Optimal System of Loops on an Orientable Surface
optimal operation of multireservoir systems

Optimal Operation of Multireservoir Systems:State-of-the-Art ReviewJohn badie,M.ASCE 1Abstract:With construction of new large-scale water storage projects on the wane in the U.S.and other developed countries,attention must focus on improving the operational effectiveness and efficiency of existing reservoir systems for maximizing the beneficial uses of these projects.Optimal coordination of the many facets of reservoir systems requires the assistance of computer modeling tools to provide information for rational management and operational decisions.The purpose of this review is to assess the state-of-the-art in optimization of reservoir system management and operations and consider future directions for additional research and application.Optimization methods designed to prevail over the high-dimensional,dynamic,nonlinear,and stochastic characteristics of reservoir systems are scrutinized,as well as extensions into multiobjective optimization.Application of heuristic programming methods using evolutionary and genetic algorithms are described,along with application of neural networks and fuzzy rule-based systems for inferring reservoir system operating rules.DOI:10.1061/͑ASCE ͒0733-9496͑2004͒130:2͑93͒CE Database subject headings:Reservoir operation;State-of-the-art reviews;Optimization models;Stochastic models;Linear programming;Dynamic programming;Nonlinear programming.IntroductionAccording to the World Commission on Dams ͑WCD 2000͒,many large storage projects worldwide are failing to produce the level of benefits that provided the economic justification for their development.This may be due in some instances to an inordinate focus on project design and construction,with inadequate consid-eration of the more mundane operations and maintenance issues once the project is completed.Performance related to original project purposes may also be undermined when new unplanned uses arise that were not originally considered in the project au-thorization and development.These might include municipal/industrial water supply,minimum streamflow requirements for environmental and ecological concerns,recreational enhance-ment,and accommodating shoreline encroachment and develop-ment.Although there may exist some degree of commensurability among these diverse project purposes,there is more often conflict and competition,particularly during pervasive drought condi-tions.In addition,performance of publically owned reservoir sys-tems is often restricted by complex legal agreements,contracts,federal regulations,interstate compacts,and pressures from vari-ous special interests.With construction of new large-scale water storage projects at a virtual standstill in the U.S.and other developed countries,along with an increasing mobilization of opposition to large stor-age projects in developing countries,attention must focus on im-proving the operational effectiveness and efficiency of existing reservoir systems for maximizing the beneficial uses of these projects.In addition,many of the adverse impacts of large storage projects on aquatic ecosystems can be minimized through im-proved operations and added facilities,as demonstrated by the Tennessee Valley Authority ͑TV A ͒͑Higgins and Brock 1999͒.Construction of bottom outlets or selective withdrawal structures can pass sediments downstream and improve water quality con-ditions.Unfortunately,many existing reservoir operational poli-cies fail to consider a multifacility system in a fully integrated manner,but rather emphasize operations for individual projects.However,the need for integrated operational strategies confronts system managers with a difficult task.Expanding the scope of the working system for more integrated analysis greatly multiplies the potential number of alternative operational policies.This is further complicated by conflicting objectives and the uncertainties associated with future hydrologic conditions,including possible impacts of climate change.Optimal coordination of the many facets of reservoir systems requires the assistance of computer modeling tools to provide information for rational operational puter simula-tion models have been applied for several decades to reservoir system management and operations within many river basins.Many models are customized for the particular system,but there is also substantial usage of public domain,general-purpose mod-els such as HEC 5͑Hydrologic Engineering Center 1989͒,which is being updated as HEC RESSIM to include a Windows-based graphical user interface ͑Klipsch et al.2002͒.Spreadsheets and generalized dynamic simulation models such as STELLA ͑High Performance Systems,Inc.͒are also popular ͑Stein et al.2001͒.Other similar system dynamics simulation models include POW-ERSIM ͑Powersim,Inc.͒applied by Varvel and Lansey ͑2002͒,and VENSIM ͑Ventana Systems,Inc.͒applied by Caballero et al.͑2001͒.These simulation or descriptive models help answer what if questions regarding the performance of alternative operational strategies.They can accurately represent system operations and1Professor,Dept.of Civil Engineering,Colorado State Univ.,Ft.Collins,CO 80523-1372.E-mail:labadie@Note.Discussion open until August 1,2004.Separate discussions must be submitted for individual papers.To extend the closing date by one month,a written request must be filed with the ASCE Managing Editor.The manuscript for this paper was submitted for review and pos-sible publication on August 22,2002;approved on November 27,2002.This paper is part of the Journal of Water Resources Planning and Management ,V ol.130,No.2,March 1,2004.©ASCE,ISSN 0733-9496/2004/2-93–111/$18.00.D o w n l o a d e d f r o m a s c e l i b r a r y .o r g b y D A L I A N U N I VE R S I T Y OF o n 06/04/14. C o p y r i g h t A S C E . F o r p e r s o n a l u s e o n l y ; a l l r i g h t s r e s e r v e d .are useful for Monte Carlo analysis in examining long-term reli-ability of proposed operating strategies.They are ill-suited,how-ever,to prescribing the best or optimum strategies when flexibil-ity exists in coordinated system operations.Prescriptive optimization models offer an expanded capability to systemati-cally select optimal solutions,or families of solutions,under agreed upon objectives and constraints.The purpose of this paper is to assess the state-of-the-art in reservoir system optimization models and consider future direc-tions.This is an update of a review that appeared in Water Re-sources Update published by The Universities Council on Water Resources ͑UCOWR ͒͑Labadie 1997͒.The focus is primarily on optimization of systems of reservoirs,rather than a single reser-voir.This is not meant to imply that single reservoir optimization is unimportant,but rather the substantial technological challenges and rewards abide with integrated optimization of interconnected reservoir systems.Optimization methods designed to prevail over the high-dimensional,dynamic,nonlinear,and stochastic charac-teristics of reservoir systems are scrutinized,as well as extensions into multiobjective optimization.Heuristic programming methods using evolutionary and genetic algorithms are described,along with the application of artificial neural networks and fuzzy rule-based systems for inferring reservoir system operating policies.Overcoming Hindrances to Reservoir System OptimizationDespite several decades of intensive research on the application of optimization models to reservoir systems,authors such as Yeh ͑1985͒and Wurbs ͑1993͒have noted a continuing gap between theoretical developments and real-world implementations.Pos-sible reasons for this disparity include:͑1͒many reservoir system operators are skeptical about models purporting to replace their judgment and prescribe solution strategies and feel more comfort-able with use of existing simulation models;͑2͒computer hard-ware and software limitations in the past have required simplifi-cations and approximations that operators are unwilling to accept;͑3͒optimization models are generally more mathematically com-plex than simulation models,and therefore more difficult to com-prehend;͑4͒many optimization models are not conducive to in-corporating risk and uncertainty;͑5͒the enormous range and varieties of optimization methods create confusion as to which to select for a particular application;͑6͒some optimization methods,such as dynamic programming,often require customized program development;and ͑7͒many optimization methods can only pro-duce optimal period-of-record solutions rather than more useful conditional operating rules.Optimal period-of-record solutions are criticized in the Engineer Manual on Hydrologic Engineering Requirements for Reservoirs ͑U.S.Army Corps of Engineers 1997;pp.4–5͒,where it is stated that ‘‘...the basis for the system operation are not explicitly defined.The post processing of the results requires interpretation of the results in order to develop an operation plan that could be used in basic simulation and applied operation.’’Many of these hindrances to optimization in reservoir system management are being overcome through ascendancy of the con-cept of decision support systems and dramatic advances in the power and affordability of desktop computing hardware and soft-ware.Several private and public organizations actively incorpo-rate optimization models into reservoir system management through the use of decision support systems ͑Labadie et al.1989͒.Incorporation of optimization into decision support systems has reduced resistance to their use by placing emphasis on optimiza-tion as a tool controlled by reservoir system managers who bear responsibility for the success or failure of the system to achieve its prescribed goals.This places the focus on providing support for the decision makers,rather than overly empowering computer programmers and modelers.An example of an optimization model incorporated into a de-cision support system ͑DSS ͒is the MODSIM river basin network flow model ͑Labadie et al.2000͒,which is currently being used by the U.S.Bureau of Reclamation for operational planning in the Upper Snake River Basin,Idaho ͑Larson et al.1998͒.The Windows-based graphical user interface ͑GUI ͒in MODSIM al-lows the user to create any reservoir system topology by simply clicking on various icons and placing system objects in any de-sired configuration on the screen.Data structures embodied in each model object on the screen are controlled by a database management system,with formatted data files prepared interac-tively and a network flow optimization model automatically ex-ecuted from the interface.Results of the optimization are pre-sented in useful graphical plots,or even customized reports available through a scripting language included with MODSIM .Complex,non-network constraints on the optimization in MOD-SIM are incorporated through an iterative procedure using the embedded PERL scripting language.RiverWare ͑Zagona et al.1998͒affords similar DSS functionality with an imbedded pre-emptive goal programming model providing the optimization ca-pabilities.RiverWare has been successfully applied to the TV A system for operational planning ͑Biddle 2001͒.Although lacking a generalized Windows-based graphical user interface,CALSIM has been developed by the California Depart-ment of Water Resources to allow specification of objectives and constraints in strategic reservoir systems planning and operations without the need for reprogramming ͑Munevar and Chung 1999͒.Similar to the use of PERL script in MODSIM,CALSIM employs an English-like modeling language called WRESL ͑Water Re-sources Engineering Simulation Language ͒that allows planners and operators to specify targets,objectives,guidelines,con-straints,and associated priorities,in ways familiar to them.Simple text file output,along with time series and other data read from relational data bases,are passed to a mixed integer linear programming solver for period by period solution.CALSIM II replaces the DWRSIM and PROSIM models that required con-tinual reprogramming as new objectives and constraints were specified,for coordinated operation of the Federal Central Valley and California State Water Projects.OASIS ͑HydroLogics,Inc.