bluuebunny/crossref_metadata_2025 huggingface dataset:
#49: Results of 10 Years of Peripherally Inserted Central Catheter Use and the Association with Infections in Pediatric Patients at a Tertiary Care Oncology Hospital
Authors: Acebo Jennia J , Costta María , Sánchez Gisella , Villanueva Erika , Montalvo E Erika , Sánchez Ivonne , Escobar Lizeth , Caniza Miguela
Published: March 2021

Introduction

Pediatric cancer patients merit the placement of central lines for the treatments they receive. Subcutaneous central ports (SCs) and peripherally inserted central catheters (PICCs) are the most frequently used lines. PICCs have gained popularity due to the ease of insertion, which can be invaluable in the pediatric oncology setting for administration of intravenous therapy, parenteral nutrition, and/or blood products. Since central-line-associated bloodstream infections increase the morbidity and mortality of cancer patients, as well as increase the cost generated by their treatment, active surveillance of these healthcare-associated infections is warranted.

Methods

This is a retrospective descriptive study of pediatric patients treated via PICCs at the Hospital SOLCA Núcleo Quito between 2009 and 2019.

Results

During the study period, 70 PICC lines were placed in 66 patients, totaling 1862 catheter-days. The majority of patients (75.7%) were diagnosed with leukemia or lymphoma. As of 2011, all PICCs were placed in the operating room by a surgeon. Ultrasound was used 39 times for the insertion of PICCs. Inadequate peripheral venous access was the most common indication (64.2%) for placement. Twenty-nine PICCs had complications, of which 13 were infectious complications and 16 were noninfectious. The most common infectious complication was PICC-related bloodstream infection (13), and the most frequent noninfectious complication was occlusion (10). The overall complication rate was 15.5 complications per 1000 catheter-days, and the overall infectious complication rate was 6.9 complications per 1000 catheter days. Annual complication rates fluctuated over the study period. The PICC line-associated infection rate per 1000 catheter-days was 13.1‰ in 2009, 12.4‰ in 2010, 5.0‰ in 2011, 7.9‰ in 2012, 0 in 2013, 13.4‰ in 2014, 4.8‰ in 2015, 16.2‰ in 2016, 8.2‰ in 2017, and 4.3‰ in 2018.

Conclusion

In general, complications related to PICC in pediatric patients at a tertiary care oncology hospital have fluctuated over the years. Our findings indicate the need for further efforts in staff education and training in the insertion, care, and maintenance of PICC lines. Best practice guidelines are also critical to reducing complications, especially occlusion and infection rates, to thereby improve patient outcomes.
#70: Comparing Prospectively Identified Etiologic Agents of Neonatal Sepsis in Southwest Ethiopia with WHO Empiric Antibiotic Guidelines
Authors: Gusland Daniele , Berhane Melkamu , Bekele Abinet , Woldegiorgis Yamrot , Siraj Dawd , Conway James
Published: March 2021

Background

Neonatal sepsis accounts for one third of global neonatal mortality. To improve access to treatment for neonatal sepsis, in 2015 the World Health Organization (WHO) released guidance for outpatient treatment (when referral is not possible or refused) of Possible Serious Bacterial Infection (PSBI).1 However, studies from low and middle-income countries suggest that bacteria causing neonatal infection differ from high-income countries, with higher rates of Staphylococcus aureus, Escherichia coli, and Klebsiella species and high rates of antimicrobial resistance. For this reason, local surveillance is vital to develop local antibiograms and tailor appropriate prescribing.

Methods

This is an analysis of the first 6 months of a prospective study of young infants admitted to Jimma University Hospital with PSBI. Young infants admitted to Jimma University Hospital with PSBI (defined by WHO danger signs: poor feeding, seizures, fever, lethargy, hypothermia, tachypnea, and increased work of breathing) are being recruited over a 12-month period. Blood cultures are obtained on admission, incubated in the BACTEC system and positive cultures evaluated for antibiotic susceptibility by Kirby-Bauer Disc diffusion. Primary outcomes are culture positivity, organism identification, and rates of antimicrobial resistance. Secondary outcomes include mortality rates and duration of hospital stay. The data included in this analysis were collected from March 21, 2019, through September 20, 2019. Data collection is ongoing.

