undertaken micro- and macrostructural studies of SilurianRecent material, coupled with a literature survey. Our results show that two independent clades of ‘worms’ evolved spirorbiform tubes, employing near-identical ecological strategies for colonizing hard and firm substrates. Those in the Ordovician-Jurassic are interpreted as lophophorates whereas Cretaceous-Recent spirorbiforms are polychaete annelids. Spirorbiform fossils thus provide an outstanding and hitherto unheralded example of convergent evolution. The paradox provided by finds of Devonian-Triassic ‘Spirorbis’ in non-marine deposits, whereas modern Spirorbis is marine and stenohaline, is explained with the knowledge that these fossils are not spirorbid polychaetes.

Material and methods. Study material comes from the fossil worm collections of the Natural History Museum, London (NHM); a full listing of specimens studied is available online at http:// www.geolsoc.org.uk/SUP18238. A hard copy can be obtained from the Society Library. Well-preserved spirorbiform fossils were chosen across their entire stratigraphical range, except for the Ordovician, which is poorly represented in the NHM collections. Surface features were examined mainly using a LEO 1455-VP SEM, a low- vacuum instrument capable of imaging uncoated specimens up to 10cm or more in diameter. Representative specimens were embedded in epoxy resin and sectioned in a plane parallel to the coiling. After polishing, sections were etched lightly in 1% acetic acid and examined using an SEM. Conventional thin sections were also prepared further to elucidate tube microstructure.

Results. Spirorbiform tubes studied ranged from 3 mm in diameter. Both dextral (clockwise) and sinistral (anticlockwise) tubes occurred, coiling direction being consistent within a species. Tightness of coiling varied between species, from evolute with successive whorls overlapping minimally, to involute with strongly overlapping whorls. In some instances, the outer parts of the tube grow erect to elevate the aperture above the substrate. Whereas some tubes are externally smooth (Fig. Ib), others were ornamented by transverse growth bands (Fig. Ij and k) and/or longitudinal ridges (Fig. If). None of these variations in morphology show any clear correlation with geological age.

Early growth stages provide important evidence for distinguishing convergent tube morphologies. True Spirorbis from the Recent was found to have tubes open at the origin (Fig. Ig), corroborating information from the literature (Nott 1973). However, this was closed in all pre-Cretaceous spirorbiforms where the origin of the tube could be observed (Fig. Ig), in one species comprising a bulb about 150 UJTI in diameter (Fig. Ik). Similar structures have previously been noted and/or illustrated in the literature (Beckmann 1954; Burchette & Riding 1977; Senkowiczowa 1985).

Fig. 1. Morphology of convergent Cretaceous-Recent annelid (a-d) and Ordovician-Jurassic microconchid (e-I) worm tubes usually identified as Spirorbis. (a) Recent Spirorbis attached to an algal frond, (b) Pliocene Spirorbis (Waccamaw Fm., North Carolina, USA) with microbored, tightly coiled tube, (c) Underside of Recent Spirorbis showing open tube origin (arrowed), (d) Microstructure of disordered rods in Recent Spirorbis. (e) Aggregation of Microconchus valvata (Munster) from the Triassic (Muschelkalk, Bindloch, Germany), (f) Ridged and porous tube of Microconchus midfordensis (Richardson) from the Jurassic (Bajocian, Stroud, Gloucestershire, UK). (g) Underside of another example of Microconchus midfordensis (Richardson) showing closed tube origin and porous tube wall, (h) Polished and etched section of Microconchus tennis (Sowerby) tube from the Silurian (Much Wenlock Limestone Fm., Shropshire, UK), with arrows pointing to positions where pseudopunctae intersect tube outer surface, (i) Aggregation of Microconchus omphalodes (Goldfuss) from the Devonian (Hamilton Fm., Arkona, Ontario, Canada) intergrown with Hederella, a colonial problematicum. (j) Individual of Microconchus from the same locality showing growth bands, (k) Young specimen of Microconchus pusillus (Martin) from the British Carboniferous with bulb-like tube origin arrowed. (1) Lamellar microstructure and pores visible in exfoliated tube interior of another individual belonging to the same species (Westphalian, Coal Measures, Halifax, Yorkshire, UK). Scale bar represents: 5 mm in (a); 0.5 mm in (b); 100 m in (c); 5 m in (d); 5 mm in (e); 0.5 mm in (f); 100 m in (g); 50 m in (h); 5 mm in (i); 1 mm in (J); 100 m in (k); 50 m in (1).

Longitudinal sections through Cretaceous-Recent spirorbiforms confirmed the chevron-shaped growth increments reported previously (Weedon 1994). However, these were absent in all pre-Cretaceous species. Tube microstructure in Cretaceous-Recent species was extremely fine-grained, consistent with that previously reported in true Spirorbis and other serpulimorph annelids (Weedon 1994; Fig. Id). None of the pre-Cretaceous spirorbiforms had this microstructure. Instead, most were found to have laminated microstructures, with the laminae formed from platy crystallites (Fig. Ih), or alternatively needle-like crystallites arranged transversely or fibres aligned parallel to tube growth direction. Regular cone-shaped inflections in the laminae are present in many species (Fig. Ih). Illustrations of pre-Cretaceous spirorbiforms with similar lamellar tube microstructures can also be found in the literature (Bronnimann & Zaninetti 1972; Burchette & Riding 1977; Warth 1982). Curved internal septa were present in sections of a Devonian species, and have prevously been depicted in a Carboniferous species (Burchette & Riding 1977, fig. 4A), but were not seen in the current study and have not been previously reported in Recent Spirorbis.

Although lacking in Cretaceous-Recent species, pores were found to be present in some spirorbiform specimens of Carboniferous, Triassic and Jurassic age. In a Carboniferous species they are very small, about 1.5-2m in diameter (Fig. 11), whereas pores in two Jur\assic species are an order of magnitude larger, measuring 15-20 m in diameter (Fig. If and g).

Discussion. Evolutionary convergence. The deceptively simple external tube morphology of fossil spirorbiform worms belies significant variations in their internal structure. These differences indicate that spirorbiforms are taxonomically heterogeneous. Cretaceous-Recent examples are polychaete annelids but preCretaceous species share skeletal characteristics with brachiopods and bryozoans. The bulb-like tube origin is reminiscent of the protoecium of stenolaemate bryozoans (Nielsen 1970), which is the first skeletal secretion formed by the newly settled and metamorphosed larva. Laminar skeletal microstructures are widespread among both bryozoans and brachiopods (Williams 1990). Conical inflections in the laminae of pre-Cretaceous spirorbiforms (Fig. Ih) resemble brachiopod pseudopunctae and bryozoan styles, and the pores in some tubes find parallels in brachiopod punctae and cyclostome bryozoan pseudopores.

Pending detailed study, pre-Cretaceous spirorbiforms are here all assigned to Microconchus Murchison, 1839, the nominate genus of the Order Microconchida Weedon 1991 (Class Tentaculitoidea Ljyashenko 1957), a presumed lophophorate. Microconduis is neither bivalved like a brachiopod nor colonial like a bryozoan but may have been phoronid-like. Phoronids are a small phylum of soft-bodied lophophorates (Emig 1982) that live in chitinous tubes. Their elongate, vermiform bodies could be readily accommodated within a spirorbiform tube.

Contrasting biomineralization and soft tissue organization. In Spimrbis the body of the animal is not physically attached to the tube and the skeleton is very different from that of molluscs, brachiopods and bryozoans where epithelial tissues line the skeleton and anchor the body. Serpulimorph tubes grow by periodic application to the tube aperture of a mucus paste containing calcite or aragonite crystallites (Hcdley 1958; Neff 1971). Chevronshaped growth bands mark former positions of this aperture, and the very fine-grained microstructure of the tubes reflects the minute size of the crystallites in the paste (Fig. Id). Unlike molluscs and brachiopods, there is no organic layer (periostracum) on the outside of the tube to form a template for biomineralization.

Soft tissue organization and mode of tube secretion is inferred to have been very different in Microconchus. Tube laminae were evidently secreted by epithelial tissues lining the tube interior. Highest calcification rates around the aperture led to tube extension, and continued calcification on the internal surface caused tube thickening, a pattern much like shell growth in brachiopods and molluscs. In some microconchids secretory epithelium formed septa to seal off older parts of the tube. A fixed epithelium allowed the positional maintenance of pseudopunctae (Fig. 1h) and pores (Fig. 11), which would have been difficult had the tube been secreted from a paste as in spirorbids. If analogies with biomineralization in brachiopods and bivalves are correct, the calcite tubes of Microconchus would have possessed an outer organic layer. The very different modes of biomineralization employed by microconchids and spirorbids means that their calcareous tubes are not homologous structures even though they may be superficially almost identical in appearance.

Parallel palaeoecologies. Apart from the wider salinity tolerance of some species of microconchids (see below), most aspects of their palaeoecology are inferred to have been closely similar to the ecology of modern spirorbid polychaetes. Species belonging to both taxonomic groups recruit in large numbers onto hard and firm substrates (Fig. la, e and i), typically forming dense aggregations comprising mixtures of juveniles and adults (e.g. Abe 1943). In Recent Spimrhis, aggregation is often due to gregarious behaviour (Knight-Jones 1951), larvae preferentially settling close to adults of the same species. Nield (1986) demonstrated similar clustering of ‘Spimrbis’ encrusting Silurian stromatoporoids. A preference for cryptic undersides may be shown by Recent spirorbids (Abe 1943), and this was also true for some Jurassic spirorbiform microconchids (Taylor 1979; Palmer & Fursich 1981). Among the biotic substrates colonized by Microconchus are brachiopods (Fagerstrom 1996), bryozoans (Taylor 1984), bivalve molluscs (Trueman 1942; Van der Heide 1956), trilobites (Snajdr 1983), and marine (Jux 1964) and terrestrial plants (Kelber 1986; Falcon-Lang 2005). Recent spirorbids also encrust a variety of substrates. Although adept at biofouling, both groups are vulnerable to overgrowth by other organisms living on the same substrates (Lament & O’Connor 1978; Taylor 1984). A strategy they both employ to prevent or delay overgrowth is elevation of the tube aperture (e.g. Brnnimann & Zaninetti 1972, for microconchids; Rzhavsky 1994, for spirorbids). Recent spirorbids are active suspension feeders using the brachial crown cilia to create water currents entraining plankton. Spirorbiform microconchids were also undoubtedly suspension feeders, probably employing cilia on a tentaculate lophophore to propel food particles towards the mouth.

Salinity tolerance. Modern spirorbid annelids are typically fully marine, stenohaline animals; although some species are capable of living in slightly reduced salinities (e.g. Caspers 1957; Ushakova 2003), none occur in freshwater environments. Beginning in the Devonian (Sandberg 1963; Ilyes 1995), spirorbiform microconchids began to inhabit brackish and freshwater environments in addition to marine settings. Carboniferous examples of nonmarine ‘Spirorbis’ are especially numerous (e.g. Trueman 1942; Van der Heide 1956; Bell 1960; Vasey 1985; Petzold 1986; Falcon-Lang 2005). For example, in Westphalian lacustrine and alluvial sediments of the Warwickshire Group of northern England, ‘Spimrbis’ occurs together with non- marine bivalves, ostracodes, conchostracans and fish fragments, sometimes in sufficient abundance to form ‘Spirorbis limestones’ (Aitkenhead et al. 2002). ‘Spimrbis’ is abundant in the lower Carboniferous Ballagan Formation of Scotland in deposits recently interpreted as brackish and hypersaline on the basis of sedimentology, stable isotopes and fossil content (Williams et al. 2005). The Upper Pennsylvanian Coenemaugh Group of eastern Ohio, USA, contains ‘Spimrbis’ in facies interpreted as marginal lacustrine or palustrine (Lewis & Dunagan 2000). Spirorbiform microconchids evidently continued to live in freshwater or brackish- water environments into the Triassic (Gall & Grauvogel 1967; Ball 1980; Warm 1982; Ash 2005).

With the knowledge that the Carboniferous fossils actually belong to a different taxonomic group, uniformitarian reasoning that Carboniferous ‘Spimrbis’ was strictly marine like its modern relatives (e.g. Cassle et al. 2003) no longer applies. Taken as a group, microconchids were evidently able to tolerate a wider range of salinities than do modern spirorbid annelids. Creationist literature (e.g. Coffin 1975) has argued for the rapid formation of coal in the sea during the Biblical Flood on the basis of finding marine ‘Spirorbis’ attached to trees and other terrestrial plants in Carboniferous Coal Measures. This argument becomes untenable with the knowledge that the tube-worms concerned were not stenohaline spirorbid polychaetes.

Evolutionary history of spirorbiform worms. Fossils traditionally identified as ‘Spimrbis’ in the geological literature belong to at least two different clades of animals with separate evolutionary histories. Spirorbiform microconchids first appeared in the Late Ordovician and persisted until at least the mid-Jurassic, surviving the end-Permian mass extinction. The extant spirorbiform annelids, including true Spimrbis and related genera, may not have appeared until the Cretaceous; Jurassic records (e.g. Parsch 1956; Housa 1974; Ziegler & Michalik 1998) require critical re-evaluation as some may be Serpulidae. However, by Late Cretaceous times, spirorbid annelids had become common (Jger 1983). They employed closely similar morphological strategies to occupy essentially the same broad ecological niche that had been filled by spirorbiform microconchids from the Ordovician to the Jurassic, except that none are known to have adapted to life in non-marine environments. There is as yet no clear evidence for an overlap in the geological ranges of the two spirorbiform groups, and hence of competitive replacement of spirorbiform microconchids by spirorbid annelids. Rather, it is more probable that extinction of the incumbent microconchids cleared ecospace for spirorbid annelids, which evolved from another group of serpulimorph annelids (Kupriyanova 2003).

One of us (0.V) is grateful for a SYNTHYSYS grant allowing a period of study at the NHM. H. A. ten Hove provided advice and helped with the literature, and M. A. Wilson, D. Clements and P. Kuklinski read earlier versions of the manuscript.

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Received 4 October 2005; revised typescript accepted 2 November 2005.

Scientific editing by Duncan McIlroy

PAUL D. TAYLOR1 & OLEV VINN2

1 Department of Palaeontology, Natural History Museum, Cromwell Road, London SW7 5BD, UK (e-mail: [email protected])

2 Institute of Geology, University of Tartu, Vanemuise 46, 51014 Tartu, Estonia

Copyright Geological Society Publishing House Mar 2006

One in Ten Transplant Patients ‘Inherit Personalities of Their Organ Donors’

By RACHEL ELLIS

A LEADING scientist will claim this week that he has proof that patients who undergo major organ transplants can inherit the personalities of their donors.

Gary Schwartz, a professor of psychology at the University of Arizona, says he has details of 70 cases where this controversial phenomenon has occurred.

And he will argue that it affects at least ten per cent of people who have a heart, lung, kidney or liver transplant. The theory that personality and character traits can be transferred via an organ transplant has existed for some time, but most scientists have ridiculed the notion.

Professor Schwartz now claims to have evidence that in the most extreme cases patients adopt a donor’s taste in food, take up the same interests and pastimes as a donor, and even develop talents that a donor possessed. In one case, outlined opposite, a woman who had been health-conscious and calm began craving fast food and became aggressive, just like the biker whose heart and lungs she received.

In another, a seven-year-old girl had nightmares about being killed after being given the heart of a girl who had been murdered.

Professor Schwartz will present his findings at a holistic living conference in London next weekend, titled Icons of the Field. Critics put such events down to chance, the trauma of the surgery or the side-effects of the drugs that transplant patients have to take.

But last night Professor Schwartz, who is also a professor of medicine, neurology, psychiatry and surgery and has published more than 400 scientific papers, said that all transplant patients should be warned that there is a chance they will inherit the personality of a donor.

‘It is a big ethical question, but I believe transplant patients should be told there is a possibility that they will take on a donor’s characteristics,’ he said.

‘Then they can have a choice. They can decide what is important to them: being active and being with their family, but with the chance that they might take on some traits of the donor that they might not like. Our research shows that about ten per cent of patients will inherit some of a donor’s characteristics. However, it may be higher because most patients are afraid to share their experiences.

‘I don’t want to frighten people, but to make it more acceptable for them to share what is happening to them.

If this is a real phenomenon, we shouldn’t ignore it and it requires further scientific study.’ Professor Schwartz’s claims are based on the theory that all major organs develop a certain amount of memory. When they are transplanted, this memory can be transferred-from one person to another.

He explained: ‘When the organ is placed in the recipient, the information and energy stored in the organ is passed on to the recipient.

‘The theory applies to any organ that has cells that are interconnected.

They could be kidneys, liver and even muscles. The stories we have uncovered are very compelling and are completely consistent with this systematic memory hypothesis.’ Since starting his research in the Eighties, Professor Schwartz has attracted widespread criticism from the medical establishment.

In one startling experiment, he claimed to prove that consciousness lives on after we die. He studied a man called Montague Keen, who vowed to communicate with his wife from beyond the grave. After Mr Keen’s death from a heart attack in January 2004, some scientists, including Professor Schwartz, claimed there was strong evidence that Mr Keen had succeeded in proving there was an afterlife.

In the year to March 31, 2005, almost 3,000 major organ transplants were carried out in the UK, including 1,783 kidney swaps, 656 liver transplants and 290 heart replacements. Most of the organs were taken from 752 people who died, but more than 1,000 kidneys were donated by living people, often relatives or friends of the recipients.

In the UK, more than 13 million people 22 per cent of the population are on the NHS Organ Donor Register, and about 6,600 patients are awaiting transplants. Last year more than 400 died while on the waiting list.

Stroke deaths dropped after folate added to food

NEW YORK (Reuters Health) – After folic acid fortification
of enriched grain products was fully implemented in 1998,
deaths due to strokes dropped rapidly in the US and Canada,
according to a report in the American Heart Association’s
journal Circulation.

The main reason for folic acid fortification was to reduce
the number of babies born with neural tube defects such as
spina bifida. The present findings suggest, however, that there
may have been an unintended benefit.

There is “accumulating, controversial evidence” that
homocysteine — an amino acid in the blood — is a risk factor
for stroke and heart disease, Dr. Quanhe Yang, from the Centers
for Disease Control and Prevention in Atlanta, said in a
statement. Folate decreases homocysteine levels, which may help
explain the drop in stroke deaths.

Yang’s team compared stroke mortality trends between 1990
and 2002 in the US and Canada with those in England and Wales,
where folate fortification is not required.

Stroke mortality was already falling in the US and Canada
from 1990 to 1997, but in 1998 a precipitous drop began, the
report indicates. In the US, the annual decrease in mortality
during the earlier period was 0.3 percent, whereas starting in
1998 the reduction was 2.9 percent. Similar results were seen
in Canada.

By contrast, stroke mortality rates did not decline
significantly in England and Wales between 1990 and 2002, the
report indicates.

“If folic acid fortification is responsible for even a
fraction of the accelerated improvement we observed, this
public health benefit is an important bonus to the reduction in
neural tube defect rates previously demonstrated,” Yang and
colleagues conclude.

SOURCE: Circulation, March 14, 2006.

Panama’s Indian Albinos a Revered Elite

By Mike Power

ISLA TIGRE, Panama (Reuters) – When Kuna Indian medicine man Mandiuliguina Flores speaks, everyone listens. For his dark-skinned indigenous audience, the albino shaman’s milky white skin gives him special powers.

In a quirk of history and genetics, Panama’s Kuna tribe has one of the world’s highest occurrences of albinos, revered as an elite group that the Kuna call “the children of the moon.”

Kuna mythology puts albinos — who have pale skin and white or ginger hair due to pigment deficiency — at the heart of creation, teaching that God sent his albino son to Earth to teach humans how to live.

Even today, the Kuna see albinos as highly intelligent and some even claim they have supernatural powers.

“I can heal any snake bite,” said healer Flores outside his thatched hut on tiny Isla Tigre island, his pale-yellow eyes flitting around in their sockets, a side-effect of his albinism, and his ginger hair peeping out from his pork-pie hat.

“I attend to women in childbirth. I can remove stuck fish bones from your throat with this pill, and I can cure headaches by touching your head,” he said.

“He can tell your future, too,” whispered one bystander.

The Kuna, known for their colorful and intricate woven fabrics and indigenous dress, live on a string of remote islands running 200 miles along Panama’s Caribbean coast toward Colombia.

They moved here from the rain forests of eastern Panama in the mid-1800s to avoid mosquitoes, snakes, diseases and territorial rivalry. They farm on the mainland and sleep on the islands, an autonomous territory known as Kuna Yala.

Charles Woolf, an anthropologist at Arizona State University, says the incidence of albinism here is higher than any comparable population on the planet.

A BLESSING, NOT A CURSE

In the United States, among white people of European descent, albinism overall occurs at a rate of 1 in 30,000-40,000. On some islands in Kuna Yala, the rate stands at 1 in 165.

Anthropologists attribute the high frequency to cultural protection of albinos and the slaughter wrought by Spanish conquistadors in the 16th century.

The Spaniards devastated the Kuna with attacks or diseases, reducing the islands’ founding gene pool to only 5,000 people from a population that once hit 750,000.

While Kuna warriors fought off the Spanish and carried out revenge attacks, albinos would stay indoors to avoid sunlight.

They survived where their compatriots were slaughtered by Spanish muskets.

Albino skin is sensitive to sunlight and burns easily, and the genetic disorder could easily be seen as a curse in the blisteringly hot tropics.

But to be born albino in Kuna Yala is to be born into a revered group whose importance is enshrined in Kuna cosmology.

In a self-fulfilling prophecy, many albinos in this culture become community leaders, medicine men, shamans, politicians or entrepreneurs.

“With advancing civilization and the availability of economic opportunities for albinos out of the sunshine that were not available previously, they have done well in some cases, with some becoming high achievers,” said Woolf.

The head of the Kuna General Congress of Culture, IkwaYokkiler Ferrer is albino. He commands widespread respect in Kuna communities for his work preserving their culture and traditions.

BRINGERS OF LIGHT

Weegi Baller, a 12-year-old albino on Rio Sidra, is one of seven albinos on this tiny, cramped island of more than 1,000 people. His sister Elederis, 13, and is also albino.

Weegi helps his mother with chores around the house as his skin is too fair to venture outdoors. But once, during an eclipse, he showed his powers, says his mother.

Her young son climbed onto the roof of the hut with a bow and arrow and fired it at the moon which was covering the sun. “The sun suddenly came out,” she said, beaming proudly.

Saila Aurelio Meza Smith, the chief of Isla Tigre, where the Kuna violently overthrew Panamanian forces in a 1925 rebellion, says albinos’ powers can be supernatural.

“I saw an albino grab an angry snake by the neck. It did him no harm. I saw the same albino smash a wasp’s nest open, but he was not stung. The same albino once dived from a high tree into a shallow river. He swam out, laughing. That is the power of an albino,” he said.

This respect wasn’t always apparent, however. Anthropologists say in the past some parents even killed newborn albino babies.

“Marriage discrimination against albinos and infanticide of albinos were common during the early part of the 20th century,” said Woolf.

Nowadays, though, it seems revered albinos have only themselves to fear.

Medicine man Flores says the powers of a few moon children are waning. “Some of them go to dances and are involved in drugs and chase women, so they have lost some of their powers,” he said.

Heart of a Winner: Gerald Hayden Was Angry When He Learned He Would Never Walk Again.

By Matt James, The Fresno Bee, Calif.

Mar. 12–Other Stories * The other victims Which local sports are you most interested in right now? Is it the Bulldogs and WAC women’s basketball, Bulldogs baseball or softball, prep basketball regionals, Fresno Falcons and ECHL playoffs, or something else? Kathleen Freeman said: Were are the local baseball reports online for March 9, 10, and 11? [Join the talk!] MERCED — From the chaos, the broken bones, the frantic teenagers and the burning cars, a police officer saved Gerald Hayden. The officer left town long ago, but he still remembers the 15-year-old boy saying his back was broken, and he remembers the screams when he picked him up. For the next month, Gerald thought about sports a lot while he was in the hospital, as his body shriveled from 137 pounds to 112, as doctors tried to save his organs and get him healthy enough for back surgery. He wondered whether he would ever play water polo or tennis again, or whether he would ever run. No one knew. Gerald Hayden is 25 now. He has been paralyzed from the waist down for more than a decade, since the crash that left two boys paralyzed and a homecoming queen dead. He is in Italy, where today he will ski the downhill at the 2006 Turin Winter Paralympics. In the coming week, he will compete in four alpine skiing events — downhill, super-G, slalom and giant slalom — in Sestriere, the same location where Bode Miller skied the same events last month in the able-skier Games, though as Gerald says, “You probably won’t see us on NBC.” And like Miller, Gerald probably won’t win a medal. He hasn’t even been competing for two years. Some of the Paralympic skiers have been doing it for two decades. They fly from continent to continent on a World Cup circuit. They have sponsors and Web sites. They are randomly drug-tested. Gerald has raced just one international event, the World Cup Finals two weeks ago in Artesina, Italy, where in his first race, the slalom, he bounced out of a rut, wiped out and went sliding down the course on his side. Laughing, he says, “Not a great way to start my World Cup career.” ———— The last day Gerald Hayden walked started out so well. Like most Paralympians, he has a story. It is a sad one, like most of their how-did-you-get-here stories, which is why they don’t like to tell them. No point complaining about turbulence to the guy sitting next to you on a plane. The day was Sept. 22, 1995, a football Friday for Golden Valley High, the new school on the south side of Merced. The city had outgrown Merced High and so the previous year, three classes — freshmen, sophomores and juniors — became the first to attend Golden Valley. Without seniors, they didn’t have many athletic victories that first year. The second year, though, the Cougars’ football team started 2-0. Mayor Richard Bernasconi announced a “Mayor’s Cup” that would be kept by the winner of the cross-town football game. Golden Valley beat Merced that Friday night, 53-14, and there was a dance afterward. Word spread of a bonfire party south of town. No one wanted the night to end. Two of Gerald’s friends were catching a ride with a junior, which sounded a lot cooler to Gerald than having his mom pick him up after a dance. In all, four sophomore boys, all 15, all too young for driver’s licenses, got into a Honda Passport with 16-year-old Matthew Hunwardsen. Brian Lee took the passenger seat. Kristopher Wyman sat in the back left. Jonathan Meuser jumped in next to him. Gerald sat on the right. They drove down Childs Avenue, over Highway 99, past the fields of junk cars, Barger Veterinary Clinic and RBJ Transport. They drove by the Merced Flea Market, turned left onto Highway 59 and drove out of the south end of Merced toward El Nido, a little cluster of houses that breaks up the alfalfa fields. Gerald just wanted to go home. It was late. He was sitting in the back, dozing off, his head resting against the window. He and Jonathan had played in a junior varsity water polo match that day. They were supposed to play another the next day. It was nearly midnight by then, and they still hadn’t found the bonfire everyone had been talking about. They turned around and drove back toward Merced. About that time, three girls were leaving for the bonfire, heading south down Highway 59 in Tina Church’s Toyota. Tina was driving. Joy Akers sat in the passenger’s seat. Shaunna Soares was in the back. They were seniors, all on the softball team, and Joy played volleyball. They had been best friends for years, grown up in each other’s houses, spent so much time together it was all but impossible for their parents not to think of the other two as daughters, too. ———— Jeff Catchings had arrested a woman that night. He was a Merced police officer, part of the gang violence suppression unit. He was just 27. Since the day he became a cop, he had dreamed of being a special agent, of throwing himself into drawn-out, complicated investigations, of going undercover, busting bad guys in a big city. The woman he arrested was the mother of a gang member, for whom she had thrown a party that night. There were warrants out for her, and Catchings wanted to make a point that parents should be responsible for their kids’ bad behavior, not encouraging it, and so he cuffed her, put her in the front seat and drove south down Highway 59 toward the county jail. The John Latorraca Correctional Center was a couple of miles west of 59, a right turn on Sandy Mush Road halfway to El Nido. In daylight, you could see the radio tower first, driving past fence-lined pastures with windmills and mud holes and water troughs where the cows liked to gather. In front of the jail was a chain-link fence with a green covering that made the place look like the most carefully guarded batting cage in the world. But Catchings and the woman hadn’t quite gotten to Sandy Mush when they saw the car wreck that Merced residents would read about, that would haunt the families of those eight teenagers for years.