͒is a similar modeling package to CALSIM that uses an Operations Control Language ͑OCL ͒for developing linear programming models for multiobjective analysis of water resource systems.The explosion of readily available information through the In-ternet has increased the availability of advanced optimization methods and provided freely accessible software and data re-sources for successful implementation.Many powerful optimiza-tion software packages are available through the Internet,such as from the Optimization Technology Center ͑Northwestern Univer-sity and Argonne National Laboratory,Argonne,Illinois ͒at ͗/otc/otc.html ͘.In addition,several spreadsheet software packages available on desktop computers include linear and nonlinear programming solvers in their numeri-cal toolkits.The generalized dynamic programming package CSUDP ͑Labadie 1999͒facilitates the use of dynamic program-ming models,avoiding the need to develop new code for each application.CSUDP software is freeware and can be downloaded at ͗ftp:///distrib/͘.D o w n l o a d e d f r o m a s c e l i b r a r y .o r g b y D A L I A N U N I VE R S I T Y OF o n 06/04/14. C o p y r i g h t A S C E . F o r p e r s o n a l u s e o n l y ; a l l r i g h t s r e s e r v e d .The power and speed of the modern desktop computer have reduced the degree of simplifications and approximations in res-ervoir system optimization models required in the past,and opened the door to greater realism in optimization modeling.The primacy of the system manager over the model is also empha-sized in the incorporation of knowledge-based expert systems into reservoir system modeling which recognize the value of the in-sights and experience of reservoir system operators.Despite these advances,optimization of the operation of an integrated system of reservoirs still remains a daunting task,particularly with attempts to realistically incorporate hydrologic uncertainties.Reservoir System Optimization Problem Objective FunctionAccording to the ASCE Task Committee on Sustainability Crite-ria ͑1998͒,‘‘Sustainable water resource systems are those de-signed and managed to fully contribute to the objectives of soci-ety,now and in the future,while maintaining their ecological,environmental and hydrological integrity.’’Objective functions used in reservoir system optimization models should incorporate measures such as efficiency ͑i.e.,maximizing current and future discounted welfare ͒,survivability ͑i.e.,assuring future welfare ex-ceeds minimum subsistence levels ͒,and sustainability ͑i.e.,maxi-mizing cumulative improvement over time ͒.Loucks ͑2000͒states that ‘‘sustainability measures provide ways by which we can quantify relative levels of sustainability...One way is to express relative levels of sustainability as separate weighted combinations of reliability,resilience and vulnerability measures of various cri-teria that contribute to human welfare and that vary over time and space.These criteria can be economic,environmental,ecological,and social.’’The strategy of shared vision modeling ͑Palmer 2000͒is useful for enhancing communication among impacted stakeholders and attaining consensus on planning and operational goals.A generalized objective function for deterministic reservoir system optimization can be expressed asmax ͑or min ͒r͚t ϭ1T␣t f t ͑s t ,r t ͒ϩ␣T ϩ1T ϩ1͑s T ϩ1͒(1)where r t ϭn -dimensional set of control or decision variables ͑i.e.,releases from n interconnected reservoirs ͒during period t ;T ϭlength of the operational time horizon;s t ϭn -dimensional state vector of storage in each reservoir at the beginning of period t ;f t (s t ,r t )ϭobjective to be maximized ͑or minimized ͒;T ϩ1(s T ϩ1)ϭfinal term representing future estimated benefits ͑or costs ͒be-yond time horizon T ;and ␣t ϭdiscount factors for determining present values of future benefits ͑or costs ͒.The dynamic nature of this problem reflects the need to repre-sent an uncertain future for sustainable water management;i.e.,‘‘...a future we cannot know,but which we can surely influence’’͑Loucks 2000͒.The time step t used in this formulation may be hourly,daily,weekly,monthly,or even seasonal,depending on the nature and scope of the reservoir system optimization prob-lem.Hierarchical strategies may also be pursued whereby results from long-term monthly or seasonal studies provide input to more detailed short-term operations over hourly or daily time periods ͑Becker and Yeh 1974;Divi and Ruiu 1989͒.The objective function may be highly nonlinear,such as for maximizing hydropower generationf t ͑s t ,r t ͒ϭ͚i ϭ1nK •e i ͑s it ,s i ,t ϩ1,r it ͒•h ¯it ͑s it ,s i ,t ϩ1͒•r it •⌬t it (2)where e i ϭoverall powerplant efficiency at reservoir i as a func-tion of average head and discharge during period t ;h ¯it ϭaveragehead as a function of beginning and ending period storage levels ͑calculated from the reservoir mass balance or system dynamics equation ͒,as well as possibly the discharge if tailwater effects are included;K ϭunit conversion factor;and ⌬t it ϭnumber of on-peak hours related to the load factor for powerplant i .This is a highly nonconvex function characterized by many local maxima ͑Tauxe et al.1980͒,and may be discontinuous and nondifferentiable if loading of individual turbines in the powerplant is considered.Other objective functions related to vulnerability criteria may at-tempt to minimize deviations from ideal target storage levels,water supply deliveries,discharges,or power capacities.If eco-nomic benefit and cost estimates are available for these uses,then the objective may be to maximize total expected net benefits from operation of the system,but with consideration of long-term sus-tainability.ConstraintsThe system dynamics or state-space equations are written as fol-lows,based on preservation of conservation of mass throughout the system:s t ϩ1ϭs t ϩCr t ϩq t Ϫl t ͑s t ,s t ϩ1͒Ϫd t͑for t ϭ1,...,T ͒(3)where s t ϭstorage vector at the beginning of time t ;q t ϭinflow vector during time t ;C ϭsystem connectivity matrix mapping flow routing within the system;l t ϭvector combining spills,evaporation,and other losses during time t ;and d t ϭrequired de-mands,diversions,or depletions from the system.In some formu-lations,diversions are treated as decision variables and included in the objective function as related to benefits of supplying water.Accurate calculation of evaporation and other water losses in the term l t (s t ,s t ϩ1)creates a set of nonlinear implicit equations in s t ϩ1which can be difficult to evaluate and constitute a nonconvex feasible set.Initial storage levels s 1are assumed known and all flow units in Eq.͑3͒are expressed in storage units per unit time.Spatial connectivity of the reservoir network is fully described by the routing or connectivity matrix C .For the example reservoir system of Fig.1,the connectivity matrixisFig.1.Example reservoir system configurationD o w n l o a d e d f r o m a s c e l i b r a r y .o r g b y D A L I A N U N I VE R S I T Y OF o n 06/04/14. C o p y r i g h t A S C E . F o r p e r s o n a l u s e o n l y ; a l l r i g h t s r e s e r v e d .C ϭͫϪ10000Ϫ1000ϩ1Ϫ10ϩ1ϩ1Ϫ1ͬAdditional state variable nodes with zero storage capacity may represent nonstorage locations where inflows and diversions occur.For more complex system configurations that are nonden-dritic,such as bifurcating systems and off-stream reservoirs,a more complex link-node connectivity matrix is gged routing of flows can be considered by replacing the term Cr t inEq.͑3͒with ͚ϭ0kC r t Ϫ,where elements of the routing matrices C may be fractions representing lagging and attenuation of downstream releases.Explicit lower and upper bounds on storage must be assigned for recreation,providing flood control space,and assuring mini-mum levels for dead storage and powerplant operation.s t ϩ1,min рs t ϩ1рs t ϩ1,max͑for t ϭ1,...,T ͒(4)Limits on reservoir releases are specified asr t ,min рr t рr t ,max͑for t ϭ1,...,T ͒(5)These limits maintain minimum desired downstream flows for water quality control and fish and wildlife maintenance,as well as protection from downstream flooding.In some cases,it may be necessary to specify these limits as functions of head where al-lowable discharges depend on reservoir storage levels.Additional constraints may be imposed on the change in release from one period to the next to provide protection from scouring of down-stream channels.When evaluating long term historical or syn-thetic hydrologic sequences,or multiple short-term sequences,difficulties may arise in finding feasible solutions that satisfy these constraints.In these cases,it may be necessary to relax these as explicit constraints and indirectly consider them through use of weighted penalty terms on violation of these constraints in the objective function.Other constraints may represent alternative objectives that must be maintained at desired target levels :f ¯͑s ,r ͒у(6)Example targets might include annual water supply requirements or power capacity maintenance.These targets may be adjusted parametrically to compute tradeoff relations between the primary objective of Eq.͑1͒and secondary objectives as a means of pro-viding multiple objective solutions ͑Cohon 1978͒.The optimization model defined in Eqs.͑1͒–͑6͒is challenging to solve since it is dynamic,potentially nonlinear,and nonconvex;and large-scale.In addition,unregulated inflows,net evaporation rates,hydrologic parameters,system demands,and economic pa-rameters should often be treated as random variables,giving rise to a complex large-scale,nonlinear,stochastic optimization prob-lem.In this formulation,it is assumed that calibration and verifi-cation studies have been carried out to assure the model is capable of reasonably reproducing historical energy production,storage levels,and flows throughout the system.This review explores several solution strategies,including implicit stochastic optimiza-tion,explicit stochastic optimization,real-time optimal control with forecasting,and heuristic programming methods.For more detailed treatment of these topics,the reader is referred to a num-ber of important books written over the years dealing with opti-mization of water resource systems in general,and optimal opera-tion of reservoirs in particular.These include:Maass et al.͑1962͒;Hall and Dracup ͑1970͒;Buras ͑1972͒;Loucks et al.͑1981͒;Mays and Tung ͑1992͒;Wurbs ͑1996͒;and ReVelle ͑1999͒.Implicit Stochastic OptimizationThe solution of Eqs.͑1͒–͑6͒may be accomplished by implicit stochastic optimization ͑ISO ͒methods,also referred to as Monte Carlo optimization,which optimize over a long continuous series of historical or synthetically generated unregulated inflow time series,or many shorter equally likely sequences ͑Fig.2͒.In this way,most stochastic aspects of the problem,including spatial and temporal correlations of unregulated inflows,are implicitly in-cluded and deterministic optimization methods can be directly applied.The primary disadvantage of this approach is that optimal operational policies are unique to the assumed hydrologic time series.Attempts can be made to apply multiple regression analy-sis and other methods to the optimization results for developing seasonal operating rules conditioned on observable information such as current storage levels,previous period inflows,and/or forecasted inflows.Unfortunately,regression analysis may result in poor correlations that invalidate the operating rules,and at-tempting to infer rules from other methods may require extensive trial and error processes with little general applicability.Linear Programming ModelsSince ISO models can be extremely large-scale,covering a lengthy time horizon,it is critical that only the most efficient optimization methods are applied.One of the most favored opti-mization techniques for reservoir system models is thesimplexFig.2.Implicit stochastic optimization ͑ISO ͒procedureD o w n l o a d e d f r o m a s c e l i b r a r y .o r g b y D A L I A N U N I VE R S I T Y OF o n 06/04/14. C o p y r i g h t A S C E . F o r p e r s o n a l u s e o n l y ; a l l r i g h t s r e s e r v e d .method of linear programming and its variants ͑Nash and Sofer 1996͒.These models require all relations associated with Eqs.͑1͒–͑6͒to be linear or linearizable.The advantages of linear pro-gramming ͑LP ͒include:͑1͒ability to efficiently solve large-scale problems;͑2͒convergence to global optimal solutions;͑3͒initial solutions not required from the user;͑4͒well-developed duality theory for sensitivity analysis;and ͑5͒ease of problem setup and solution using readily available,low-cost LP solvers.Recent al-ternatives to the simplex method,such as the affine scaling and interior projection methods ͑Terlaky 1996͒,are particularly attrac-tive for solving extremely large-scale problems.Hiew et al.͑1989͒applied ISO using LP to the eight-reservoir Colorado-Big Thompson ͑C-BT ͒project in northern e of a 30year historical hydrologic record of monthly unregu-lated inflows to the system resulted in a linear programming prob-lem with 12,613variables and 5,040constraints.Multiple regres-sion analysis was applied to the LP model results to produce optimal lag-one storage guide curves:s t ϩ1ϭA ¯s t*ϩB ¯q t Ϫ1ϩc ¯(7)where s t *ϭoptimal storage levels obtained from the linear pro-gramming solution;q t ϭobserved hydrologic inflows;and corre-lation matrices A ¯,B ¯and vector c ¯are calculated from multiple regression analysis performed on the LP results.Coefficients of determination obtained from this analysis ranged from 0.795to 0.996for the larger reservoirs,with the remaining reservoirs ei-ther small or with water levels only allowed to vary a few feet per year.Simulation of the system operations using the optimal stor-age guide curves of Eq.͑7͒confirmed their validity.This study was successful because of the ability of linear models to accu-rately represent the system behavior,along with the fortunate cal-culation of high correlation coefficients obtained from the mul-tiple regression analysis.For other systems,these advantages may not be in evidence.Other extensions of linear programming into binary,integer,and mixed-integer programming may be valuable for representing highly nonlinear,nonconvex terms in the objective function and constraints ͑e.g.,Trezos 1991͒,but these methods are consider-ably less efficient computationally and would likely be intractable for use in ISO.Needham et al.