Results

In total, 196 infants have been enrolled with a culture positivity rate of 58%. At this time, most frequently identified organisms are Klebsiella spp. (43.4%) and Staphylococcus aureus (12.2%). Gram-negative rods represent 67.8% of the isolates and gram-positive cocci 32.2%. Less than half the isolates (44.4%) were susceptible to either first-line antibiotic (ampicillin and gentamicin). Only 17.4% of the gram-positive cocci were sensitive to oxacillin. In-hospital mortality rates for those with positive cultures approached 15% (compared with 5% for culture negative). The average hospital stay for infants with positive cultures was 13.9 days compared with 10.1 for those with negative cultures.

Conclusion

Klebsiella spp. are responsible for a plurality of neonatal sepsis admissions at Jimma University Hospital. The organisms responsible for neonatal sepsis in southwest Ethiopia are highly resistant to the WHO recommended first-line antibiotics. It is possible that adoption of the WHO guidelines may be inappropriate in this population, which could be better served by tailoring empiric antibiotics to the identified organisms.

Reference

1. World Health Organization. Guideline: Managing possible serious bacterial infection in young infants when a referral is not feasible. (2015) Geneva, CH.
Cell wall thickness and composition are involved in photosynthetic limitation
Authors: Flexas Jaume , Clemente-Moreno María J , Bota Josefina , Brodribb Tim J , Gago Jorge , Mizokami Yusuke , Nadal Miquel , Perera-Castro Alicia V , Roig-Oliver Margalida , Sugiura Daisuke , Xiong Dongliang , Carriquí Marc
Published: March 2021

The key role of cell walls in setting mesophyll conductance to CO2 (gm) and, consequently, photosynthesis is reviewed. First, the theoretical properties of cell walls that can affect gm are presented. Then, we focus on cell wall thickness (Tcw) reviewing empirical evidence showing that Tcw varies strongly among species and phylogenetic groups in a way that correlates with gm and photosynthesis; that is, the thicker the mesophyll cell walls, the lower the gm and photosynthesis. Potential interplays of gm, Tcw, dehydration tolerance, and hydraulic properties of leaves are also discussed. Dynamic variations of Tcw in response to the environment and their implications in the regulation of photosynthesis are discussed, and recent evidence suggesting an influence of cell wall composition on gm is presented. We then propose a hypothetical mechanism for the influence of cell walls on photosynthesis, combining the effects of thickness and composition, particularly pectins. Finally, we discuss the prospects for using biotechnology for enhancing photosynthesis by altering cell wall-related genes.
Risk Appraisal and Action Plans
Authors: Burgio Louis D. , Wynn Matthew J.
Published: March 2021

This chapter describes the first session and the basic components of the REACH OUT intervention. The first session focuses on risk appraisal, conducted using two standardized measures, which helps the clinician and caregiver jointly establish a hierarchy of needs and goals for treatment and organize them according to the five risk areas. The chapter then outlines, step-by-step, the core process of REACH OUT: the creation of formal Action Plans. The goal of this intervention is to engage the caregiver in joint problem solving with the objective of creating written Action Plans targeting specific caregiving problems (e.g., improving caregiver health, addressing hazards in the physical environment). The chapter ends with tips for the clinician to keep in mind when working with caregivers to develop Action Plans.
The Attention-Seeking Elementary School Child
Authors: Kearney Christopher A.
Published: March 2021

This chapter provides an overview of attention-seeking elementary schoolchildren who have difficulty attending school due to desires to be with parents at home. The chapter focuses on setting up a regular morning routine; paying attention to appropriate behaviors and ignoring inappropriate behaviors; setting up formal rewards for going to school without behavior problems; setting up formal disincentives for refusing school with behavior problems; changing what parents say to their child and how they say it; handling excessive calls, texts, and questions; dealing with a child who runs away from the school building; and physically bringing a child to school under certain circumstances. The chapter also covers special topics and circumstances that are common to this type of situation.
Prevention and Special Circumstances
Authors: Kearney Christopher A.
Published: March 2021