———— Matthew Hunwardsen had tried to pass two vehicles at once. The second was a tomato truck. But the headlights of an oncoming car, Tina Church’s car, were too close, too big, and he swerved. Tina swerved, too. The two cars slammed into each other on the shoulder of the highway, where the green grass blades still poke through the gravel. “In 16 years,” Catchings said, “it was the worst head-on I’ve seen. It’s amazing any of them lived.” Smoke poured out from under the hood of the girls’ car as he ran to it. Students in other cars had gotten out and were yelling. They’re trapped inside. Catchings smashed a window, cut Joy Akers’ seat belt and pulled her out. Then he and two high school boys got Shaunna Soares out. There was nothing he could do for Tina Church. The SUV had spun against her door, and she was pinned in. There was never an explosion, but the fire moved fast, burned the tires and swallowed the front seat. Another officer and an off-duty firefighter arrived, and they helped pull the five boys from the SUV as the fire grew hotter. They placed the two girls and the five boys on the ground side by side, one after another, bleeding and burned and some unconscious. Two boys in the back wearing seat belts were the only ones conscious. The impact had folded their bodies forward at the waist. By then, nearly 20 Golden Valley students had stopped on their way to or from the bonfire. They watched the cars burn with their school’s first homecoming queen, Tina Church, still inside. “I want to say she died on impact,” Catchings says, “but there’s no way to know.” At the scene, officers had thought Matthew Hunwardsen was drunk because he was stammering around mumbling nonsense. But it turned out to be a head injury. When it was finally finished and the ambulances had driven away, Catchings walked back to his unmarked squad car. The doors were unlocked. The woman in handcuffs hadn’t moved. In the 10 1/2 years since that Friday night, Catchings did become a special agent, moved to Los Angeles, hated Los Angeles, and is now an agent with the Bureau of Narcotic Enforcement in Sacramento. He doesn’t go undercover because he looks too much like a cop. He still thinks about the boys sometimes, even though he doesn’t remember their names. Neither Gerald nor Kristopher Wyman would walk again. My back is broken, Gerald told him that night. “It’s something I hope he doesn’t regret,” the officer says. “If we didn’t take him, he was going to burn.” ———— They don’t hold Paralympic skiing events on the bunny slopes. At the World Cup Finals two weeks ago in Artesina, Italy, another skier shot off course, went over a ledge and fell into a ravine. The downhill was so fast, a Japanese racer fractured a vertebra and an Australian dislocated a hip before they canceled it, with Gerald at the top of the mountain waiting his turn. His ascent has been a quick one. He didn’t start training seriously until the fall of 2004, after moving to Winter Park, Colo., where he still lives, but was ranked in the top 50 in the world by the end of the season. A year later, he was in the top 35 in every event, and still needed three podium finishes at the Meridian Cup a month ago in Winter Park to make the Turin team. The coaches selected 20 male skiers. Gerald was No. 18. The next week, he took fourth in the slalom at the U.S. Nationals, qualified for the World Cup Finals and was on a plane out of Fresno, bound for San Francisco, Chicago and, finally, Munich, Germany. His grandmother had given Gerald’s parents $1,000 to travel to Turin, but they slipped it to him to pay for the World Cup trip. He doesn’t have any sponsors and doesn’t get funding from the U.S. national team because, well, he’s not on the U.S. national team yet. “I’ve exceeded my expectations,” he said last week. “I just want to ski as well as I can. If all I do is come in 20th, I’ll be satisfied with that. That’ll still mean I’m 20th in the world. “Two years ago, I’d have never guessed I’d be in Sestriere today.” ———— After the surgery, the doctor took a deep breath and released it slowly. Gerald’s father was not supposed to see this, but he did, and so before the doctor walked into the waiting room, led them to a conference room and told them the news, Stuart Hayden knew his son would not walk again. The 15-year-old boy had gone into the back surgery with hope and woke up to such despair. They could not repair the damage. He would be able to move certain leg muscles, but not enough to walk or stand without crutches. Gerald was so angry. At anyone. No one. Everyone. He wallowed in everything he would never be able to do. For years, his parents tried not to help him too much, tried not to pity him. He didn’t want their help anyway. He was in the hospital for so long he grew 3 inches before they let him go home. He needed a rotating bed to keep from getting bed sores. Hard to believe his greatest sports achievement was yet to come. ———— Skiing had been a part of Gerald’s life since he was 11, until he switched to snowboarding, like the rest of his friends. Before long, he strapped on his snowboard and climbed onto the trampoline in the backyard because he wanted to try a flip. His mom is the only one who flipped that day. After he was paralyzed, after the back brace finally came off, he tried monoskiing. It felt like he was attached to a toboggan. He fell, a lot. The monoski looked like a bucket bolted to an extra-wide ski, and when he fell, the ski wedged up in the air, meaning he and the seat did the stopping, scraping along the snow. It hurt, but mostly it was exciting. He tried it first in 1996, on a trip he and his parents took to the Tahoe Adaptive Ski School. He had to learn to roll his hips instead of his ankles, and finally his muscles learned, and the skill suddenly clicked, the way it did when he learned to ski, or snowboard. After five years at the University of California at Davis getting an economics degree, he went to a racing camp and decided to move to Colorado and give racing a try. ———— After the crash, the city ached. The teenagers’ families suffered. Even now, they are still recovering from what happened, when lives careened in new directions, when fates were decided by who had called shotgun and who had to ride in the middle. When a girl died. They’ve all asked “Why?” so many times the past decade it seems pointless now. Why does a boy in the middle of the back seat, not wearing a seat belt, sustain injuries he can recover from, and the two boys sitting next to him, wearing seat belts, never get to walk again? Why do so many good kids have to suffer? Why did Tina Church have to die? Gerald Hayden stopped asking for the most part. He was so mad for so long. “The hardest adjustment is becoming comfortable in your own skin,” he says. “The self-perception has to change. You’re not an abled person who has been hurt. You’re just a person who uses a wheelchair.” This week, Gerald Hayden will ski on a mountain in Italy. He will wear the same jackets, the same shoes, the same gloves and scarves as the Olympians. He will race on the same mountain, eat the same free food in the village. He attended the Opening Ceremony in Turin on Friday and there will be a closing one next Sunday. “We go to a coffee shop and they’re excited to have us there,” he said. “We’re celebrities, but they don’t know who we are.” And in his case, it won’t really matter whether he wins a medal. “I’m so happy for him,” says Louisa Soares, Shaunna’s mother. “People are dealt different situations in life,” Jonathan Meuser says. “He just took what life gave him and made the best of it.” The Paralympian thinks back to his life before the wreck. It seems so long ago. “We’re out there ripping it up on the slopes,” he says. “You know, sometimes we get mad at these able-bodied skiers because they get in our way. We’re better at it than they are. That feels good.” The reporter can be reached at [email protected] or (559) 441-6217. Read his blogat www.fresnobeehive.com.

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Copyright (c) 2006, The Fresno Bee, Calif.

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Neuroendocrine Tumor of the Breast

By Valdes, Edna K; Feldman, Sheldon M; Krassilnik, Nina

Mammary carcinoid is an uncommon neoplasm. It accounts for approximately 5 per cent of all breast carcinomas. It is well-known that neuroendocrine elements can be demonstrated in ductal and lobular carcinoma. However, it is still controversial whether mammary carcinoid tumors should be considered a distinct clinical entity or be treated as a variant of conventional breast carcinoma. Differentiating these lesions from benign lesions such as epithelial hyperplasia and papillomas can be challenging at times. We present a case of neuroendocrine tumor of the breast.

THE PATIENT IS A 41-year-old female with a history of right breast ductal carcinoma in situ for which she underwent lumpectomy and postoperative radiation therapy approximately 3 years earlier. She was doing well on tamoxifen. A screening mammogram revealed new indeterminate calcifications in the lateral aspect of the right breast posterior to the previous lumpectomy site. Sonography of the right breast identified five separate solid nodules with irregular margins as follows: 1.7 cm in the 9:00 position 5 cm from the nipple with an adjacent 7 mm nodule; 1.2 cm nodule in the 9:30 location 6 cm from the nipple; and two adjacent solid nodules measuring 1.6 cm and 1.3 cm, respectively, in the 9:30 location 4 cm from the nipple. Sonographic-guided needle biopsy of four of these nodules as well as a core biopsy of one of these nodules revealed ductal carcinoma with neuroendocrine features (Fig. 1). The tumor was estrogen receptor positive, progesterone receptor negative, and Her-2 negative.

On physical examination, no abnormality was noted other than echymotic region secondary to the needle biopsies. Metastatic evaluation did not demonstrate any distant disease. She underwent right mastectomy, right axillary sentinel node biopsy, right deep inferior epigastric perforator flap reconstruction, and left mastopexy. Pathology revealed a 1.5-cm multifocal carcinoid (carcinoma with neuroendocrine differentiation) of the breast with an intraductal component (Figs. 2 and 3). The sentinel lymph nodes were negative.

The patient recently completed four cycles of adriamycin and cytoxan.

Discussion

Mammary carcinoid is an uncommon neoplasm.1, 2 It accounts for approximately 5 per cent of all breast carcinomas.2, 3 In 1947, Vogler5 found argyrophilic “clear” cells in the human breast ducts and considered them to be of endocrine nature. In 1963, Feyrter and Hartmann4 described two breast carcinomas with carcinoid growth pattern and thus suggested a degree of (neuro) endocrine differentiation. However it was not until 1977, when Cubilla and Woodruff6 stated that the granules in the tumor cells were of the neurosecretory type and named these tumors “carcinoids.” In 1982, Azzapardi7 presented 14 cases of carcinoid tumors in which he showed that argyrophilic breast tumors form a spectrum with wide range of morphological and histochemical appearances and a variable prognosis.

Since Cubilla and Woodruff6 first described primary breast carcinoids, many researchers have attempted to further define these tumors by microscopy and immunohistochemical staining methods. To date there is still no universal definition of a breast carcinoid tumor. Diagnosis based on mammographic or sonographic appearance of these tumors is not possible.7

It is well-known that neuroendocrine elements can be demonstrated in ductal and lobular carcinoma. However, it is still controversial whether mammary carcinoid tumors should be considered a distinct clinical entity or be treated as a variant of conventional breast carcinoma.1 Endocrine breast carcinomas usually contain estrogen receptors, sometimes at very high levels. A surprisingly high number of male breast carcinomas (20%) show evidence of endocrine differentiation compared with 5 per cent in women.4

The following categories encompass the majority of mammary endocrine tumors: low-grade insular duct carcinoma (type A), which occurs most frequently; cellular mucinous carcinoma (type B), which allegedly have better prognosis4, 8; lobular carcinoma, alveolar type (type F); small cell undifferentiated carcinoma (type G), which is the most distinctive and the least common type.

FIG. 1. Ultrasound-guided fine-needle aspiration specimen showing malignant cells (Wright-Giemsa, original magnification 400).

FIG. 2. Surgical pathology showing carcinoma with neuroendocrine differentiation (hematoxilin-eosin, original magnification 400).

Most endocrine tumors of the breast, except small cell carcinomas, are well differentiated and consist of densely cellular, solid nests and trabeculae of cells separated by delicate fibrovascular stroma. The tumor cells occasionally form rosette- like structures and display peripheral nuclear palisading reminiscent of carcinoid tumors.9 Because of the mild cytologic atypia of carcinoid cells, differentiating these lesions from benign lesions such as epithelial hyperplasia and papillomas can be challenging on fine-needle aspiration specimen.4 Two histopathological features are used to identify these tumors: argyrophilia and ultrastructural “neurosecretory” granules.3 Features that can help in differentiation of these lesions include peripheral palisading of the nuclei, pseudorosette formation, accumulation of intracellular mucin, and demonstration of endocrine features by silver precipitation or immunohistochemical methods.4

FIG. 3. Neuroendocrine differentiation of the tumor cells is confirmed by staining for synaptophysin (immunoperoxidase, original magnification 400).

The principal differential diagnosis of mammary carcinoid include lobular carcinoma, mammary non-Hodgkin’s lymphoma, and carcinoid tumor metastatic to the breast. The cytological features of metastatic carcinoid are similar to that of breast carcinoid. Therefore, to differentiate these two entities, medical history and clinical investigation to rule out carcinoid tumor elsewhere is of utmost importance.2

Although no carcinoid syndrome has been reported, an increased production of parathyroid hormone, norepinephrine, adrenocorticotrophic hormone, calcitonin, human chorionic gonadotropin, chromogranin, bombesin, gastrin, B-endorphins, serotonin, and substance P have been reported in argyrophil breast tumors.2, 3, 10 Nodal or distant metastases have been reported in about 18 per cent of all the cases and only when the tumor was 2.5 cm or larger and with ten or more mitoses/10 HPF.3 Metastases have been reported to bone, liver, lungs, and brain.10 There is some data in the literature supporting the use of anthracyclines in the treatment of neuroendocrine differentiated breast carcinoma. Because this tumor is felt to be less aggressive, surgical resection of metastatic disease can lead to a lasting disease-free survival.11

The overall prognosis of mammary carcinoma with carcinoid features is generally considered to be comparable to that of conventional breast carcinomas2 and seems to correlate well with their size and degree of anaplasia.12 However, the small cell subtype is reportedly a very aggressive tumor with poor prognosis for which no clear management has been agreed upon. Stage, tumor size, and lymph node status are the prognostic factors. In most series, patients were treated with modified radical mastectomy, various chemotherapeutic regimens and adjuvant radiation therapy to the chest wall and draining lymph nodes, with mode and total dose as in primary breast cancer. The commonly used chemotherapeutic agents are VP16 and cisplatin. Neoadjuvant chemotherapy has also resulted in decreased tumor size. However, no long-term follow-up studies are available.13, 14

Conclusion

The concept of endocrine differentiation of breast cancers is well-established.4 Although mammary carcinoids often demonstrate an innocent histologic and cytologic appearance, they probably carry a similar prognosis to that of conventional breast carcinomas2 and seem to correlate well with their size and degree of anaplasia,12 whereas the small cell subtype is reportedly a very aggressive tumor with poor prognosis for which no clear management has been agreed upon.13, 14 Diagnosis cannot be established based on mammographic or sonographic appearance of these tumors.7 Therefore, the treatment approach should be decided upon accordingly.2, 15 Although very rare, carcinoid tumor has been reported to metastasize to the breast. Therefore, the possibility of metastasis to the breast from a primary in the lung or even in the gastrointestinal tract should always be kept in mind and ruled out.16

REFERENCES

1. wee A, Nilsson B, Chong SM, Raju GC. Bilateral carcinoid tumor of the breast. Report of a case with diagnosis by fine needle aspiration cytology. Acta Cytol 1992;36:55-9.

2. Ni K, Bibbo M. Fine needle aspiration of mammary carcinoma with features of a carcinoid tumor. A case report with immunohistochemical and ultrastructural studies. Acta Cytol 1994; 38:73-8.

3. Giacchi R, Sebastiani M, Lungarotti F. The so-called “carcinoid” tumors of the breast. Ital J Surg Sci 1986;16:249-53.

4. Maluf HM, Koerner FC. Carcinomas of the breast with endocrine differentiation: a review. Virchows Arch 1994;425: 449-57.

5. Nesland JM, Memoli VA, Holm R, et al. Breast carcinomas with neuroendocrine differentiation. Ultrastruct Pathol 1985;8: \225-40.

6. Kaneko H, Sumida T, Sekiya M, et al. A breast carcinoid tumor with special reference to ultrastructural study. Acta Pathol Jpn 1982;32:327-32.

7. Hartgrink HH, Lagaay MB, Spaander PJ, et al. A series of carcinoid tumors of the breast. Eur J Surg Oncol 1995;21:609-12.

8. Fisher ER, Palekar AS, Collaborators NSABP. Solid and mucinous varieties of so-called mammary carcinoid tumors. Am J Clin Pathol 1979;72:909-16.

9. Sapino A, Righi L, Cassoni P, et al. Expression of the neuroendocrine phenotype in carcinomas of the breast. Semin Diagn Pathol 2000;17:127-37.

10. Dubilier LD, Stoeckinger JM. Carcinoid tumor of the breast. J Ky Med Assoc 1982;80:147-9.

11. Berruti A, Saini A, Leonardo E, et al. Management of neuroendocrine differentiated breast carcinoma. Breast 2004;13: 527- 9.

12. Forouhar FA. Morphologic study of carcinoid-like tumors and their relation to true carcinoids, using tumors of the breast as a model. Tumori 1983;69:171-6.

13. Sridhar P, Matey P, Aluwihare N. Primary carcinoma of breast with small-cell differentiation. Breast 2004;13:149-51.

14. Stein ME, Gershuny A, Abdach L, Quigley MM. Primary small- cell carcinoma of the breast. Clin Oncol (R Coll Radiol) 17:202-2.

15. Van Laarhoven HAJ, Gratama S, Wereldsma JCJ. Neuro-endocrine carcinoid tumours of the breast: a variant of carcinoma with neuroendocrine differentiation. J Surg Oncol 1991;46: 125-32.

16. Pereda E, Ibanez T, Ereno C, et al. Well differentiated neuroendocrine carcinoma of the breast. Arch Anat Cytol Path 1995;43:164-6.

EDNA K. VALUES, M.D., SHELDON M. FELDMAN, M.D., F.A.C.S., NINA KRASSILNIK, M.D.

From the Louis Venet Comprehensive Breast Service, Beth Israel Medical Center, New York, New York

Address correspondence and reprint requests to Edna K. Valdes, M.D., Phillips Ambulatory Care Center, 10 East Union Square, Suite 4E, New York, NY 10003.

Copyright The Southeastern Surgical Congress Feb 2006

Managing Breast Cancer in the Renal Transplant Patient: A Unique Dilemma

By Self, Michael; Dunn, Ernest; Cox, John; Brinker, Karl

Improvements in immunosuppression have increased patient and graft survival in transplant recipients. As a result, there is greater risk of neoplastic processes such as breast cancer. Treatment in this population is complicated by the necessary immunosuppression, vascular accesses, and transplant grafts. General surgeons may expect to encounter more of these complex patients in the community setting. We sought to evaluate the surgical treatment of breast cancer in patients with renal transplants. Hospital and private physician records were queried to identify patients who developed breast cancer after a renal or pancreatic/renal transplantation. These charts were reviewed for demographics, type of breast cancer and treatment, location of dialysis access, and complications. From June 1, 1994, to May 31, 2004, 14 patients were identified. Eight patients had functioning transplants. All patients underwent operative interventions. Ten patients underwent adjuvant treatment. Three had functioning transplants and chose not to risk the graft with cessation of immunotherapy. However, no patient with functioning transplants who underwent chemotherapy developed organ failure. Breast cancer after transplantation poses a unique dilemma. The threat of transplanted organ failure is a major concern to these patients and often supersedes adjuvant therapies.

As OF 2001, THERE WERE more than 7 million American adults suffering from a decline in their renal function.1 In that same year, 15,331 underwent a kidney transplant for end-stage renal disease.2 This is greatly increased from the 9,655 transplants performed in 1988. Improvements in immunosuppressive therapy continue to further the life span of these recipients. Logically, the incidence of induced and naturally occurring neoplasms will escalate as this population of patients grows. This is true for cancers such as those of the breast, as nearly 40 per cent of transplant patients are female.3

Treatment of breast cancer in the transplant population is complicated by immunosuppression, dialysis access, and transplant grafts. General surgeons can expect to encounter more of these complex patients in the community setting. However, there is limited information regarding the surgical treatment of this intricate disease process. We sought to evaluate the unique dilemma of the treatment of breast cancer in patients with renal transplants.

Patients and Methods

This study was a retrospective review of data collected on all patients who underwent a kidney or kidney/pancreas transplant at Methodist Health System, a community-based hospital in Dallas, Texas. Hospital and private physician records were queried to identify those patients with a newly diagnosed breast cancer during the period from June 1, 1994, to June 30, 2004. These charts were reviewed for demographics, type of breast cancer, medical and surgical treatment, method of dialysis and location of access, type of transplant immunosuppression, and complications.

Results

Methodist Health System began its transplant program in 1981. From its inception to June 2004, 1,944 kidney and 129 kidney/ pancreas transplants were performed. During the 10-year study period, there were 741 transplants performed with 14 patients developing breast cancer. The characteristics of this group are shown in Table 1. The average age was 54.2 years. The mean time from transplant to the diagnosis of breast cancer was 8.29 years (0.8 to 16.3 years). None of the 14 patients had breast cancer prior to the study or their transplant. The patients were followed, on average, 3.35 years (0.5 to 8.7 years) after the diagnosis.

TABLE 1. Patient Characteristics

At the time of diagnosis of their breast cancer, eight kidney transplant patients had functioning transplants. Both of the combined kidney/pancreas transplant patients had continued function of their pancreatic graft. However, one patient lost the renal component due to chronic rejection. Of the remaining patients, all were undergoing hemodialysis for chronic organ failure.

Two patients had ductal carcinoma in situ. Invasive disease was discovered in 12 individuals: five patients presented with stage I disease; five had stage II; two individuals had stage IV disease.

All patients underwent some form of operative intervention. Mostly, modified radical mastectomy (MRM) with levels I and II nodal dissection was performed. Two individuals within the MRM group initially had lumpectomies for presumed in situ disease. This was followed by a completion mastectomy and node dissection after discovering invasive carcinoma within the initial specimen. Sentinel node biopsy was not offered due to either prior axillary dissection for vascular access or surgeon preference. Additionally, many of the patients presented prior to the use of sentinel node biopsy technique. No individuals were noted to have major wound complications.

The functioning of access grafts after nodal surgery was a concern. Two patients had functioning grafts on the ipsilateral side of the node dissection. One of these individuals developed access dysfunction in the form of decreased flow. This was amenable to percutaneous dilatation. Ipsilateral graft placement was not performed after nodal surgery. No patient in the study group developed upper extremity lymphedema.

Adjuvant therapy was presented to the patients on a case-by-case basis. Five of the six who opted for breast conservation (i.e., lumpectomy) underwent radiation therapy alone. The remaining patients varied in their course of therapy. One patient with stage IV dis ease had chemotherapy alone. Four individuals had combined chemoradiation. Two were for locally advanced cancers, one for metastatic disease, and one for recurrent disease. None of the five patients who underwent chemotherapy developed transplant failure or renal insufficiency after treatment; however, one patient had preexisting graft failure at the time of treatment and eventually died from metastatic carcinoma.

The remaining four patients underwent no adjuvant treatment at all. One had a prior history of Hodgkin disease for which she had prior radiation therapy. Her breast cancer was found at stage I and she opted for a MRM. Another was a male patient with stage I papillary carcinoma treated with a simple mastectomy. One patient had a stage II cancer and underwent lumpectomy and axillary node dissection. This was followed by a completion mastectomy due to inadequate margins. One patient had a history of lupus and was not felt to be a candidate for radiation therapy. She was found, after lumpectomy for presumed in situ disease, to have a stage I cancer. She underwent a MRM and was treated with adjuvant tamoxifen.

Of the seven patients with invasive cancers who did not receive chemotherapy, four are listed above. Three patients with localized disease underwent adjuvant radiation therapy and were offered adjuvant chemotherapy but chose not to undergo treatment. These patients voiced concern over cessation or reduction of immunosuppression and the possibility of subsequent transplant dysfunction. None of these patients developed a recurrence during the follow-up period. Regarding hormonal therapy, tamoxifen was given to eight patients and letrozole to one.

Overall, there were two deaths. One patient died from sepsis- independent of the breast cancer treatment-which led to pulmonary failure. The other death occurred secondary to metastatic carcinoma. She represented the single recurrence within the group during the study period. Additionally, no patients experienced transplant insufficiency or failure.

Discussion

The diagnosis of breast cancer in a transplant patient confounds an already complex clinical picture. Many questions are raised, with little clinical data to guide management. Do transplant patients have a greater risk of breast cancer? To what degree does immunosuppression increase patients’ risk of breast cancer? What is the optimal management of immunosuppression once a diagnosis of breast cancer is made? How should systemic adjuvant therapy be incorporated in this population and what is the consequence of therapy on graft function? What is the approach to management of the axillae with respect to the need for vascular access in hemodialysis patients?

The risk of breast cancer in transplant patients is debated among authors. In a single institution study, Agraharkar et al. found that the relative risk of breast cancer in this patient population was approximately 0.7 when compared with that of the general population.4 His findings were consistent with other studies, including those from the Cincinnati Transplant Tumor Registry.5 Kasiske, in a similar article, agreed that the relative risk was not significant (0.82 in women, 1.88 in men).6 However, he went on to compare the rates of cancer post-transplant to that of non- transplant patients. This study demonstrated a nearly threefold increased rate of breast cancer during the first year in transplanted females when compared with the general public (343/ 100,000 vs 134/100,000). The incidence then decreased in years 2, 262/100,000, and year 3, 144/100,000. The male transplant population incidence mirrored that of the female with 3-year increases per 100,000 patient years from the baseline \of 1.5 to 6.8, 15.5, and 6.0, respectively. Although the risk may not be significantly increased, there is certainly a propensity toward more breast cancers as the total number of surviving transplant patients grows. In the current study, we discovered 14 breast cancers in 741 total transplants for an incidence of 1.9 per cent. However, our current 36-month patient survival is 94 per cent, thus giving the likelihood of higher prevalence in the future.

There is an established link between immunosuppressive therapies and the development of certain malignancies.7,8 These have largely been related to skin cancers and are primarily due to the effects of immunosuppression on the DNA strands and DNA repair mechanisms. Additionally, viral infections such as Epstein-Barr have been implicated in the proliferation of post-transplant lymphomas.9 These links have not been proved to be the case with breast cancers.10 Some studies suggest that the suppression of immune surveillance may contribute.11 In contrast, other authors suggest that immunosuppression may have a protective effect against breast cancers.12 Stewart contended that retrovirus-associated breast cancers were promoted by immune mechanisms and, therefore, immunosuppression during the premalignant phase reduced the transformation to cancer. He then reviewed 25,000 immunosuppressed women over 11 years and found 86 cases of de novo breast cancers. This contrasted with the expected 113 cases. In turn, the relative risk decreased to 0.49 in the first post-transplant year and then increased to 0.84 in ensuing years. However, these results could be the outcome of a strict screening program that is part of the transplant process and, therefore, excludes high-risk patients from transplantation.13 Our institution has a policy of performing screening mammograms on all female patients and a requisite 3-year waiting period after successful treatment for good prognosis, localized breast cancer. This is reflected by the relatively low number of breast cancers in our transplant population and an average diagnosis time of 8.29 years after transplant.

Management of immunosuppression, once a diagnosis of cancer has been made, is also an area of concern as there is little data available to guide decisions. Decreased or cessation of immunosuppression has been reported to be associated with remissions of the lymphoproliferative processes and Kaposi sarcoma; however, data involving therapeutic benefit of reducing immunosuppression in patients with solid tumors is anecdotal. Within our series, the management of immunosuppression was tailored to each patient’s circumstances. In all patients who had systemic chemotherapy, immunosuppression was altered or decreased to try to limit hematosuppression and drug toxicities. Some patients resisted these recommendations, wishing to preserve the transplant organ function over all other goals. These patients chose not to consider any therapy for their breast cancer that would require any adjustment of their immunosuppression. Largely, immunosuppression was not an issue in choosing appropriate management for our patients with breast cancer. Some authors do not recommend ceasing immunosuppression during the treatment of solid tumors.14 Some practitioners would rather decrease or temporarily suspend the immunosuppression.15

There are relatively few studies outlining the safety or efficacy of chemotherapeutic regimens in transplant populations. As described in the aforementioned studies, cessation of immunotherapy was initially thought to result in regression of neoplasms. This strategy has been suggested in treatment of transplant patients with malignant lymphoproliferative disease. In our study, the use of chemotherapy in three of the four patients with functioning grafts did not result in rejection or dysfunction possibly due to the fact that immunosuppression was continued during the treatment period. No recurrences were noted in the follow-up period of these patients. Interestingly, this group had very similar outcomes to the two patients who refused chemotherapy over concerns of a reduction in immunosuppression. However, this study’s limited group size precludes statistically significant conclusions on this matter. It is suggested that immunosuppressed patients be treated as non- immunosuppressed patients in cases of tumors such as those of the breast. Further studies have suggested that specific therapy-this includes chemotherapy, surgery, or radiation-be used in the treatment of solid organ cancers.16

It appears that, in our restricted study, functioning dialysis access grafts need not be replaced after nodal surgery. The relevant patients in our study had minor complications that cannot be directly attributed to the levels I and II axillary node dissection. Therefore, it appears that surgeons should continue to approach dialysis accesses as in those patients without axillary surgery. The role of sentinel node biopsy also requires further evaluation in this patient population as it was not used throughout our study period. The major concern in this procedure was the accuracy due to postaccess alterations in the axillae. This could be from either collaterals formation or inflammatory response in the axillae.

In conclusion, this unique problem creates a significant dilemma. There is a relatively small amount of information from which to gain counsel, and the majority of work in this area has come from the renal aspect. Zeier and Morath, in respective articles, define the prevalence and pathogenesis of post-transplant malignancies.17,18 However, discussion of the surgical management is mostly overlooked. In evaluating the results of our study, it appears that surgical approaches to breast cancer in the transplant population need not be altered. These patients provide a challenge in counseling of their treatment options. This population often places a high value on the maintenance of the transplant’s function, even to the point of altering standard recommendations for the treatment of their malignancy as the threat of graft loss often supercedes adjuvant therapy. The best approach is a combined effort among the disciplines of surgery, nephrology, and oncology. We recommend that surgeons continue to approach the primary cancer as one would in the normal population patient. Some consideration should be given to the approach of sentinel node evaluation. There is certainly a need for further study of the management of breast cancer in this population.

REFERENCES

1. National Kidney Foundation K/DOQI Clinical practice guidelines for chronic kidney disease: evaluation, classification, and stratification. Am J Kidney Dis. 2002;39:S1-S266.

2. United States Renal Data System. USRDS 2003 Annual Data Report. Bethesda, MD: National Institute of Diabetes and Digestive and Kidney Diseases, National Institutes of Health (NIH), DHHS, 2003. Available at www.usrds.org.

3. United States Renal Data System. USRDS 2003 Annual Data Report. Bethesda, MD: National Institute of Diabetes and Digestive and Kidney Diseases, National Institutes of Health (NIH), DHHS, 2003. Available at www.usrds.org.

4. Agraharkar ML, Cinclair RD, Kuo YF, et al. Risk of malignancy with long-term immunosuppression in renal transplant patients. Kidney Int 2004;66:383-9.

5. Penn I. Posttransplant malignancies. Transplant Proc 1999; 31:1260-2.

6. Kasiske BL, Snyder JJ, Gilbertson DT, Wang C. Cancer after kidney transplantation in the United States. Am J Transplant 2004; 4:905-13.

7. Bustami RT, Ojo AO, Wolfe RA, et al. Immunosuppresion and the risk of post-transplant malignancy among cadaveric first kidney transplant recipients. Am J Transplant. 2004;4:87-3.