͑2000͒applied mixed integer lin-ear programming to deterministic flood control operations in the Iowa and Des Moines Rivers,but noted the potential for exces-sive computer times when extended to stochastic evaluation.This study came to the rather counterintuitive conclusion that coordi-nated operation of reservoir systems does not necessarily improve performance,which stands in stark contrast with other studies that have shown just the opposite ͑e.g.,Shim et al.2002͒.Piecewise linear approximations of nonlinear functions are often used in separable programming applications and solved with various extensions of the simplex method,although problem size can become excessive in some cases.Functions of more than one variable can be approximated using multilinear interpolation methods over a multidimensional grid.For minimization prob-lems,these functions must be convex;otherwise,more time con-suming restricted basis entry simplex algorithms must be applied which fail to guarantee convergence to global optima.Crawley and Dandy ͑1993͒applied separable programming to the multi-reservoir Metropolitan Adelaide water supply system in Australia.Network Flow Optimization ModelsIt is evident from Fig.1that an interconnected reservoir system can be represented as a network of nodes and links ͑or arcs ͒.Nodes are storage or nonstorage points of confluence or diver-sion,and links represent reservoir releases,channel or pipe flows,carryover storage,and evaporation and other losses.If all rela-tions in Eqs.͑1͒–͑5͒are linear,then the following dynamic,mini-mum cost network flow problem results:minimize͚t ϭ1T͚ᐉAc ᐉt x ᐉt(8)subject to͚j O ix jt Ϫ͚k I ix kt ϭ0͑for all i N ;for all t ϭ1,...,T ͒(9)l ᐉt рx ᐉt рu ᐉt ͑for all ᐉA ;for all t ϭ1,...,T ͒(10)where A ϭset of all arcs or links in the network;N ϭset of nodes;O i ϭset of all links originating at node i ͑i.e.,outflow links ͒;I i ϭset of all links terminating at node i ͑i.e.,inflow links ͒;x ᐉt ϭflow rate in link ᐉduring period t ;c ᐉt ϭcosts,weighting factors,or priorities per unit of flow rate in link ᐉduring period t ;and l ᐉt and u ᐉt ϭlower and upper bounds,respectively,on flow in link ᐉ.Fig.3illustrates a fully dynamic network where the horizontal arcs represent carryover storage ͑i.e.,s t )in the same physical reservoir from one period to the next,whereas the vertical arcs are flows,releases,and diversions ͑i.e.,r t )during the current period.Eqs.͑8͒–͑10͒define a pure network formulation where all network data can be represented by a set of arc parameters ͓l ᐉt ,u ᐉt ,c ᐉt ͔.For fully circulating networks,additional artificial nodes and links must be added for satisfying overall mass balance throughout the entire parative studies by Kuczera ͑1993͒and Ardekaaniaan and Moin ͑1995͒have shown the dual coordinate ascent RELAX algorithm ͑Bertsekas and Tseng 1994͒to be the most efficient network solver,as compared to primal-based algorithms and variations on the out-of-kilter method ͑Ford and Fulkerson 1962͒.Several network algorithms allow designation of node supply and demand ͓i.e.,entry of values other than zero on the right-hand side of Eq.͑9͔͒without requiring specification of artificial nodes and links,although this is only possible when no demand shortages occur.For so-called networks-with-gains ,Eq.͑9͒must be adjusted with coefficients not equal to Ϫ1,0,or ϩ1to allow for channel losses,evaporation losses,and return flows.Further extensions into generalized networks allow inclusion of side con-straints ͓i.e.,Eq.͑6͔͒that violate the pure network structure.All of these deviations from the pure network format exact acompu-Fig.3.Illustration of dynamic network showing carryover storagearcsD o w n l o a d e d f r o m a s c e l i b r a r y .o r g b y D A L I A N U N I VE R S I T Y OF o n 06/04/14. C o p y r i g h t A S C E . F o r p e r s o n a l u s e o n l y ; a l l r i g h t s r e s e r v e d .。
到9月9日

到9月9日,社保基金正式进入股市整整3个月,按照有关规定,社保基金必须通过基金管理公司在三个月内完成建仓,并且其持仓市值要达到投资组合总市值80%的水平。
与此前大受追捧的QFII概念相比,社保基金及其所持有的股票显然低调得多,但是在西南证券分析师田磊看来,至少就目前来看,社保基金无论是在资金规模,还是在持股数量上明显都强于境外投资者,其投资理念和行为更可能给市场带来影响。
基金操作的社保基金的选股思路并不侧重某个行业,而更看重企业本身的发展和成长性,并且现阶段的企业经营业绩和走势也不是基金重点考虑的方面。
目前入市的社保基金都是委托南方、博时、华夏、鹏华、长盛、嘉实6家基金管理公司管理。
社保基金大致是被分为14个组合由以上6家管理公司分别管理,每个组合都有一个三位数的代码,第一位代表投资方向,其中“1”指股票投资、“2”指债券投资;第三位数字则代表基金公司名称,其中“1”为南方、“2”为博时、“3”为华夏、“4”为鹏华、“5”为长盛、“6”为嘉实;另有107、108组合主要运作社保基金此前一直持有的中石化股票,分别由博时与华夏基金公司管理。
在许多社保基金介入的股票中经常可以看到开放式基金的身影,例如在被社保基金大量持有的安阳钢铁(600569)的前10大股东中,其第2、6、7、8、9大股东均为开放式基金,而社保基金则以持股500多万股位列第3大股东。
类似的情况也出现在社保基金103组合所持有的华菱管线(000932)上,其第二大股东即为鹏华行业成长证券投资基金,社保基金则以200多万股的持仓量位列第7大股东,此外,在其前10大股东中还有5家是封闭式基金。
对此,某基金公司人士解释说,在获得社保基金管理人资格后,6家基金公司成立了专门的机构理财部门负责社保基金的投资管理,但是其研究、交易系统等则与公募基金共用一个平台,因此社保基金和开放式基金在选股时才会如此一致。
针对“社保概念股”的走势,国盛证券的分析师王剑认为,虽然社保基金此次委托入市资金超过百亿元,但大部分投向是债券,而且由于社保基金的特殊地位,因此基金管理公司对社保基金的操纵策略应该是以“集中持股,稳定股价”为主,不大可能博取太高的收益。
珠江口二类水体水色三要素的优化反演

第26卷第5期2007年9月热带海洋学报J OU RNAL OF TROPICAL OCEANO GRA P H YVol 126,No.5Sep .,2007 收稿日期:2007201215;修订日期:2007203206。
孙淑杰编辑 基金项目:国家重点基础研究发展规划项目(2001CB409708);广东省自然科学基金重点项目(06105018) 作者简介:杨锦坤(1980—)男,河北省沧县人,硕士研究生,主要从事海洋水色遥感研究。
E 2mail :yangjk80529@1261com 珠江口二类水体水色三要素的优化反演杨锦坤,陈楚群(中国科学院南海海洋研究所热带海洋环境动力学重点实验室,广东广州510301)摘要:根据2003年1月珠江口实测资料获得的相关参数,建立了适用于该海域的二类水体水色三要素优化反演模型,同步优化反演得到了与2003年1月25—26日实测站点相对应的2003年1月29日的SeaWiFs 图像像元点的水色三要素,反演与实测水色三要素的平均相对误差分别为:叶绿素1419%,悬浮泥沙1211%,黄色物质1316%。
研究结果说明本研究建立的优化反演模型比较适用于珠江口二类水体水色三要素的反演,且具有较高的反演精度。
关键词:二类水体;优化反演;水色要素;正演模型;大气校正;珠江口中图分类号:TP79文献标识码:A文章编号:100925470(2007)0520015206An optimal algorithm for retrieval of chlorophyll ,suspended sediments andgelbstoff of case Ⅱw aters in Zhujiang River estuaryYAN G Jin 2kun ,C H EN Chu 2qun(L ED ,S out h Chi na S ea I nstit ute of Oceanolog y ,Chinese A cadem y of S ciences ,Guangz hou 510301,China )Abstract :An optimal algorit hm for t he retrieval of chlorop hyll ,suspended sediment s and gelbstoff of caseⅡwaters in t he Zhujiang River est uary was established wit h t he optical parameters derived f rom t he in 2sit u data obtained in J an 12003in t he same area.And t hen ,t he chlorop hyll ,suspended sediment s and gelbstoff of t he SeaWi FS pixels on J an.29,2003corresponding to t he in 2sit u sites of J an.25and 26,2003were synchronously ret rieved ,wit h average relative errors of 1419%,1211%and 1316%for chlorop hyll ,sus 2pended sediment s and gelbstoff ,respectively.The research result s indicated t hat t he optimal ret rieval al 2gorit hm established here was relatively fit for t he retrieval of t he chlorop hyll ,suspended sediment s and gelbstoff of case Ⅱwaters in t he Zhujiang River est uary ,and had quite good retrieval accuracy.K ey w ords :case Ⅱwaters ;optimal ret rieval ;ocean color constit uent ;forward model ;at mo sp heric correc 2tion ;Zhujiang River est uary 叶绿素、黄色物质和悬浮泥沙是通常所称的“水色三要素”,是影响近岸二类水体光学性质的4种物质中的3种[1],另外一种是纯水分子。
Scope and purpose

Christer Carlsson ccarlsso@ra.abo.fi Robert Full´ er rfuller@ra.abo.fi
Scope and purpose Decision making with interdependent multiple criteria is normal in standard business decision making; in mcdm theory the standard assumption is to assume that the criteria are independent, which makes optimal mcdm solutions less useful than they could be. In this paper we have developed a method for both dealing with and making use of the interdependence of multiple criteria. Interdependence is a fairly obvious concept: consider a decision problem, in which we have to find a x∗ ∈ X such that three different criteria c1 , c2 and c3 all are satisfied, when c1 and c2 are supportive of each others, c2 and c3 are conflicting, and c1 and c3 again are supportive of each others (with respect to some directions). Unless it is obvious, the choice of an optimal decision alternative will become a very complex process with an increasing number of criteria. Here we have developed a systematic way to evaluate and exploit the interdependence, and we have found a way to solve decision problems with interdependent multiple criteria. In the process we have also learned that the decision process is much more effective with a single decision maker than with a group of decision makers, each of which is defending one or some of the criteria; in the latter case the interdependence gets confused with tactical dispositions, the building of coalitions and negotiation strategies.
高中英语新人教版选择性必修第四册Unit 5逐词英语释义汇总(共67个)

高中英语选必四Unit5逐词英语释义1.bounce: 弹跳,反弹move quickly up, back, or away from a surface after hitting it, move in an energetic and buoyant manner2.bounce around: 四处走动,跳来跳去move or travel from place to place without any particular purpose or direction3.aptitude: 才能,天资a natural ability or skill, talent4.head start: 先发优势,领先的开始an advantage or improvement that someone has over another person or group at the beginning of something5.scenario: 情景,场景a sequence of events that is imagined or suggested, a possible situation or sequence of eventswyer: 律师,法律专家a person who practices or studies law; an attorney or a counselor7.assemble: 组装,集合fit together the separate component parts of (a machine or other object), gather together in one place for a common purpose8.drawer: 抽屉a boxlike storage compartment without a lid, made to slide horizontally in and out of a desk, chest, or other piece of furniture9.a chest of drawers: 衣柜,抽屉柜a piece of furniture consisting of a set of drawers in a frame, used for storing clothes or other items10.breast: 胸部the front surface of a person's or animal's body between the neck and the abdomen, the seat of a person's emotions and feelings11.hydrogen: 氢the chemical element of atomic number 1, a colorless gas that is the lightest and most abundant element in the universe12.radium: 镭the chemical element of atomic number 88, a rare radioactive metal of the alkaline earth series13.wrist: 手腕the joint connecting the hand with the forearm14.bridegroom: 新郎a man on his wedding day or just before and after the event15.geometry: 几何学the branch of mathematics that deals with the properties and relations of points, lines, surfaces, solids, and higher-dimensional analogs16.debt: 债务,欠款something, typically money, that is owed or due17.categorize: 分类,归类place in a particular class or group, assign to a category18.profile: 侧面,轮廓an outline of something, especially a person's face, as seen from one side19.participant: 参与者,参赛者a person who takes part in or becomes involved in a particular activity or event20.code: 代码,密码a system of words, letters, figures, or other symbols substituted for other words, letters, etc., especially for the purposes of secrecy21.orient: 定位,适应align or position (something) relative to the points of a compass or other specified positions22.detective: 侦探,刑警a person, typically a member of a police force, who investigates crimes and obtains evidence or information23.graphic: 图形的,图表的relating to visual art, especially involving drawing, engraving, or lettering24.estate: 地产,房地产a property consisting of houses, land, buildings, or other assets25.(real) estate agent: 房地产经纪人,房产中介a person who arranges the buying, selling, or renting of properties for clients26.accountant: 会计师a person whose job is to keep financial accounts of a business or person27.spy: 间谍,间谍活动a person who secretly collects and reports information about the activities, movements, and plans of an enemy or competitor28.justice: 正义,法官just behavior or treatment, a judge or magistrate, in particular, a judge of the Supreme Court of a country or state29.accuse: 指责,控告claim that (someone) has done something wronge to a conclusion: 得出结论,作出决定make a decision or form an opinion after considering all the relevant facts or evidence31.greedy: 贪婪的,贪心的having or showing an intense and selfish desire for something, especially wealth or power32.entrepreneur: 企业家a person who sets up a business or businesses, taking on financial risks in the hope of profit33.receptionist: 接待员,前台接待a person employed in an office or other establishment to answer the telephone, deal with clients, and greet visitors34.CV (NAmE résumé): 简历a brief account of a person's education, qualifications, and previous experience, typically sent with a job application35.socialist: 社会主义者a person who advocates or supports socialism, a political and economic theory of social organization that advocates for public or community ownership and control of the means of production and distributionmunist: 共产主义者a person who supports or advocates communism, a political ideology and socio-economic system that advocates for the common ownership of the means of production and the absenceof social classes37.dedicate: 奉献,致力于devote (time, effort, or oneself) to a particular task or purpose38.fox: 狐狸,狡猾的人a carnivorous mammal of the dog family with a pointed muzzle and bushy tail, or a person who is clever, cunning, or sly39.council: 委员会,议会a group of people who meet regularly to discuss matters of common interest, a local administrative or advisory body40.canal: 运河,水道an artificial waterway constructed to allow the passage of boats or ships inland or to convey water for irrigation40.canal: 运河,水道an artificial waterway constructed to allow the passage of boats or ships inland or to convey water for irrigation41.attend to: 注意,照料give attention to or deal with (someone or something)42.supervise: 监督,管理oversee (a process, work, workers, etc.) during its course, ensuring that it is done correctly or according to regulations43.handwriting: 笔迹,书法the character or style of a person's writing by hand; penmanship44.disk: 磁盘,光盘a flat, thin, round object or plate, typically made of metal, plastic, or rubber, that is used as a container for storing or playing music or data45.parking: 停车the action or practice of leaving a vehicle temporarily in a particular place46.camel: 骆驼a large, long-necked ungulate mammal of the desert or plains, with characteristic humps on its back and long legs, used as a domestic draft and milk animal and as a beast of burden47.fry: 煎,油炸cook (food) in hot fat or oil, typically in a shallow pan48.purse: 钱包,小提包a small pouch of leather or other flexible material, used for carrying money, cards, and personal identification49.sew: 缝,缝制join, fasten, or repair (something) by making stitches with a needle and thread ora sewing machine50.knit: 编织,针织make (a garment, blanket, etc.) by interlocking loops of wool or other yarn with knitting needles or on a machine51.wool: 羊毛the fine, soft curly or wavy hair forming the coat of a sheep, goat, or similar animal, especially when shorn and prepared for use in making cloth or yarn52.intermediate: 中级的,中间的coming between two things in time, place, order, character, etc.53.priority: 优先权,重点the fact or condition of being regarded or treated as more important than others54.proficiency: 熟练,精通a high degree of competence or skill; expertise55.cage: 笼子a structure of bars or wires in which birds, animals, or prisoners are confined56.collar: 领子,项圈the part around the neck of a shirt, blouse, jacket, or coat, either upright or turned over and generally shaped to fit closely57.flea collar: 杀虱项圈a collar worn by pets that contains insecticides to kill or repel fleas58.finance: 财务,金融the management of large amounts of money, especially by governments or large companies59.receipt: 收据,收条a written acknowledgment that something has been received, typically including the date, the amount of money, or the goods received60.certificate: 证书an official document attesting a certain fact, proficiency, or completion of a program or course of study61.employer: 雇主a person or organization that employs people62.desert: 沙漠,荒漠a barren area of land, especially one with little precipitation, extreme temperatures, and sparse vegetation63.acquire: 获得,取得buy or obtain (an asset or object) for oneself64.Marie Curie: 玛丽·居里a Polish-born French physicist and chemist who conducted pioneering research on radioactivity and was the first woman to win a Nobel Prize65.The Communist Manifesto: 《共产党宣言》a political pamphlet written by Karl Marx and Friedrich Engels, first published in 1848, that presents the goals and principles of communism66.Olivia: 奥利维亚a feminine given name of Latin origin, meaning "olive tree"67.PETS (Public English Test System): 公共英语考试系统a standardized English language proficiency test administered in China。