This chapter provides an overview of prevention strategies to help stave off possible future school attendance problems once they are resolved. The chapter focuses on continued practice of methods that best helped a child return to school; continued tracking of attendance, distress, and morning behavior problems; continued contact with school officials; continued meetings with a child; and continued reminders and expectations regarding school attendance. Special circumstances include leaving for work early in the morning, multiple children in a family who have difficulty attending school, children with developmental disorders, and referral to the legal system. Suggestions for what to do if the book was less helpful are also provided, and the chapter is linked to the next one on more severe school attendance problems.
Resolving discs and mergers in z ∼ 2 heavily reddened quasars and their companion galaxies with ALMA
Authors: Banerji Manda , Jones Gareth C , Carniani Stefano , DeGraf Colin , Wagg Jeff
Published: March 2021

We present sub-arcsecond resolution Atacama Large Millimeter Array imaging of the CO(3–2) emission in two z ∼ 2.5 heavily reddened quasars (HRQs) – ULASJ1234+0907 and ULASJ2315+0143 – and their companion galaxies. Dynamical modelling of the resolved velocity fields enables us to constrain the molecular gas morphologies and host galaxy masses. Combining the new data with extensive multiwavelength observations, we are able to study the relative kinematics of different molecular emission lines, the molecular gas fractions, and the locations of the quasars on the MBH–Mgal relation. Despite having similar black hole properties, the two HRQs display markedly different host galaxy properties and local environments. J1234 has a very massive host – Mdyn ∼ 5 × 1011 M⊙ and two companion galaxies that are similarly massive located within 200 kpc of the quasar. The molecular gas fraction is low (∼6 per cent). The significant ongoing star formation in the host galaxy is entirely obscured at rest-frame ultraviolet (UV) and optical wavelengths. J2315 is resolved into a close-separation major merger (Δr = 15 kpc; Δv = 170 km s−1) with a ∼1:2 mass ratio. The total dynamical mass is estimated to be ≲1011 M⊙ and the molecular gas fraction is high (>45 per cent). A new HSC image of the galaxy shows unobscured UV-luminous star-forming regions co-incident with the extended reservoir of cold molecular gas in the merger. We use the outputs from the Illustris simulations to track the growth of such massive black holes from z ∼ 6 to the present day. While J1234 is consistent with the simulated z ∼ 2 relation, J2315 has a black hole that is overmassive relative to its host galaxy.
Dips and eclipses in the X-ray binary Swift J1858.6–0814 observed with NICER
Authors: Buisson D J K , Altamirano D , Armas Padilla M , Arzoumanian Z , Bult P , Castro Segura N , Charles P A , Degenaar N , Díaz Trigo M , van den Eijnden J , Fogantini F , Gandhi P , Gendreau K , Hare J , Homan J , Knigge C , Malacaria C , Mendez M , Muñoz Darias T , Ng M , Özbey Arabacı M , Remillard R , Strohmayer T E , Tombesi F , Tomsick J A , Vincentelli F , Walton D J
Published: March 2021

We present the discovery of eclipses in the X-ray light curves of the X-ray binary Swift J1858.6–0814. From these, we find an orbital period of $P=76841.3_{-1.4}^{+1.3}$ s (≈21.3 h) and an eclipse duration of $t_{\rm ec}=4098_{-18}^{+17}$ s (≈1.14 h). We also find several absorption dips during the pre-eclipse phase. From the eclipse duration to orbital period ratio, the inclination of the binary orbit is constrained to i > 70°. The most likely range for the companion mass suggests that the inclination is likely to be closer to this value than 90. The eclipses are also consistent with earlier data, in which strong variability (‘flares’) and the long orbital period prevent clear detection of the period or eclipses. We also find that the bright flares occurred preferentially in the post-eclipse phase of the orbit, likely due to increased thickness at the disc-accretion stream interface preventing flares being visible during the pre-eclipse phase. This supports the notion that variable obscuration is responsible for the unusually strong variability in Swift J1858.6–0814.
3D simulations of oxygen shell burning with and without magnetic fields
Authors: Varma Vishnu , Müller Bernhard
Published: March 2021