8. Chapman JR, Webster AC. Cancer after renal transplantation: the next challenge. Am J Transplant 2004;4:841-2.

9. Holmes RD, Sokol RJ. Epstein-Barr virus and posttransplant lymphoproliferative disease. Pediatr Transplant 2002;6: 456-64.

10. Campbell A, Moazami N, Ditkoff BA, et al. Short-term outcome of chronic immunosuppression on the development of breast lesions in premenopausal heart and lung transplant patients. J Surg Res 1998;78:27-30.

11. Bustami RT, Ojo AO, Wolfe RA, et al. Immunosuppresion and the risk of post-transplant malignancy among cadaveric first kidney transplant recipients. Am J Transplant 2004;4:87-3.

12. Stewart T, Tsai SC, Grayson H, et al. Incidence of de-novo breast cancer in women chronically immunosuppressed after organ transplantation. Lancet 1995;346:796-8.

13. Weiss NS. Risk of breast cancer after renal or cardiac transplantation. Lancet 1995;346:1422.

14. Ondrus D, Pribylincova V, Breza J, et al. The incidence of tumors in renal transplant recipients with long-term immunosuppressive therapy. Int Urol Nephrol 1999;31:417-22.

15. Penn I. Incidence and treatment of neoplasia after transplantation. J Heart Lung Transplant 1993; 12:8328-36.

16. Zeier M, Hartschuh W, Wiesel M, et al. Malignancy after renal transplantation. Am J Kidney Dis 2002;39:E5.

17. Morath C, Mueller M, Goldschmidt H, et al. Malignancy in renal transplantation. J Am Soc Nephrol 2004;15:1582-8.

18. Zeier M, Hartschuh W, Wiesel M, et al. Malignancy after renal transplantation. Am J Kidney Dis 2002;39:E5.

MICHAEL SELF, M.D., ERNEST DUNN, M.D.,* JOHN COX, D.O.,[dagger] KARL BRINKER, ..[double dagger]

From the Departments of *Surgery, [dagger]Oncology, and [double dagger]Nephrology, Methodist Hospitals of Dallas, Dallas, Texas

Presented at the North Texas Chapter of the American College of Surgeons Annual Meeting, Dallas, Texas, February 26, 2005.

Address correspondence and reprint requests to Ernest Dunn, M.D., P.O. Box 655999, Dallas, TX 75265.

Copyright The Southeastern Surgical Congress Feb 2006

Serum Tumor Markers in Breast Cancer: Are They of Clinical Value?

By Duffy, Michael J

Background: Although multiple serum-based tumor markers have been described for breast cancer, such as CA 15-3, BR 27.29 (CA27.29), carcinoembryonic antigen (CEA), tissue polypeptide antigen, tissue polypeptide specific antigen, and HER-2 (the extracellular domain), the most widely used are CA 15-3 and CEA.

Methods: The literature relevant to serum tumor markers in breast cancer was reviewed. Particular attention was given to systematic reviews, prospective randomized trials, and guidelines issued by expert panels.

Results: Because of a lack of sensitivity for early disease and lack of specificity, none of the available markers is of value for the detection of early breast cancer. High preoperative concentrations of CA 15-3 are, however, associated with adverse patient outcome. Although serial determinations of tumor markers after primary treatment for breast cancer can preclinically detect recurrent/metastatic disease with lead times of ~2-9 months, the clinical value of this lead time remains to be determined. Serum markers, however, are the only validated approach for monitoring treatment in patients with advanced disease that cannot be evaluated by use of conventional criteria.

Conclusions: CA 15-3 is one of the first circulating prognostic factors for breast cancer. Preoperative concentrations thus might be combined with existing prognostic factors for predicting outcome in patients with newly diagnosed breast cancer. At present, the most important clinical application of CA 15-3 is in monitoring therapy in patients with advanced breast cancer that is not assessable by existing clinical or radiologic procedures.

2006 American Association for Clinical Chemistry

For many malignancies, serum tumor markers play an important role in patient management (1-5) (Table 1). In breast cancer, however, the role of serum markers is less well established. The most widely used serum markers in breast cancer are CA 15-3 and carcinoembryonic antigen (CEA).1 Less widely used markers include BR 27.29 (also known as CA27.29), tissue polypeptide antigen (TPA), tissue polypeptide specific antigen (TPS) and the shed form of HER-2 [Table 2; for a review, see Refs. (6-8)]. The potential uses of serum markers in breast cancer include aiding early diagnosis, determining prognosis, prospectively predicting response or resistance to specific therapies, surveillance after primary surgery, and monitoring therapy in patients with advanced disease. The aim of this review is to examine the role of serum tumor markers in the detection and management of patients with breast cancer. As CA 15-3 is the most widely used serum marker in breast cancer, most of the review will focus on it.

Aiding Early Diagnosis

Lack of sensitivity for early-stage disease combined with a lack of specificity precludes the use of all existing serum markers for the early diagnosis of breast cancer. For example, CA 15-3 concentrations are increased in ~10% of patients with stage I disease, 20% with stage II disease, 40% with stage III disease, and 75% with stage IV disease (9). According to an American Society of Clinical Oncology (ASCO) Expert Panel, a CA 15-3 concentration 5- to 10-fold above the upper limit of the reference interval could alert a physician to the presence of metastatic disease (9). However, a low concentration does not exclude metastasis (9).

As well as lacking sensitivity for early disease, CA 15-3 also lacks specificity for breast cancer. Increased concentrations of the marker can be found in a small proportion of apparently healthy individuals (~5%); in patients with certain benign diseases, especially liver disease; and in patients with other types of advanced adenocarcinomas (6-9). Consequently, for the foreseeable future, mammography and histopathology will remain the primary modalities for detecting early breast cancer.

Table 1. Malignancies in which serum tumor markers play an important role in patient management.

Determining Prognosis

Available prognostic factors for breast cancer include pathology criteria such as tumor size, tumor grade, and lymph node status (10), as well as newer biological factors such as hormone receptors, HER-2, urokinase plasminogen activator, and plasminogen activator inhibitor 1 (11, 12). All of these factors require tumor tissue, thus necessitating either biopsy or surgery. Clearly, it would be desirable to have a circulating prognostic marker for breast cancer, particularly if it provided independent prognostic information.

At least 10 published studies involving >4000 patients have addressed the relationship between preoperative concentrations of CA 15-3 and patient outcome (Table 3) (13-23). Although a range of cutoff points were used (25-40 kilounits/L), all of the identified studies apart from one concluded that high concentrations of the marker at initial presentation predicted adverse patient outcome. Indeed, in some studies, the prognostic impact of CA 15-3 was independent of tumor size and axillary nodal status (15, 22, 23). Significantly, in 2 reports (22, 23), CA 15-3 was found to be prognostic in lymph node-negative breast cancer patients, the subgroup in which new prognostic factors are most urgently required. In another study, however, CA 15-3 was not prognostic in patients free of axillary nodal metastases (24). A pooled analysis of all data relating preoperative concentrations of CA 15-3 with patient outcome should now be carried out.

Although most studies relating CA 15-3 to prognosis have used preoperative values, concentrations during follow-up can also provide prognostic information. Thus, Tampellini et al. (25) reported that patients with CA 15-3 values 30 days had a better prognosis than those with a shorter lead time. In that study (26), both the time interval between diagnosis and first abnormal CA 15-3 concentration (cutoff, 47 kilounits/L) were also of prognostic value.

Table 2. List of most widely used serum tumor markers in breast cancer.

These findings suggest that determination of CA 15-3 can provide real-time prognostic information in patients with breast cancer. Indeed, preoperative concentrations could be combined with existing prognostic factors for selecting patients for adjuvant therapy. For example, in lymph node-negative patients, preoperative concentrations of CA 15-3 might be combined with tumor size, tumor grade, estrogen receptor status, and HER-2 status for selecting who should or should not receive adjuvant chemotherapy.

Serum concentrations of the shed form of HER-2 have also been widely investigated for potential prognostic value in breast cancer. After performing a systematic review of the literature, Carney et al. (27) identified 20 publications involving >4000 patients that related serum HER-2 concentration to outcome. These studies showed that high HER-2 concentrations in patients with either early or metastatic breast cancer predicted adverse outcome as demonstrated by decreased time to disease progression, decreased disease-free survival, and decreased overall survival. It was not clear, however, whether the prognostic information provided by HER-2 was independent of the traditional factors.

Table 3. Published studies describing a prognostic value for preoperative concentrations of CA 15-3 in breast cancer.

Although less widely investigated as a prognostic factor than either CA 15-3 or HER-2, high preoperative concentrations of CEA are also associated with poor prognosis in breast cancer (16, 19, 21, 24). Furthermore, in one large study (n = 1046), patients with a decrease of >33% between pre- and postoperative concentrations were found to have a worse outcome than those with a lesser decrease (21). In multivariate analysis, this decrease in CEA predicted outcome independent of tumor size, lymph node status, and progesterone receptors.

Predicting Response to Therapy

As with prognostic factors, the available therapy-predictive markers in breast cancer, such as estrogen receptor, progesterone receptor, and HER-2 (28), all require tumor tissue for analysis. Preliminary findings, however, suggest that high serum HER-2 concentrations are associated with both poor response to endocrine therapy and cyclophosphamide-methotrexate-5-fluorouracil-based chemotherapy but can predict an improved response to a combination of trastuzumab (Herceptin) and chemotherapy [for a review, see Ref. (27)]. These preliminary findings should now be confirmed in a large prospective trial.

CA 15-3 and other MUC-1-related markers may also have a role in predicting response to therapy. Ren et al. (29) recently reported that overexpression of MUC-1 (the antigen detected in CA 15-3 and BR 27.29 assays) in a mouse model system conferred resistance to cis- platinum. This resistance appeared to result from the ability of MUC- 1 to inhibit apoptosis. Clearly, studies should now be carried out to determine whether either tumor tissue or serum concentrations of MUC-1-related markers predict response/resistance in patients undergoing treatment with platinum-based therapies.

Surveillance after Primary Treatment

Follow-up of patients after primary treatment for breast cancer with clinical examination, radiology, and biochemical testing isnow standard practice in many centers. This practice is based on the assumption that the early detection of recurrent or metastatic disease enhances the chances of cure or survival. The evidence currently available, however, does not support this widely held assumption.

Two large multicenter randomized prospective trials (each with >1000 patients) compared outcome in patients followed up with clinical visits and mammography vs those who were followed up with an intensive regime that included radiology and traditional laboratory testing (30, 31). Both studies concluded that use of an intensive follow-up program failed to improve outcome. Similarly, after pooling of the data from the above 2 studies, no significant difference in either disease-free interval or overall survival emerged between patients with intensive vs nonintensive surveillance (32).

In addition to these 2 large prospective trials, a systematic review of studies comparing control vs intensive follow-up regimes for newly diagnosed breast cancer patients has also been carried out (33). Of 4418 reports identified, 38 were considered eligible for analysis. Although the data were not sufficiently homogeneous to integrate statistically, the authors concluded that patient survival and quality of life were not affected by the intensity of follow-up or location of care. The authors also concluded that there was insufficient evidence to draw broad conclusions with respect to best practice for breast cancer follow-up care regarding morbidity reduction, cost-effectiveness, and patient involvement in care.

Clearly, the available data do not support the use of an intensive follow-up program using standard biochemical testing and radiology after primary treatment for breast cancer. However, as pointed out by Emens and Davidson (34), the value of surveillance depends on both the sensitivity and specificity of the available diagnostic tests as well as the efficacy of therapy available for recurrent/ metastatic disease.

Diagnostic tests and treatments are continually evolving. Several of the published studies comparing minimal vs intensive follow-up may therefore have limitations with respect to the modern management of patients with breast cancer. These limitations include the following:

* Use of older and less sensitive biochemical tests rather than the newer tumor markers such as CA 15-3. For example, in a large randomized trial that enrolled 4105 patients, routine biochemical tests such as alkaline phosphatase, aspartate transaminase, γ- glutamyltransferase, bilirubin, calcium, and creatinine were shown to be of limited value in detecting metastasis after treatment for operable breast cancer (35).

* Use of older radiologic procedures rather than newer procedures such as computed tomography, magnetic resonance imaging, and positron emission tomography scanning.

* Most of the reports comparing outcome in control and intensively followed-up patients predate the availability of new treatments for recurrent/metastatic breast cancer, such as the taxanes, the new generation of aromatase inhibitors, and trastuzumab (36).

In recent years, several reports have shown that serial concentrations of tumor markers increase before radiologic or clinical evidence of disease relapse [for reviews, see Refs. (6- 9)]. In a review of the literature, an ASCO Expert Panel identified 12 studies that used serial CA 15-3 measurements to monitor patients for recurrence after breast cancer surgery. In 7 of these trials, data were available in sufficient detail to allow pooling of results. Summation of the data showed that 67% of 352 patients had increased CA 15-3 either before or at the time of recurrence (9). In 1320 patients without evidence of recurrence at the time of study, 92% had CA 15-3 concentrations within reference values. The mean lead time from marker increase to clinical diagnosis of recurrence varied from 2 to 9 months.

Although serial CA 15-3 concentrations can preclinically detect recurrent/metastatic disease, it is unclear whether the introduction of early treatment based on this lead time improves disease-free survival, overall survival, or quality of life for patients. In an attempt to address these issues, several small-scale studies have been carried out. In one of the first of these, Jager (37) randomized patients with increasing concentrations of tumor markers (CA 15-3 or CEA) but without evidence of metastatic disease to receive (n = 21) or not receive (n = 26) medroxyprogesterone acetate. For the untreated patients, the median time interval between increase in marker concentration and detectable metastasis was 4 months, but for the treated patients it was >36 months.

In a second study, Nicolini and coworkers (38, 39) compared outcome in 36 asymptomatic patients who received salvage treatment based on tumor marker increases (CA 15-3, CEA, or TPA) vs 32 patients who were given treatment only after radiologic confirmation of metastasis. Survival from both the time of mastectomy and salvage treatment was significantly improved in the group with tumor marker- guided treatment than in those treated conservatively.

In a third study, Kovner et al. (40) randomized asymptomatic patients with increasing mammary cancer antigen concentrations to receive (n = 23) or not receive tamoxifen (n = 26). After a median follow-up of 11 months, 7 of 29 (24%) in the control group had relapsed, whereas none of the 23 patients randomized to receive treatment developed a recurrence (P = 0.012).

Although these 3 studies contained small numbers of patients, they all suggested that early treatment based exclusively on increasing marker concentrations improved prognosis. These findings, however, are not sufficiently strong to recommend a change in clinical practice, i.e., to recommend that asymptomatic patients with increasing marker concentrations should start new therapy. Many expert panels (including ASCO, European Society of Medical Oncology, and European Society of Mastology) therefore recommend that tumor markers should not be used in the routine surveillance of patients after primary treatment for breast cancer (9, 41-43). Other organizations, such as the European Group on Tumor Markers (EGTM) as well as the National Academy of Clinical Biochemistry (NACB), however, recommend the use of tumor markers during surveillance (44, 45).

Monitoring Response to Therapy in Advanced Disease

Traditionally, International Union against Cancer (UICC) criteria have been used for assessing response to therapy in patients with advanced breast cancer (41). UICC criteria include physical examination, measurement of lesions, radiology, and isotope scanning (46). Multiple studies (47-49) and 3 multicenter trials (50-52), however, have shown that changes in serial concentrations of tumor markers, particularly CA 15-3, correlate with response. In 2 of these multicenter trials, the alterations in tumor marker concentrations were shown to correlate well with UICC criteria (50, 51). Indeed, the use of markers to monitor therapy has several advantages over conventional criteria, including increased sensitivity, more objective measurement, and more convenience for patients (6, 7).

On the basis of data from 11 low-level evidence studies (9), an ASCO Panel concluded that 66% of patients with chemotherapy-induced disease regression exhibited decreases in marker concentrations, 73% of those with stable disease had no significant change in marker concentrations, and 80% with progressive disease displayed increasing concentrations (9). In most of these studies, a change in CA 15-3 concentration >25% was regarded as a significant alteration.

The same ASCO Panel also reviewed the literature on the use of CEA in monitoring response to treatment (9). Eighteen low-level evidence studies were reviewed. Of these, 6 reported results only in patients with high concentrations of CEA. Overall, 82% of the patients were found to have decreasing concentrations with disease response, whereas 74% had increasing concentrations with progressive disease. Of the 12 studies reporting results for patients with advanced disease irrespective of whether CEA was increased, 61% of patients showed a decrease in CEA concentrations with tumor response and 65% showed an increase with tumor progression.

Although the available data show relatively good correlations between alterations in serial tumor marker concentrations and response to therapy in advanced breast cancer, the ASCO Panel concluded that neither CA 15-3 nor CEA should be routinely used for this purpose (9, 41). However, the guidelines also stated “that in exceptional circumstances such as the presence of osseous metastasis, which are difficult to evaluate clinically, the marker level may be able to support the clinical estimate of disease status. However, the marker cannot in any situation stand alone to define response to treatment” (41). The ASCO Panel did not address the use of breast cancer serum markers other than CA 15-3 and CEA.

Although the ASCO Panel was unable to recommend routine use of tumor markers for monitoring treatment in advanced breast cancer, according to Cheung et al. (7), measurement of tumor markers is the only validated method for determining response in patients with disease not assessable by UICC criteria. Overall, 10%-40% of patients with breast cancer have nonassessable disease, i.e., those with irradiated lesions, pleural effusion, ascites, lytic bone disease, and sclerotic bone disease (7).

In contrast to the ASCO Panel, both the NACB and EGTM Panels recommended use of CA 15-3 for monitoring therapy in patients with advanced breast cancer (44, 45). According to the EGTM Panel, markers should be measured before every chemotherapy course and at 3- month intervals for patients receiving hormone therapy (44). This Panel defined a clinically significant increase in marker concentration as an increase of at least 25% overthe previous value. This increased concentration should be confirmed with a second sample taken within 1 month. The Panel also stated that a confirmed decrease in marker concentration of >50% was consistent with tumor regression (44).

Although CA 15-3 and CEA are the most widely used markers in monitoring chemotherapy in patients with advanced breast cancer, emerging data suggest that serum HER-2 may be of use in patients undergoing treatment with trastuzumab-based therapy. Trastuzumab is a humanized monoclonal antibody directed against the extracellular domain of HER-2 and is now widely used in combination with chemotherapy for the treatment of patients with HER-2- overexpressing advanced breast cancer (53).

In a recent retrospective study, Eesteva et al. (54) compared serum HER-2 and CA 15-3 for monitoring trastuzumab-based therapy in 99 patients with advanced breast cancer. Concordance between clinical status and HER-2 concentrations was 0.793 compared with 0.627 for CA 15-3. When both markers were combined, the concordance with clinical status increased to 0.83. Although progression-free survival did not differ significantly between patients with increased vs normal baseline HER-2 concentrations, it did differ according to whether the patient’s HER-2 concentration at 2 to 4 weeks after start of therapy was >77% or 77% of baseline, the median progression-free survival was 217 days, whereas for those with concentrations

In another preliminary report, Kostler et al. (55) showed that in patients responding to trastuzumab-based therapy, serum HER-2 concentrations decreased significantly as early as from day 8 of treatment. In contrast, no significant changes were observed in patients with progressive disease. Using multiple logistic regression analysis, they found that change in HER-2 concentrations were the only factor that predicted the likelihood of response after 8 days of treatment. Furthermore, measurement of serial concentrations of HER-2 predicted risk of disease progression as early as day 15 of treatment.

These preliminary findings suggest that serum HER-2 may be an early indicator of response and progressionfree survival in patients with advanced breast cancer undergoing trastuzumab-based treatment. These early findings, however, require validation in a large prospective trial before serum HER-2 can be recommended for monitoring of trastuzumab-based treatment in patients with advanced breast cancer.

Caveats in the Use of Tumor Markers for Surveillance and Monitoring of Therapy in Patients with Breast Cancer

Despite recommendations from the ASCO Panel (9, 41), serum tumor markers such as CA 15-3 are widely used, particularly in Europe, for both postoperative surveillance and monitoring therapy in patients with advanced breast cancer. When serum tumor markers are used in these settings, several points should be borne in mind, including the following:

* None of the available markers is increased in all patients with breast cancer even in the presence of advanced disease. For those patients with advanced disease who do not have increased CA 15-3 concentrations, other markers, such as CEA, TPA, TPS, or the shed form of HER-2, may be considered for monitoring purposes.

* The available markers are most sensitive for detecting distant metastases and are of little value in diagnosing locoregional recurrences (56-59).

* The magnitude of change between successive marker concentrations that constitutes a critical change is not clear. According to Soletormos et al. (60), this so-called critical difference should be based on both the analytical imprecision of the assay (CV^sub a^) and the normal intraindividual biological variation (CV^sub I^). Assuming CV^sub a^ values of 11.2% for CA 15- 3, 9.5% for CEA, and 11% for TPA, successive concentrations must differ by 30%, 31%, and 72%, respectively, for P values to be significant at a 0.05 level (60).

* Paradoxical patterns of tumor marker concentrations after initiation of chemotherapy may occur. For example, transient alterations in marker concentrations can occur after the commencement of chemotherapy (62-63). The spurious increases or spikes are probably attributable to therapy-mediated apoptosis or necrosis of tumor cells. Hayes et al. (62) reported a spike for either CA 15-3 or CEA in 7 of 16 patients undergoing chemotherapy. For CA 15-3, the peak of the spike above the initial value was 125% (range, 30%-230%), and its duration was 67 days (range, 31-101 days). All patients in whom a spike was observed ultimately showed either disease regression or had stable disease. In another study, spikes in CA 15-3 and CEA returned to pretreatment values by 60 days (63). As well as chemotherapy, treatment with granulocyte colony- stimulating factor can also cause increases in CA 15-3 concentrations (64).

* Certain benign diseases may give rise to increased marker concentrations. Thus, chronic active hepatitis, liver cirrhosis, sarcoidosis (65), hypothyroidism (66), and megablastic anemia (67) have all been reported to increase CA 15-3 concentrations.

Conclusion

The main disadvantages of existing serum markers for breast cancer are a lack of sensitivity for low-volume disease and a lack of specificity. Consequently, the available markers are of no value in either screening or diagnosing early breast cancer. Although of little use for early diagnosis, however, CA 15-3 may be the first independent circulating prognostic marker described for breast cancer. Preoperative CA 15-3 concentrations may thus be combined with established prognostic factors for use in deciding which lymph node-negative breast cancer patients should receive adjuvant chemotherapy. Currently, one of the most widely used applications of tumor markers in breast cancer is in the follow-up of patients with diagnosed disease. In the absence of data from a large randomized trial, however, the clinical value of this practice is unclear. Finally, markers are potentially useful in monitoring therapy in advanced disease, particularly in patients who cannot be assessed by standard modalities.

The author’s work mentioned above was supported by both the Irish Cancer Society and a Program Grant from the Health Research Board of Ireland.

1 Nonstandard abbreviations: CEA, carcinoembryonic antigen; TPA, tissue polypeptide antigen; TPS, tissue polypeptide-specific antigen; ASCO, American Society of Clinical Oncology; EGTM, European Group on Tumor Markers; and UICC, International Union against Cancer.

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Department of Nuclear Medicine, St. Vincent’s University Hospital; UCD School of Medicine and Medical Science, Conway Institute of Biomolecular and Biomedical Research, University College Dublin; and Dublin Molecular Medicine Institute, Dublin, Ireland.

Address for correspondence: Department of Nuclear Medicine, St. Vincent’s University Hospital, Elm Park, Dublin 4, Ireland. Fax 353- 1-2696018; e-mail [email protected].

Received September 8, 2005; accepted December 13, 2005.

Previously published online at DOI: 10.1373/clinchem.2005.059832

Copyright American Association for Clinical Chemistry Mar 2006

Explaining Your Inclusion Program to Families

By Salend, Spencer J

Ms. Carr, a general education teacher, and Ms. Stevens, a special education teacher, had worked as a cooperative teaching team in an inclusion program for several years. Things had gone well over the years, and the teachers tried to improve their program each year. This year they decided to focus on family involvement. Because they had found in the past that many families did not know much about inclusion and their program, the teachers decided to have a meeting to explain their inclusion program to families.

The teachers developed a family needs assessment survey to identify what aspects of the program families would like to know more about, as well as to solicit questions they might have about the program. The needs assessment also asked families to identify the best dates and times for scheduling the meeting and accommodations they might need in order to attend. The teachers used this information to develop goals for the meeting and a schedule of appropriate activities.

There was a good turnout of family members. After introductions, Ms. Carr and Ms. Stevens explained the idea of inclusion and discussed the philosophy and goals of the school’s program, the day’s schedule, communication with families, and other issues. The classroom paraeducators explained their responsibilities as well, and noted how fortunate the class was to have this additional support for all the students in the class. The teachers discussed the research on inclusion in language that families could understand, and cited examples of how their students had grown academically and socially. Family members of a former student spoke about the program and its impact on their child.

At the meeting, the teachers responded to questions from family members, including “Does the class have computers?” and “How does the teaming work?” One family member asked, “If there are two teachers in a class, which one is my child’s ‘real’ teacher?” which enabled Ms. Carr and Ms. Stevens to describe their approach to team teaching. They concluded the meeting by thanking families for attending and participating, and invited them to visit and volunteer in the class. They also provided families with materials from the state education department and a handout of relevant Web sites.

Ms. Carr and Ms. Stevens asked the family members to complete a departure survey to assess their satisfaction with the content, activities, organization, and scheduling of the meeting. Several family members indicated that they would like to learn more about how they could support the inclusion program, and others requested that the teachers periodically provide them with updates on the inclusion program. Following the informational meeting, the professionals met to evaluate the success of their meeting, review feedback from family members, and plan the next meeting.

Family involvement and support is an important factor in the success of inclusion programs (Palmer, Fuller, Arora, & Nelson, 2001; Salend, 2005). Ms. Carr and Ms. Stevens were aware of the range of family experience and opinions regarding inclusion programs (see box, “What Does the Literature Say About Family Responses to Inclusion Programs?”), which can significantly affect a family’s participation. Rather than assuming that family members understood inclusion programs and were pleased with their child’s placement in an inclusive classroom, they created an opportunity to explain their inclusion programs to families.

This article builds on the experiences of Ms. Carr and Ms. Stevens to present guidelines, strategies, and resources educators can use to share information with family members about, and consequently develop support for, their inclusion programs.

Respect and Ensure Confidentiality

Educators must at all times respect and ensure the confidentiality of students and their families, including when they are talking about the range of learning styles and needs within their classrooms (Fleury, 2000). In addition to protecting student and family rights to privacy with respect to student records, confidentiality means that teachers, administrators, and staff should not

* Reveal personally identifying information about students (e.g., their disability or immigration status, medical condition and needs, test scores, etc.) and families to others.

* Speak or write about students and families in public ways and places (e.g., staff room, meetings with other families, college classes and inservice sessions, etc.) that allow specific students to be identified.

If educators feel that it is necessary to share information about a student with someone who is not directly involved in delivering the student’s educational program, they must specify the exact information to be shared and obtain written permission from the student’s family.

Plan the Meeting

The first step is to identify the goals for the meeting and to develop a schedule of appropriate activities. The schedule should allow enough time to implement the planned activities and to discuss relevant issues and address family questions, experiences, and concerns. Distributing a family needs assessment (Figure 1) will assist in this endeavor; by highlighting family perceptions regarding inclusion programs, and providing some indication of family willingness to participate in informational meetings and the program itself, it establishes the issues and questions that meeting planners need to address. It also provides essential information for logistical planning (the best time and place for the meeting, and travel and/or child-care needs).

Once the meeting has been scheduled, teachers should contact potential attendees with information on the time, place, purpose, and duration of the meeting, and a description of the planned content. Because families are structured in many different ways, the notice should encourage family members to invite others as well. The notice also can provide families with helpful hints for taking part in the meeting by identifying important materials to bring, listing which school personnel will attend, and listing questions or suggestions to help them participate in the meeting. For example, before their initial meeting, Ms. Carr and Ms. Stevens asked each family to think about their goals for their child’s educational program and their perceptions of their child’s feelings about school, as well as other questions they might have had. Follow-up reminders to families via mail, e-mail, or telephone may enhance meeting attendance.

Figure 1. Sample Family Needs Assessment

Determine Appropriate Learning Activities

The needs assessment information can help determine the schedule of events, including the content, format, and length of various learning activities. Although it is possible to share information about inclusion programs with families via print materials, multimedia, role-playing, simulations, and Internet Web sites, teacher-led presentations and group discussions are excellent ways to help families understand inclusion and to introduce and discuss important aspects of inclusion programs with them. Video materials are useful supplementary materials because they provide a visual image and a model, and can be paused to discuss, review, or replay the content. Print materials can help families extend their knowledge of inclusion and provide them with access to additional information and resources. For example, Ms. Carr and Ms. Stevens gave family members print materials from the state education department and a handout listing Web sites for additional information about inclusion.

Guest speakers can also be an effective way to educate families about inclusion and inclusion programs. Family members of children with and without disabilities can speak about their experiences with inclusion (Hartwell, 2001), parent-to-parent; Ms. Carr and Ms. Stevens asked family members of a former student to speak at their introductory meeting. Potential guest speakers also can be identified through local community agencies, professional and advocacy organizations, and special educator referrals. It is important to carefully identify, select, and prepare guest speakers, and determine if it is appropriate to have a panel (Shapiro, 1999). Every guest speaker should be able to present inclusion in a positive light, and foster positive attitudes; speak in an open and honest way; use language that families can understand; and share meaningful stories and examples. Meeting planners should meet with guest speakers in advance to discuss the goals of the presentation, topics to be covered, and confidentiality issues.