RIC1在拟南芥根的生长发育过程中正调控生长素信号负调控ABA信号

Arabidopsis ROP-interactive CRIB motif-containing protein 1(RIC1)positively regulates auxin signalling and negatively regulates abscisic acid (ABA)signalling during root developmentYUNJUNG CHOI 1,YUREE LEE 1,SOO YOUNG KIM 3,YOUNGSOOK LEE 1,2&JAE-UNG HWANG 11POSTECH-UZH Global Research Laboratory,Division of Molecular Life Sciences,Pohang University of Science andTechnology (POSTECH),Pohang 790-784,Korea,2Division of Integrative Bioscience and Biotechnology,POSTECH,Pohang 790-784,Korea and 3Department of Molecular Biotechnology &Kumho Life Science Laboratory,College of Agriculture and Life Sciences,Chonnam National University,Gwangju 500-757,KoreaABSTRACTAuxin and abscisic acid (ABA)modulate numerous aspects of plant development together,mostly in opposite directions,suggesting that extensive crosstalk occurs between the signal-ling pathways of the two hormones.However,little is known about the nature of this crosstalk.We demonstrate that ROP-interactive CRIB motif-containing protein 1(RIC1)is involved in the interaction between auxin-and ABA-regulated root growth and lateral root formation.RIC1expression is highly induced by both hormones,and expressed in the roots of young seedlings.Whereas auxin-responsive gene induction and the effect of auxin on root growth and lateral root formation were suppressed in the ric1knockout,ABA-responsive gene induction and the effect of ABA on seed germination,root growth and lateral root for-mation were potentiated.Thus,RIC1positively regulates auxin responses,but negatively regulates ABA responses.Together,our results suggest that RIC1is a component of the intricate signalling network that underlies auxin and ABA crosstalk.Key-words :hormone crosstalk;lateral root;RIC protein;root growth;ROP GTPase.INTRODUCTIONAuxin and abscisic acid (ABA)are two major plant growth regulators.In general,auxin promotes the growth of vegeta-tive tissues,whereas ABA suppresses proliferation and confers stress resistance.For example,auxin promotes lateral root initiation,whereas ABA inhibits it.Auxin opens stomata,whereas ABA closes them.Such antagonistic effects of two hormones have been reported to regulate numerous stress responses and developmental and physiological pro-cesses in the plant (Gehring,Irving &Parish 1990;Casimiro et al .2003;Tanaka et al .2006).The interaction between auxin and ABA seems to be more complex during early seedlingdevelopment and primary root elongation than later on.Although both auxin and ABA are necessary for early seed-ling development,exogenously applied ABA,which presum-ably is applied at a significantly greater concentration than the endogenous hormone,inhibits growth.Primary root elon-gation is promoted by nanomolar amounts of both auxin and ABA (Gaither,Lutz &Forrence 1975;Mulkey,Kuzmanoff &Evans 1982),but is inhibited by higher concentrations of these hormones (Pilet &Chanson 1981;Mulkey et al .1982;Eliasson,Bertell &Bolander 1989).The observation that the two hormones function together to regulate many responses indicates that the signalling pathways that transduce the primary hormonal signals to downstream responses may intersect at specific points and/or involve common players.Indeed,the expression of ABA INSENSITIVE 3(ABI3)is activated by both auxin and ABA,and ABI3functions as a positive regulator of ABA-mediated inhibition of seed ger-mination and as a negative regulator of auxin-mediated lateral root formation and ABA-mediated inhibition of primary root growth (Brady et al .2003;Zhang,Garreton &Chua 2005).Given the vast array of responses of plants to auxin and ABA,one would expect that many such points of crosstalk exist;however,this aspect of auxin and ABA signal transduction remains largely unexplored.Rho family GTPases act as molecular switches that mediate diverse cellular responses to multiple extracellular signal including hormones (Bos 2000).ROP (Rho of plants;also called RAC)GTPases represent the sole Rho family of Ras-related G proteins in plants (Yang 2002),and the model plant Arabidopsis contains 11ROP GTPases in its genome (Bischoff et al .1999;Winge et al .2000;Zheng &Yang 2000).Several studies have reported that ROP GTPases play impor-tant roles in auxin-and ABA-related responses (Lemichez et al .2001;Tao,Cheung &Wu 2002;Zheng et al .2002;Bloch et al .2005;Tao et al .2005).Auxin treatment increases the amount of activated ROP GTPase in tobacco (Tao et al .2002)and Arabidopsis (Xu et al .2010;Lin et al .2012)seed-lings.Overexpression of wild-type or constitutively active forms of ROP GTPases stimulates auxin-related phenotypes and auxin-responsive gene expression in Arabidopsis and tobacco (Li et al .2001;Tao et al .2002,2005).Activated ROP GTPases promote the 26S proteasome-dependentCorrespondence:Y.Lee.Fax:+82542792199;e-mail:ylee@postech.ac.kr;J-U.Hwang.Fax:+82542792199;e-mail:thecute@postech.ac.krY.L.and J-U.H.contributed equally to the manuscript.Plant,Cell and Environment (2013)36,945–955doi:10.1111/pce.12028©2012Blackwell Publishing Ltd945degradation of auxin/indole-3-acetic acid(AUX/IAA)pro-teins in tobacco and Arabidopsis(Tao et al.2005).ROP GTPase mutations cause defects in auxin-dependent cell expansion(Fu et al.2005,2009;Xu et al.2010).In contrast to the positive role of ROP GTPases in the auxin response, ROP GTPases appear to be negative regulators of ABA responses.ABA treatment reduces the amount of activated ROP GTPase in Arabidopsis suspension cells and seedlings (Lemichez et al.2001).Expression of constitutively active forms of Arabidopsis ROP2and ROP6reduces sensitivity to ABA during seed germination(Li et al.2001)and stomatal closing(Lemichez et al.2001;Hwang et al.2011).The obser-vation that an Arabidopsis mutant that lacks ROP10expres-sion is hypersensitive to ABA,and that ROP10expression is suppressed by ABA,suggests the existence of an interesting feedback regulation loop in the ABA signalling pathway (Zheng et al.2002).RICs(ROP-interactive CRIB motif-containing proteins) are a unique group of interacting partners of activated ROP GTPases.RIC proteins interact with multiple ROP GTPases via their conserved CRIB motif,and link ROP proteins to diverse target molecules that bind to their variable domains (Yang2002).The11RIC genes present in Arabidopsis are categorized into four phylogenetic groups(Wu et al.2001;Gu et al.2005).However,knowledge on RIC functions is limited; RIC3and RIC4have been shown to regulate[Ca2+]cyt and F-actin dynamics during the polar growth of pollen tubes (Wu et al.2001;Gu et al.2005).RIC7is reported to interact with active ROP2in stomatal guard cells and to suppress light-induced stomatal opening(Jeon et al.2008).In epider-mal cells of the leaf and hypocotyl,RIC1suppresses aniso-tropic cell expansion by regulating microtubule(MT) dynamics(Fu et al.2005,2009;Xu et al.2010).RIC1is expressed in a broad range of tissues(Wu et al. 2001).However,the function of RIC1has been analysed mostly in the development of leaf pavement cells(Fu et al. 2005).In this cell type,RIC1is associated with MTs and regulates their assembly.In the lobe-forming regions of pave-ment cells,RIC1is inactivated by active ROP2,which sup-presses MT assembly,but promotesfine F-actin assembly and thereby induces outgrowth of the region.In contrast,in the neck-forming regions of pavement cells,RIC1is activated by active ROP6and then promotes the assembly of MTs,which limits the expansion of the region and results in the forma-tion of a narrow neck.The cortical MTs in the leaf pavement cells of ric1mutants are randomly organized,resulting in pavement cells with wider necks.This ROP6-RIC1-MT sig-nalling pathway seems to function in both hypocotyl elonga-tion and leaf epidermal cell development(Fu et al.2005, 2009).In pollen tubes,however,RIC1is localized to the apical plasma membrane,where MTs are absent,and over-expression of RIC1suppresses the depolarized tube growth induced by ROP1overexpression(Wu et al.2001).Given its broad expression pattern,RIC1may mediate diverse pro-cesses in the growth and development of plants,which have yet to be elucidated.In this work,we established that RIC1positively regulates the auxin effect and negatively regulates the ABA effect during root growth and lateral root development.These results will advance our current limited understanding on the mode of action of RIC1protein during regulation of plant development by auxin and ABA.MATERIALS AND METHODSPlant materials and growth conditionsSeeds of wild-type,ric1,and ric1/RIC1p:GFP:RIC1Arabi-dopsis thaliana plants(ecotype Ws)were surface sterilized, placed at4°C in the dark for2d,and then sown in half-strength Murashige and Skoog(MS)agar medium.Arabi-dopsis seedlings were grown in a growth chamber with a16h light/8h dark cycle at22°C.Isolation of the RIC1knockout mutantsSeeds of T-DNA insertion mutant for RIC1(ric1; FLAG_075E05)were obtained from Institut National de la Recherche Agronomique(INRA)-Versailles Genomic Resource Center(http://www-ijpb.versailles.inra.fr/en/cra/ cra_accueil.htm).Reverse transcriptase(RT)-PCR analysis using gene-specific primers confirmed that this is a null mutant.Primer information used for RT-PCR is available in Supporting Information Table S1.Complementation of ric1with RIC1p:GFP:RIC1For the ric1complementation assay,the RIC1promoter region(~2kb)and the RIC1open reading frame were indi-vidually obtained by PCR amplification.These genomic DNA fragments and GFP coding sequence were sequentially cloned into a pCR®8/GW/TOPO®vector(Invitrogen,Carls-bad,CA,USA),and then transferred into a pMDC100 gateway vector(Curtis&Grossniklaus2003).The RIC1p:GFP:RIC1construct was transformed into ric1plants by the Agrobacterium-mediatedfloral dipping method (Clough&Bent1998).The phenotypes of the T3seedlings of homozygous ric1/RIC1p:GFP:RIC1lines were observed. RIC1p:GUS expression assayThe genomic DNA fragment containing the promoter region (~2kb)andfirst exon of RIC1was amplified by PCR and fused to the GUS-coding region of the pMDC164vector (RIC1p:GUS).The RIC1p:GUS construct was transformed into wild-type Arabidopsis plants using the Agrobacterium-mediatedfloral dipping method(Clough&Bent1998). RIC1p:GUS expression was observed in T3plants from six independently transformed lines.Briefly,the seedlings of RIC1p:GUS were incubated in GUS staining buffer[100m m Na2HPO4(pH7.2),3m m potassium ferricyanide,3m m potas-sium ferrocyanide,10m m ethylenediaminetetraacetic acid (EDTA),0.1%Triton X-100,and2m m5-bromo-4-chloro-3-indolyl-b-D-glucuronide(Duchefa,Haarlem,The Nether-lands)]at37°C for12h.Chlorophyll was extracted in70% ethanol solution.946Y.Choi et al.