We present a first 3D magnetohydrodynamic (MHD) simulation of convective oxygen and neon shell burning in a non-rotating $18\, \mathrm{M}_\odot$ star shortly before core collapse to study the generation of magnetic fields in supernova progenitors. We also run a purely hydrodynamic control simulation to gauge the impact of the magnetic fields on the convective flow and on convective boundary mixing. After about 17 convective turnover times, the magnetic field is approaching saturation levels in the oxygen shell with an average field strength of $\mathord {\sim }10^{10}\, \mathrm{G}$, and does not reach kinetic equipartition. The field remains dominated by small-to-medium scales, and the dipole field strength at the base of the oxygen shell is only $10^{9}\, \mathrm{G}$. The angle-averaged diagonal components of the Maxwell stress tensor mirror those of the Reynolds stress tensor, but are about one order of magnitude smaller. The shear flow at the oxygen–neon shell interface creates relatively strong fields parallel to the convective boundary, which noticeably inhibit the turbulent entrainment of neon into the oxygen shell. The reduced ingestion of neon lowers the nuclear energy generation rate in the oxygen shell and thereby slightly slows down the convective flow. Aside from this indirect effect, we find that magnetic fields do not appreciably alter the flow inside the oxygen shell. We discuss the implications of our results for the subsequent core-collapse supernova and stress the need for longer simulations, resolution studies, and an investigation of non-ideal effects for a better understanding of magnetic fields in supernova progenitors.
MOBSTER – IV. Detection of a new magnetic B-type star from follow-up spectropolarimetric observations of photometrically selected candidates★
Authors: David-Uraz A , Shultz M E , Petit V , Bowman D M , Erba C , Fine R A , Neiner C , Pablo H , Sikora J , ud-Doula A , Wade G A
Published: March 2021

In this paper, we present results from the spectropolarimetric follow-up of photometrically selected candidate magnetic B stars from the MOBSTER (Magnetic OB[A] Stars with TESS: probing their Evolutionary and Rotational properties) project. Out of four observed targets, one (HD 38170) is found to host a detectable surface magnetic field, with a maximum longitudinal field measurement of 105 ± 14 G. This star is chemically peculiar and classified as an α2 CVn variable. Its detection validates the use of the Transiting Exoplanet Survey Satellite (TESS) to perform a photometric selection of magnetic candidates. Furthermore, upper limits on the strength of a putative dipolar magnetic field are derived for the remaining three stars, and we report the discovery of a previously unknown spectroscopic binary system, HD 25709. Finally, we use our non-detections as case studies to further inform the criteria to be used for the selection of a larger sample of stars to be followed up using high-resolution spectropolarimetry.
Detection of Isocitrate Dehydrogenase Mutated Glioblastomas Through Anomaly Detection Analytics
Authors: Taha Birra , Li Taihui , Boley Daniel , Chen Clark C , Sun Ju
Published: March 2021

BACKGROUND

The rarity of Isocitrate Dehydrogenase mutated (mIDH) glioblastomas relative to wild-type IDH glioblastomas, as well as their distinct tumor physiology, effectively render them “outliers”. Specialized tools are needed to identify these outliers.

OBJECTIVE

To carefully craft and apply anomaly detection methods to identify mIDH glioblastoma based on radiomic features derived from magnetic resonance imaging.

METHODS

T1-post gadolinium images for 188 patients and 138 patients were downloaded from The Cancer Imaging Archive's (TCIA) The Cancer Genome Atlas (TCGA) glioblastoma collection, and from the University of Minnesota Medical Center (UMMC), respectively. Anomaly detection methods were tested on glioblastoma image features for the precision of mIDH detection and compared to standard classification methods.