Conduct the Meeting

The meeting should set a positive tone and encourage understanding, participation, and collaboration. A good way to start the meeting is to welcome everyone, and ask all attendees to introduce themselves. After reviewing the agenda and the purpose of the meeting, it can begin on a positive note with professionals highlighting the importance of diversity and learning about individual differences as significant features of an education in our diverse and everchanging society. Teachers can then introduce and describe their own inclusion program, and discuss how the program benefits all students and addresses individual strengths and challenges.

When sharing information about their inclusion programswith families, all presenters should make sure the information is easily understood by using language that is direct, avoiding professional jargon, explaining key terminology, checking periodically for understanding, and paraphrasing and summarizing important points; and by sharing stories and examples to illustrate concepts and definitions, and showcasing materials such as work samples, test results, and anecdotal records to support and clarify their comments.

Orally presented information can be more concrete and understandable when accompanied by visuals such as illustrations, charts, diagrams, advance organizers, overheads, and slideshow presentations. Some teachers find it helpful to supplement their presentations by using video and the Internet to access and share information, and easels or chalkboards to record ideas and highlight important points (Rock, 2000). Interpreters and translators should be available to assist non-native Englishspeaking families (Al- Hassan & Gardner, 2002), or those with hearing impairments. (See box, “Encouraging Family Participation and Collaboration.”)

Since collaboration is an essential aspect of effective inclusion programs (Salend, 2005), teachers might want to use a collaborative presentation style at the meeting, varying responsibilities so that all educators have similar opportunities to present important information, assume a leadership role, respond to questions, and interact with families. Teachers also can communicate in terms of “we” and “our” rather than “I” and “my,” and make sure that the contributions of all team members and their impact on all students are recognized.

The meeting should conclude on a positive note by summarizing the issues discussed, inviting family members to visit and volunteer in the class, and providing families with additional information about inclusion (e.g., a listing of Web sites, DVDs/videos, and articles, books, and other print materials). Since family involvement and education are long-term processes, the agenda should include follow- up activities and plans for future meetings. For example, in the case of Ms. Carr and Ms. Stevens, some family members indicated that they would like to learn more about how they could support the inclusion program, and others asked the teachers to provide them with periodic updates on the inclusion program.

Evaluate the Meeting

Meetings with family members should be continually evaluated to assess their usefulness and success in achieving intended outcomes. Feedback from families and professionals can identify factors that should be replicated in future meetings, as well as pinpoint aspects of the meeting that need revision; a postmeeting assessment provides the basis for an action plan for successful future meetings.

Exit surveys assess attendees’ perceptions of the content, format, and scheduling of the meeting; examine the impact of the meeting on their understanding of the inclusion program; identify questions and informational needs they have about the inclusion program; and delineate preferences for future meetings. Surveys using a yes/no or true/false format, or those using a Likert-type scale, are easiest to complete and therefore have a higher response rate than open-ended questions. Ms. Carr and Ms. Stevens’s survey asked family members to rate their satisfaction with the content, activities, organization, and scheduling of the meeting, and to identify the issues they wanted future meetings to address.

Figure 2. Reflective Questions for Teachers and Administrators

Periodically throughout the school year, teachers can distribute follow-up surveys or interviews that focus on (a) family beliefs and concerns about inclusion, (b) the experiences and perceptions of children regarding the inclusion programs, and (c) the impact of the inclusion program on the children (Davern, 1999; Pivik et al., 2002). Surveys and interviews also can address satisfaction with the quality of the educational program, communication with school personnel, family roles in implementing inclusion, and the inclusion practices of the school and the district. Salend (2005) offers sample survey items and interview questions that can be used to assess the perceptions, experiences, and satisfaction of families concerning inclusion programs.

Reflection is a particularly good way for teachers to evaluate their meeting with families and critically assess their professional practices (Dabkowski, 2004) and can serve as a framework for determining the meeting’s strengths, problems, and misunderstandings as well as problem-solving the steps that can be taken to improve it (see Figure 2).

Final Thoughts

The support of family members is vital to the success of inclusion programs. However, since the quality and extent of family member support may be related to their understanding of inclusion programs, educators need to offer family education sessions that explain their inclusion programs. The guidelines in this article for planning, implementing, and evaluating meetings to help family members learn about inclusion programs provide a basic template that teachers and schools can adapt to fit the unique needs of their communities.

What Does the Literature Say About Family Responses to Inclusion Programs?

Family members have varied views of and experiences with inclusion. Although the perceptions and reactions of families of children with and without disabilities toward inclusion are often positive, family members also have important concerns that need to be considered (Garrick Duhaney & Salend, 2000).

Familles of children with disabilities may feel that inclusion:

* fosters the academic achievement of their children;

* provides their children with increased friendships;

* gives their children greater access to positive role models;

* offers their children a more challenging curriculum;

* prepares their children for the real world;

* improves their children’s self-concept, and language and motor skills;

* increases the sensitivity of children without disabilities;

* results in a loss of individualized accommodations, curricula, and services for their children;

* places their children at risk of being ridiculed; and

* lowers the self-esteem of their children.

(Gallagher et al., 2000; Palmer et al., 2001; Pivik, McComas, & Laflamme, 2002; Seery, Davis, & Johnson, 2000).

Families of children without disabilities may believe that inclusion:

* does not interfere with the education of their children;

* fosters a greater tolerance of human differences in their children;

* benefits children with disabilities;

* results in less teacher attention for their children; and

* can cause their children to develop inappropriate behaviors.

(Giangreco, Edelman, & Cloninger, & Dennis, 1993; Hanson et al, 2001; Hunt, Hirose-Hatae, Doering, Karasoff, & Goetz, 2000; Reichart et al., 1989).

Rather than assuming that family members understood inclusion programs and were pleased with their child’s placement in an inclusive classroom, they created an opportunity to explain their inclusion programs to families.

Every guest speaker should be able to present inclusion in a positive light, and foster positive attitudes.

Encouraging Family Participation and Collaboration

At your introductory meeting with new families

* Feature other parent-speakers with personal experience in inclusion programs.

* Provide time for family members to ask questions.

* Initiate discussion with open-ended rather than yes/no questions.

* Group family members in cooperative learning groups.

* Listen attentively.

* Be aware and respectful of cultural differences.

* Use humor.

* Respond to comments and questions with empathy, understanding, and sensitivity.

* Outline positive ways of addressing family concerns.

* Acknowledge and reinforce participation (“That’s a good point”; “I’ll try to incorporate that”; Dabkowski, 2004).

Since family involvement and education are long-term processes, the agenda should include follow-up activities and plans for future meetings.

References

Al-Hassan, S., & Gardner, R. (2002). Involving immigrant parents of students with disabilities in the educational process. TEACHING Exceptional Children, 34(5), 52-59.

Dabkowski, D. M. (2004). Encouraging active parent participation in IEP team meetings. TEACHING Exceptional Children, 36(3), 34-39.

Davern, L. (1999). Parents’ perspectives on personnel attitudes and characteristics in inclusive school settings: Implications for teacher preparation programs. Teacher Education and Special Education, 22(3), 165-182.

Fleury, M. L. (2000). Confidentiality issues for substitutes and paraeducators. TEACHING Exceptional Children, 33(1), 44-45.

Gallagher, P. A., Floyd, J. H., Stafford, A. M., Taber, T. A., Brozovic, S. A., & Alberto, P. A. (2000). Inclusion of students with moderate or severe disabilities in educational and community settings: Perspectives from parents and siblings. Education and Training in Mental Retardation and Developmental Disabilities, 35, 135-147.

Garrick Duhaney, L. M., & Salend, S. J. (2000). Parental perceptions of inclusive educational placements. Remedial and Special Education, 21, 121-128.

Giangreco, M. F., Edelman, S., Cloninger, C., & Dennis, R. (1993). My child has a classmate with severe disabilities: What parents of nondisabled children think about full inclusion. Developmental Disabilities Bulletin, 21(1), 77-91.

Hanson, M. J., Horn, E., Sandall, S., Beckman, P., Morgan, M., Marquart, J., et al. (2001). After preschool inclusion: Children’s educational pathways over the early school years. Exceptional Children, 68, 65-83.

Hartwell, R. (2001). Understanding disabilities. Educational Leadership, 58(7), 72-75.

Hunt, P., Hirose-Hatae, A., Doering, K., Karasoff, P., & Goetz, L. (2000). “Community” is what I think everyone is talking about. Remedial and Special Education, 21, 305-317.

Palmer, D. S., Fuller, K, Arora, T., & Nelson, M. (2001). Taking sides: Parent vi\ews on inclusion for their children with severe disabilities. Exceptional Children, 67, 467-484.

Pivik, J., McComas, J., & Laflamme, M. (2002). Barriers and facilitators to inclusive education. Exceptional Children, 69, 97- 107.

Reichart, D. C., Lynch, E. C., Anderson, B. C., Svobodny, L. A., Di Cola, J. M., & Mercury, M. G. (1989). Parental perspectives on integrated preschool opportunities for children with handicaps and children without handicaps. Journal of Early Intervention, 13, 6- 13.

Rock, M. L. (2000). Parents as equal partners: Balancing the scales in IEP development. TEACHING Exceptional Children, 32(6), 30- 37.

Salend, S. J. (2005). Creating inclusive classrooms for all: Effective and reflective practices (5th ed.). Columbus, OH: Merrill/ Prentice-Hall.

Seery, M. E., Davis, P. M., & Johnson, L. J. (2000). Seeing eye- to-eye: Are parents and professionals in agreement about the benefits of preschool inclusion? Remedial and Special Education, 21, 268-278, 319.

Shapiro, A. (1999). Everyone belongs: Changing negative attitudes toward classmates with disabilities. New York: Routledge-Falmer.

Spencer J. Salend fCEC NY Federation Chapter 615), Professor, Department of Educational Studies, State University of New York at New Paltz.

Address correspondence to Spencer J. Salend, State University of New York at New Paltz, 9 South Oakwood Terrace, New Paltz, NY 12561 (e-mail: [email protected]).

TEACHING Exceptional Children, Vol. 38, No. 4, pp. 6-11.

Copyright 2006 CEC.

Copyright Council for Exceptional Children Mar/Apr 2006

The No Child Left Behind Act, Adequate Yearly Progress, and Students With Disabilities

By Yell, Mitchell L; Katsiyannas, Antonis; Shiner, James G

No Child Left Behind (NCLB) is a powerful, sweeping, and controversial law that addresses many aspects of public school education. In fact the law, which is the most recent reauthorization of the Elementary and secondary Education Act (ESEA), is arguably the most significant piece of federal education legislation in history. In the few years since its enactment, NCLB has dramatically increased the federal role in education and has required states, school districts, and schools to focus on the outcomes of teaching. This is because Congress’s primary goal in passing NCLB was to hold states and public schools accountable for improving student achievement in reading and math. The controversies notwithstanding, NCLB has had a great effect on the way public school students are educated in America (Yell & Drasgow, 2005).

No Child Left Behind affects all students in general education programs and students with disabilities who attend special education programs for part or all of their instruction. The law requires that schools demonstrably improve student achievement so that all public school students are proficient in reading and math by the end of the 2013-2014 school year. Moreover, NCLB mandates that states develop measurable milestones for schools to use to gauge their success in improving student achievement until the goal of 100% student proficiency is reached by the deadline. These measurable milestones that schools must achieve are called adequate yearly progress.

No Child Left Behind influences many other aspects of public education too. For example, the law (a) mandates that teachers of academic core subjects become highly qualified, (b) provides federal money to educate low-achieving students in reading through the Reading First grants, and (c) requires that programs using federal money be based on programs that have been demonstrated to be effective by rigorous scientific research. Despite the sweeping nature of this law, the aspects that may be having the greatest impact on schools are the accountability provisions. In this article, therefore, we have chosen to focus on the accountability mechanism of NCLB, which is adequate yearly progress (AYP). First, we review the major purpose of NCLB. second, we explain the AYP mandate. Third, we discuss how AYP will affect students with disabilities. Finally, we offer recommendations to teachers, administrators, and teacher trainers to help students meet the AYP requirements of NCLB.

The Purpose of the No Child Left Behind Act of 2OO1

Since 1965 almost $400 billion has been spent on public education. Unfortunately, state and national assessments of student progress have shown that student achievement in reading and math has remained stagnant over the past 40 years despite massive infusions of federal money (Wright, Wright, & Heath, 2004). These problems led legislators to argue that the federal educational funds should be spent more effectively and tied to measures of accountability. In the 1994 reauthorization of the ESEA Improving America’s School Act (IASA) there was an attempt to increase accountability for student outcomes. In fact, many of the requirements that are now associated with NCLB (e.g., statewide standards and testing) were actually initiated in the IASA. However, the provisions for assessments of students were not tied to any real accountability provisions. No Child Left Behind strengthened the measures that had been included in the IASA. The law accomplished this by holding states, school districts, and schools accountable for producing measurable gains in students’ achievement in reading and mathematics. No Child Left Behind, therefore, articulates a results-oriented accountability system (O’Neill, 2004) that requires states and schools to use numerical data to provide evidence of improved student outcomes (Yell, Drasgow, & Lowrey, 2005),

Accountability for Results: Adequate Yearly Progress

No Child Left Behind focused national attention on improving the academic achievement by requiring that states take the following four actions. First, states had to set challenging academic content and performance standards in reading, mathematics, and eventually science. States were free to develop standards in other subjects, such as science and social studies, but these tests are not used in the NCLB reporting requirements.

second, states had to develop or adopt tests that would be given to students to determine if the students were meeting state’s standards. All public school students in Grades 3 through 8 were to be tested, and high school students were to be tested at least once annually. The purpose of these tests is to hold public schools accountable for improving student achievement.

Third, states were required to set standards that students had to meet on these tests to be considered proficient. According to a report by the Rand Corporation, having states set their own proficiency standards has become a controversial issue because some states have set proficiency standards that are easy to achieve, whereas other states have set very rigorous proficiency standards that are very difficult to achieve (McCombs, Kirby, Barney, Darilek, & Magee, 2004).

Finally, to ensure that all students are making progress toward reaching the 100% proficiency goal by the deadline, the state must set specific targets for all students each year in reading/ language arts and math. The performance of the total student population and the performance of defined subgroups of students must be tracked and reported. Each year, all public schools in a state must administer the tests and report the reading and math data for all students in the school. In addition to reporting achievement data for all students, schools are also required to report AYP data for the following subgroups: students who are economically disadvantaged, students from racial and ethnic subgroups, students with disabilities, or students with limited English proficiency. The percentage of students in a school and in each subgroup who meet these proficiency levels is the keystone of NCLB’s accountability requirements. These proficiency standards or target goals are referred to as AYR No Child Left Behind also requires that states and public schools report student achievement to the public. The law also establishes a rigorous accountability system that involves rewards and sanctions based on student performance.

In order to make AYP, schools must have (a) at least 95% of enrolled students participate in the testing program [by entire student body and in each subgroup), (b) all students and all subgroups score at least proficient at the state’s AYP targets for that year, and (c) all students and all subgroups meet AYP targets for graduation or attendance. Schools can also make AYP, even in situations in which a particular subgroup has not met the state’s proficiency target, if certain conditions are met. These conditions are known as the “safe harbor” provisions. To meet the safe harbor provisions, and thus meet the state’s AYP targets, schools must have (a) at least 95% of students enrolled participate in statewide testing (by the particular subgroup), (b) all students and all subgroups score at least proficient at the state’s AYP targets for that year and have the percentage of students in the subgroup (s) that did not score at least proficient decrease by at least 10%, and have students in subgroup (s) make progress in graduation rate or attendance and (c) all students and the other subgroups meet AYP targets for graduation or attendance.

Readers should note that NCLB gave states a great deal of flexibility in determining how they will implement the AYP requirement. For example, states establish their own assessment procedures, proficiency goals, and ways to measure student progress. We suggest, therefore, for readers to truly understand how NCLB will affect students in their state, they need to investigate how their particular state implements NCLB. To clarify the concept of AYP, we next give an example of how AYP was set up in South Carolina.

Adequate Yearly Progress in South Carolina

Figure 1 depicts how AYP was calculated for Reading/Language Arts in South Carolina. The example depicted in Figure 1 only shows AYP goals for Reading/Language Arts AYP; however, South Carolina, and all other states, had to calculate AYP for both reading and math. The state had developed academic achievement standards and an academic assessment to measure progress toward these achievement standards, called the Palmetto Achievement Challenge Test (PACT). All public school students in the state were given the PACT in the 2001-2002 school year. This first year of testing, called the baseline year, was used to calculate the AYP goals. State officials, using a formula required in NCLB, calculated that 17.6% of the state’s students were to be considered proficient in reading/ language arts during the baseline year. This figure was used to set the AYP goals.

Because 100% of the state’s students and subgroups of students must be proficient in reading/language arts by 2013-2014, the state officials set AYP at progressively higher \levels so that the goal of 100% would be met by the target date. The target goals must be raised at least every 3 years. The difference between the 17.6% and the goal of 100% was 82.4%. The 82.4% increase needed to make 100% proficiency was then divided by 12, the number of years until the proficiency goal must be reached. The result was approximately a 7% increase each year. South Carolina education officials decided to step up the AYP criteria once every 3 years. In the 2003-2004 school year, the proficiency percentage that schools had to reach was 38.2%. The required proficiency was increased to 58.8% in 2006, 79.4% in 2010, and reaches 100% in the 2013-2014 school year. For a school to meet the AYP target, therefore, the required percentage of a school’s students must achieve these proficiency targets each year on the PACT, in addition to meeting the other requirements (i.e., 95% of students taking the test, attendance).

Figure 1. Adequate Yearly Progress Calculation for South Carolina

If a school’s students do not meet these proficiency levels for 2 consecutive years, the law mandates that the state designate the school in need of improvement. These schools will then receive technical assistance and must develop a 2-year plan to increase student performance. No Child Left Behind also requires that states and schools take certain actions when a school does not make AYP for 3 or more years in a row. These actions are listed in Table 1. Every element of NCLB, therefore, is intended to move all public school students closer to the overall levels of proficiency set by their respective states.

No Child Left Behind and Students WHh Disabilities

Many students with disabilities spend the majority of their time in their general education classrooms. Congress and the President believed that to ensure that instruction and achievement for students with disabilities is improved, all students with disabilities must be assessed and the results of these assessments must be included in the data used to determine if a school and school district make AYP. They also believed that if students with disabilities were excluded from schools’ accountability systems, they would be ignored and not receive the academic attention that they deserved. By including students with disabilities in NCLB’s accountability system, therefore, Congress made certain that schools would be held accountable for the educational performance of these students. We next discuss how students with disabilities are included in NCLB’s requirements regarding statewide assessments and AYR We also examine the requirements in NCLB and the Individuals With Disabilities Education Improvement Act (IDEA) of 2004 (IDEA 2004) regarding students with disabilities.

Statewide Assessment, Alternate Assessment, and Students With Disabilities

Most students with disabilities are to be held to the standards for the grade in which the student is enrolled, although in some situations accommodations, modifications, or alternate assessments may be needed to get a true picture of a student’s achievement (Elliott, & Thurlow, 2003; Thurlow, Elliott, & Ysseldyke, 2001). The assessment provisions of NCLB require that school districts provide students with disabilities included in statewide-standardized assessments access to appropriate accommodations needed to take the statewide assessment. If the standardized statewide assessment is not appropriate for the student, even with accommodations, their progress must be measured using an alternate assessment. The student’s IEP team or section 504 team makes the decision regarding how the student will participate in a statewide assessment. Readers should note that the IEP team or section 504 team decides how the student will participate, not whether the student will participate.

No Child Left Behind and IDEA 2004 give the IEP team the responsibility for deciding how a student will participate in assessments. States and districts may require that only “approved” accommodations be considered in these decisions. Nonapproved accommodations or modifications that may invalidate test results may be restricted. In most instances, accommodations that are provided during instruction are those considered for assessment purposes. States must provide training and guidance to IEP teams and 504 teams on the appropriate use of testing accommodations and modifications. Readers should note that they should contact their State Department of Education to find out what accommodations and modifications are approved for use with students with disabilities.

Alternate Assessments

Under NCLB, states must develop alternate assessments that may be taken by students with disabilities who are not able to participate in the regular assessment even with the provision of accommodations. States may develop multiple alternate assessments and may choose to create alternate achievement standards that differ in “complexity from the grade level achievement standard” (Title I – Improving the Academic Achievement of the Disadvantaged; Final Rule, 2003, 68699). No Child Left Behind allows for students to take an alternate assessment and have their performance judged against alternate achievement standards. Use of this latter option is limited to students with the most significant cognitive disabilities, meaning that only students identified as such may take an alternate assessment and be compared to alternate achievement standards. Neither NCLB nor its implementing regulations (34 CFR 200) define a significant cognitive disability. The U.S. Department of Education did not provide a definition so states and schools would have flexibility in determining which students could take an alternate assessment.

AYP and Students With Disabilities

In NCLB, the statewide assessment scores of all students with disabilities must be reported both as a subgroup and as part of the student body. Adequate yearly progress, therefore, is calculated and reported for the entire student body and again separately for students with disabilities. These students would be tested against standards appropriate for their intellectual development and, for accountability purposes, their scores would be counted as part of their school’s performance. The intent in including students with disabilities as part of the entire student body and as a separate subgroup is two-fold: (a) to protect children with disabilities from being excluded from accountability systems that provide valuable information to parents and educators and (b) to ensure that schools receive credit for the progress of all children (NCLB Regulations, 2003; see also Council for Exceptional Children, 2003). Thus, schools and school districts must pay close attention to the instruction and educational progress of students with disabilities.

Table 1. When Schools Fail to Make Adequate Yearly Progress

Students who are assessed using an alternate assessment are also included in AYR The federal government, however, puts a cap on students who may take an alternative assessment and be counted as scoring proficient if judged against alternate achievement standards for purposes of determining AYR This cap is currently set at 1 % of the total school population at each grade level that is tested. This limitation does not mean that there is a cap on the number of students with disabilities who can take an alternate assessment. Rather, it means that a school or school district can include a number of students not to exceed 1 % of the total student population at their grade level who score proficient on the alternate assessment and are judged against alternate standards as proficient in the AYP calculation. For example, in the fourth grade at Springdale School District, 1% of the students at that grade level took the alternate assessment and scored proficient when judged against alternate standards. Springdale School District could then count the students as proficient for AYP calculations. In the fifth grade, a total of 2% of the students at that grade level scored proficient on the alternate assessment when judged against alternate achievement standards. Because the amount exceeded the cap of 1 %, however, all the students above that percentage must be included in the AYP calculations as failing to demonstrate proficiency, despite the fact that the students scored proficient on the alternate assessment. Additionally, the 1 % counts at the school district and at the State Education Agency (SEA) level, but does not count at the individual school level. A school that is small or has a higher percentage of students with significant cognitive disabilities, therefore, is not penalized for purposes of AYP because the numerical cap does not apply.

Although there is variation by state, the 1 % cap across the total student population is approximately 9% of all students with disabilities. The U.S. Department of Education calculated this percentage based on incidence levels of students they believed had significant cognitive disabilities. State educational agencies (SEAs) may request a waiver from the 1% cap from the U.S. Department of Education. School districts may also request an increase in the cap from the SEA. Requests for an exception to the 1 % rule must include (a) an explanation of circumstances that result in more than 1 % of all students statewide having the most significant cognitive disabilities and who are achieving a proficient score on alternate assessments based on alternate achievement standards, (b) data showing the incidence rate of students with the most significant cognitive disabilities, and (c) information showing how the state has implemented alternate achievement standards.

A district may initiate an exception request, or a state may apply for an exception on behalf of a district. In either case, the district should provide evidence that explains why more than 1 % of all students in the district’s tested gradeshave the most significant cognitive disabilities (U.S. Department of Education, 2004). The U.S. Department of Education expects that applications will request to lift the cap by small amounts (e.g., 2% or 3%). Some states have already applied to have these caps lifted. For example, four states have submitted proposals requesting a waiver on proficiency rates. Specifically, Minnesota requested a 1.5% cap, Ohio requested a 1.3% cap, and Virginia requested a 3.5% exception. Montana requested that the state be allowed to waive the requirement altogether because of the rural nature of the state (The Special Educator, 2004).

On May 10, 2005, the U.S. secretary of Education, Margaret Spellings, announced a new NCLB policy that granted states additional flexibility to count 2% of students with disabilities who will take out-of-level tests as proficient when calculating AYR These students, who were originally referred to as having persistent academic disabilities, can compose up to 2% of all students tested (this is above the 1% figure of students with significant cognitive disabilities). Although the actual rule has not been issued yet, states will only be eligible to count an additional 2% of students with disabilities as making AYP if they can demonstrate rigorous and effective plans, that strong researchbased instruction is used to increase the academic achievement of students with disabilities, and that the state provide rigorous research-based training for teachers. secretary Spellings’s press release announcing the increased flexibility noted that eligibility is not restricted to any particular category of disability (Spellings, 2005).

NCLB and IDEA 2OO4

On December 3, 2004, President Bush signed IDEA 2004 into law. A primary purpose of IDEA 2004 was to improve educational results for children with disabilities by providing a performancedriven framework for accountability to ensure that children with disabilities received a free appropriate public education (108th Congress Report, 2003). Additionally, a goal in the reauthorization of the IDEA, which culminated with the passage of IDEA 2004, was to align IDEA and NCLB (Paige, 2001). The alignment between the two laws was clearly stated by Robert Pasternak, former Assistant secretary for Special Education and Rehabilitation Services, in his testimony before the Senate Committee on Health, Education, Labor, and Pensions in March 2002. secretary Pasternak noted that

The requirements of NCLB present us with a great opportunity to make sure that children with disabilities are part of these accountability systems. We must build on the accountability provisions enacted in NCLB to ensure that States and local school districts are accountable for results and that students with disabilities are included in rigorous assessments of student performance. (Pasternak, 2002, p. 2)

Despite these similarities there are important differences in the intent and development of the two laws. These differences are depicted in Table 2. Although both laws now require that all students be included in the statewide assessment and accountability system, the underlying rationale and valued principles for decisions about how a child is to be included emanated from somewhat different orientations. Because NCLB emphasizes group data for AYP determinations, its guiding principles may be perceived as misaligned with the focal point of IDEA decisionmaking-the individual student.

Both NCLB and IDEA 2004 emphasize the decision-making role of the IEP team for both participation and accommodation determination. What is not dealt with directly by the IEP team under either law is the way in which an individual student will be counted in the results. Rather, such determinations are made at the policy level. Thus, the IEP team decides and documents the individual student’s (a) appropriate access to the general curriculum, (b) need for reasonable accommodations for instruction and assessment, and (c) level/method of participation and accommodation strategies performance relative to the regular grade-level achievement standards or alternate achievement standards. These decisions are to be made with the parents as participants in the IEP process.

Additionally, the parents of students with disabilities should be informed of the consequences, if any, of taking the regular assessment with accommodations or taking the alternate assessment based on either the grade level standards or alternate achievement standards. For example, some states do not allow students who take the regular assessment with accommodations or the alternate assessment to graduate with a regular diploma.

Implications for Administrators, Teachers, and Teacher Trainers

For participation and accommodation decisions, then, the parents and IEP team are active decision makers. They are not active decision makers, however, in the consequences of the assessment for the student. It is because of this difference that administrators, teachers, and teacher trainers need to be aware of the overall process and its implications.

In this section we offer suggestions to assist administrators and teachers to meet the AYP requirements of NCLB. These suggestions will be useful for teachers when working with their students to help them score at a proficient level on the statewide tests thus, also helping their schools meet the AYP requirements of NCLB.

Suggestion # 1 : Conduct Relevant Assessments That Lead to Meaningful Programming

When students fail to learn, it is often because the student’s abilities and the instructional program do not match. To ensure a match between abilities and programming, teachers need to make good decisions about instructional programs and procedures and be able to revise the programs when needed. Making good decisions requires that teachers understand how to (a) conduct relevant and meaningful assessments, (b) interpret these assessments, and (c) match special education programs and strategies to the assessment results (Yell & Drasgow, 2005). Special education teachers should have expertise in developing and conducting appropriate and relevant assessments that lead to meaningful instructional programming for their students. Moreover, administrators should monitor student assessments and arrange appropriate professional development activities to ensure that teachers are knowledgeable about conducting assessments that are instructionallv relevant.

Table 2. Comparison of NCLB and IDEA: Standards and Assessment/ Accountability

Teacher training faculty in colleges of education must thoroughly prepare preservice teachers to (a) develop assessment instruments, (b) interpret assessment results, and (c) base instructional decisions on the assessments (Yell & Drasgow, 2005). No Child Left Behind focuses on increasing student achievement. If a student has difficulties learning in the general curriculum, his or her teachers must be able to assess the student’s educational needs and respond to them with meaningful instruction.

Suggestion #2: Use Instructional Procedures Grounded in Scientifically Based Research

A central principle of NCLB is that federal funds will support only educational procedures, materials, and strategies backed by scientifically based research. This principle of NCLB requires that teachers use procedures and strategies endorsed by scientifically based research findings and, thus, offers a great opportunity to bring evidencebased practices to America’s elementary and secondary classrooms (Yell & Drasgow, 2005). There is a huge gap between what we know works from scientifically based research and what is actually taught in many classrooms. Because NCLB focuses on teaching methods and procedures that are based on research, special education teachers must make such practices the core of their instructional procedures if we are to provide meaningful educational programs to students.