©2012Blackwell Publishing Ltd,Plant,Cell and Environment,36,945–955Observation of the cellular localizationof GFP:RIC1Wild-type Arabidopsis plants were stably transformed with a GFP:RIC1construct under the control of CaMV35S pro-moter.In multiple independently transformed lines of Arabidopsis,the subcellular localization of GFP:RIC1was observed by using a Zeiss LSM510Meta Laser scanning microscope(Zeiss,/).To investigate the effects of auxin and ABA on the cellular localization of RIC1,7-day-old seedlings that stably express GFP:RIC1 were incubated in half-strength MS medium containing1m m auxin[naphthalene-1-acetic acid(NAA)]or10m m ABA for1h.Quantification of RIC and ABA-orauxin-responsive gene transcript levelsQuantitative real-time RT-PCR(Q-PCR)was used to quan-tify transcript levels of RIC genes,ABA-responsive genes and auxin-responsive genes.Total RNA was extracted from each sample and then reverse transcribed into cDNA. Q-PCR was carried out using a Takara TP800thermal cycler and Takara SYBR RT-PCR Kit(Takara Bio,Kyoto,Japan), following the manufacturer’s instructions.Transcript levels of RIC s,ABA-responsive genes and auxin-responsive genes were normalized against that of tubulin8. Measurement of lateral root formation and primary root growthTo examine the effects of ABA or auxin on lateral root formation and primary root growth,Arabidopsis seedlings were grown for4d under a16h photoperiod and then trans-ferred to fresh half-strength MS agar plates supplemented with the indicated concentrations of ABA or auxin.After an additional5–7d,the net elongation of primary roots was measured and the number of lateral roots was counted using a stereo microscope(Olympus SZX12,Tokyo,Japan). Seed germination assayFor germination assays,the seeds were placed in the dark at 4°C for2d and then sown on MS medium agar plates con-taining1%sucrose in the presence or absence of0–1.5m m concentrations of ABA.The seeds were incubated under a 16h photoperiod at22°C.Germinated seeds(as determined by cotyledon greening or radicle emergence)were scored every12h for6d.Germination ratio refers to the number of germinated seeds as a proportion of the total number of seeds tested.RESULTSRIC1expression is induced by both auxinand ABAMembers of the ROP small GTPase family are reported to mediate ABA and auxin responses(Li et al.2001;Zheng et al.2002;Tao et al.2005).We hypothesized that RIC proteins might serve an important intermediary in the ROP-mediated ABA and auxin signalling pathways.If this hypothesis was true,then the level of the RIC proteins may be substantially regulated by ABA and auxin.Thus,we tested the effect of auxin and ABA on the expression of10out of the11Arabi-dopsis RIC genes(Fig.1).Arabidopsis seedlings were grown on half-strength MS medium for7d and then treated with 1m m NAA or10m m ABA for1h.Total RNA was isolated from these seedlings and RIC gene transcript levels were examined using quantitative real-time PCR(Q-PCR).Upon NAA and ABA treatment,the transcript level of many RIC s (RIC2,3,4,5,7,9and11)increased,but the increase in RIC1 was the highest.Therefore,we chose to focus our analysis on RIC1.Loss of RIC1expression alters gene induction by auxin and ABAAuxin and ABA induce the expression of sets of genes, which are known as auxin-responsive and ABA-responsive genes,respectively(Brady et al.2003;Zhang et al.2005;Li et al.2009).To examine the involvement of RIC1in auxin and ABA signal transduction,we evaluated the effect of RIC1knockout(ric1)on the expression levels of typical auxin-and ABA-responsive genes.ric1,a T-DNA insertion mutant(Stock No.FLAG_075E05),was obtained from INRA-Versailles Genomic Resource Center(http://www-ijpb.versailles.inra.fr/en/cra/cra_accueil.htm).RT-PCR analy-sis confirmed that the T-DNA insertion into the fourth exon completely blocked the expression of RIC1in ric1(Fig.2a). The small auxin-up RNAs(SAURs)encode short tran-scripts that accumulate rapidly upon auxin treatment(Li et al.2009).IAA6and IAA19are members of INDOLE-3-ACETIC ACID/AUXIN(IAA/AUX)genes andtheir Figure1.Expression of RIC genes were induced by auxin and abscisic acid(ABA).Seven-day-old Arabidopsis seedlings were treated without or with1m m auxin[naphthalene-1-acetic acid (NAA)]or10m m ABA for1h,and total RNA was isolated from seedlings for Q-PCR analysis.The transcript levels of RIC genes were normalized against the transcript level of Tubulin8,which served as the internal control,and are presented as values relative to the untreated control.Data are meansϮSEM of three to eight biological replicates.Asterisks indicate values that are statistically significantly different from the untreated control(***P<0.005;**P<0.001;*P<0.05).RIC1regulates root development947©2012Blackwell Publishing Ltd,Plant,Cell and Environment,36,945–955948Y.Choi et al.©2012Blackwell Publishing Ltd,Plant,Cell and Environment,36,945–955expressions are induced by auxin(Abel,Nguyen&Theologis 1995;Tatematsu et al.2004).Using Q-PCR analysis,we com-pared the transcript levels of SAUR and IAA genes in ric1 seedlings with those in wild-type seedlings(Fig.2b).Under control conditions without NAA treatment,the transcript levels of these genes in ric1seedlings were similar to or slightly higher than those in wild-type seedlings(Fig.2b).In 7-day-old wild-type seedlings,treatment with1m m NAA for 1h induced a two-to fourfold increase in SAUR gene expres-sion(Fig.2b).Interestingly,however,the induction of SAUR genes by1m m NAA was suppressed in ric1seedlings (Fig.2b);SAUR9transcript level increased3.3Ϯ0.1-fold in the wild type,but1.7Ϯ0.1-fold in ric1(t-test,P<0.005); SAUR15transcript level increased3.9Ϯ0.6-fold in the wild type,but1.8Ϯ0.2-fold in ric1(t-test,P<0.01);SAUR23 transcript level increased3.0Ϯ0.3-fold in the wild type,but 1.4Ϯ0.2-fold in ric1(t-test,P<0.005);SAUR62transcript level increased2.5Ϯ0.2-fold in the wild type but1.4Ϯ0.2-fold in ric1(t-test,P<0.001);and SAUR66transcript level increased3.9Ϯ0.4-fold in the wild type,but1.7Ϯ0.2-fold in ric1(t-test,P<0.001).Similarly,induction of IAA6and IAA19upon NAA treatment was suppressed by ric1(Fig.2b bottom panel),whereas the transcript level of IAA6 increased21.9Ϯ1.3-fold in the wild type,but only11.3Ϯ0.2-fold in ric1(P<0.05),and the transcript level of IAA19 increased27.1Ϯ3.3-fold in the wild type,but only13.1Ϯ1.9-fold in ric1(P<0.05).These results indicate that RIC1is involved in the control of the auxin signalling pathway.ABI3,ABI5,responsive to ABA18(RAB18),and respon-sive to dehydration29A(RD29A)and29B(RD29B)are well-characterized ABA-responsive genes that play critical roles in ABA signalling(Parcy et al.1994;Finkelstein& Lynch2000;Lopez-Molina&Chua2000;Hoth et al.2002; Kang et al.2010).To analyse the involvement of RIC1in ABA signalling,we gauged the effects of ABA on expres-sions of these genes in the roots of wild-type and ric1seed-lings(Fig.2c).Seven-day-old seedlings were incubated in half-strength liquid MS medium in the presence or absence of0.5m m ABA for1h.Under control conditions(i.e.in the absence of ABA),transcript levels of ABI3,ABI5,RD29A, RD29B and RAB18were slightly higher in ric1seedlings than in wild-type seedlings,and this difference was further increased after ABA treatment(Fig.2c).Upon ABA treat-ment,ric1seedlings exhibited much higher transcript levels of thosefive ABA-responsive genes,compared with wild-type seedlings(Fig.2c);ABI3transcript level increased 2.4Ϯ0.5-fold in the wild type,but 5.5Ϯ0.9-fold in ric1 (P<0.01);ABI5transcript level increased5.9Ϯ0.4-fold in the wild type,but12.9Ϯ1.9in ric1(P<0.005);RD29A tran-script level increased12.3Ϯ3.9-fold in the wild type,but 17.4Ϯ6.6-fold in ric1(P<0.06);RD29B transcript level increased5.5Ϯ1.2-fold in the wild type,but10.9Ϯ0.8-fold in ric1(P<0.05);and RAB18transcript level increased 4.6Ϯ1.1-fold in the wild type,but8.0Ϯ1.3-fold in ric1 (P<0.01).In summary,RIC1knockout suppressed the induction of auxin-responsive genes by auxin,but promoted the induction of ABA-responsive genes by ABA.These results suggest that RIC1exerts opposite regulatory functions in the auxin and ABA signalling pathways.RIC1is expressed in the roots ofyoung seedlingsTo identify which auxin-and ABA-mediated processes are regulated by RIC1,wefirst determined the tissue-specific and developmental stage-specific expression of RIC1.The genomic DNA region containing the RIC1promoter(~2kb) and thefirst exon was fused to the GUS-coding region (RIC1p:GUS),and introduced into wild-type plants. RIC1p:GUS expression was observed in T3seeds and seed-lings from six independently transformed Arabidopsis lines (Fig.3a,b).In germinating seeds and young seedlings,the RIC1p:GUS signal was evident in roots.In germinating seeds,RIC1p:GUS signal was limited to the embryonic root tip(Fig.3a,left),and in seedlings at1–3d after sowing,RIC1p:GUS extended the expression to other parts of root including differentiation zone,root hairs and root–shoot junction(Fig.3a,right).In the roots of2-week-old plants,RIC1p:GUS signal was detected in root tips and also in maturation zone,where lateral roots grow out(Fig.3b).RIC1p:GUS signal was strongly detected in columella cells from the root tip, (Fig.3b-d).In maturation zone of root,cells surrounding emerged lateral root(Fig.3b-b)and epidermal cells at the base of lateral roots(Fig.3b-c)showed clear RIC1p:GUS signals.These RIC1expression patterns indicate that RIC1is likely to be involved in the regulation of seed germination, early seedling development and root development.In addition to being expressed in the roots,RIC1p:GUS was also expressed in the hypocotyls,petioles,and weakly in the leaves of young seedlings(Fig.3a,b).In Arabidopsis plants of later development stages,expression of RIC1p:GUS was weak except inflowers,where RIC1expression was pre-viously reported(Wu et al.2001;Fu et al.2005,2009;Xu et al.Figure2.ric1knockout mutation altered induction of auxin-and abscisic acid(ABA)-responsive genes.(a)Schematic structure of theRIC1gene(left).The triangle indicates the T-DNA insertion site in ric1.Exons are represented as boxes and introns as lines.RT-PCR analysis using a RIC1-specific primer set(RT-F and RT-R)shows that ric1is a true null mutant(right).Tubulin8was used as an internal control.(b)Expression of SAUR9,SAUR15,SAUR23,SAUR62,SAUR66,IAA6and IAA19in plants treated or not with1m m auxin [naphthalene-1-acetic acid(NAA)].(c)Expression of ABI3,ABI5,RD29A,RD29B and RAB18in plants treated or not with0.5m m ABA.Q-PCR analyses of transcripts of auxin-and ABA-responsive genes were performed using total RNA isolated from the roots of8-day-old seedlings after1h of treatment without or with auxin or ABA.Data were normalized using Tubulin8as an internal control,and are presented as values relative to the untreated wild type(WT).Data are meansϮSEM of four independent experiments.Asterisks indicate values that are significantly different from those of the WT(***P<0.005;**P<0.01;*P<0.05;#P<0.06).RIC1regulates root development949©2012Blackwell Publishing Ltd,Plant,Cell and Environment,36,945–9552010);RIC1p:GUS signal was strongly observed in the anthers and mature pollen grains (Supporting Information Fig.S1).RIC1knockout suppresses the effect of auxin on lateral root formation and primary root elongationAs RIC1is expressed in root (Fig.3)and RIC1expression is up-regulated by auxin (Fig.1),we examined whether auxin-dependent root growth and lateral root formation were affected in the ric1mutant (Fig.4).Arabidopsis seedlings were grown on half-strength MS medium for 4d and then transferred to fresh half-strength MS medium supplemented with various concentrations (0–100n m )of NAA.After 5d,the number of lateral roots (including newly emerged ones)was counted.Auxin promoted the formation of lateral roots in different genotypes,including the wild type,ric1,and ric1/RIC1p:GFP:RIC1(complementation lines,C1and C2;Fig.4a);however,this effect was significantly less in ric1than in the wild type and complementation lines (Fig.4b).InFigure 3.RIC1expression in Arabidopsis plants.(a)One dayafter sowing (DAS),an embryo exhibited RIC1p::GUS signal at the root tip (left,indicated by arrow).Seed coat was removed after GUS staining for observation.A young seedling that had justgerminated but had not yet undergone cotyledon expansion (right;1–3DAS)exhibited relatively stronger RIC1p::GUS signal in the root tip and differentiation zone of the root including the root hairs.Bar =300m m.(b)A 2-week-old seedling displayed RIC1p::GUS signal in the root tip and maturation zone withemerged lateral roots,and,weakly,in the shoot.(b-a )Bar =1cm.(b-b ),(b-c )and (b-d )are enlarged images of maturation zone with an emerged lateral root,a lateral root with GUS staining at the base,and a root tip with GUS staining in columellacells.Figure 4.Auxin responses were reduced in ric1plants.Arabidopsis seedlings were grown vertically on half-strength Murashige and Skoog (MS)medium for 4d,transferred to fresh half-strength MS medium supplemented or not with 0–100n m auxin [naphthalene-1-acetic acid (NAA)],and grown for anadditional 5–7d.(a)Levels of RIC1transcript in wild-type (WT),ric1,and ric1/RIC1p:GFP:RIC1(lines C1and C2)plants.RIC1expression in seedlings was quantified using Q-PCR and presented values relative to that of WT.Data are means ϮSEM of four independent experiments.(b)Number of lateral roots formed in the absence or presence of NAA (means ϮSEM of 28seedlings from four independent experiments),measured 5d after transfer to medium supplemented with or without NAA.Asterisks indicate values that are significantly different from those of the WT atP <0.05.(c)Relative values of lateral root number (mean ϮSEM,n =28).Values in (b)were normalized to the values of non-treated controls.Asterisks indicate values that are significantly different from those of the WT (***P <0.005).(d)Primary root elongation in the absence or presence of NAA (means ϮSEM of 28seedlings from four independent experiments).The net primary root growth was measured 7d after transfer to medium supplemented with or without NAA.Asterisks indicate values that are significantly different from those of the WT (**P <0.05;*P <0.1).(e)Relative values of net primary root elongation (mean ϮSEM,n =28).Values in (d)were normalized to the values ofnon-treated controls.Asterisks indicate values that are significantly different from those of the WT (***P <0.005;*P <0.05).950Y.Choi et al .