RESULTS

Using anomaly detection training methods, we were able to detect IDH mutations from features in noncontrast-enhancing regions in glioblastoma with an average precision of 75.0%, 69.9%, and 69.8% using three different models. Anomaly detection methods consistently outperformed traditional two-class classification methods from 2 unique learning models (67.9%, 67.6%). The disparity in performances could not be overcome through newer, popular models such as neural networks (67.4%).

CONCLUSION

We employed an anomaly detection strategy in the detection of IDH mutation in glioblastoma using preoperative T1 postcontrast imaging. We show these methods outperform traditional two-class classification in the setting of dataset imbalances inherent to IDH mutation prevalence in glioblastoma. We validate our results using an external dataset and highlight new possible avenues for radiogenomic rare event prediction in glioblastoma and beyond.
A proof of concept for neutralizing antibody-guided vaccine design against SARS-CoV-2
Authors: Zhang Li , Cao Lei , Gao Xing-Su , Zheng Bin-Yang , Deng Yong-Qiang , Li Jing-Xin , Feng Rui , Bian Qian , Guo Xi-Ling , Wang Nan , Qiu Hong-Ying , Wang Lei , Cui Zhen , Ye Qing , Chen Geng , Lu Kui-Kui , Chen Yin , Chen Yu-Tao , Pan Hong-Xing , Yu Jiaping , Yao Wenrong , Zhu Bao-Li , Chen Jianping , Liu Yong , Qin Cheng-Feng , Wang Xiangxi , Zhu Feng-Cai
Published: March 2021

Mutations and transient conformational movements of receptor binding domain (RBD) that make neutralizing epitopes momentarily unavailable, present immune escape routes to SARS-CoV-2. To mitigate viral escape, we developed a cocktail of neutralizing antibodies (NAbs) targeting epitopes located on different domains of spike (S) protein. Screening of a library of monoclonal antibodies generated from peripheral blood mononuclear cells of COVID-19 convalescent patients yielded potent NAbs, targeting N-terminal domain (NTD) and RBD domain of S, effective at nM concentrations. Remarkably, combination of RBD-targeting NAbs and NTD-binding NAb, FC05, enhanced the neutralization potency in cell-based assays and animal model. Results of competitive SPR assays and cryo-EM structures of Fabs bound to S unveil determinants of immunogenicity. Combinations of immunogens, identified in NTD and RBD of S, when immunized in rabbits and macaques elicited potent protective immune responses against SARS-CoV-2. More importantly, two immunizations of this combination of NTD and RBD immunogens provided complete protection in macaques against SARS-CoV-2 challenge, without observable antibody-dependent enhancement of infection. These results provide a proof-of-concept for neutralization-based immunogen design targeting SARS-CoV-2 NTD and RBD.
Dynamic Change and Clinical Relevance of Postinfectious SARS-CoV-2 Antibody Responses
Authors: Mallon Patrick W G , Tinago Willard , Leon Alejandro Garcia , McCann Kathleen , Kenny Grace , McGettrick Padraig , Green Sandra , Inzitari Rosanna , Cottere Aoife G , Feeney Eoin R , Savinelli Stefano , Doran Peter ,   All Ireland Infectious Diseases Cohort Study Group, Gavin P , Eustace J , Horgan M , Sadlier C , Lambert J , McGinty T , Low J , Whelan B , McNicholas B , Yousif O , Courtney G , DeBarra E , Kelly C , Bracken T
Published: March 2021

Background

Although reports suggest that most individuals with coronavirus disease 2019 (COVID-19) develop detectable antibodies postinfection, the kinetics, durability, and relative differences between immunoglobulin M (IgM) and immunoglobulin G (IgG) responses beyond the first few weeks after symptom onset remain poorly understood.

Methods

Within a large, well-phenotyped, diverse, prospective cohort of subjects with and without severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) polymerase chain reaction (PCR)–confirmed infection and historical controls derived from cohorts with high prevalence of viral coinfections and samples taken during prior flu seasons, we measured SARS-CoV-2 serological responses (both IgG and IgM) using commercially available assays. We calculated sensitivity, specificity, and relationship with disease severity and mapped the kinetics of antibody responses over time using generalized additive models.