Most school districts have administrators who are responsible for staff development activities in their schools, and state departments of education have people who are responsible for statewide professional development activities. No Child Left Behind puts educators under intense pressure to produce better results; therefore, state department personnel, school administrators, principals, and teachers must understand and ensure that researchbased practices are used to educate students. Scientifically based research on instructional practices will not impact students’ academic achievement unless such practices are actually used in classrooms. Additionally, teacher trainers must understand the empirical knowledge in their fields and prepare their students to discriminate between proven and unproven educational methods and strategies, as well as testimonial and empirical evidence.

Suggestion #3: Increase Attention to How Students With Disabilities Will Participate in the Assessment System

Without question, there is an expectation that the vast majority of students with disabilities will participate in the regular assessments required under NCLB either without accommodations or the “appropriate accommodations” that are consistent with the accommodations provided during instruction (Title 1, 2003, p. 68700). Alternate assessment is a possible option, but not one that should be determined without extensive documentation and consideration. IEP teams must consider the student’s characteristics in light of the test requirements, constructs to be measured, and possible response modes (e.g., written, oral, computer-aided). These decisions can prove to be important, because they are likely to influence some aspect of the accountability (AYP) determination for the subgroup and the school.

If a state is approved to count the additional 2% of students with disabilities as proficient for calculating AYP, schools need to ensure that the IEPs of their students use research-based strategies that have been shown to improve academi\c achievement. Moreover, schools will need to show that their teachers have received rigorous and meaningful training in the use of research-based instruction.

Suggestion #4: Collect Meaningful Data on Student Progress and Make Instructional Changes When Necessary

Teachers need to collect meaningful data on their students’ progress to ensure that their instructional programs are working and to make accurate decisions regarding when programmatic changes must be made. Moreover, this information must be collected and used on a frequent and regular basis. It is only with the appropriate use of such information that teachers can make determinations about the effectiveness and efficiency of students’ programs and test alternative strategies and procedures when necessary (Deno, 1992). That is, teachers can use the data to empirically test alternative approaches to instruction, then adopt the most effective approach and, thus, become more effective in helping students attain proficiency in academic skills. According to the U.S. Department of Education’s National Center on Progress Monitoring (2005), when progress monitoring is implemented correctly, the benefits are great for everyone involved. Some benefits include:

* Accelerated learning because students are receiving more appropriate instruction.

* More informed instructional decisions.

* Documentation of student progress for accountability purposes.

* More efficient communication with families and other professionals about students’ progress.

* Higher expectations for students by teachers.

Frequent and appropriate use of progress monitoring leads to increased academic achievement (Deno, 2003; Fuchs & Fuchs, 1986). In a sense, the progress monitoring data becomes a vital sign of a student’s growth in particular skills (e.g., reading, written language, and mathematics) comparable to the vital signs of physical health used by physicians (Deno, 1992). Teachers can ensure that they provide meaningful instruction by collecting useful data on a student’s progress and then by using the data to inform their instructional decisions.

If teachers are going to be required to collect and use data in a meaningful way, then they must be prepared to do so in their teacher training programs. This means that colleges of education across the country must include specific training in formative evaluation procedures (i.e., evaluation conducted during the course of instruction) in their preservice courses, and state departments of education should include progress monitoring.

Summary

No Child Left Behind is a complex, sweeping, and controversial law that was passed as a reaction to the low academic achievement exhibited by so many public school students in America. This powerful law profoundly changes the ways educators work with students in general and special education. It accomplishes this by holding states, school districts, principals, and teachers accountable for making meaningful improvements in student’s academic performance. No Child Left Behind also points educators toward the tool that will allow schools to make meaningful changes in the academic achievement of their students: scientifically based research. If the core of our educational practices becomes what the research shows us works in teaching, then we can make meaningful changes in our schools.

Although Congress and the U.S. Department of Education may make slight alterations to the law, we believe that the major goals of NCLB are here to stay. Moreover, NCLB’s requirements that states, school districts, and schools be held accountable for increasing student achievement means that special education teachers must develop meaningful and effective programs using scientifically based educational practices that result in increased achievement for their students. Furthermore, IDEA’S requirements that the programs for students in special education confer meaningful educational benefit will require education changes from a system that has been too often based on fads and what sounds good, to a system that embraces research and accountability.

[S] ome states do not allow students who take the regular assessment with accommodations or the alternate assessment to graduate with a regular diploma.

Frequent and appropriate use of progress monitoring leads to increased academic achievement.

References

Council for Exceptional Children. (2003). The No Child Left Behind Act of 2001: Implications for special education policy and practice. PDF available at http:// www.cec.sped.org/pp/NCLBside-by- side. pdf. Author.

Deno, S. L. (1992). The nature and development of curriculum- based measurement. Preventing School Failure, 36(2), 5-10.

Deno, S. L., (2003). Developments in curriculum-based measurement. The Journal of Special Education, 37, 184-192.

Elementary and secondary Education Act (ESEA) of 1965, 20 U.S.C. 16301 et seq.

Elliott, J. L., & Thurlow, M. L. (2003). Improving test performance of students with disabilities … on district and state assessments. Thousand Oaks, CA: Corwin Press.

Fuchs, L. A., & Fuchs, D. (1986). Effects of systematic formative evaluation: A metaanalysis. Exceptional Children, 53, 199-208.

Improving America’s Schools Act of 1994, 20 U.S.C. 16301 et seq.

Individuals With Disabilities Education Act, 20 U.S.C. 1400 et seq.

McCombs, J., Kirby, S. N., Barney, H., Darilek, S., & Magee, S. J. (2004). Achieving state and national literacy goals, a long uphill road. New York; Rand Corporation for the Carnegie Foundation.

The National Center on Progress Monitoring (2005). Common questions for progress monitoring. Retrieved October 24, 2005 from http://www.studentprogress.org/ progresmon.asp

No Child Left Behind, 20 U.S.C. 16301 et seq.

No Child Left Behind Regulations, Federal Register, Volume 67 Number 321, Pages 71709-71771, December 2, 2002.

O’Neill, P. T. (2004). No Child Left Behind compliance manual. New York: Brownstone.

Paige, R. (2001, October). Testimony of Secretary Paige before the House Committee on Education and the Workforce. Retrieved April 24, 2002, from http://www.ed.gov/news/speeches/ 2001/10/011004.html

Pasternak, R. (2002, March). Testimony of Assistant secretary Pasternak before the Senate Committee on health, Education, labor, and pensions. Retrieved April 24, 2002 from http://www.ed.gov/news/ speeches/2002/03/20020321 .htm

Spellings, M. (2005, May 10). Press release: Spellings announces new special education guidelines, details workable, “commonsense” policy to help states implement No Child Left Behind. Retrieved July 8, 2004 from www.ed.gov/news/pressrelease/ 2005/05/05102005. html

State plans contain specific data for exceptions to 1 percent cap. (2004). The Special Educator, 19(19), 6.

Thurlow, M. L., Elliott, J. L., & Ysseldyke, J. E. (2001). Testing students with disabilities: Practical strategies for complying with district and state requirements. Thousand Oaks, CA: Corwin Press.

Title I-Improving the Academic Achievement of the Disadvantaged: Final Rule, 68 Fed. Reg. 68689-68708 (Dec. 9, 2003) (to be codified at 48 C.F.R. pt. 200).

U.S. Department of Education. (2004). Lead and manage my school: Letter to Chief State School Officers regarding inclusion of students with disabilities in state accountability systems. Retrieved November 15, 2004, from http://www.ed.gov/admins/ Iead/ account/csso030204.html

U.S. House of Representatives. (2003). Congressional Report of the Reauthorization of the IDEA. Retrieved November, 16, 2005 from edworkforce.house.gov/issues/ 108th/education/idea/conferencereport/ confrept.htm

Wright, P. D., Wright, P. D., & Heath, S. W. (2004). No Child Left Behind. Hartfield, VA: Harbor House Law Press.

Yell, M. L., & Drasgow, E. (2005). No Child Left Behind: A guide for professionals. Upper Saddle River, NJ: Pearson/Merrill/ Prentice- Hall.

Yell, M. L., Drasgow, E., & Lowrey, K. A. (2005). No Child Left Behind and students with autism spectrum disorder. Focus on Autism and Other Developmental Disabilities, 20, 130-139.

Mitchell L. Yell (CEC SC Federation), Professor, Program in Special Education, University of South Carolina, Columbia. Antonis Katsiyannas (CEC SC Federation), Professor, Special Education Program, Clemson University, South Carolina. James G. Shiner, Associate Professor, Department of Special Education, University of Illinois, Urbana-Champaign.

Address correspondence to Mitchell L. Yell, 235-G Wardlaw, University of South Carolina, Columbia, SC 29208 (email: [email protected]. edu).

TEACHING Exceptional Children, Vol. 38, No. 4, pp. 32-39.

Copyright 2006 CEC.

Copyright Council for Exceptional Children Mar/Apr 2006

Ex-Employee Files Harassment Suit

By Carrie Mason-Draffen, Newsday, Melville, N.Y.

Mar. 10–A former employee of a Port Washington medical-equipment distributor has filed a $30-million lawsuit against the company, alleging its chief executive and lawyer sexually harassed her.

Pascale Legagneur, 27, a Garden City resident who worked at Drive Medical Design and Manufacturing as an executive assistant to general counsel Richard S. Kolodny, said she was forced to distribute pornographic e-mails.

After she complained, chief executive Harvey P. Diamond fired her, the lawsuit says.

She filed suit against the company in U.S. District Court in Central Islip on Feb. 6. Last spring, while still at the company, she filed a complaint with the U.S. Equal Employment Opportunity Commission. But the agency’s New York office was unable to determine whether any violations occurred. Legagneur received a standard letter giving her the right to sue in court. The lawsuit names the company and four executives.

“We wouldn’t have pursued it beyond the EEOC if it didn’t raise important issues about the matter in which women are treated at that company,” her attorney, Christopher Brennan of Ziegler, Ziegler & Associates in Manhattan, said recently.

The company’s attorney, Paul Siegel of Jackson Lewis’ Melville office, said the commission didn’t find any violations and that he plans to fight the lawsuit.

“The company will vigorously defend its rights,” said Siegel, who also represents the four executives.

Legagneur said the harassment began shortly after she started working for Drive in July 2004 as Kolodny’s assistant. The job, which paid $42,000 a year, included reviewing his e-mail and sending responses.

In September of that year, Kolodny sent Legagneur an e-mail with a subject line announcing that “August Is Breast Appreciation Month,” according to the lawsuit. The e-mail included images of bare-breasted, bosomy women.

A couple of months later, she opened an e-mail that a major Drive customer sent to Kolodny. The subject line said “Sunsets — Your Vote Counts,” but the e-mail turned out to contain a pornographic picture, the complaint said.

She complained to Kolodny. But after looking at the e-mail, he laughed and ordered her to forward it to the chief executive and to executive vice president Jeffrey Schwartz, also a defendant. She said Kolodny told her to include the message “Check this out,” the complaint said.

Diamond, Schwartz and defendant Douglas C. Francis, also an executive vice president, sent Kolodny X-rated e-mails, which the defendant was required to open, the complaint said.

In June, Diamond fired her. The lawsuit seeks $30 million in compensatory and punitive damages.

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Kazakhs hunt with eagles to honor, preserve past

By Maria Golovnina

CHENGELSY GORGE, Kazakhstan (Reuters) – With its piercing
eyes fixed on a frightened fox, the golden eagle swoops down
from the sky, its huge wings blending into the shadows of the
red rocky steppe.

The fox leaps into the low bushes to escape. But it’s too
late. A second later, the eagle is perched on its back, tearing
flesh and squawking victoriously.

In eastern Kazakhstan, hunting with eagles is a
centuries-old tradition preserved by a handful of families who
pass the skill from generation to generation.

“The noble eagle is our life and art. It is in our blood
and our genes,” says Erbol Muptekeuly, an Arabic language
teacher from a traditional hunting clan.

Clad in fur hats and embroidered tunics like those worn by
their nomadic ancestors, hunters, or berkutchi, gather in the
shadow of the Tien Shan mountains each year for the winter
hunt.

Bearing golden eagles on their leather-gloved forearms,
they huddle on a hill, some murmuring ancient incantations and
stroking the birds’ smooth feathers.

A fox, released from a wooden crate in the valley, is
spotted, and in a single gesture, the hunters unleash the
leather straps attached to the eagles’ legs, sending the birds
into the air. The hunt is on.

With a wingspan of 6.6 feet, a curved beak and razor-sharp
talons, the golden eagle can dive at the speed of an express
train — up to 190 mph.

“Our men used the eagle before they invented bows and
arrows,” said Toligen Makhambichin, a 41-year-old from
Kazakhstan’s northern steppes.

“We’ve now got rifles and markets where we buy meat, but we
still come here every year to hunt like in the old days.”

NOMADS TODAY

The scene in the mountains of Tien Shan might seem like a
throw-back to the times of Genghis Khan — said to have kept
hundreds of eagles — were it not for the crowds of tourists,
kitted out with digital cameras, mobile phones and binoculars.

As the hunters, many on horseback, prepare for the event,
techno remixes of Kazakh folk music blare from loudspeakers and
makeshift stalls sell drinks and kebabs.

Winters can be freezing here with temperatures dropping to
minus 40 degrees Fahrenheit, but the fans don’t care.

“Kazakhs are still nomads in their heart. People from big
cities get tired of sitting in their offices all day doing
paperwork,” says Bagdat Muptekekyzy, who organizes the hunt.

“They come here from all around Central Asia to reconnect
with their ancestors. They turn into nomads again,” she said.

Some fans come from as far away as Australia and Western
Europe, where the sight of a trained eagle tearing a fox to
death would upset many animal rights activists.

“This is truly amazing, just incredible. I’ve never seen
anything like this in my whole life,” said Jaap F. de Boer, a
Dutch businessman who cut a strange figure in his stylish suit
and necktie among the crowds wearing fur and sheepskin.

“It’s like bullfighting in Spain, it’s culture, it’s
traditions. Why care about the animals? We humans kill animals
and eat meat ourselves, don’t we?” he said.

The foxes are captured from the wild and then released for
the hunt. The eagles chase the animals, and eventually most
foxes are hunted down and killed.

Makpal Abdurazakkyzy, a bashful 19-year-old with bright-red
cheeks, is the daughter of a famous berkutch and the only
professional woman hunter in Kazakhstan.

“I grew up among the eagles,” she said in a shy voice. A
gigantic eagle perched on her arm, blindfolded with a small
leather hood and twisting its head impatiently.

“In Kazakhstan many things are done by men, especially
hunting. But it is not we people who train the eagle but the
other way around. I’ve learned a lot from them.”

Kazakhs say the eagle — depicted on the country’s national
flag — is a symbol of statehood and independence. During 70
years of Soviet rule, eagle-hunting was frowned upon because it
was considered an elitist sport.

“This big bird unites everything we are proud of in
Kazakhstan,” says Muptekeuly, the Arabic teacher. “It’s good to
know that this rare bird of prey has survived millennia and is
still with us in the 21st century.”

Swimming Can Shore Up Your True Core

Q: Yoga and Pilates are such popular forms of exercise, but I prefer swimming. I don’t read much about it as a good overall form of exercise. Wouldn’t swimming also provide “core training” and strengthening of the abs? When swimming, aren’t you doing some of the stretching and lengthening Pilates does? Is swimming as beneficial as yoga or Pilates for the over-40 group for maintaining strength and flexibility?

A: Comparing exercises is hard to do, but every one, when done correctly, activates and works, to some extent, the core muscles.

The reader is right, though; swimming traditionally gets cut out of the core hoopla. I asked help from Mary Meyer, a Seattle personal trainer who specializes in swimming and triathlon training (www.marymeyerlifefitness.com).

Meyer acknowledges that swimming isn’t generally considered in the same league as Pilates and yoga when it comes to core work, but that is largely, in her mind, because you don’t have an instructor standing over you and harping about activating those muscles while you’re swimming. She also acknowledges that swimmers typically carry a bit more body weight for the sake of buoyancy and insulation, but looks can be deceiving.

“I have a hard time when a client comes in and says I want the six-pack or the eight-pack or whatever,” she says. “I tell them then maybe swimming isn’t the way to go.”

Swimming works true core muscles _ the functional ones behind the abs facade. The sport builds strength and flexibility, focusing mostly on the upper body. In fact, the power of the body from the hips or upper thigh to the shoulders is the most important factor in effective swimming, she says.

Swimming is also one of the few activities in which you can safely hyperextend your legs (such as when you kick down on the crawl stroke and butterfly). Meyer suggests varying strokes to increase the benefits.

While swimming is good for any age, it’s especially good for the 40-and-older group, she says, “considering it is a non-weight-bearing, low-impact sport that uses most of the muscles in the body.”

But it must be done correctly. For best results, be sure you rotate, power through and finish each stroke rather than swimming flat and cutting your stroke short. Establish as efficient an aquatic line as possible, swimming with head, shoulders, hips and feet in the same line on/to the surface of the water, and holding a straight line from side to side like a spear.

Good swimmers don’t overload their arms and hands. The arm-stroke pattern is effectively a catch and throw, with about 70 percent of the propulsion coming off the throw when combined with a hip-driven core rotation. This is similar to throwing and hitting baseballs.

The kick also stabilizes the lower torso front and back. It initiates from the diaphragm, as though the legs join there instead of at the hips.

Central to form and endurance is proper breathing, which is also essential in yoga and Pilates. Breathing in the water isn’t as natural as on land, and many beginning, even intermediate swimmers do not do it efficiently enough to reap the most benefits from the movement. Rhythm, concentration and flow make the difference. Once you are comfortable with swimming technique and breathing, swimming can be less taxing on lungs than running, because arms, with their smaller muscles, don’t require as much oxygen as legs do. (You can, however, build a lower-body workout by using kickboards and fins.)

___

FIT BIT

Pilates offers pluses, but …

Is Pilates also a good calorie-burning workout? A recent study by the nonprofit American Council on Exercise says: sort of.

The study concluded that the cardiovascular benefits of Pilates appear to be limited. Even though participants think they’re working hard _ and from a muscular standpoint, they are _ they are not achieving significant aerobic or calorie-burning benefits.

“Pilates has a long list of benefits including improved body mechanics, balance, coordination, strength and flexibility,” said Dr. Cedric Bryant, chief exercise physiologist for the council. “While the ACE study shows that a Pilates session burns a relatively small amount of calories, it is still a valuable addition to any exercise routine.

___

Richard Seven is a Pacific Northwest magazine writer at The Seattle Times. Send questions on workouts, equipment or nutrition to him at: Pacific Northwest magazine, The Seattle Times, P.O. Box 70, Seattle, WA 98111, or e-mail rseven(at)seattletimes.com. Past columns can be found at http://www.seattletimes.com/onfitness/)

___

(c) 2006, The Seattle Times.

Visit The Seattle Times Extra on the World Wide Web at http://www.seattletimes.com/

Distributed by Knight Ridder/Tribune Information Services.

_____

PHOTO (from KRT Photo Service, 202-383-6099): onfitness

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Ex-Teacher Charged With Sexual Encounter With Pupil

By ANDREW PICKEN

A FORMER teacher at a top private school has been charged in connection with an alleged sexual encounter with a 17-year-old female pupil.

Michael Casey was a history and modern studies teacher at George Watson’s College when he allegedly met the senior pupil at Gullane Bents in East Lothian in 2004.

The schoolgirl is reported to have told another teacher about the alleged incident with the 44-year-old Mr Casey, who is understood to be a former police sergeant, resigned from the school in January this year. Mr Casey was then reported to the police.

A police spokesman confirmed a 44-year-old man has been charged in connection with the incident and a report has been sent to the procurator fiscal.

Prosecutors are reportedly considering charges against Mr Casey of committing a sexual act while in a position of trust.

When the allegations came to light, Mr Casey is understood to have moved out of the Cramond home he shared with his wife Lesley. He is now believed to be living in Comely Bank and working as a taxi driver.

Gareth Edwards, head teacher at the GBP 7800-a-year school, said: “Mr Casey resigned in January but had been suspended since early November. As soon as the school received information relating to the allegations he was suspended and the matter was reported to the relevant authorities. Mr Casey resigned before our own internal investigation had reached its conclusion.”

It is the latest claims of a sex scandal to have rocked the city’s schools. Last April, a biology teacher arrested over claims he had sex with an underage pupil was struck off. Anthony Ablett, who taught at the city’s Trinity Academy, was barred from working in Scotland again after being found guilty of misconduct by the General Teaching Council.

The 56-year-old was taken to court in 2003 after a 15-year-old girl alleged he had been involved in “acts of indecency” with her.

He was immediately suspended from his job as head of biology when police charged him.

The case was dropped because of insufficient evidence, but the GTC Scotland decided to strike Ablett from the Scottish teaching register.

And in March 2004, sex charges against a former teacher at a Musselburgh public school were dropped. Guy Anthony Ray-Hills, 79, was charged with sexual offences against two boys, then aged 11 and 15, which allegedly took place 40 years ago when he taught at Loretto School.

The case was to be heard in the summer of 2003, but was dropped because of Mr Ray-Hills’ ill-health. The Crown Office confirmed at the time that the case would not be “re-raised”. It was understood at the time that this was because Mr Ray-Hills would never have been well enough to stand trial.

Cardinal Health Buying ParMed for $40.1 Million

By The Buffalo News, N.Y.

Mar. 9–Cardinal Health, a $75 billion Ohio company that is 16th the Fortune 500 list, announced Wednesday that it has agreed to buy Niagara Falls-based ParMed Pharmaceuticals for $40.1 million.

“We’re one of the largest distributors of pharmaceuticals in the U.S.,” said Jim Mazzola, spokesman for Cardinal Health, which has its headquarters in Dublin, outside Columbus.

ParMed, which had been owned by Alpharma Inc. of Fort Lee, N.J., has a main office in Niagara Falls and staff in West Seneca and Jamestown for a total of about 120 workers. The company’s primary customers are independent pharmacies, not chain stores.

Alpharma said ParMed has annual revenues of about $53 million.

ParMed’s focus of selling medicine in smaller quantities compliments Cardinal Health’s distribution to bigger hospital and drug store chains. “It’s still reaching a very important set of customers,” said Mazzola.

Cardinal Health’s “full line distribution business,” of interest to large clients, includes managing inventory and deliveries, sometimes multiple times a day. “CVS is one of our largest customers,” said Mazzola.

While he did not expect staffing changes at ParMed, Mazzola said the combined needs of the clients of both companies should allow Cardinal Health to get better prices for shipping and the drugs it buys.

“Our intent is to have the business operate as it has been today,” said Mazzola of ParMed. “We’re excited just to bring it on board and have it operate.”

—–

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CAH, ALO,

Ancient Wisdom Teeth Reveal Humans’ Changing Diet

15,000-year-old remains suggest a shift away from coarser foods

HealthDay News — A nearly complete 13,000- to 15,000-year-old skeleton of a woman has the oldest recorded case of impacted wisdom teeth ever documented, say scientists at the Field Museum in Chicago.

The teeth may also point to a key shift in human nutrition.

For years, it was believed that Magdalenian Girl, excavated in France in 1911, was a girl because her wisdom teeth had not erupted. Wisdom teeth usually come in between 18 and 22 years of age.

However, new high-quality digital X-rays revealed that the skeleton had impacted wisdom teeth that had failed to erupt at the normal time. Therefore, Field Museum scientists concluded that Magdalenian Girl was actually a 25- to 35-year-old woman.

The finding is significant because impacted teeth are believed to be the result of dietary changes historically associated with later developments in human cultures. Impacted teeth typically did not occur during the Stone Age due to a coarse diet that required more chewing and higher bite forces. This likely stimulated the growth of the jawbone, creating more room for wisdom teeth to erupt, the scientists explained.

“Finding impacted wisdom teeth 15,000 years ago indicates that the human diet might have already changed, some would say ‘deteriorated,’ earlier than previously thought,” Robert D. Martin, Field Museum provost and primatologist, said in a prepared statement.

Magdalenian Girl will be placed on permanent display as part of Evolving Planet, a new Field Museum exhibit depicting the story of life on Earth. The exhibit opens March 10.

More information

The U.S. National Library of Medicine has more about impacted teeth.

Indonesia-Japan Venture Launches Bird Flu Vaccine

By Telly Nathalia

JAKARTA — An Indonesia-Japan venture said on Thursday it has created what it believes is a more effective bird flu vaccine for poultry and hopes to quickly boost production to help nations fight the deadly H5N1 flu strain.

PT. IPB Shigeta said it is using a new production technique called reverse genetics in which an inactivated, genetically modified form of the H5N1 virus is grown in special chicken eggs.

The inactivated virus is then harvested for production of the vaccine.

“This is the first in the world. It is non-lethal and safe to be produced,” said Kamaluddin Zarkasie, director of the venture, told reporters.

Since 2004, Japanese drugmaker Shigeta Animal Pharmaceuticals Inc. and Indonesia’s government-backed Bogor Institute of Agriculture (IPB) have worked together to create the vaccine, called bird CLOSE 5.1.

Bird flu has killed 96 people since 2003 and led to the deaths through infection or culling of more than 200 million poultry in many countries.

Several nations, including China, Vietnam and France, are vaccinating poultry but birds can still be virus carriers without showing symptoms.

The joint venture, in a statement, said most current bird flu vaccines for poultry use the H5N2 strain as the seed virus but that meant they were not completely effective because of the genetic differences between H5N1 and the less pathogenic

H5N2.

“The vaccine will be highly effective against currently circulating highly pathogenic avian influenza H5N1 viruses because of the closeness of the antigenic match between the vaccine strain and the epidemic viruses,” the statement said.

There are several sub-strains of H5N1 that have been detected.

Toyama-based Shigeta, which has an 80 percent stake in the venture, said private and government companies around Asia have already requested 517 million doses of the vaccine.

The venture has built a plant in the West Java city of Bogor and plans two bigger factories in the same area.

Zarkasie said the vaccine would hit the market next month.

Shigeta forecast 2006 vaccine sales could reach 8.5 billion yen ($72.6 million).

The venture might also build vaccine factories in Romania and Nigeria, Zarkasie said.

In Indonesia, H5N1 has affected birds in about two-thirds of the country’s provinces and killed 20 people.

Scientists fear the virus could mutate and spread easily from person to person, triggering a pandemic that could kill millions and cripple economies.

Pressure is growing on vaccine makers to create a treatment that will immunize humans and reverse genetics is one of the production methods being tested.

($1 = 117 yen)

Merck Disclosed Vioxx Heart Risks, Court Told

By Jon Hurdle

ATLANTIC CITY, New Jersey — Merck & Co. Inc. disclosed a report showing that its pain drug Vioxx had heart attack risks and did not try to hide results that could have hurt sales, the company’s former head of marketing told a New Jersey state court on Wednesday.

David Anstice said Merck sales representatives and scientists talked openly to physicians, regulators and the media about a large study that found Vioxx users suffered five times as many cardiovascular events as those taking naproxen, another pain-reliever from a different class of drugs.

In his third day on the witness stand at the second Vioxx state trial in New Jersey, Anstice said Merck sales people were candid about the reasons for a change in the drug’s labeling in April 2002 that drew attention to heart risks associated with the arthritis medicine.

“They were actively discussing the Vigor data after the label change,” Anstice told the New Jersey Superior Court in Atlantic City in a reference to the 8,000-patient study published in March 2000.

Merck is being sued by two men who blame the drug for their heart attacks. Thomas Cona, 59, had a heart attack in June 2003 after using the drug for 22 months. John McDarby, 77, who has appeared in court in a wheelchair, took Vioxx for four years and suffered a heart attack in April 2004.

The trial is being closely watched as it is the first involving long-term Vioxx users and could provide a clearer view of what Merck is up against as it wades through nearly 10,000 Vioxx-related lawsuits.

Merck withdrew Vioxx from the market in September 2004 after a study showed it doubled the risk of heart attack and stroke after 18 months of use. All the previous Vioxx cases to come to trial involved patients who took the drug for less than 18 months, enabling Merck lawyers to argue that there was no evidence of increased risk with short-term use.

Under questioning from Merck attorney Mike Brock, Anstice said that a U.S. Food and Drug Administration panel which evaluates drugs for the market had voted unanimously to approve Vioxx, and that Merck scientists had had extensive discussions with regulators about the drug before that decision.

All the drug’s effects, not just its benefits, were disclosed, Anstice said. “Any adverse experiences were also described to the FDA,” he testified.

On Tuesday, Cona’s attorney Mark Lanier accused Anstice of trying to hide the heart risks of Vioxx because Merck needed a major new drug to replace the sales of six others on which patents were soon to expire.

Brock showed the jury the Vioxx label that was updated to include data from the controversial Vigor study.

He pointed out that it warned doctors to exercise “caution” in using Vioxx for patients with heart disease and contained tables of data showing the higher rate of “serious cardiovascular thrombotic events” for Vioxx users compared with those on naproxen.

Merck has said it believed the Vigor results signaled heart protective qualities of naproxen rather than increased risks from Vioxx — an assessment questioned by many critics.

The Merck attorney highlighted a press release announcing the results of the Vigor study that also showed Vioxx caused fewer gastrointestinal problems than other pain killers.

“Are you telling them only about the GI data? You are telling the whole thing, aren’t you?” Brock asked Anstice. “Yes, we are,” the Merck executive replied.

(Additional reporting by Bill Berkrot in New York)

Most Americans Still Skip Colon Cancer Screening

By Anne Harding

NEW YORK — Three out of four Americans aged 50 to 70 aren’t getting regular colon cancer screening, according to a survey sponsored by the maker of a new screening test for the disease.

Colon cancer is currently the second leading cancer killer in the United States, with 60,000 Americans expected to die from the disease this year.