©2012Blackwell Publishing Ltd,Plant,Cell and Environment,36,945–955the absence of exogenous auxin(0n m NAA),ric1plants produced more lateral roots than did the wild type and ric1 complementation lines(n=28,N=4,P<0.05;Fig.4b). However,in the presence of auxin,lateral root number was less in ric1plants than in the wild type(Fig.4b,P<0.05). Whereas80and100n m NAA increased the number of lateral roots per unit length(cm)of primary root in wild-type seedlings to734and920%of non-treated control values, respectively,the same concentration of NAA increased this number in ric1to466and613%of control values,respec-tively(Fig.4c).This alteration in lateral root formation in ric1 plants was completely reversed by the expression of RIC1 driven by its native promoter(ric1/RIC1p:GFP:RIC1).In two independent ric1/RIC1p:GFP:RIC1lines(C1and C2), lateral root formation was recovered to wild-type levels both in the absence and presence of NAA(Fig.4b,c).The effect of RIC1knockout on primary root elongation was also examined(Fig.4d,e).Seven days after transfer to half-strength MS medium supplemented or not with NAA, the net elongation of primary roots was measured.In medium lacking NAA,ric1mutants had reduced primary root elongation compared with wild-type plants(n=28, N=4,P<0.05);the net primary root elongation of wild-type seedlings was4.9Ϯ0.16cm,while that of ric1seedlings was 4.3Ϯ0.22cm(Fig.4d).NAA(50–100n m)inhibited primary root elongation in both ric1and wild-type seedlings (Fig.4d,e).However,ric1seedlings were less sensitive than the wild type to NAA(n=28,N=4,P<0.1);whereas100n m NAA reduced primary root elongation in wild-type seedlings by34.4%(to3.2Ϯ0.16cm),it inhibited that in ric1seedlings by only19.4%(to3.5Ϯ0.13cm).Primary root elongation in the complementation lines(C1and C2)was similar to that in the wild type,in both the absence and presence of NAA (Fig.4d,e).These results suggest that RIC1participates in auxin-regulated lateral root development and primary root elongation.RIC1knockout enhances the effect of ABA on seed germination,lateral root formation and primary root elongationWe then tested whether RIC1knockout also altered the plant’s response to ABA by comparing seed germination and root development in ric1and wild-type plants treated with ABA(Figs5&6).Seeds were sown on half-strength MS medium after2d of stratification.In the presence of0.5m m ABA,seed germination,as gauged by cotyledon greening, was delayed to a greater extent in ric1than in wild-type seeds (Fig.5a,b);whereas only25%of ric1seedlings exhibited cotyledon greening84h after sowing,66%of wild-type seed-lings exhibited greening(Fig.5b).Similar enhanced sensitiv-ity to ABA in inhibition of seed germination was observed when germination rate was analysed based on radicle emer-gence(Supporting Information Fig.S2).Seed germination rates in the ric1/RIC1p:GFP:RIC1lines were restored to wild-type levels in the presence of0.5m m ABA,confirming that loss of RIC1expression was responsible for the enhanced suppression of seed germination by ABA(Fig.5b).The delayed germination of ric1seeds in the presence of ABA was not due to a defect in seed development,because the germination rate of ric1seeds in the absence of ABA was not significantly different from that of wild type(Fig.5c and Supporting Information Fig.S2b).ABA was reported to inhibit root elongation and lateral root development(Pilet&Chanson1981).We compared primary root elongation and lateral root number in ric1and wild-type plants in the presence and absence ofexogenous Figure5.Inhibition of seed germination by abscisic acid(ABA) was enhanced in the ric1mutant.(a)Representative photographs showing young seedlings of wild type(WT),ric1,and the tworic1/RIC1p:GFP:RIC1lines(C1and C2)in the presence of0.5m m ABA(taken96h after sowing).(b)Seed germination rate in the presence of0.5m m ABA,measured as a percentage of seedlings with green cotyledons at the indicated time points after sowing on half-strength Murashige and Skoog(MS)medium supplemented with ABA.Data are meansϮSEM of three independent experiments.(c)Seed germination rate in the absence of ABA. There was no significant difference between genotypes.RIC1regulates root development951©2012Blackwell Publishing Ltd,Plant,Cell and Environment,36,945–955。
T.W. ANDERSON (1971). The Statistical Analysis of Time Series. Series in Probability and Ma

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Universities in Evolutionary Systems(系统变革中的大学)

Universities in Evolutionary Systems of InnovationMarianne van der Steen and Jurgen EndersThis paper criticizes the current narrow view on the role of universities in knowledge-based economies.We propose to extend the current policy framework of universities in national innovation systems(NIS)to a more dynamic one,based on evolutionary economic principles. The main reason is that this dynamic viewfits better with the practice of innovation processes. We contribute on ontological and methodological levels to the literature and policy discussions on the effectiveness of university-industry knowledge transfer and the third mission of uni-versities.We conclude with a discussion of the policy implications for the main stakeholders.1.IntroductionU niversities have always played a major role in the economic and cultural devel-opment of countries.However,their role and expected contribution has changed sub-stantially over the years.Whereas,since1945, universities in Europe were expected to con-tribute to‘basic’research,which could be freely used by society,in recent decades they are expected to contribute more substantially and directly to the competitiveness offirms and societies(Jaffe,2008).Examples are the Bayh–Dole Act(1982)in the United States and in Europe the Lisbon Agenda(2000–2010) which marked an era of a changing and more substantial role for universities.However,it seems that this‘new’role of universities is a sort of universal given one(ex post),instead of an ex ante changing one in a dynamic institutional environment.Many uni-versities are expected nowadays to stimulate a limited number of knowledge transfer activi-ties such as university spin-offs and university patenting and licensing to demonstrate that they are actively engaged in knowledge trans-fer.It is questioned in the literature if this one-size-fits-all approach improves the usefulness and the applicability of university knowledge in industry and society as a whole(e.g.,Litan et al.,2007).Moreover,the various national or regional economic systems have idiosyncratic charac-teristics that in principle pose different(chang-ing)demands towards universities.Instead of assuming that there is only one‘optimal’gov-ernance mode for universities,there may bemultiple ways of organizing the role of univer-sities in innovation processes.In addition,we assume that this can change over time.Recently,more attention in the literature hasfocused on diversity across technologies(e.g.,King,2004;Malerba,2005;Dosi et al.,2006;V an der Steen et al.,2008)and diversity offormal and informal knowledge interactionsbetween universities and industry(e.g.,Cohenet al.,1998).So far,there has been less atten-tion paid to the dynamics of the changing roleof universities in economic systems:how dothe roles of universities vary over time andwhy?Therefore,this article focuses on the onto-logical premises of the functioning of univer-sities in innovation systems from a dynamic,evolutionary perspective.In order to do so,we analyse the role of universities from theperspective of an evolutionary system ofinnovation to understand the embeddednessof universities in a dynamic(national)systemof science and innovation.The article is structured as follows.InSection2we describe the changing role ofuniversities from the static perspective of anational innovation system(NIS),whereasSection3analyses the dynamic perspective ofuniversities based on evolutionary principles.Based on this evolutionary perspective,Section4introduces the characteristics of a LearningUniversity in a dynamic innovation system,summarizing an alternative perception to thestatic view of universities in dynamic economicsystems in Section5.Finally,the concludingVolume17Number42008doi:10.1111/j.1467-8691.2008.00496.x©2008The AuthorsJournal compilation©2008Blackwell Publishingsection discusses policy recommendations for more effective policy instruments from our dynamic perspective.2.Static View of Universities in NIS 2.1The Emergence of the Role of Universities in NISFirst we start with a discussion of the literature and policy reports on national innovation system(NIS).The literature on national inno-vation systems(NIS)is a relatively new and rapidly growingfield of research and widely used by policy-makers worldwide(Fagerberg, 2003;Balzat&Hanusch,2004;Sharif,2006). The NIS approach was initiated in the late 1980s by Freeman(1987),Dosi et al.(1988)and Lundvall(1992)and followed by Nelson (1993),Edquist(1997),and many others.Balzat and Hanusch(2004,p.196)describe a NIS as‘a historically grown subsystem of the national economy in which various organizations and institutions interact with and influence one another in the carrying out of innovative activity’.It is about a systemic approach to innovation,in which the interaction between technology,institutions and organizations is central.With the introduction of the notion of a national innovation system,universities were formally on the agenda of many innovation policymakers worldwide.Clearly,the NIS demonstrated that universities and their interactions with industry matter for innova-tion processes in economic systems.Indeed, since a decade most governments acknowl-edge that interactions between university and industry add to better utilization of scienti-fic knowledge and herewith increase the innovation performance of nations.One of the central notions of the innovation system approach is that universities play an impor-tant role in the development of commercial useful knowledge(Edquist,1997;Sharif, 2006).This contrasts with the linear model innovation that dominated the thinking of science and industry policy makers during the last century.The linear innovation model perceives innovation as an industry activity that‘only’utilizes fundamental scientific knowledge of universities as an input factor for their innovative activities.The emergence of the non-linear approach led to a renewed vision on the role–and expectations–of universities in society. Some authors have referred to a new social contract between science and society(e.g., Neave,2000).The Triple Helix(e.g.,Etzkowitz &Leydesdorff,1997)and the innovation system approach(e.g.,Lundvall,1988)and more recently,the model of Open Innovation (Chesbrough,2003)demonstrated that innova-tion in a knowledge-based economy is an inter-active process involving many different innovation actors that interact in a system of overlapping organizationalfields(science, technology,government)with many interfaces.2.2Static Policy View of Universities in NIS Since the late1990s,the new role of universi-ties in NIS thinking emerged in a growing number of policy studies(e.g.,OECD,1999, 2002;European Commission,2000).The con-tributions of the NIS literature had a large impact on policy makers’perception of the role of universities in the national innovation performance(e.g.,European Commission, 2006).The NIS approach gradually replaced linear thinking about innovation by a more holistic system perspective on innovations, focusing on the interdependencies among the various agents,organizations and institutions. NIS thinking led to a structurally different view of how governments can stimulate the innovation performance of a country.The OECD report of the national innovation system (OECD,1999)clearly incorporated these new economic principles of innovation system theory.This report emphasized this new role and interfaces of universities in knowledge-based economies.This created a new policy rationale and new awareness for technology transfer policy in many countries.The NIS report(1999)was followed by more attention for the diversity of technology transfer mecha-nisms employed in university-industry rela-tions(OECD,2002)and the(need for new) emerging governance structures for the‘third mission’of universities in society,i.e.,patent-ing,licensing and spin-offs,of public research organizations(OECD,2003).The various policy studies have in common that they try to describe and compare the most important institutions,organizations, activities and interactions of public and private actors that take part in or influence the innovation performance of a country.Figure1 provides an illustration.Thefigure demon-strates the major building blocks of a NIS in a practical policy setting.It includesfirms,uni-versities and other public research organiza-tions(PROs)involved in(higher)education and training,science and technology.These organizations embody the science and tech-nology capabilities and knowledge fund of a country.The interaction is represented by the arrows which refer to interactive learn-ing and diffusion of knowledge(Lundvall,Volume17Number42008©2008The AuthorsJournal compilation©2008Blackwell Publishing1992).1The building block ‘Demand’refers to the level and quality of demand that can be a pull factor for firms to innovate.Finally,insti-tutions are represented in the building blocks ‘Framework conditions’and ‘Infrastructure’,including various laws,policies and regula-tions related to science,technology and entre-preneurship.It includes a very broad array of policy issues from intellectual property rights laws to fiscal instruments that stimulate labour mobility between universities and firms.The figure demonstrates that,in order to improve the innovation performance of a country,the NIS as a whole should be conducive for innovative activities in acountry.Since the late 1990s,the conceptual framework as represented in Figure 1serves as a dominant design for many comparative studies of national innovation systems (Polt et al.,2001;OECD,2002).The typical policy benchmark exercise is to compare a number of innovation indicators related to the role of university-industry interactions.Effective performance of universities in the NIS is judged on a number of standardized indica-tors such as the number of spin-offs,patents and licensing.Policy has especially focused on ‘getting the incentives right’to create a generic,good innovative enhancing context for firms.Moreover,policy has also influ-enced the use of specific ‘formal’transfer mechanisms,such as university patents and university spin-offs,to facilitate this collabo-ration.In this way best practice policies are identified and policy recommendations are derived:the so-called one-size-fits-all-approach.The focus is on determining the ingredients of an efficient benchmark NIS,downplaying institutional diversity and1These organizations that interact with each other sometimes co-operate and sometimes compete with each other.For instance,firms sometimes co-operate in certain pre-competitive research projects but can be competitors as well.This is often the case as well withuniversities.Figure 1.The Benchmark NIS Model Source :Bemer et al.