The American Cancer Society recommends that everyone get a colonoscopy to test for colon cancer at age 50. But 26 percent of the 1,200 people surveyed said their doctor had never discussed colon cancer screening with them, and 24 percent said they didn’t get screened because they had no symptoms of the disease. Twenty-eight percent said they didn’t want to have a colonoscopy.

Dr. David Stein, director of education for the Colon Cancer Foundation and the chief of the division of colorectal surgery at Drexel University College of Medicine in Philadelphia, points out that this test isn’t something most people are comfortable chatting about around the water cooler, despite efforts by Katie Couric and others to raise awareness of the need for colon cancer screening. “The stigma of a colonoscopy is pretty significant,” he told Reuters Health.

However, if a person with no family history of the disease has a colonoscopy at 50, the doctor performing the test is able to review the entire colon, and no problems are found, he or she doesn’t need to have the test again for 10 years, Stein added. “At 50 you can go get it done and you’re good ’til 60,” he said.

The survey, conducted by Harris Interactive, was sponsored by EXACT Sciences Corp., a Marlborough, Massachusetts-based company that makes a new non-invasive test that screens for colon cancer by looking for cancer-related DNA in the stool.

Stool DNA tests, which can be done at home, have a roughly 60 percent rate of detection, and rarely yield false-positive results. “When it does detect something, it’s pretty accurate,” Stein said.

Such non-invasive tests are better than nothing for people who refuse to have colonoscopies, according to Stein, who notes that the American Cancer Society advises people who refuse colonoscopies to have some other type of colon cancer screening test.

The worst thing about a colonoscopy is not the test itself, which is usually performed with some sort of anesthesia, it’s the preparation beforehand, Stein noted, in which a person takes laxatives and, in some cases, enemas to clear the bowel. Virtual colonoscopy, in which a CAT scan or MRI is used to scan the bowel, still requires the colon-clearing prep, Stein said, while its effectiveness remains controversial and insurance does not cover it.

Despite the prep’s unpleasantness, Stein adds, it’s a small price to pay for a test that can be lifesaving. “In the big picture it’s a no-brainer.”

‘Shantaram’ tour offers a novel look at Mumbai

By Rina Chandran

MUMBAI, India (Reuters) – The sign outside Leopold cafe on Mumbai’s Colaba Causeway has just received a makeover: it is bigger, bolder, and harder to miss amid the clutter of signs on the bustling road lined with shops and restaurants.

That is a good thing for the dozens of foreign tourists who come looking for Leopold, clutching a thick blue-and-red paperback which has catapulted the popular bar and restaurant to the top of to-do lists of tourists.

Leopold, whose beer and food and casual style are a favorite with tourists and locals alike, owes its star status to “Shantaram,” a novel based loosely on the life of author Gregory David Roberts, a former Australian convict, that is being made into a movie starring Johnny Depp.

“A lot of tourists come in and say, ‘We just wanted to see the place’,” said Bernard Coelho, Leopold’s manager.

“They hope to see Greg here, leave notes and letters for him, and ask about other places mentioned in the book, like Cuffe Parade and Haji Ali,” he said, referring to a posh neighborhood and a mosque in the sea.

On the cluttered counter behind which Coelho stands, a pile of ‘Shantaram’ copies autographed by Roberts lean against the wall, on which hangs a slim wooden rack crammed with notes for Roberts from visitors to Leopold.

The book, which was first published in Australia in 2003, has topped bestseller lists in India consistently, where it is also hawked at traffic lights and on pavements.

Roberts, 54, earned the moniker “Gentleman Bandit” in Melbourne, where he conducted robberies armed with a toy pistol to support a heroin habit. Arrested in 1978, he escaped from the maximum security Pentridge prison two years later to New Zealand.

He arrived in India in 1982, where he lived in a village for several months and also in a Mumbai slum. He was then recruited by Mumbai’s mafia and was involved in gold smuggling and arms running, much like his lead character in “Shantaram.”

Roberts was finally arrested in Frankfurt and extradited to Australia in 1991, where he spent six years in prison.

MELBOURNE AND MUMBAI

Roberts divides his time between Melbourne and Mumbai, where he has a home, and has set up a mobile clinic for slum dwellers and funds small businesses in the village where he once lived.

The book, which is being translated into Hindi, tells the tale of Lindsay, who is jailed in Australia for armed robbery, escapes and comes to India, where he works with the underworld and also goes to Afghanistan to supply arms to the Mujahideen.

Roberts is writing a sequel to “Shantaram” and an anthology of short stories, and he has also worked on the movie’s screenplay.

“I carry all my unfinished work on a USB flash drive that I can strap on to my wrist wherever I go because I don’t want to lose any more work,” said Roberts, who took 13 years to complete “Shantaram” after the first two drafts were destroyed in prison.

Filming of “Shantaram” begins shortly, with Depp in the lead, and the movie, when released in 2007, will bring more tourists flocking to Mumbai and Leopold, Roberts said at a recent discussion in Mumbai.

Already, taxi drivers in Colaba are offering “Shantaram” tours to visitors in Mumbai.

But tourists will be disappointed in their search for the village in Maharashtra where Lindsay spent several months, and whose people named him Shantaram, or ‘man of peace.’

“I chose to keep the village anonymous because naming the village could have meant good things and bad things,” the soft-spoken Roberts said, often using words in Hindi and the regional Marathi language, which he learned in the village.

“I told them, ‘You will have lots of people coming here, and you can sell them things, even chase out the goats and offer up the shed to sleep in, and they will pay you money’,” he said.

“But you may also have not-so-nice people come by, and I do not want to risk that,” said Roberts, who sets up appointments at Leopold and other Mumbai cafes, and can often be seen in the city riding his motorbike, his long hair tied back or in a braid.

More than 3.4 million foreign travelers visited India in 2005 and there is growing interest in the country, which was named the world’s fifth most-popular tourist destination.

Those numbers are expected to rise by nearly 10 percent annually, and ‘Shantaram’ may be credited with at least some of the interest, similar to that seen in New Zealand after the “Lord of the Rings” films and in Rome after “The Da Vinci Code” book.

A Decade After Its Early-Morning Loss to Apple Valley in the State Semifinals, Duluth East Points to a Goal That Was Disallowed.

By Rick Shefchik, Pioneer Press, St. Paul, Minn.

Mar. 8–Mike Randolph watches a tape of the game at least once a year. Pat Westrum thinks about it at tournament time, or whenever he runs into Randolph.

The game in question was the epic five-overtime battle between Duluth East and Apple Valley in the Class AA semifinals of the 1996 Minnesota boys hockey tournament, won by Apple Valley 4-3 on a goal by Aaron Dwyer at 1:39 a.m.

Those still awake could tell themselves they had witnessed one of the greatest games in state hockey history.

“It always comes up,” said Randolph, who stays in contact with many of the players on that 1995-96 East team. “To be honest with you, I try to watch the game every summer. My tape’s wearing out. If anyone has a copy, let me know.”

Randolph’s son, Jimmy, who was a manager and will graduate from St. Cloud State this year, holds parties at which they watch the tape once or twice a year.

“He has new roommates every year, so they can’t believe he has a copy of that game and wants to see it over again,” Randolph said. “It’s probably got a few breaks in it.”

Westrum, who co-coached that Apple Valley team with Larry Hendrickson and whose son Erik had a hat trick in that game, said he saw Randolph a few weeks ago, and the game inevitably came up.

“He was giving me crap,” said Westrum, who runs a paper distribution plant, directs the Apple Valley youth hockey program and scouts for the Montreal Canadiens.

The particular point of discussion, as always, was the disallowed Duluth East goal in the second overtime.

“They showed the replay, but nobody knew if it went in or not,” Westrum said.

Randolph begs to differ.

He still recalls Matt LaTour coming to the bench and telling him he tipped in Dylan Mills’ slap shot.

“From my vantage point, I had no way of seeing it,” Randolph said. “The play went on, and there was no discussion ’til we went to the replay monitor between periods. We looked at it, and I felt as Matt did — the puck did go in.”

A day or two after the tournament, Randolph watched an ultraslow speed tape at a Duluth TV station thatshowed, in his opinion, the puck go into the net and out.

Not according to the officials, however, and their opinion was the one that counted. Despite the disappointment, Randolph is not critical of them, and agrees with the judgment that it was one of the best games in the history of the high school tournament. Westrum thinks so, too.

“It was so much fun,” Westrum said. “From the third period on, you were just watching as a spectator. The kids rotated themselves in. I don’t think there was a penalty called from the third period through all the overtimes.”

Randolph admits he brings up the game whenever he sees Westrum or anyone from Apple Valley.

“I’ve got to razz them a little,” he said.

Westrum remembers his team had the late game all three nights during the 1996 tournament and never got to bed before 3 a.m.

“The Duluth game was more toward 4 a.m.,” he said. “Our kids did not go to the rink except to play hockey. They got up, ate and went back to bed. After the Duluth game, Brad DeFauw had to get intravenously fed at the hospital.”

Westrum also recalls both teams ended up going with only two lines throughout overtime, which was a benefit to Apple Valley the following night when it defeated Edina for the championship.

“We went with our third line against Edina,” Westrum said. “They were strong, and that helped us win.”

Ten years later, Randolph has mostly fond memories of the game.

“Time heals, and there are human errors in the game of hockey,” he said. “You know that going in. The kids on the team helped me get over it. I remember the end of the game, how classy the kids were on both teams, even though they were very tired. I have the utmost respect for both teams. They laid it on the line.”

Rick Shefchik can be reached at [email protected] or 651-228-5577.

—–

Copyright (c) 2006, Pioneer Press, St. Paul, Minn.

Distributed by Knight Ridder/Tribune Business News.

For information on republishing this content, contact us at (800) 661-2511 (U.S.), (213) 237-4914 (worldwide), fax (213) 237-6515, or e-mail [email protected].

Russia hopeful Hamas will support peace road map

WASHINGTON (Reuters) – Russian Foreign Minister Sergei
Lavrov said on Tuesday he was hopeful after talks with Hamas in
Moscow this week that the militant Palestinian group would
endorse the Israeli-Palestinian “road map” peace accord.

Speaking at a joint news conference with U.S. Secretary of
State Condoleezza Rice, Lavrov said that “we … heard from
them that they would be ready to express their position on the
road map and to hopefully endorse the road map as drafted by
the Quartet without any reservations.”

The “road map” of steps toward a lasting peace between
Israel and the Palestinians was drawn up the so-called Quartet
of Russia, the United States, the United Nations and the
European Union.

Rice did not comment on Moscow’s discussions with Hamas but
she has said Washington will not deal with the militant group
unless it changes its negative policies toward Israel. The
group’s shock victory in elections in January derailed hopes of
new peace talks between the Israelis and the Palestinians.

Hamas has said publicly it cannot recognize Israel’s
existence and therefore would not be party to agreements like
the road map, which requires the sides to take steps to reach a
negotiated settlement toward peace and Palestinian statehood.

The Russian foreign minister also said Hamas, which is
responsible for dozens of suicide bombings in Israel, was
prepared to consider joining an Arab plan proposed by Saudi
Arabia at an Arab League summit in March 2002.

Under that plan, Arab leaders offered normal relations with
Israel in return for withdrawal to its 1967 borders. Israel,
however, was lukewarm to that proposal.

Lavrov said Hamas agreed to respect the authority of
Palestinian President Mahmoud Abbas, whose Fatah party lost in
the January election.

The Quartet agreed in talks in London on January 30 that
aid to the Palestinians would be reviewed if Hamas did not
renounce violence, recognize Israel and accept previous
agreements between the Palestinians and the Israelis.

Lavrov said Hamas assured Russia that foreign assistance to
the Palestinians would be spent in a transparent manner and
promised to allow international monitors to ensure this.

War on Drugs: Elusive Victory, Disputed Statistics

By Bernd Debusmann, Special Correspondent

Washington — Despite three decades of upbeat reports on battles won in the war on drugs, cocaine, heroin and marijuana are as easily available as ever and experts say the United States has yet to develop a strategy that works.

Just as in previous years, the government’s progress reports for this year on drug control point to new records on cocaine seizures and on the eradication of coca plantations in Colombia, the world’s top producer of cocaine.

The annual reports were issued by the White House Office of National Drug Control Policy, a 130-member group which sets anti-drug policy and is headed by “drug czar” John Walters, and by the State Department’s Bureau for International Narcotics and Law Enforcement Affairs.

By some estimates, the United States consumes more than 60 percent of the world’s illicit drugs, far out of proportion with its 4.5 percent of the world’s population. It is by far the biggest market for cocaine, a drug that yields staggering profits for traffickers.

In most major U.S. cities, cocaine sells on the street for under $100 a gram with New York prices ranging from $20 to $60 a gram and Los Angeles around $80 a gram.

Despite the ready availability of cocaine, the White House’s ONDCP reported: “Our … overseas counterdrug efforts have slowly constricted the pipeline that brings cocaine to the United States.”

Similar announcements have been issued regularly ever since Richard Nixon issued the official declaration of war on drugs in 1969. Four years later, Nixon said the United States had “turned the corner” on drug addiction and drug supplies.

When Washington’s first drug czar, William Bennett, left his post, the White House said he had put the U.S. “on the road to victory” in the drug war. That was 16 years ago. Today, cocaine, heroin and marijuana are as widely available as they were then – at sharply lower prices.

“The price decline began in 1979 and the downward trend has been steady,” said Mark Kleiman, director of the drug policy analysis program at the University of California, Los Angeles. Kleiman is one of about a dozen academic experts in the United States who have studied the drug trade for decades.

They viewed with skepticism an assertion in the drug czar’s report that the street price of cocaine – the drug that most worries the government – had increased by 19 percent while purity had dropped by 15 percent between February and September 2005. The drug policy office called it a “trend reversal.”

There have been temporary price spikes before but the trend remained unchanged.

ONE STEP FORWARD, ONE STEP BACK

In the drug war, the pattern has been one step forward, one step back – one trafficking organization smashed, another one formed; one hectare of coca or opium poppy destroyed, another one planted; one dealer imprisoned, another taking his place.

Questioned on cocaine prices on the street, Drug Enforcement Administration offices in Los Angeles, Chicago, San Diego, Miami, Atlanta and New York told Reuters no significant fluctuations had been noticed last year.

The DEA headquarters in Washington distanced itself from the drug czar’s price increase figures and responded in a written statement to questions on the apparent discrepancy.

“The DEA provided ONDCP with our System to Retrieve Information on Drug Evidence, an inventory system that monitors and catalogs drug evidence taken in by DEA Special Agents around the country,” the statement said.

“We did not take part in the study on which they based their conclusions so therefore don’t feel it appropriate to comment on ONDCP’s conclusions.”

Said John Walsh, a drug expert at the Washington Office on Latin America: “In the drug war, numbers are routinely used to justify policy. Healthy skepticism is on order.”

Peter Reuter, a drug expert at the University of Maryland, said the numbers were inconsistent with long-term trends and open to doubt. And, John Carnevale, a former senior aide to four drug czars, said ONDCP was “cherry-picking” statistics.

DRUG WAR DATA ‘PROBLEMATIC’

Such skepticism echoed a November report by the Government Accountability Office, the nonpartisan investigative arm of Congress, which described as “problematic” the data the government is using to assess progress in the anti-drug fight.

Apart from an “absence of adequate, reliable data on illicit drug prices and use,” the GAO said, other figures were so broad as to be useless.

It cited the drug czar’s 2004 estimate that Latin American traffickers were preparing to move between 325 and 675 tonnes of cocaine to the United States. “This wide range is not useful for assessing interdiction efforts,” it said.

Most of the 1.6 million drug-related arrests each year are for possession of drugs rather than trafficking. These arrests and rigid mandatory sentencing laws for drug offenses have helped to turn the U.S. prison population into the world’s biggest, at around 2.2 million.

While the administration has publicly acknowledged the importance of treatment and prevention at home, most of the drug czar’s budget has gone to interdiction and law enforcement.

That trend continued with the budget request for 2007 – around 35 percent for demand reduction, 65 percent for crackdowns on supplies.

When she introduced the State Department’s progress report in March, Anne Patterson, who heads the Bureau for International Narcotics and Law Enforcement Affairs, was asked to explain how ever-larger seizures and crop spraying programs squared with the fact that drugs were still readily available.

“If we weren’t doing these programs,” she said, “the situation would be very dramatically worse.”

Black-necked Swan

The Black-necked Swan (Cygnus melancoryphus) is a member of the duck, goose and swan family, Anatidae. It is a waterbird found throughout South America – in Patagonia, Tierra del Fuego and on the Falkland Islands. In winter, this bird migrates northwards to Paraguay and southern Brazil. The Laguna Blanca National Park in Argentina is a protected home of the swan.

Guantanamo better than Belgian prisons-OSCE expert

BRUSSELS (Reuters) – Inmates at Guantanamo Bay prison are
treated better than in Belgian jails, an expert for Europe’s
biggest security organization said on Monday after a visit to
the controversial U.S. detention center.

But Alain Grignard, deputy head of Brussels’ federal police
anti-terrorism unit, said that holding people for many years
without telling them what would happen to them is in itself
“mental torture.”

“At the level of the detention facilities, it is a model
prison, where people are better treated than in Belgian
prisons,” said Grignard.

He served as expert on a visit to Guantanamo Bay last week
by a group of lawmakers from the assembly of the Organization
for Security and Cooperation in Europe’s (OSCE).

Grignard’s comments came less than a month after a United
Nations report said that Guantanamo prison detainees faced
treatment amounting to torture.

Many of the 500 inmates in the prison at the U.S. naval
base in Cuba have been held for four years without trial. The
prisoners were mainly detained in Afghanistan and are held as
pat of President George W. Bush’s “war on terror.”

Grignard told a news conference that prisoners’ right to
practice their religion, food, clothes and medical care were
better than in Belgian prisons.

“I know no Belgian prison where each inmate receives its
Muslim kit,” Grignard said.

Grignard said that while Guantanamo was not “idyllic,” he
had noticed dramatic improvements each time he visited the
facility over the last two years.

The head of the OSCE lawmakers in the delegation said she
was happy with the medical facilities at the camp, adding she
believed they had been improved recently.

Anne-Marie Lizin, chair of the Belgian Senate, told
reporters at the same news conference she saw no point in
calling for immediate closure of the detention camp.

“There needs to be a timetable for closure,” said Lizin,
but asking for immediate closure would have been unrealistic.

U.N. investigators last month demanded that the U.S.
government close the prison without further delay, alleging a
host of violations of human rights and torture.

They did not visit the site because they were not allowed
to conduct interviews with the prisoners.

Lizin said the OSCE parliamentary delegation was also
unable to talk to prisoners but had discussed the situation
with the International Red Cross which has access to them.

The OSCE plans to prepare a report by the end of May,
touching on the delegation’s concerns including the legal
situation of detainees, Lizin added.

The United States is a member of the 55-country OSCE.

Stanford Launches the Arthur and Toni Rembe Rock Center for Corporate Governance

Stanford Law School today announced the launch of the Arthur and Toni Rembe Rock Center for Corporate Governance at Stanford University (the “Rock Center”). Rock is a pioneering venture capitalist who helped found Apple Computer, Intel, Scientific Data Systems, Teledyne, and many other successful firms. His wife, Toni Rembe–the first female partner of the law firm Pillsbury Winthrop LLP, where she served as managing partner in the tax department and as a member of the firm’s Executive Committee–is a director of AT&T and AEGON N.V., and has served as president of the Commonwealth Club and of the American Conservatory Theatre. The Rocks have donated $10 million to Stanford Law School to fund the Rock Center. It is believed to be the largest gift for the study of corporate governance in academic history.

“Innovation and new ventures fuel the global economy but the spark comes from investment,” Arthur Rock said. “Investment is about trust. It’s about knowing that the people investors entrust with their money are running ethical, transparent and effective businesses. Stanford Law School has a demonstrated track record of leadership in the field of corporate governance. We are pleased to support their efforts.”

The Rock Center will sponsor a series of programs designed to deepen the understanding of the governance process, enhance the quality of governance-related education, and improve the practice of governance around the world.

The first of these programs, the “Governance and the Regulators” conference series, holds its inaugural session in Washington, D.C. on April 3, 2006, and addresses the SEC’s proposed executive compensation disclosure rules. This conference series will provide a public forum in which regulators can interact with leading scholars and industry experts as they craft rules that affect the governance process. The Rock Center’s conference series is designed to narrow the gap between state-of-the-art scholarship and the regulatory process while promoting more cost effective, socially beneficial regulation.

Among the Rock Center’s other early initiatives are:

1. A series of research programs designed to bridge the gap between theory and practice by, for example, studying the ability to predict the incidence of fraud, examining international trends in corporate governance, and exploring the future of the audit industry;

2. A series of conferences for the press and judiciary on matters related to corporate governance;

3. The creation of new teaching materials designed for business schools and practicing executives that emphasize the importance of compliance with the law in addition to more traditional materials relating to business ethics;

4. The launch of an open source database that will provide timely, detailed, and sophisticated information about the governance characteristics of all major publicly traded corporations, including an ability to generate a wide variety of “governance scores,” all of which will be transparent to users and offered at no charge to the public.

The Rock Center will be located at Stanford Law School and directed by Professors Robert Daines and Joseph Grundfest. Daines, the Pritzker Professor of Law and Business at Stanford, is a former investment banker at Goldman Sachs, and is widely recognized for his rigorous statistical analysis of empirical data on the relationship between economic theory and the operation of corporate institutions in practice. Grundfest, the W. A. Franke Professor of Law and Business at Stanford, was a Commissioner of the SEC from 1985 to 1990. He also currently serves as a director of Oracle Corp. and is a co-founder and director of Financial Engines.

Stanford Law School is a recognized leader in the field of corporate governance. Its Directors’ College program, launched in 1993, is today the nation’s premier venue for the continuing education of corporate directors. The Law School also operates Fiduciary College, an educational program for public and private sector fiduciaries with responsibility for investing hundreds of billions of dollars, and the Stanford Institutional Investors Forum, a semi-annual program attended by the nation’s largest and most sophisticated institutional investors.

The Rock Center will be unique among other university programs on corporate governance. The Stanford Law School faculty has more than 13 years of hands-on experience in working with regulators to develop practical applications from theoretical scholarship, and institute best practices on an accelerated timeline. In addition, the Rock Center will use technology in new ways to help improve the governance process. Finally, the Rock Center will benefit from participation by faculty and students drawn from Stanford’s leading programs in business, communication, economics, engineering and law.

“We are thrilled to start the Rock Center and feel privileged to have it begun by someone like Arthur Rock, whose life and work have been central in creating the Silicon Valley,” said Larry Kramer, dean of the Stanford Law School. “Our goal, like Arthur’s, is nothing less than to transform corporate governance in the United States and abroad. It is imperative to restore public trust in business and to do so in a way that fuels rather than impedes growth. The resources that can be brought to bear at Stanford–in law, business, economics, and engineering–will enable us to tackle problems in new ways. And with the help and participation of the business community itself, the Rock Center can and will become a source for problem solving, new thinking, and great scholarship in this most important of domains.”

Arthur Rock has been a major player in the development of Silicon Valley for more than four decades. As one of the founding fathers of venture capital–and the man credited with coining the term–Rock has played the role of catalyst and financier to some of the most famous companies in high technology. He is known for his ability to recognize opportunities ahead of others and invest early in ventures that come to dominate the industry. In keeping with his tradition, the field of corporate governance is still nascent, and the Rock Center is being created at Stanford with the vision of becoming the world’s premier intellectual center for the improvement of corporate governance.

About Stanford Law School

Stanford Law School is one of the nation’s leading institutions for legal scholarship and education. Its alumni are among the most influential decision makers in law, politics, business, and high technology. Faculty members argue before the Supreme Court, testify before Congress, and write books and articles for academic audiences, as well as the popular press. Along with offering traditional law school classes, the school has embraced new subjects and new ways of teaching. The school’s home page is located at www.law.stanford.edu.

George Clooney wins first Oscar

By Jill Serjeant

LOS ANGELES (Reuters) – Hollywood gave George Clooney the
respectability that long has eluded his acting career. He won
his first Oscar on Sunday for his performance as a weary CIA
agent in the oil industry thriller “Syriana.”

Clooney, 44, won the best supporting actor award. He also
is nominated this year in the director and original screenplay
categories for “Good Night, and Good Luck.”

Heading into the ceremony, Clooney was widely expected by
Oscar watchers to be shut out of those two categories against
favorites for movies such as “Brokeback Mountain.”

“Wow. So I’m not winning director,” Clooney quipped in his
acceptance speech before paying tribute to his four fellow
nominees in the best supporting actor category, saying they had
all given “stellar performances.”

Clooney’s Oscar win cemented his journey from the man once
dubbed the “sexiest man alive” by People magazine to a leading
Hollywood heavyweight with a passion for making films on risky
subjects.

He is also one of Hollywood’s best known liberals and an
actor who has no qualms about wearing his political heart on
his sleeve.

OUT OF TOUCH

“We are a little bit out of touch in Hollywood every once
in a while,” Clooney acknowledged referring to an earlier joke
by Oscar host Jon Stewart.

“We were the ones who talked about AIDS when it was being
whispered. We talked about civil rights when it wasn’t really
popular,” he said.

“I’m proud to be part of this Academy. I’m proud to be part
of this community. I’m proud to be out of touch,” Clooney
added.

For his role as U.S. spy Bob Barnes, the handsome leading
man gained more than 30 pounds (13.6 kg) to look the part of a
haggard man. While filming a scene in which his character is
tortured, Clooney was injured and needed several surgeries
after rupturing his spinal fluid sack.

Clooney first won fame in the television hospital drama
“ER.” Since leaving the show, he has appeared in high-profile
movies such as 2000’s “The Perfect Storm” and subsequently in
“Ocean’s Eleven” and “Ocean’s Twelve.”

He has suffered a few flops, too, such as science-fiction
drama “Solaris” and his turn as superhero Batman in 1997’s
“Batman & Robin” was panned by movie reviewers.

He proved a critics’ darling in the Coen brothers’
low-budget comedy “O Brother, Where Art Thou?” and for the
first time Clooney directed and starred in a film in 2002,
“Confessions of a Dangerous Mind.”

Clooney is the nephew of the late singer Rosemary Clooney
and the son of a TV newscaster, Nick Clooney, who worked in
Cincinnati, Ohio.

Chinese Women’s Symptoms: Relation to Menopause, Age and Related Attitudes

By Shea, J L

Key words: CHINESE WOMEN, CHINA, SYMPTOMS, MENOPAUSAL STATUS, AGE, ATTITUDES

ABSTRACT

Objectives The China Study of Midlife Women (CSMW) aimed to determine in mid-life Chinese women, first, the frequency of various symptoms often included in studies of menopause or the climacteric, second, attitudes toward menopause and aging, and, third, the relationship between symptoms and menopausal status, chronological age and attitudes.

Methods A questionnaire was administered via face-to-face interview to a general population sample of 399 Chinese women living in two communities in northern China.

Results The Chinese women displayed a low to moderate frequency of reporting 21 symptoms across vasomotor, vaginal, sleep-related, cognitive, emotional and somatic categories. Their attitudes toward menopause and aging tended to be more positive, neutral or ambivalent, as opposed to negative. There was a small, statistically significant association between six symptoms and menopausal status, four symptoms and chronological age, and 11 symptoms and negative attitudes toward menopause and aging.

Conclusions Across the measures utilized in this study, Chinese women’s symptom reporting is more strongly associated with their attitudes towards menopause and aging than their menopausal status or chronological age. More research is needed on cross-cultural, cross-ethnic and individual variation in women’s interpretations of statements often included in mid-life attitudinal scales.

INTRODUCTION

Scholars have long debated which symptoms are related to the menopause transition1, with some linking a broad range of physical and psychological symptoms and others a narrow set of physical symptoms. Several studies conducted in western countries have found that women’s attitudes toward menopause and aging may contribute as much or more to the production of various symptoms as either menopause or aging themselves do2-5. Studies of mid-life women in some non-Western societies have suggested that a more positive orientation toward menopause and aging in those societies helps to account for their relatively low symptom level6-10.

To explore these questions, this article draws on material from the China Study of Midlife Women (CSMW), a project the author conducted in mainland China over several years in the 1990s11,12. In relation to this sample, the analysis examines:

(1) The frequency of various symptoms commonly discussed in the research literature on menopause or the climacteric;

(2) Whether any of these symptoms demonstrate an association with menopausal status and/ or chronological age;

(3) The frequency of various attitudes toward menopause and aging; and

(4) The relationship between various symptoms and women’s attitudes toward menopause and aging.

METHODS

This research was conducted in a rural village and an urban neighborhood in the municipality of Beijing in 1994. These communities were designated by the Chinese government as respectively rural (nongcun) and urban (chengshi) based on their relative population densities, proximity to agricultural production and other factors. Each of these two sites was a middle-income community accessible for study due to positive grassroots rapport established over many years. Project approval was secured from the Institutional Review Boards of Harvard University and Peking Union Medical College Hospital, the Central Ministry of Public Health in China, and local leaders in the surveyed communities. Based on residency lists secured from the local urban and rural residency committees, a total sample was taken of mid-life women between the ages of 40 and 65 years in the village and a block of the neighborhood. At the time of the study, permission to do survey research was extremely difficult for foreign-led research projects such as this to attain, and, as a result, random samples of numerous communities were not possible. Informed consent was requested from each woman, and the participation rate was over 90%. A total of 420 women participated. In this analysis, data from 399 of these women are analyzed. The remaining 21 cases were set aside due to missing data or artificially induced menopause. None of the 399 women examined in this analysis had undergone surgical menopause.