(2001).Volume 17Number 42008©2008The AuthorsJournal compilation ©2008Blackwell Publishingvariety in the roles of universities in enhanc-ing innovation performance.The theoretical contributions to the NIS lit-erature have outlined the importance of insti-tutions and institutional change.However,a further theoretical development of the ele-ments of NIS is necessary in order to be useful for policy makers;they need better systemic NIS benchmarks,taking systematically into account the variety of‘national idiosyncrasies’. Edquist(1997)argues that most NIS contribu-tions are more focused onfirms and technol-ogy,sometimes reducing the analysis of the (national)institutions to a left-over category (Geels,2005).Following Hodgson(2000), Nelson(2002),Malerba(2005)and Groenewe-gen and V an der Steen(2006),more attention should be paid to the institutional idiosyncra-sies of the various systems and their evolution over time.This creates variety and evolving demands towards universities over time where the functioning of universities and their interactions with the other part of the NIS do evolve as well.We suggest to conceptualize the dynamics of innovation systems from an evolutionary perspective in order to develop a more subtle and dynamic vision on the role of universities in innovation systems.We emphasize our focus on‘evolutionary systems’instead of national innovation systems because for many universities,in particular some science-based disciplinaryfields such as biotechnology and nanotechnology,the national institutional environment is less relevant than the institu-tional and technical characteristics of the technological regimes,which is in fact a‘sub-system’of the national innovation system.3.Evolutionary Systems of Innovation as an Alternative Concept3.1Evolutionary Theory on Economic Change and InnovationCharles Darwin’s The Origin of Species(1859)is the foundation of modern thinking about change and evolution(Luria et al.,1981,pp. 584–7;Gould,1987).Darwin’s theory of natural selection has had the most important consequences for our perception of change. His view of evolution refers to a continuous and gradual adaptation of species to changes in the environment.The idea of‘survival of thefittest’means that the most adaptive organisms in a population will survive.This occurs through a process of‘natural selection’in which the most adaptive‘species’(organ-isms)will survive.This is a gradual process taking place in a relatively stable environment, working slowly over long periods of time necessary for the distinctive characteristics of species to show their superiority in the‘sur-vival contest’.Based on Darwin,evolutionary biology identifies three levels of aggregation.These three levels are the unit of variation,unit of selection and unit of evolution.The unit of varia-tion concerns the entity which contains the genetic information and which mutates fol-lowing specific rules,namely the genes.Genes contain the hereditary information which is preserved in the DNA.This does not alter sig-nificantly throughout the reproductive life-time of an organism.Genes are passed on from an organism to its successors.The gene pool,i.e.,the total stock of genetic structures of a species,only changes in the reproduction process as individuals die and are born.Par-ticular genes contribute to distinctive charac-teristics and behaviour of species which are more or less conducive to survival.The gene pool constitutes the mechanism to transmit the characteristics of surviving organisms from one generation to the next.The unit of selection is the expression of those genes in the entities which live and die as individual specimens,namely(individual) organisms.These organisms,in their turn,are subjected to a process of natural selection in the environment.‘Fit’organisms endowed with a relatively‘successful’gene pool,are more likely to pass them on to their progeny.As genes contain information to form and program the organisms,it can be expected that in a stable environment genes aiding survival will tend to become more prominent in succeeding genera-tions.‘Natural selection’,thus,is a gradual process selecting the‘fittest’organisms. Finally,there is the unit of evolution,or that which changes over time as the gene pool changes,namely populations.Natural selec-tion produces changes at the level of the population by‘trimming’the set of genetic structures in a population.We would like to point out two central principles of Darwinian evolution.First,its profound indeterminacy since the process of development,for instance the development of DNA,is dominated by time at which highly improbable events happen (Boulding,1991,p.12).Secondly,the process of natural selection eliminates poorly adapted variants in a compulsory manner,since indi-viduals who are‘unfit’are supposed to have no way of escaping the consequences of selection.22We acknowledge that within evolutionary think-ing,the theory of Jean Baptiste Lamarck,which acknowledges in essence that acquired characteris-tics can be transmitted(instead of hereditaryVolume17Number42008©2008The AuthorsJournal compilation©2008Blackwell PublishingThese three levels of aggregation express the differences between ‘what is changing’(genes),‘what is being selected’(organisms),and ‘what changes over time’(populations)in an evolutionary process (Luria et al.,1981,p.625).According to Nelson (see for instance Nelson,1995):‘Technical change is clearly an evolutionary process;the innovation generator keeps on producing entities superior to those earlier in existence,and adjustment forces work slowly’.Technological change and innovation processes are thus ‘evolutionary’because of its characteristics of non-optimality and of an open-ended and path-dependent process.Nelson and Winter (1982)introduced the idea of technical change as an evolutionary process in capitalist economies.Routines in firms function as the relatively durable ‘genes’.Economic competition leads to the selection of certain ‘successful’routines and these can be transferred to other firms by imitation,through buy-outs,training,labour mobility,and so on.Innovation processes involving interactions between universities and industry are central in the NIS approach.Therefore,it seems logical that evolutionary theory would be useful to grasp the role of universities in innovation pro-cesses within the NIS framework.3.2Evolutionary Underpinnings of Innovation SystemsBased on the central evolutionary notions as discussed above,we discuss in this section how the existing NIS approaches have already incor-porated notions in their NIS frameworks.Moreover,we investigate to what extent these notions can be better incorporated in an evolu-tionary innovation system to improve our understanding of universities in dynamic inno-vation processes.We focus on non-optimality,novelty,the anti-reductionist methodology,gradualism and the evolutionary metaphor.Non-optimality (and Bounded Rationality)Based on institutional diversity,the notion of optimality is absent in most NIS approaches.We cannot define an optimal system of innovation because evolutionary learning pro-cesses are important in such systems and thus are subject to continuous change.The system never achieves an equilibrium since the evolu-tionary processes are open-ended and path dependent.In Nelson’s work (e.g.,1993,1995)he has emphasized the presence of contingent out-comes of innovation processes and thus of NIS:‘At any time,there are feasible entities not present in the prevailing system that have a chance of being introduced’.This continuing existence of feasible alternative developments means that the system never reaches a state of equilibrium or finality.The process always remains dynamic and never reaches an optimum.Nelson argues further that diversity exists because technical change is an open-ended multi-path process where no best solu-tion to a technical problem can be identified ex post .As a consequence technical change can be seen as a very wasteful process in capitalist economies with many duplications and dead-ends.Institutional variety is closely linked to non-optimality.In other words,we cannot define the optimal innovation system because the evolutionary learning processes that take place in a particular system make it subject to continuous change.Therefore,comparisons between an existing system and an ideal system are not possible.Hence,in the absence of any notion of optimality,a method of comparing existing systems is necessary.According to Edquist (1997),comparisons between systems were more explicit and systematic than they had been using the NIS approaches.Novelty:Innovations CentralNovelty is already a central notion in the current NIS approaches.Learning is inter-preted in a broad way.Technological innova-tions are defined as combining existing knowledge in new ways or producing new knowledge (generation),and transforming this into economically significant products and processes (absorption).Learning is the most important process behind technological inno-vations.Learning can be formal in the form of education and searching through research and development.However,in many cases,innovations are the consequence of several kinds of learning processes involving many different kinds of economic agents.According to Lundvall (1992,p.9):‘those activities involve learning-by-doing,increasing the efficiency of production operations,learning-characteristics as in the theory of Darwin),is acknowledged to fit better with socio-economic processes of technical change and innovation (e.g.,Nelson &Winter,1982;Hodgson,2000).Therefore,our theory is based on Lamarckian evolutionary theory.However,for the purpose of this article,we will not discuss the differences between these theo-ries at greater length and limit our analysis to the fundamental evolutionary building blocks that are present in both theories.Volume 17Number 42008©2008The AuthorsJournal compilation ©2008Blackwell Publishingby-using,increasing the efficiency of the use of complex systems,and learning-by-interacting, involving users and producers in an interac-tion resulting in product innovations’.In this sense,learning is part of daily routines and activities in an economy.In his Learning Economy concept,Lundvall makes learning more explicit,emphasizing further that ‘knowledge is assumed as the most funda-mental resource and learning the most impor-tant process’(1992,p.10).Anti-reductionist Approach:Systems and Subsystems of InnovationSo far,NIS approaches are not yet clear and systematic in their analysis of the dynamics and change in innovation systems.Lundvall’s (1992)distinction between subsystem and system level based on the work of Boulding implicitly incorporates both the actor(who can undertake innovative activities)as well as the structure(institutional selection environment) in innovation processes of a nation.Moreover, most NIS approaches acknowledge that within the national system,there are different institu-tional subsystems(e.g.,sectors,regions)that all influence each other again in processes of change.However,an explicit analysis of the structured environment is still missing (Edquist,1997).In accordance with the basic principles of evolutionary theory as discussed in Section 3.1,institutional evolutionary theory has developed a very explicit systemic methodol-ogy to investigate the continuous interaction of actors and institutional structures in the evolution of economic systems.The so-called ‘methodological interactionism’can be per-ceived as a methodology that combines a structural perspective and an actor approach to understand processes of economic evolu-tion.Whereas the structural perspective emphasizes the existence of independent institutional layers and processes which deter-mine individual actions,the actor approach emphasizes the free will of individuals.The latter has been referred to as methodological individualism,as we have seen in neo-classical approaches.Methodological indi-vidualism will explain phenomena in terms of the rational individual(showingfixed prefer-ences and having one rational response to any fully specified decision problem(Hodgson, 2000)).The interactionist approach recognizes a level of analysis above the individual orfirm level.NIS approaches recognize that national differences exist in terms of national institu-tions,socio-economic factors,industries and networks,and so on.So,an explicit methodological interactionist approach,explicitly recognizing various insti-tutional layers in the system and subsystem in interaction with the learning agents,can improve our understanding of the evolution of innovation.Gradualism:Learning Processes andPath-DependencyPath-dependency in biology can be translated in an economic context in the form of(some-times very large)time lags between a technical invention,its transformation into an economic innovation,and the widespread diffusion. Clearly,in many of the empirical case studies of NIS,the historical dimension has been stressed.For instance,in the study of Denmark and Sweden,it has been shown that the natural resource base(for Denmark fertile land,and for Sweden minerals)and economic history,from the period of the Industrial Revolution onwards,has strongly influenced present specialization patterns(Edquist& Lundvall,1993,pp.269–82).Hence,history matters in processes of inno-vation as the innovation processes are influ-enced by many institutions and economic agents.In addition,they are often path-dependent as small events are reinforced and become crucially important through processes of positive feedback,in line with evolutionary processes as discussed in Section3.1.Evolutionary MetaphorFinally,most NIS approaches do not explicitly use the biological metaphor.Nevertheless, many of the approaches are based on innova-tion theories in which they do use an explicit evolutionary metaphor(e.g.,the work of Nelson).To summarize,the current(policy)NIS approaches have already implicitly incorpo-rated some evolutionary notions such as non-optimality,novelty and gradualism.However, what is missing is a more explicit analysis of the different institutional levels of the economic system and innovation subsystems (their inertia and evolution)and how they change over time in interaction with the various learning activities of economic agents. These economic agents reside at established firms,start-upfirms,universities,govern-ments,undertaking learning and innovation activities or strategic actions.The explicit use of the biological metaphor and an explicit use of the methodological interactionst approach may increase our understanding of the evolu-tion of innovation systems.Volume17Number42008©2008The AuthorsJournal compilation©2008Blackwell Publishing4.Towards a Dynamic View of Universities4.1The Logic of an Endogenous‘Learning’UniversityIf we translate the methodological interaction-ist approach to the changing role of universities in an evolutionary innovation system,it follows that universities not only respond to changes of the institutional environment(government policies,business demands or changes in scientific paradigms)but universities also influence the institutions of the selection envi-ronment by their strategic,scientific and entre-preneurial actions.Moreover,these actions influence–and are influenced by–the actions of other economic agents as well.So,instead of a one-way rational response by universities to changes(as in reductionist approach),they are intertwined in those processes of change.So, universities actually function as an endogenous source of change in the evolution of the inno-vation system.This is(on an ontological level) a fundamental different view on the role of universities in innovation systems from the existing policy NIS frameworks.In earlier empirical research,we observed that universities already effectively function endogenously in evolutionary innovation system frameworks;universities as actors (already)develop new knowledge,innovate and have their own internal capacity to change,adapt and influence the institutional development of the economic system(e.g., V an der Steen et al.,2009).Moreover,univer-sities consist of a network of various actors, i.e.,the scientists,administrators at technology transfer offices(TTO)as well as the university boards,interacting in various ways with indus-try and governments and embedded in various ways in the regional,national or inter-national environment.So,universities behave in an at least partly endogenous manner because they depend in complex and often unpredictable ways on the decision making of a substantial number of non-collusive agents.Agents at universities react in continuous interaction with the learn-ing activities offirms and governments and other universities.Furthermore,the endogenous processes of technical and institutional learning of univer-sities are entangled in the co-evolution of institutional and technical change of the evo-lutionary innovation system at large.We propose to treat the learning of universities as an inseparable endogenous variable in the inno-vation processes of the economic system.In order to structure the endogenization in the system of innovation analysis,the concept of the Learning University is introduced.In thenext subsection we discuss the main character-istics of the Learning University and Section5discusses the learning university in a dynamic,evolutionary innovation system.An evolution-ary metaphor may be helpful to make theuniversity factor more transparent in theco-evolution of technical and institutionalchange,as we try to understand how variouseconomic agents interact in learning processes.4.2Characteristics of the LearningUniversityThe evolution of the involvement of universi-ties in innovation processes is a learningprocess,because(we assume that)universitypublic agents have their‘own agenda’.V ariousincentives in the environment of universitiessuch as government regulations and technol-ogy transfer policies as well as the innovativebehaviour of economic agents,compel policymakers at universities to constantly respondby adapting and improving their strategiesand policies,whereas the university scientistsare partly steered by these strategies and partlyinfluenced by their own scientific peers andpartly by their historically grown interactionswith industry.During this process,universityboards try to be forward-looking and tobehave strategically in the knowledge thattheir actions‘influence the world’(alsoreferred to earlier as‘intentional variety’;see,for instance,Dosi et al.,1988).‘Intentional variety’presupposes that tech-nical and institutional development of univer-sities is a learning process.University agentsundertake purposeful action for change,theylearn from experience and anticipate futurestates of the selective environment.Further-more,university agents take initiatives to im-prove and develop learning paths.An exampleof these learning agents is provided in Box1.We consider technological and institutionaldevelopment of universities as a process thatinvolves many knowledge-seeking activitieswhere public and private agents’perceptionsand actions are translated into practice.3Theinstitutional changes are the result of inter-actions among economic agents defined byLundvall(1992)as interactive learning.Theseinteractions result in an evolutionary pattern3Using a theory developed in one scientific disci-pline as a metaphor in a different discipline mayresult,in a worst-case scenario,in misleading analo-gies.In the best case,however,it can be a source ofcreativity.As Hodgson(2000)pointed out,the evo-lutionary metaphor is useful for understandingprocesses of technical and institutional change,thatcan help to identify new events,characteristics andphenomena.Volume17Number42008©2008The AuthorsJournal compilation©2008Blackwell Publishing。
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Hale Waihona Puke 1. Introduction1.1. Background and previous work
From the classification of surfaces in Topology, any compact orientable boundaryless surface M is, up to homeomorphism, a sphere, a torus, or, more generally, a g -torus – a gluing of g tori – for some integer g . We focus on surfaces homeomorphic to a g -torus (g > 0). It is a well-known fact that such a surface can be obtained from a 4g -gon by pairwise identifications of its edges; such a polygon is called a polygonal schema. For a general reference on this subject, see for example [11, Chapter 1.4].
In this paper, we consider the case of reduced polygonal schemata: all the vertices of the polygon get identified to a single point v0 , the basepoint, on the surface. This corresponds to a cutting of the surface along simple loops having v0 as common vertex, pairwise disjoint except at v0 , such that the complement of the union of these loops is a topological disk. Such a set of loops is called a fundamental system of loops, or system for short. A system is called canonical if, in addition, the loops around the corresponding reduced polygonal schema appear in the order of the ¯1 , S ¯2 , S3 , S4 , S ¯3 , S ¯4 , . . ., where the bar indiform S1 , S2 , S cates opposite orientation. Computing a (canonical) system of loops on a surface is known to be useful in several problems where a correspondence between the surface and a topological disk needs to be established. Important applications are surface parameterization [4] and texture mapping [9, 10]. Canonical systems also allow to construct homeomorphisms between surfaces of same genus: given a canonical system for each of two such surfaces, it is sufficient to establish a correspondence between their two complementary disks that preserves the order of the loops on their boundary. The surface M is assumed to be triangulated (or, more generally, to be a polyhedral 2-manifold – the faces are arbitrary simple polygons, and the intersection of two faces is either empty, a vertex, or a common edge). In a combinatorial setting, the loops are closed paths on the vertexedge graph G of M; to mimic the continuous setting, two loops of a system are allowed to go along a same edge of G , provided that they “do not cross” if we conceptually spread them apart with a thin space. This informal idea yields a rigorous combinatorial structure, the edge-ordered set of loops. Furthermore, we assume that each edge of G has a positive length, or weight; the length of a system is the sum of the lengths of its loops. Lazarus, Pocchiola, Vegter, and Verroust [8] gave two methods to compute a canonical system of loops on a triangulated surface. While both their algorithms have worstcase optimal asymptotic complexity, they usually produce jaggy and irregular loops as they do not take into account the geometry of the surface. The work by Erickson and HarPeled [3] partly overcomes the geometric aspect: they study the problem of cutting a combinatorial surface into a topo1
Optimal System of Loops on an Orientable Surface∗
Éric Colin de Verdière† Francis Lazarus‡
Abstract
Every compact orientable boundaryless surface M can be cut along simple loops with a common point v0 , pairwise disjoint except at v0 , so that the resulting surface is a topological disk; such a set of loops is called a fundamental system of loops for M. The resulting disk is a polygon in which the edges are pairwise identified on the surface; it is called a polygonal schema. Assuming that M is triangulated, and that each edge has a given length, we are interested in a shortest (or optimal) system homotopic to a given one, drawn on the vertex-edge graph of M. We prove that each loop of such an optimal system is a shortest loop among all simple loops in its homotopy class. We give a polynomial (under some reasonable assumptions) algorithm to build such a system. As a byproduct, we get a polynomial algorithm to compute a shortest simple loop homotopic to a given simple loop.
1.2. Novelty of this paper
We say that two systems with the same basepoint are homotopic if the sets of homotopy classes of the loops in both systems are the same. A system with minimal length in its homotopy class is called optimal. This paper is based on a conceptually very simple Elementary Step which transforms a system into another homotopic system by shortening one loop as much as possible while keeping the other ones fixed. A natural question is to ask what we obtain when this process is iterated forever. Quite surprisingly, this simple iterative scheme converges (in a polynomial number of steps) to an optimal system. We prove that: • the iterative scheme reaches stability in length and yields a system in which each loop is a shortest loop among all simple loops in its homotopy class (hence this system is optimal). This directly implies a theoretical, non-trivial fact: any optimal system is made of shortest simple homotopic loops; • this scheme can be implemented efficiently, leading to an algorithm which, given a system S , computes a homotopic optimal system in time O(µ5 α3 g 3 n3 log(µαn)), where n is the combinatorial complexity of the surface, α is the longest-to-shortest edge ratio, and µ is the maximal number of times a given loop in S passes through a given vertex in M; • these results can be used to compute a shortest simple loop homotopic to a given simple loop. A slightly different version of the algorithm (yielding the same result) has been implemented. Let us stress out that these results are a priori nonobvious. First of all, a shortest loop homotopic to a simple loop may itself not be simple; hence, computing a shortest system homotopic to a given system cannot be obtained by just searching for a shortest loop homotopic to each loop in the system. Even if we find shortest simple homotopic loops, it could still happen that these loops intersect. Furthermore, consider the related problem of finding a shortest loop within a given homotopy class. A natural tool for this is the universal covering of M, since the problem reduces to find a shortest path in this space. However, if the shortest path we are looking for is composed of k edges, then we should a priori visit all vertices at a distance at most k from a lift of the basepoint, and this number of vertices can be exponential in k . 2