Table 1 Sample characteristics of the Chinese women in the study, age 40-65 years

The sample was divided fairly evenly between the urban and rural sites and between women aged 40-49 and 50-65 years (Table 1). Based on standard definitions13,115 women were premenopausal, 98 perimenopausal, and 186 postmenopausal. Although more educated than the national average for women of their age, a broad range of educational levels was represented, with almost one-quarter having 3 years or less of schooling. A wide variety of occupations, from factory and service jobs to educational, managerial and technical work, was represented at both field sites, but the rural sample was distinguished by having a considerable proportion of women who were currently doing collective agricultural labor or raising pigs or chickens at home.

The questionnaire included a checklist asking women whether they had experienced various symptoms over the previous 2 weeks. Presentation of this checklist was not in any way linked with menopause or aging. The 21 checklist symptoms analyzed here (Table 2) were chosen for their association with biomedically oriented menopausal indexes13 and/or cross-cultural research projects on female mid-life9. The Chinese translations were developed through months of participant observation in Beijing, reading Chinese clinical and self-help literature, checking with local researchers, and pilot testing on local women14.

Table 2 Frequency of symptoms in previous 2 weeks in 399 mid- life Chinese women between the ages of 40 and 65 years

This part of the questionnaire addressing respondents’ attitudes toward menopause and aging was presented after and at a distance from the symptom checklist. Some items were derived from other menopause questionnaires1, and some from Chinese self-help books or everyday conversations with Chinese residents. Comprising 19 statements on the end of menstruation and 20 statements on the transition from middle to old age, they were introduced as ‘something that some people say’ (shuofa huo chuanshuo). Women were asked to give their opinion on each statement by answering ‘agree’, ‘disagree’, ‘it depends’, or ‘unsure’.

As many women were accustomed to stating their age by the lunar calendar and most were unfamiliar with formal definitions of menopausal status, questions allowing the researcher to calculate these in standard biomedical terms were included. Women were designated as premenopausal if they had menstruated during the past 3 months with regular periods over the past 12 months. Perimenopausal status was defined as menstruating during the past 12 months but not during the previous 3 months, or during the past 3 months but with increased irregularity. Postmenopausal status was defined as not menstruating within the previous 12 months. Women who had had a hysterectomy or oophorectomy, or who had undergone chemotherapy or radiation, were excluded from analysis.

The questionnaire was administered to each respondent in a face- to-face interview in women’s homes or an offset corner of a public space. Interviews were conducted in Mandarin Chinese by a team of eight local Chinese professional women following extensive training14.

Responses were coded numerically and entered into a database. Attitudinal items required special attention. After entry in raw form, attitudinal responses were coded on a scale of 1 to 4, with 4 representing the negative pole, and 1, the positive. Depending on the question, either agree or disagree was coded 4, with its opposite coded 1. ‘It depends’ was coded 3 as an ambivalent answer, and ‘unsure’ was coded 2 as a neutral response. These codes were multiplied by response frequency and added and then divided by four to create a negativity score for each item. A score close to 1.00 indicates a very positive attitude, near 4.00 a very negative one, and near 2.5 ambivalence or neutrality.

After coding, regression analysis was conducted to see if there was any relationship between checklist symptoms and either menopausal status, chronological age, the Menopause Attitudes score, or the Aging Attitudes score. Different techniques were used depending on the combination of continuous and categorical variables. Standard regression analysis was conducted when both outcome and predictor were continuous variables. Logistic regression was used when there was a dichotomous outcome and a continuous predictor. ANOVA-derived regression was used when both the dependent and independent variables were categorical.

RESULTS

Symptom frequency

Around one-half of the sample reported memory problems, feeling irritable and backache. Less than 10% reported night sweats, cold sweats and vaginal pain during sex (although three-quarters reported being sexually active12). A very low rate was found for all the vasomotor and vaginal symptoms, which were reported much less frequently than most sleep-related, cognitive, emotional, and somatic symptoms. The rate for hot flushes was slightly over 10% and, for vaginal dryness, under 15%. Difficulties sleeping were reported by about one-third. Within the cognitive and emotional categ\ories, around half of the sample reported memory problems and feeling irritable, but there were lower rates for difficulty concentrating, melancholy symptoms, and anxiety. Conceptually linked with the mid-life: transition in Japan and found in over one-half of mid-life Japanese women9, stiff shoulders was reported by less than 15% of the Chinese sample. (In interpreting the overall symptom frequencies given in Table 2, one needs to remember that over one- quarter of the sample was premenopausal and having regular menstrual periods (28.8%). Frequencies of six symptoms, including hot flushes, feeling tired, night sweats, insomnia, memory problems and anxiety, were significantly higher among periand postmenopausal women than in the overall sample including premenopausal women.)

Relationship of symptoms to menopausal status and age

Regression analysis showed that most of the 21 symptoms were not associated with menopausal status or chronological age (Table 3). However, night sweats, insomnia, memory problems, and anxiety were associated with both menopausal status and age, while hot flushes and feeling tired were related to menopausal status only. Although these were statistically significant relationships (p

Frequency of attitudes

On all 19 items on the Menopausal Attitudes Scale, the Chinese women gave more positive, neutral or ambivalent responses than negative ones. Reflecting this, their overall score on the Menopausal Attitudes Scale was 2.67. Six items exhibited a somewhat higher relative frequency of negative responses than typical for the rest of the scale; these items linked the end of menstruation with rapid aging, susceptibility to illness, senescence, feeling irritable and losing one’s temper. Comparing across menopausal status, there were relatively minor differences in the distribution of attitudes. The statement about the end of menstruation harming women’s health exhibited the largest difference, with premenopausal women giving the least positive response distribution. Across all items, the postmenopausal women had the most positive distribution of attitudes toward menopause (2.57) and the perimenopausal women the least (2.92), with the premenopausal women hovering in between (2.64).

With a score of 2.29 on the Aging Attitudes Scale, the Chinese women’s attitudes toward midlife aging were also mostly positive, neutral or ambivalent. Only one item out of 20 had a negative- leaning distribution; it was comprised of a well-known Chinese aphorism that, upon entering the mid-life transition, one lacks the energy and strength to do the things that one is interested in doing. In addition, six items with a positive distribution had more negative responses than typical. Three link middle age with rapid aging, susceptibility to illness, and regret over not realizing one’s aspirations. The others relate to losing one’s temper easily in the mid-life transition, being afraid of becoming a burden in old age, and younger generations not listening to their elders. The largest difference across age groups was displayed for a statement about women not noticing that they are aging if their lives are full of interesting activities, with women in their forties the least positive. Overall, there was a small difference by age in attitudes toward mid-life aging. Women in their fifties had the most positive attitudes toward aging (2.29) and women in their sixties the least positive (2.71), with the forty-somethings in between (2.45).

Table 3 Symptoms, menopausal status and age among 399 mid-life Chinese women between the ages of 40 and 65 years

On both scales, a large proportion of respondents replied either ‘it depends’ or ‘unsure’ instead of agreeing or disagreeing. In the interviews, many said that they did not know enough to state an opinion or that one could not generalize on these matters because every person or situation was different. Overall, the Chinese women’s score on the Menopause Attitudes Scale (2.67) was slightly less positive than on the Aging Attitudes Scale (2.29). This difference appears to be largely a function of menopause being seen as less salient in life than generic aging11, making for more unsure and ambivalent answers. In addition, the mixture of statements in the Aging Attitudes Scale may be more conducive to positive responses.

Relationship of symptoms to attitudes

Regression analysis showed some statistically significant associations (p

Table 4 Symptoms and attitudes among 399 mid-life Chinese women between the ages of 40 and 65 years

DISCUSSION

Frequencies of symptoms

Placing these symptom frequencies in crosscultural context, the hot flush rate among these Chinese women is considerably lower than the findings of many studies conducted in western countries; the rates of many other symptoms, however, are comparable4,15. A recent metaanalysis conducted by the National Institutes of Health summarized the sample frequencies for selected symptoms across numerous studies of mid-life women. They found a wide range of results, with anywhere from 14 to 80% for hot flushes, 4-39% for vaginal dryness, 16-60% for sleep disturbance, and 8-38% for mood symptoms16. This Chinese sample’s rate for hot flushes falls below the NIH range, but its rates are mid-range for vaginal dryness, sleep disturbance and most mood symptoms, except for irritability, which exceeds the NIH range. It is difficult to interpret these comparative results because of the tremendous methodological variation across studies comprising the NIH metaanalysis. Those studies differed in terms of the time frame specified for symptom recollection (e.g. previous 2 weeks/month/year, during menopause, ever before), the precise age span of the sample (e.g. age 45-55, 40- 60, 40-65 years), the stage(s) of the menopausal transition being examined, and whether surgically menopausal women were included. In this case, over one-quarter of the Chinese women were premenopausal and no surgically menopausal women were included, whereas, in the NIH meta-analysis, some studies did not have any premenopausal women and some included surgically menopausal women.

In this light, it must also be remembered that the 10.5% Chinese hot flush figure reported above is indexed to the previous 2 weeks. By contrast, the lifetime hot flush rate for the Chinese women in this present study was 32.4%, which is placed low-middle in the NIH range. This rate is similar to the lifetime rate found by Xu and colleagues17 in their 1990 community study of over 5000 mainland Chinese women also aged 40-65 years (36.8%). With respect to popular generalizations about Asian women, it is interesting to note that this Chinese rate is somewhat higher than the lifetime rate found among Japanese women (19.6%) by Lock18. Even when we limit the Chinese sample to the 45-55-year age range used in Lock’s Japan study, a higher relative Chinese lifetime hot flush rate remains (40.4%). This indicates that, while the short-term rate is similar for each sample (China 13.5%, Japan 12.3%), a different dynamic may operate over longer time frames.

Frequencies of attitudes

Overall, it was quite common for the Chinese women to express uncertainty concerning their attitudes toward menopause and women’s mid-life aging, probably due to little societal emphasis on the topic at the time of the study. Most either gave positive answers or said they didn’t know or ‘it depends’. The tendency among the Chinese women for attitudes toward menopause and aging to be positive, neutral or ambivalent is consistent with several other studies conducted in western and non-western countries9,19,20. Precise cross-cultural comparison of the results is difficult, however, because different studies have been based around varying attitudinal measures. Cross-cultural comparison of such attitudes is particularly challenging due to issues of translation, both in questionnaire design and in women’s interpretations of items.

The results on subgroup variation in Chinese women’s attitudes run in opposite directions with regard to Neugarten’s2 experiential hypothesis. The results of the present study support the notion that women’s views of menopause are more positive when personal experience is gained, but run counter to the idea that experience with generic aging mitigates negativity. These results underscore the importance of distinguishing menopause from aging in attitudinal measures; while overlap exists, there are important distinctions in women’s orientations toeach concept, a nuance often missed in the research literature.

Relationships between symptoms, menopausal status and age

In the recent NIH report16, the relationship between various symptoms and menopausal status was also examined. The NIH consensus was that most studies examined found that only hot flushes, night sweats, vaginal dryness and perhaps trouble sleeping are related to the menopausal transition. The finding of an association in the Chinese sample of menopausal status with hot flushes, night sweats and insomnia is consistent with the NIH analysis. The Chinese findings linking memory problems, anxiety and feeling tired with menopausal status, however, are not. This difference may be in part related to the fact that the NIH findings are a crossstudy generalization, de-emphasizing variation across populations.

As menopausal status and age naturally co-vary (Table 1), it is not surprising that there was considerable overlap in their symptom associations in the Chinese study. That said, there was a somewhat stronger relationship between the examined symptoms and menopausal status, as opposed to age. At the same time, however, none of the associations was large, perhaps because of the wide variety of factors that contribute to the production and expression of symptoms like these21.

Relationships between symptoms and attitudes

The Chinese results support the findings in other populations that women with negative attitudes toward menopause and aging tend to have higher levels of symptom reporting2-5,22,23. Furthermore, the Chinese study showed that negative attitudes accounted for almost twice as many symptoms as menopausal status and age did.

In some other studies, an association has been found between both menopausal status and women’s attitudes, at least for hot flushes4. In the Chinese study, hot flushes, night sweats, insomnia and anxiety were associated only with menopausal status and/or age and not with women’s attitudes. Lack of association between these symptoms and Chinese women’s attitudes may be related to how there was no strong conceptual association between these symptoms and female mid-life in China at the time. Instead, irritability was more strongly linked with notions of mid-life transition in China11,14. In this light, it is significant that irritability was associated only with women’s attitudes and not with menopausal status or age.

Limitations

This study is limited in several ways. First, as a cross- sectional study, it is uncertain whether relationships found here reflect a causal connection or just a correlation. Other factors co- varying with menopause and/or age may be the real mechanisms producing the experience and/or expression of these symptoms. Also, the direction of relationships is indeterminate. An association could mean that attitudes contribute to symptom production, but it could also mean that symptom experience shapes attitudes, or both.

Second, one of the attitudinal items on both scales – namely, the health-care statement – was interpreted by the Chinese respondents in two different ways, with a bearing on scoring. Observation revealed that most women took the statement as intended – that is, menopause is normal and natural, so women do not need extraordinary health-care measures. Some women, however, displayed a different interpretation. They retorted that older women have a right to health care and should not have to rely on taking care of themselves. These women did not necessarily see menopause as a time of sickness, but they felt that mid-life women deserved special treatment as much as anyone else. As a result, scoring this minority’s disagreement with this item as ‘negative’ is problematic. Similar issues with varied interpretation of attitudinal items may help to account for puzzling cross-ethnic results found with regard to Asian-American women in the US-based SWAN study24,25.

Third, these results cannot be assumed to be representative of all Chinese women. The sample size was modest, and the women studied were living in the capital region of the People’s Republic of China, an area considerably more developed economically than many other parts of China. In addition, sweeping social change has transformed China over the past decade since this study was conducted, and this cohort of women, born between 1928 and 1954, is quite different from later generations traversing mid-life. For example, mid-life women in China today tend to have had more lifetime exposure to formal educational opportunities, biomedical ideas and practices, and western media, diet and lifestyle.

Fourth, menopausal status was designated according to self- reported menstrual history, and hormonal assays were not taken in this study. It is unclear whether and how these women’s self- reports related to physiological changes in hormonal profile.

IMPLICATIONS AND DIRECTIONS FOR FUTURE RESEARCH

This study found that the mid-life Chinese women studied tended to have a lower prevalence of hot flushes, but a similar rate of reporting of many other symptoms, as compared to mid-life women in North America and many other western countries. The proclivity found among these Chinese women to eschew negative attitudes toward menopause and aging is consistent with several other studies conducted in both western and non-western countries, as is the link they demonstrated between negative attitudes and symptom reporting. Further research should investigate whether the low to moderate rate of symptom reporting and the relatively positive attitudes toward menopause and aging found in this study extend to current generations of mid-life women in the Beijing area and other regions of China. In addition, such research needs to examine whether there is a widespread tendency for negative attitudes toward menopause and aging among Chinese women to have a stronger association to symptom reporting than either menopausal status or chronological age do. In a broader context, more research is needed in a wide variety of settings world-wide to elucidate cross-cultural, ethnic and individual differences in women’s interpretations of various items commonly used in attitudinal scales on menopause and aging. Furthermore, additional information is needed on the degree to which various women differentiate their views of menopause from their views of aging. Such ethnographic knowledge is vital for understanding the local and individual meanings that may contribute to women’s experiences of mid-life and the production, expression and interpretation of symptoms therein.

ACKNOWLEDGEMENTS

Throughout the research, feedback was provided by James L. Watson, Arthur Kleinman, Rubie S. Watson, Michael Phillips and Xu Ling. Any errors are the author’s own.

Conflict of interest Nil.

Source of funding Financial support was provided by the Mellon Foundation, FLAS, CSCC, NSF, Chiang Chingkuo Foundation, NIMH, Cora DuBois Trust, Freeman Foundation, Lintilhac Foundation, Parimitas, and University of Vermont Dean’s Fund.

References

1. Lock M, Kaufert P. Menopause, local biologies, and cultures of aging. Am J Hum Biol 2001;13: 494-504

2. Neugarten BL. Women’s attitudes toward the menopause. In Neugarten BL, ed. Middle Age and Aging: A Reader in Social Psychology. Chicago: University of Chicago Press, 1968: 195-200

3. Hunter MS. Psychological and somatic experience of the menopause: a prospective study. Psychosom Med 1990;52:357-67

4. Avis N, McKinlay S. A longitudinal analysis of women’s attitudes toward the menopause: results from the Massachusetts Women’s Health Study. Maturitas 1991;13:65-79

5. Olofson ASB, Collins A. Psychosocial factors, attitude to menopause, and symptoms in Swedish perimenopausal women. Climacteric 2000;3:33-42

6. Bart, P. Depression in middle aged women. In Gornick V, Moran B, eds. Women in Sexist Society. New York: Basic Books, 1971:99-117

7. Flint MP. Sociology and anthropology of the menopause. In van Keep PA, ed. Female and Male Climacteric. Lancaster: MTP Press, 1978: 1-8

8. Kaufert P. Myth and the menopause. Social Health Illness 1982;4:41-66

9. Lock M. Encounters with Aging: Mythologies of Menopause in Japan and North America. Berkeley: University of California Press, 1993

10. Berger GE. Menopause and Culture. London: Pluto Press, 1999

11. Shea J. Revolutionary Women At Middle Age: An Ethnographic Survey of Menopause and Midlife Aging in Beijing, China. PhD dissertation, Cambridge, Massachusetts: Department of Anthropology, Harvard University, 1998

12. Shea J. Sexual ‘liberation’ and the older woman in mainland China. Modern China 2005;31: 115-47

13. Kaufert P, Syrotuik J. Symptom reporting at the menopause. Soc Sci Med 1981;151:173-84

14. Shea J. Cross-cultural comparison of women’s midlife symptom reporting: a China study. Cult Med Psych 2006; in press

15. Avis N, Kaufert P, Lock M, McKinlay S, Vass K. The evolution of menopausal symptoms. Bailliere’s Clin Endocrin Metabol 1993;7:17- 32

16. NIH Conference statement: management of menopause-related symptoms. NIH state-of-the-science conference on management of menopause-related symptoms, Bethesda: National Institutes of Public Health, March 21-23, 2005

17. Xu L, Zhao X, Ge QS. Epidemiology of perimenopause. Shengzhi Yixue Zazhi (J Reprod Med) 1993;2:23-7

18. Lock M. Contested meanings of the menopause. Lancet 1991;337:1270-2

19. Kaufert P, Gilbert P. Women, menopause, and medicalization. Cult Med Psych 1986;10:7-21

20. Woods NF, Mitchell ES. Symptom experiences of midlife women: observations from the Seattle Midlife Women’s Health Study. Maturitas 1996; 25:1-10

21. Martinez-Hernaez A. What’s Behind the Symptom? On Psychiatric Observation and Anthropological Understanding. Amsterdam: Harwood Academic, 2000

22. Avis, NE, Crawford, SL, McKinlay SM. Psychosocial, behavioral, and health factors related to menopause symptomatology. Women’s Health 1997;3:103-20

23. Perz JM. Psychological and social concomitants of the female menopause\: a longitudinal study. Maturitas 1997;27:82

24. Sommer B, Avis N, Meyer P, et al. Attitudes toward menopause and aging across ethnic/ racial groups. Psychosom Med 1999;61:868- 75

25. Avis N, Stellato R, Crawford S, et al. Is there a menopausal syndrome? Menopausal status and symptoms across racial/ethnic groups. Soc Sci Med 2001;52:345-56

26. StataCorp, Stata Reference, A-F, College Station, Texas: Stata Press, 1997

J. L. Shea

Department of Anthropology, University of Vermont, Burlington, Vermont, USA

Correspondence: Professor J. L. Shea, Department of Anthropology, 515 Williams Hall, University of Vermont, Burlington, Vermont 05405, USA

Received 8-07-05

Revised 14-11-05

Accepted 18-11-05

ORIGINAL ARTICLE

2006 International Menopause Society

DOI: 10.1080/13697130500499914

Copyright CRC Press Feb 2006

The ‘Bioidentical/Bioequivalent’ Hormone Scam

By MacLennan, Alastair H; Sturdee, David W

So-called ‘bioidentical or bioequivalent hormones’ are increasingly being sold direct to women on the internet or through laboratories and compounding chemists, who encourage patients to obtain prescriptions for these unregistered and unproven concoctions from their doctor. Gullible doctors are often writing prescriptions dictated by outside agencies that have purportedly assessed the woman’s hormonal needs through salivary hormone testing. Women are being falsely informed on multiple internet sites or through media advertisements in various ways that ‘Bioidentical hormone therapy has all of the good effects of HRT with none of the severe side- effects that have caused so many women looking for menopause relief to steer away from traditionally administered HRT.’ Most sites start with fear tactics and may falsely represent the true risks of pharmaceutical HRT and then state or infer that their pharmacy- mixed hormones have similar or greater benefits, with no risk or no mention of risk. Quite correctly, they say that hormone therapies are best tailored to the individual and her needs, but the pseudo science is that they claim that a woman’s clinical need can be calculated from her saliva.

In truth, there is no scientific evidence to back claims for ‘bioidentical hormones’ that they have any advantage over conventional therapies, but there is evidence that they may sometimes be dangerous1. So-called ‘bioidentical’ hormones are claimed to be synthesized from many of the same sources as traditional HRT, e.g. yams. The hormone made by the ‘bioidentical’ manufacturer is often claimed to be ‘natural’ and, in advertisements, it is inferred that the identical estradiol, produced by the regulated pharmaceutical industry from the same yam source, is somehow different and not natural. Great play is often made of pharmaceutical estrogens produced from non-vegetable sources, e.g. equine estrogens, but there is little mention that these estrogens are mostly converted in the human into human estrogens. It should be clearly stated that there are no published peer-reviewed data to show that a single or multiple salivary hormone assays can accurately reflect the hormonal status or needs of a woman and, in particular, there has been no validation that they can be used to titrate hormone regimens to give an appropriate hormonal response. It is not been shown that hormonal blood levels are useful in adjusting hormonal therapies, and salivary levels also have not been correlated with clinical response. Most experienced clinicians realize that hormone regimens are best tailored by the clinical response and not by biochemistry reports.

The ‘bioidentical’ hormonal mixtures are compounded in buccal troches or transdermal creams and may contain estrogens (estrone, estradiol and estriol), progesterone, testosterone, dehydroepiandrosterone (DHEA), thyroxine, growth hormone and melatonin. Purveyors of these hormones use loopholes in some countries’ therapeutic goods regulations, where these hormones are either considered as complementary medicines (which are often poorly regulated) or where there are regulations that allow the importation of drugs that are not available in that country but are needed for a specific patient. In reality, the hormones are imported by compounding pharmacists before any patients are identified and, through various forms of advertising, women and doctors are attracted. Financial incentives are sometimes offered to doctors to prescribe the mixtures and to use laboratories, which claim without validation that they can effectively measure salivary hormones and thereby recommend the precise mixtures of hormones to be compounded to give the desired clinical effect.

The ‘bioidentica’ salesmen play on recent media hype about registered menopausal hormone therapies and the illusion that their hormones are somehow more ‘natural’ and therefore somehow safer than those synthesized by a pharmaceutical company. In reality, unlike the strict requirements for registered pharmaceutical products, the bioidentical products can be synthesized and imported without regulatory quality control evidence of purity, dosage, contamination, bioavailability, etc. They are compounded with other hormones and ingredients in local pharmacies without safety data concerning these combinations and doses and without adequate pharmacy audits of the compounding process. They are sold without evidence of the pharmacokinetics, clinical effect, sideeffects and drug interactions of these particular hormonal regimens. Some of the individual hormones used such as DHEA have not been approved by therapeutic regulatory authorities and have no quality data to justify their clinical use. In 2001, the FDA analyzed a variety of 29 product samples from 12 compounding pharmacies and found that 34% of them failed one or more standard quality tests2.

Wren and colleagues have conducted one of very few pharmacokinetic studies of bioidentical hormones delivered in a buccal troche and assessed both plasma and salivary levels, with the conclusion that salivary levels were highly variable and their accuracy and value were uncertain for therapeutic monitoring of hormonal therapy3. Wren and his colleagues also conducted a double- blind, randomized, controlled trial of transdermal progesterone cream, finding no clinical beneficial effect. Of greater concern, these authors found that this progesterone regimen had no measurable effect on the endometrium and thus would not suppress estrogen- induced endometrial proliferation4. There have been anecdotal reports of endometrial cancers following the use of bioidentical hormonal regimens containing ‘natural’ estrogens and progesterone. Thus, there is great concern that progesterone given by buccal or transdermal routes, in conjunction with estrogen, is not proven to suppress the risk of endometrial cancer induced by estrogen therapy. If the estrogens used in ‘bioidentical’ mixtures are the same and can reach bioequivalent serum levels, they are likely to have the same benefits as registered estrogens. However, they will also have the same risks. If the opposing progesterone used does not have a protective endometrial effect, it will have greater risks than conventional combined HRT.

The cost of the unproven ‘bioidentical hormones’ is usually several times greater than traditional menopausal hormone therapies and the patient often has to pay dearly for the salivary tests. Both the patient and her doctor may receive results of these assays from ‘hormone consultants’, whose qualifications are unknown, who have not seen the patient, and who give unvalidated interpretations of the results that they reflect abnormal adrenal, ovarian and/or thyroid function. In examples of these reports that we have seen, the ‘hormonal consultant’ advocates the precise hormonal mixtures and doses that the patient should obtain and the doctor should prescribe. This has huge medicolegal implications for the prescriber who takes the responsibility for the quality, risks and evidence for the use of this unregistered complementary and alternative therapy. In a recent Climacteric Editorial, Breen outlined the ethical responsibilities for those advocating and prescribing complementary medicines . The prescriber must inform the patient when a therapy is unproven, the patient must be fully informed of any risks associated with such therapy, access to proven therapies should not be denied, a second medical opinion should be offered if there are potential risks to an unproven and unconventional therapy, and doctors should not gain financially from the sale of these products.

Medical negligence could be claimed:

* If you were unaware of the published risks of the hormones in your prescription;

* If you have not fully informed your patient of these risks;

* If you were unaware of known drug interactions for these products;

* If you were unsure of the appropriate hormonal mixtures and doses you prescribed;

* If there is no supporting peer-reviewed academic data for your therapeutic regimen;

* If you had given the impression to the patient that ‘bioidentical hormones’ were safe.

There is some doubt that medical indemnity agencies will indemnify doctors if they prescribe unproven complementary products, especially if they have escaped any scrutiny by the relevant national therapeutic regulatory agency. In Australia, the Australasian Menopause Society wrote to the medical indemnity agencies in Australia and could not obtain any clear assurance that their members would be covered for the prescription of such products. The four agencies that replied had many caveats about the adequacy of evidence for the product and the extent that the patient was informed about its proven risks and benefits, and would not guarantee cover. Therefore, the prescriber may be at personal financial risk if litigation ensued because an adverse event, e.g. thromboembolism, was claimed to have been precipitated by ‘bioidentical’ therapy. In some countries, a doctor must be fully indemnified to be registered to practice medicine. So, they may also risk their medical registration. One wonders why prescribers of bioidentical hormones take such risks!

In Australia and the USA, there has been a recent proliferation of compounding chemists who have taken advantage ofpostmenopausal women’s need for and anxiety about conventional HRT and the loopholes in current legislation in these countries. These compounding pharmacies are now manufacturing ‘bioidentical’ hormonal mixtures and delivery systems in such proportions that they have effectively become a large, inadequately regulated pharmaceutical industry. It is time for the international drug regulatory authorities to regulate this industry, which is based on false promise, pseudo science and pecuniary interest without responsibility for the interests and health of the consumer.

References

1. Boothby LA, Doering PL, Kipersztok S. Bioidentical hormone therapy: a review. Menopause 2004;11:356-67

2. Beasley D. Use of “bioidentical” female hormones questioned. Reuters Health Information, Oct 31, 2005

3. Wren BG, Day RO, McLachlan AJ, Williams KM. Pharmacokinetics of estradiol, progesterone, testosterone and dehydroepiandrosterone after transbuccal administration to postmenopausal women. Climacteric 2003;6:104-11

4. Wren BG, Champion SM, Willets K, et al. Transdermal progesterone and its effects on vasomotor symptoms, blood lipid levels, bone metabolic markers, mood, and quality of life for postmenopausal women. Menopause 2003;10:13-8

5. Breen KJ. Ethical issues in the use of complementary medicines. Climacteric 2003;6:268-72

Copyright CRC Press Feb 2006

Could Sheep Brain Disease Be Passed to Humans?

By SEAN POULTER

A NEW brain disease in sheep might infect humans, Government experts have warned.

The condition is similar to mad cow disease and classic scrapie, a brain-wasting disease which has been known to exist in sheep for more than 100 years.

The discovery has triggered concerns that the public could be at risk from eating lamb, while Government experts are to consider slaughtering flocks of sheep where the disease is detected.

Last night the consumer group Which? demanded the Government tell the public whether there is a health concern.

They are calling for ‘urgent’ laboratory tests on both mice and monkeys to understand whether the disease can be transmitted to humans.

The Food Standards Agency also accepts there is a risk the disease could be passed to humans and is to discuss the issue at a board meeting next week.

The ‘mad sheep disease’ has been found in flocks raised in Britain and Europe, including France, Germany, Norway and Portugal.

In the last few days, two farms in central France have been quarantined after the disease was found in sheep sent for slaughter.

As many as 82,000 British sheep could be infected with the disease from a national sheep flock of 14million.

Which? chief policy adviser Sue Davies said: ‘We need urgent answers to the many uncertainties surrounding this finding so that there is a better understanding of whether there are any human health implications and, if so, whether existing control measures are adequate.’ There is no evidence that scrapie could pass to humans. However, the new atypical scrapie has different characteristics suggesting human transmission is possible.

The Government’s expert committee investigating human and animal brain diseases, SEAC, has issued a report flagging up its concerns.

Scientific tests to date suggest that brain tissue from infected sheep can pass on the disease to other sheep.

Consequently, other sheep tissue could also be a risk.

The SEAC report warns: ‘As atypical scrapie is experimentally transmissible, the possibility that it may be transmissible to humans must be considered.’

SEAC said that at the moment it is in the dark as to how the disease is spread between animals. However, it it said ‘the possibility that it has spread through feed cannot be excluded.’ SEAC concluded: ‘There is no evidence of a risk to human health, but a theoretical risk cannot be excluded.

‘Comparative transmission studies with humanised mice and other species including primates are urgently needed to inform on the potential risk to human health.’ The Food Standards Agency has signalled that it takes the warnings seriously.

A spokesman said: ‘The FSA has always been open about the uncertainty surrounding the possible risk of BSE and other brain diseases in sheep.

‘Much more work is needed before we can form a clearer picture of what, if any, risk there might be to people.

‘Whilst FSA advice remains that we are not advising people to stop eating sheep and goats, this issue will be discussed thoroughly by our board and kept under review as evidence emerges.’ The FSA is to look at measures necessary to reduce any risk to the public. This could involve slaughtering any flocks where cases are found.

[email protected]

US Says CO2 Injection Could Quadruple Oil Reserves

By Timothy Gardner

NEW YORK (Reuters) – The United States, where oil production has been declining since the 1970s, has the potential to boost its oil reserves four-fold through advanced injection of carbon dioxide into depleted oilfields, the Department of Energy said on Friday.

The United States, the world’s top oil consumer, has been successfully pumping small amounts or carbon dioxide into depleted oil and natural gas fields for 30 years to push out hard-to-reach fossil fuels.

The DOE said 89 billion barrels could potentially be added to current proved U.S. oil reserves of 21.9 billion barrels through injection of carbon dioxide, the main gas that most scientists believe is warming the earth.

The DOE gave no time frame for when the extra barrels could be added.

The amount is about what the United States, at current demand, uses in 12 years.

Adding billions of barrels in reserves is dependent upon the availability of commercial CO2, the DOE’s fossil energy office said.

“Next generation enhanced recovery with carbon dioxide was judged to be a ‘game changer’ in oil production, one capable of doubling recovery efficiency,” DOE said in a release.

Up to 430 billion barrels could be added by pumping the gas into fields that have yet to be discovered, the DOE said.

COSTLY?

A United Nations report in September said that burying large amounts of carbon dioxide could play a big role in fighting global warming, but would be a costly fix.

Electricity prices could typically rise by 25 to 80 percent if power plant operators adopted the technology, according the report by the UN’s Intergovernmental Panel on Climate Change.

The United States is the No. 1 emitter of heat-trapping gases.

In 2001 U.S. President George W. Bush pulled out of the Kyoto Protocol on global warming which requires developed nations to cut greenhouse emissions. Bush said the pact would harm the economy. He favors using technology and voluntary methods of cutting emissions.

Capturing the greenhouse gases is an emerging technology. Power producers, anticipating future mandatory caps on gases most scientists believe are warming the earth, have been considering adding the technologies to their plants.

But because of the expense, none have yet been used commercially.

In Australia earlier this year, six of the world’s major polluters led by United States pushed clean energy technology as an alternative way to tackle global warming outside the Kyoto Protocol.

Carbon dioxide capture and sequestration underground was one of the technologies discussed by the group.

But many environmentalists say it would be virtually impossible to measure leaks of the gas especially from oil and gas fields in which holes have been drilled repetitively over decades.

“How do you make sure you’re not putting it in one end and leaking it out many other ends?” said Kert Davies, a climate specialist at Greenpeace in Washington. “If it leaks even at 1 percent per year you’ve thought you’ve saved something, but in fact you didn’t.”

Advancements in carbon capturing could be made at power plant called FugureGen. An international consortium of utilities and coal companies will join with the U.S. government to build FutureGen, billed as a “zero-emissions” coal-fired power plant.

It is expected to be operating by 2012. The FutureGen Alliance includes some of the biggest power and mining companies in the world including Huaneng Power International Inc., Peabody Energy, Kennecott Energy, a division of Rio Tinto, American Electric Power, BHP Billiton, Consol Energy Inc., Foundation Coal and Southern Co.

US to Review Treatment of Zoo Elephants

By Christopher Doering

WASHINGTON (Reuters) – The U.S. government plans to look into possible changes in laws protecting zoo elephants after an animal welfare group complained that many were kept in cramped conditions that caused arthritis and foot disease and could be deadly.

The Agriculture Department said on Friday it would seek public comment on a petition filed last month by the group, In Defense of Animals, accusing U.S. zoos of violating the Animal Welfare Act by keeping elephants in small, unnatural pens.

The decision came amid a growing debate in the United States over whether it is humane for zoos to keep elephants, which in the wild walk miles (km) a day.

The animal welfare group, which has targeted such places as the U.S. National Zoo in Washington, estimated that half of all captive elephants suffered from arthritis and foot infections, ailments it said were the leading cause of euthanasia.

The group said it hoped USDA, which is responsible for inspecting American zoos, would take action to stop abuse of elephants. It urged zoos where elephants were suffering ailments to give them more space or move them to sanctuaries.

“The USDA is acknowledging the gravity of concern over the poor conditions for elephants in our nation’s zoos,” said Elliot Katz, president of In Defense of Animals.

USDA said it would publish a notice in the Federal Register on the petition giving members of the public 60 days to make their opinions known. “There are a lot of people interested in this,” USDA spokesman Darby Holladay said. “We’ll review those comments and see if there needs to be any changes in the Animal Welfare Act.”

USDA conducts annual and unannounced reviews of zoos and other animal exhibits, with those deemed in “noncompliance” receiving additional inspections, Holladay said.

People for the Ethical Treatment of Animals, or PETA, urged the National Zoo in January to send its three remaining Asian elephants to an animal sanctuary and close its exhibit.

The appeal came after the zoo put down an arthritic Asian elephant said to have been in worsening pain. The elephant named Toni was 40. Elephants can live to be 60 or older. The zoo said the enclosure had not been the cause of Toni’s death.

PETA said zoo elephants were dying decades short of their expected life span from illnesses directly related to the large animals’ lack of space.

Stress may raise women’s BV risk

By Karla Gale

NEW YORK (Reuters Health) – Increases in psychosocial
stress seem to increase a woman’s odd of having, or developing,
a vaginal infection termed bacterial vaginosis (BV),
researchers report.

“Bacterial vaginosis is a common condition that is not well
understood in terms of how women get it and what degree of harm
it causes, or even how you can prevent whatever harm it may be
causing,” Dr. Mark A. Klebanoff told Reuters Health.

There is evidence, added the researcher from the National
Institute of Child Health and Human Development in Bethesda,
Maryland, that BV increases the risks of HIV infection,
post-operative infection, and premature delivery among women
who are pregnant.

However, it is hard to eradicate and often recurs.

To gain a better understanding of the disease, Klebanoff
and his associates recruited 3614 women, between the ages of 15
to 44, who were not pregnant or on long-term antibiotic therapy
and had a normal immune system.

According to the team’s report in the American Journal of
Obstetrics and Gynecology, the subjects underwent pelvic
examinations quarterly for 1 year. The investigators found that
the likelihood of having BV was associated with age, race,
income, frequency of douching, frequency of vaginal
intercourse, number of recent sex partners, and the use of
hormonal contraceptives.

The investigators evaluated the subjects’ psychosocial
stress over the preceding 30 days at each examination using.

They also found that stress was linked to BV, with each
1-point increase on the Perceived Stress Scale (range 1.00 to
5.00) associated with a 1.15-fold greater risk of being
positive for BV.

“The magnitude of the effect is relatively small, but one
that is large enough to be meaningful,” co-researcher Dr. Tonja
R. Nansel, also with the NICHHD, told Reuters Health.

Stress may have immune-altering effects that affect the
risk of vaginosis, Klebanoff said, adding that “there is
plausible speculation that chronic stress is associated with
some local immune defects,” but further documentation will be
required.

He noted that the study is ongoing and the researchers are
still collecting a wide range of data, including hygiene
habits, sex behaviors, as well smoking, alcohol and drug use,
“to get a better handle on what factors are associated with BV,
and to see which ones might be amenable to treatment.”

SOURCE: American Journal of Obstetrics and Gynecology,
February 2006.

The Relationship Between Population and Economic Growth in Asian Economies

By Tsen, Wong Hock; Furuoka, Fumitaka

The main aim of the study is to investigate the relationship between population and economic growth in Asian economies. Generally, the results of the Johansen (1988) and Gregory and Hansen (1996) cointegration methods show that there is no long-run relationship between population and economic growth. Nonetheless, the study finds that there is bidirectional Granger causality between population and economic growth for Japan, Korea, and Thailand. For China, Singapore, and the Philippines, population is found to Granger cause economic growth and not vice versa. For Hong Kong and Malaysia, economic growth is found to Granger cause population and not vice versa. For Taiwan and Indonesia, there is no evidence of Granger causality between population and economic growth. On the whole, the relationship between population and economic growth is not straightforward. Population growth could be beneficial or detrimental to economic growth and economic growth could have an impact on population growth.

I. Introduction

The issue of population and economic growth is as old as economics itself. Malthus (1798) claimed that there is a tendency for the population growth rate to surpass the production growth rate because population increases at a geometrical rate while production increases at an arithmetic rate. Thus, the unfettered population growth in a country could plunge it into acute poverty. However, the pessimist view has proven unfounded for developed economies in that they managed to achieve a high level of economic growth and thus, both population and the real gross domestic product (GDP) per capita were able to increase (Meier 1995, p. 276).1 The debate between positive and negative sides of population growth is ongoing. Population growth enlarges labour force and, therefore, increases economic growth. A large population also provides a large domestic market for the economy. Moreover, population growth encourages competition, which induces technological advancements and innovations. Nevertheless, a large population growth is not only associated with food problem but also imposes constraints on the development of savings, foreign exchange and human resources (Meier 1995). Generally, there is no consensus whether population growth is beneficial or detrimental to economic growth in developing economies. Moreover, empirical evidence on the matter for developing economies is relatively limited.

The issue of population and economic growth is also closely related to the issue of minimum wage. Population growth enlarges labour force and, therefore, will push wage down. The standard economic labour demand model predicts that low wage will raise the demand for labour. As a result, the welfare of the economy is likely to increase. Moreover, low wage would encourage industries that are labour intensive. Low wage is said to be an important factor that has contributed to the industrialization of Asian newly industrialized economies (NIEs), namely Korea, Hong Kong, Taiwan, and Singapore. Moreover, it is also argued to be an important factor that contributes to economic growth in China. Conversely, the standard economic labour demand model predicts that the introduction or rising of minimum wage will break the mechanism, i.e., there would be no link between population and economic growth. Nonetheless, a range of monopsony, efficiency wage, and search models shows that in some circumstances minimum wage could indeed raise employment. The empirical evidence on the matter is mixed, with some studies showing negative effects and others showing positive or zero effects of minimum wage. Thus, there is no clear relationship between population and economic growth. Nevertheless, the studies regarding minimum wage and employment are conducted mainly for developed economies (Stewart 2004, p. Cl 10; Rama 2001; Warr 2004).

The relationship between population and economic growth is complex and the historical evidence is ambiguous, particularly concerning the causes and impacts (Thirlwall 1994, p. 143)?2 Becker, Glaeser, and Murphy (1999, p. 149) demonstrated in a theoretical model that a large population growth could have both negative and positive impacts on productivity. A large population may reduce productivity because of diminishing returns to more intensive use of land and other natural resources. Conversely, a large population could encourage greater specialization, and a large market increases returns to human capital and knowledge. Thus, the net relationship between greater population and economic growth depends on whether the inducements to human capital and expansion of knowledge are stronger than diminishing returns to natural resources. Therefore, it is important to examine the population and economic growth nexus.

The main aim of the study is to investigate the relationship between population and economic growth in Asian economies, namely, China, Japan, Asian NIEs (Korea, Hong Kong, Taiwan, and Singapore) and the ASEAN-4 countries (Indonesia, Malaysia, the Philippines, and Thailand), generally for the period 1950-2000. Those countries vary in population size, economic growth, stage of economic development, and openness to international trade (see Table 1). The study employs the Johansen (1988) (J) cointegration method to examine the long- run relationship between population and economic growth. Moreover, the possibility of a structural break in the long-run relationship between the two variables is examined using the Gregory and Hansen (1996) (GH) cointegration method. The advantage of the method is that it does not require information regarding the timing of or indeed the occurrence of a break. In other words, it determines the break point endogenously from the data rather than on the basis of a priori information, which the problem of data mining can be avoided. Furthermore, the Granger causality between population and economic growth is addressed.

The empirical study on the relationship between population and economic growth in Asian economies is limited. Thus, the study provides some evidence of the relationship between population and growth in those countries. Moreover, the empirical studies on the relationship between population and economic growth in the literature are mainly conducted using cross-section data (Thornton 2001, p. 464). Nevertheless, some studies are conducted using time series data (Dawson and Tiffin 1998; Thornton 2001). However, these studies do not consider the possibility of a structural break in their long-run analysis, whereas the issue is considered in the study.

TABLE 1

Asian Economies – Some Facts

TABLE 1

Asian Economies – Some Facts

TABLE 1

Asian Economies – Some Facts

The study is organized as follows. section II gives a discussion of population and economic growth. section III explains data and methodology used in the study. section IV provides the empirical results and discussions. section V gives some concluding remarks.

II. Population and Economic Growth

The debate on the relationship between population and economic growth could be traced back to 1798 when Thomas Malthus published the book An Essay on the Principle of Population. According to the Malthusian model, the causation went in both directions. Higher economic growth increased population by stimulating earlier marriages and higher birth rates, and by cutting down mortality from malnutrition and other factors. On the other hand, higher population also depressed economic growth through diminishing returns. This dynamic interaction between population and economic growth is the centre of the Malthusian model, which implies a stationary population in the long-run equilibrium (Becker, Glaeser, and Murphy 1999, p. 145).

Generally, population growth is associated with food problem, i.e., malnutrition and hunger. Nonetheless, the food problem is more a problem of poverty and inadequate income than a matter of inadequate global food supplies. The population and food problem is solved when income is enough to buy adequate food as prices provide adequate incentives to produce. Developing economies are capable of producing surpluses of food for exports. On the other hand, developing economies would have to export more, receive foreign aid or borrow overseas to meet their increased demand for food by increased imports (Meier 1995, p. 277).

Population growth is much more than a food problem. A high rate of population growth not only has an adverse impact on improvement in food supplies, but also intensifies the constraints on development of savings, foreign exchange, and human resources. Rapid population growth tends to depress savings per capita and retards growth of physical capital per worker. The need for social infrastructure is also broadened and public expenditures must be absorbed in providing the need for a larger population rather than in providing directly productive assets (Meier 1995, pp. 276-77).

Population pressure is likely to intensify the foreign exchange constraints by placing more pressure on the balance of payment. The need to import food will require the development of new industries for export expansion and/or import substitution. The rapid increase in school-age popul\ation and the expanding number of labourforce entrants puts ever-greater pressure on educational and training facilities and retards improvement in the quality of education, which is a problem in developing economies as about 33 per cent of the children of primary-school age are not enrolled in school and of those who enter school, 60 per cent will not complete more than three years of primary school (Meier 1995, p. 285). Also, too dense a population aggravates the problem of improving the health of the population. In most developing economies, the working age population had roughly doubled in the past twenty-five years. At expected growth rates, it will double again in the next twenty-five years. This growth clearly intensifies pressure on employment and the amount of investment available per labour market entrant (Meier 1995, p. 277).

Becker, Glaeser, and Murphy (1999, p. 147) demonstrated in a theoretical model that population growth will increase parental utility if it has a sufficiently positive impact on human capital accumulation or if the impact on current production is not too negative. Since human capital is more important at higher levels of development, greater population is likely to raise per capita welfare in more developed economies. On the other hand, an increase in population growth may lower the productivity of farming in poorer agricultural economies, so that output per capita there would be lower initially. However, even in these economies, greater population growth would tend to raise the accumulation of human capital by raising rates of return on investments in schooling and other human capital. Moreover, families would lower their fertilities if population growth raises rates of return on investments in children because that would increase the cost of having large families compared with investing more in each of children. Therefore, the demographic transition towards smaller families in economies with initially high fertility and low income per capita may be stimulated by an initial growth in population. Thus, an increase in population may both reduce fertility and raise the accumulation of human capital.

A larger population may help overcome possibly diminishing returns to this generation’s human capital in the production of the next generation’s human capital because greater population growth induces more specialization and a larger market that raise returns to human capital and knowledge. If human capital per capita were sufficiently large, the economy would move to steady-state growth, whereby in the steady-state growth path, consumption per capita would increase at a slower rate than human capital if the population is growing and if the production of consumer goods has diminishing returns to population. However, consumption per capita can still be increasing, despite these diminishing returns, if the positive impact of the growth in human capital on productivity in the consumption sector more than offsets the negative impact of population growth. Thus, zero population growth is not necessary for sustainable growth in per capita consumption, even with diminishing returns to population in the production of consumer goods (Becker, Glaeser, and Murphy 1999, p. 148).

There are few empirical studies on the relationship between population and economic growth. A majority of them uses cross- section regression to analyse the relationship between the two variables (Easterlin 1967; Thirlwall 1972; Simon 1992; Kelley and Schmidt 1996; Ahlburg 1996). Some of them found no statistically significant relationship between population and economic growth while other studies were not able to come to a conclusive opinion as the results tended to be contradictory.

Dawson and Tiffin (1998) used annual time series data over the period 1950-93 to analyse the long-run relationship between population and economic growth in India. The study employed cointegration and Granger causality methods and reported that there is no long-run relationship between the two variables. Moreover, population growth neither Granger causes economic growth nor is caused by it. Thornton (2001) conducted a similar research on the long-run relationship between population and economic growth in seven Latin American countries, namely, Argentina, Brazil, Chile, Colombia, Mexico, Peru, and Venezuela. The study used annual time series data generally over the period 1900-94 and employed the same methods of analysis as Dawson and Tiffin (1998). The study concluded that there is no long-run relationship between the two variables in any of the seven countries. Furthermore, population growth neither Granger causes economic growth nor is caused by it.

III. Data and Methodology

The population and economic growth data are based on annual data. In the study, the economic growth is expressed by the real GDP per capita. The population and economic growth data were obtained from Heston, Summers, and Aten (2002). The data for Japan, the Philippines, and Thailand are over the period 1950-2000, respectively; the data for China are over the period 1952-2000; the data for Korea are over the period 1953-2000; the data for Taiwan are over the period 1951-98; the data for Hong Kong and Indonesia are over the period 1960-2000, respectively; the data for Singapore are 1960-96, and the data for Malaysia are 1955-2000. All the data were transformed into logarithms. The plots of logarithms of population and the real GDP per capita are given in Figure 1. Generally, the figure shows no relationship between population and the real GDP per capita in all economies examined. The trends of population tend to be stationary while the trends of the real GDP per capita show some fluctuations.

FIGURE 1

The Plots of Logarithms of Population and Real GDP per capita against Time

The empirical estimation in the study begins with the unit root tests. The aim of unit root tests is to examine whether a series is stationary or nonstationary, which is important to avoid spurious regression. In the study, the Dickey and Fuller (1979) (DF) and Phillips and Perron (1988) (PP) unit root test statistics are employed. The DF unit root test statistic uses the parametric approach, i.e., to change the estimation regression to solve the heterogeneity and serial correlation in an error term. In contrast with the DF unit root test statistic, the PP unit root test statistic uses the nonparametric approach, i.e., to modify statistic to obtain estimator and statistic. The DF unit root test statistic is a low power test under the null hypothesis of a unit root that posits root close to the unit circle or tends to stationary. On the other hand, the PP unit root test statistic is known to be more robust in an error term process, i.e., an error term is allowed to be weakly heterogeneous.

FIGURE 1

The Plots of Logarithms of Population and Real GDP per capita against Time

According to Engle and Granger (1987), series that are integrated of the same order may cointegrate together. The cointegrated series may drift apart from each other in the short run but the distance between them tends to be constant or in a stationary process in the long run. More formally, a vector of series (n 1), y, is said to be cointegrated if each of the series is integrated of the same order, an existing non-zero cointegrating vector (n 1), a’ such that the linear combination of these series, a’y, are stationary or is said to be integrated of zero and denoted by 1(0).

The procedure is similar to the Engle and Granger (1987) cointegration method that includes a dummy variable in the cointegrating regression to consider a shift in the long-run relationship. The estimation of the above models using the ordinary least squares estimator yields the estimated error terms, following which the unit root tests (ADF*^sub t^, Z*^sub t^) are applied to them. The unit root tests, ADF*^sub t^ and Z*^sub t^ are designed to test the null hypothesis of no cointegration against the alternative hypothesis of cointegration in the presence of a possible regime shift. If there is one unknown point in the sample, the standard tests for cointegration are not appropriate, since they presume that the cointegrating vector is time-invariant under the alternative hypothesis. The advantage of the GH cointegration method is that it does not require information regarding the timing of or indeed the occurrence of a break. In other words, it determines the break point endogenously from the data rather man on the basis of a priori information, which the problem of data mining can be avoided.

IV. Empirical Results and Discussions

The results of the DF and PP unit root test statistics are reported in Table 2. The lag length used to compute the DF test statistic is based on Akaike (1973) information criterion (AIC). For the PP unit root test statistic, the results that are reported are based on three truncation lags, which are used to compute the test statistic after considering truncation lags one to three in computing the test statistic. The results of the DF and PP unit root test statistics show that population is integrated of order one for Hong Kong, the Philippines, and Thailand. For China and Taiwan, the unit root test statistics show that it is integrated of order two. For Japan, Korea, and Singapore, the DF unit root test statistic shows that it is integrated of order two while the PP unit root test statistic shows that it is integrated of order one. For Indonesia and Malaysia, the DF unit root test statistic shows that it is integrated of zero, while the PP unit root test statistic shows that it is integrated of order two. On the other hand, the results of the DF and PP unit root test statistics generally show that economic growth is integrated of order one, except Korea and Thailand. For Korea, the DF test statistic shows that it is integrated of order zero, while the PP unit root test statistic shows that it i\s integrated of order one. For Thailand, the DF and PP unit root test statistics show that it is integrated of order zero. On the whole, population and economic growth are treated to be integrated of order one.

TABLE 2

The Results of the Dickey and Fuller (1979) and Phillips and Perron (1988) Unit Root Test Statistics

The results of the J cointegration method are reported in Table 3. The results of the λ^sub Max^ and λ^sub Trace^ test statistics aie computed with unrestricted intercepts and no trends. For Japan and Hong Kong, the results of the λ^sub max^ and λ^sub Trace^ test statistics show that the null hypotheses, i.e., H^sub 0^: r = 0 is rejected at 95 per cent critical value while H^sub 0^: r [left double arrow] 1 is not rejected at 95 per cent critical value, which indicate that population and economic growth are cointegrated. For China, Korea, Taiwan, Singapore, Indonesia, Malaysia, and Thailand, the results of the λ^sub Max^ and λ^sub Trace^ test statistics show that population and economic growth are not cointegrated. Lastly, for the Philippines, the λ^sub Max^ test statistic shows that the null hypotheses are not rejected at 95 per cent critical value. In contrast with the λ^sub Max^ test statistic, the λ^sub Trace^ test statistic shows that there is one cointegrating vector. Johansen and Juselius (1990) suggested that the λ^sub Max^ test might be better than the λ^sub Trace^ test. Thus, it is concluded that there is no cointegration for population and economic growth in the Philippines. On the whole, the study finds no long-run relationship between population and economic growth. The finding of no cointegration between population and economic growth could be because of the existence of a structural break that biases the test results in favour of not rejecting the null hypothesis of no cointegration. Therefore, the GH cointegration method is employed.

TABLE 3

The Results of the Johansen (1988) Likelihood Ratio Test Statistics

The results of the GH cointegration method are reported in Table 4. Generally, the results of ADF*^sub t^ and Z*^sub t^ test statistics show that the null hypothesis of no cointegration against the alternative hypothesis of cointegration in the presence of a possible regime shift are not rejected at 5 per cent level, except Korea and Singapore. For Korea, ADF*^sub t^ test statistic that tests the null hypothesis of the model C/S is rejected at 5 per cent level, thus implying there is a long-run relationship between population and economic growth. On the other hand, Z*^sub t^ test statistic that tests the null hypothesis of the model C/S is not rejected at 5 per cent level. Therefore, the results are inconclusive. For Singapore, ADF*^sub t^ test statistic that tests the null hypothesis of the model C/T is rejected at 5 per cent level, implying there is a long-run relationship between population and economic growth. On the other hand, Z*^sub t^ test statistic that tests the null hypothesis of the model C/T is not rejected at 5 per cent level. Thus, the results are inconclusive.

TABLE 4

The Results of the Gregory and Hansen (1996) Cointegration Test Statistics

Generally, the results of the GH cointegration method show the same conclusion as the J cointegration method, i.e., there is no evidence of a long-run relationship between population and economic growth. The finding is the same as the findings of Dawson and Tiffin (1998), which reported that there is no long-run relationship between population and economic growth in India, and Thornton (2001), which reported that the long-run relationship between population and economic growth in Latin American countries, namely Argentina, Brazil, Chile, Colombia, Mexico, Peru, and Venezuela, does not exist. In the long run, there is no relationship between population and economic growth regardless of the size of population, openness of international trade, trading partner, state of economic development, and minimum wage.

TABLE 5

The Results of Granger Causality Test

The results of Granger causality test are reported in Table 5. Generally, there is some evidence that population and economic growth are Granger causality to each other, except for Taiwan and Indonesia. For Taiwan and Indonesia, the findings are consistent with those of Dawson and Tiffin (1998) and Thornton (2001), which found population growth neither Granger causes economic growth nor is caused by it. In other words, population growth neither stimulates economic growth nor detracts from it. On the other hand, for Japan, Korea and Thailand, there is bidirectional causality between population and economic growth, which contradicts with the results of Dawson and Tiffin (1998) and Thornton (2001). For China, Singapore, and the Philippines, population growth is found to Granger cause economic growth. For Hong Kong and Malaysia, economic growth is found to Granger cause population growth. Thus, the relationship between population and economic growth is not straightforward. There is no strong evidence that a large population will contribute to economic growth. Moreover, the relationship between population and economic growth is not the same among the countries that have about the same state of economic development. The size of an economy and openness of international trade do not matter. The implementation of minimum wage has no strong impact on the population and economic growth relationship.

There is no straightforward relationship between population and economic growth. Population growth could be beneficial or detrimental to economic growth, and economic growth could have an impact on population growth. Thus, some economies in Asia, which achieve a low level of economic growth, may not be affected by population growth, but are affected by other factors such as political instability and lack of investments. On the other hand, some economies in Asia, which achieve a high level of economic growth, may not have done so because of population growth, but due to other factors. Tan (1995) claimed that political stability, efficiency of public administration, successful implementation of export-oriented industrialization policies, quality of labour force, and macroeconomic stability are among the factors that have contributed to economic growth in Asian NIEs. Lloyd and MacLaren (2000) argued that the fast growth of the East Asian economies were partly due to their early openness to international trade, and less openness of their economies to international trade will slow down their economic growth rates. Wong (2003) examined foreign direct investment (FDI) and economic growth in the ASEAN-4 countries and China and reported that FDI has contributed to economic growth in these countries. In addition, human capital, domestic investment, and openness to international trade are found to have a positive impact on economic growth.

V. Concluding Remarks

The main aim of the study is to investigate the relationship between population and economic growth in Asian economies, namely China, Japan, Asian NIEs, and ASEAN-4. The results of the DF and PP unit root test statistics show that, generally, population and economic growth are nonstationary in level but become stationary after taking the first differences. In other words, those series are considered to be integrated of order one. Moreover, the results of the J cointegration method show that generally population and economic growth are not cointegrated.

The inability of rejecting the hull hypothesis of no cointegration between population and economic growth in most of the cases examined could be because of the existence of a structural break that biases the test results in favour of not rejecting the null hypothesis of no cointegration. Thus, the study employed the GH cointegration method, which can accommodate the existence of a structural break in the cointegrating vector. Nonetheless, the results of the GH cointegration method show the same conclusion as the results of the J cointegration method. Thus, the results of the cointegration methods employed in the study reaffirm each other. There is no straightforward relationship between population and economic growth.

Furthermore, the study estimates the Granger causality between population and economic growth. The results are mixed. For Japan, Korea and Thailand, there is bidirectional Granger causality between population and economic growth. For China, Singapore and the Philippines, population is found to Granger cause economic growth and not vice versa. On the other hand, for Hong Kong and Malaysia, economic growth is found to Granger cause population and not vice versa. For Taiwan and Indonesia, there is no evidence of Granger causality between population and economic growth.

The relationship between population and economic growth is not straightforward. Population growth could be beneficial or detrimental to economic growth and economic growth could have an impact on population growth.

NOTES

The authors would like to thank the referees and co-editors of the bulletin for their comments on the early versions of the article. All remaining errors are ours.

1. Economic growth in the literature of population and economic growth is measured mainly using the real GDP per capita.

2. Thirlwall (1994) discussed the issue of the relationship between population and economic growth mainly for developing economies.

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Wong Hock Tsen is a lecturer at the School of Business and Economics, Universiti Malaysia Sabah.

Fumitaka Furuoka is a lecturer at the School of Business and Economics, Universiti Malaysia Sabah.

Copyright Institute of Southeast Asian Studies Dec 2005