Results

We analyzed 1001 samples from 752 subjects, 327 with confirmed SARS-CoV-2 (29.7% with severe disease) spanning a period of 90 days from symptom onset. Sensitivity was lower (44.1%–47.1%) early (<10 days) after symptom onset but increased to >80% after 10 days. IgM positivity increased earlier than IgG-targeted assays, but positivity peaked between days 32 and 38 post–onset of symptoms and declined thereafter, a dynamic that was confirmed when antibody levels were analyzed, with a more rapid decline observed with IgM. Early (<10 days) IgM but not IgG levels were significantly higher in those who subsequently developed severe disease (signal/cutoff 4.20 [0.75–17.93] vs 1.07 [0.21–5.46]; P = .048).

Conclusions

This study suggests that postinfectious antibody responses in those with confirmed COVID-19 begin to decline relatively early postinfection and suggests a potential role for higher IgM levels early in infection in the prediction of subsequent disease severity.
Prevalence of SARS-CoV-2 in Household Members and Other Close Contacts of COVID-19 Cases: A Serologic Study in Canton of Vaud, Switzerland
Authors: Dupraz Julien , Butty Audrey , Duperrex Olivier , Estoppey Sandrine , Faivre Vincent , Thabard Julien , Zuppinger Claire , Greub Gilbert , Pantaleo Giuseppe , Pasquier Jérôme , Rousson Valentin , Egger Malik , Steiner-Dubuis Amélie , Vassaux Sophie , Masserey Eric , Bochud Murielle , Gonseth Nusslé Semira , D’Acremont Valérie
Published: March 2021

Background

Research on severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2) transmission within households and other close settings using serological testing is scarce.

Methods

We invited coronavirus disease 2019 (COVID-19) cases diagnosed between February 27 and April 1, 2020, in Canton of Vaud, Switzerland, to participate, along with household members and other close contacts. Anti-SARS-CoV-2 immunoglobulin G antibodies were measured using a Luminex immunoassay. We estimated factors associated with serological status using generalized estimating equations.

Results

Overall, 219 cases, 302 household members, and 69 other close contacts participated between May 4 and June 27, 2020. More than half of household members (57.2%; 95% CI, 49.7%–64.3%) had developed a serologic response to SARS-CoV-2, while 19.0% (95% CI, 10.0%–33.2%) of other close contacts were seropositive. After adjusting for individual and household characteristics, infection risk was higher in household members aged ≥65 years than in younger adults (adjusted odds ratio [aOR], 3.63; 95% CI, 1.05–12.60) and in those not strictly adhering to simple hygiene rules like hand washing (aOR, 1.80; 95% CI, 1.02–3.17). The risk was lower when more than 5 people outside home were met during semiconfinement, compared with none (aOR, 0.35; 95% CI, 0.16–0.74). Individual risk of household members to be seropositive was lower in large households (22% less per each additional person).

Conclusions

During semiconfinement, household members of a COVID-19 case were at very high risk of getting infected, 3 times more than close contacts outside home. This highlights the need to provide clear messages on protective measures applicable at home. For elderly couples, who were especially at risk, providing external support for daily basic activities is essential.
Banking Sector and Corporate Structures—The Scope of the Recovery and Resolution Framework
Authors: Schillig Michael
Published: March 2021

The financial system is populated by a wide variety of different institutions, within and across jurisdictions. Their structure and legal nature is largely path-dependent on the applicable regulatory regime, which in turn may be the result of historical accident rather than conscientious planning. This chapter seeks to delineate the scope of application of the recovery and resolution frameworks. In this context it is necessary to have a closer look at the structure of the banking and financial sectors in the jurisdictions under consideration. Despite considerable convergence, significant differences remain. This has consequences for the prevalent corporate and organizational structures, which, in turn, have important implications for recovery and resolution planning and for the application of resolution tools and powers. Structural reform efforts seek to further improve resolvability.
Early Intervention
Authors: Schillig Michael
Published: March 2021

The Financial Stability Board recommended that all national supervisors should have the mandate and powers to identify risks and intervene early in order to prevent unsound practices and take appropriate measures to reduce the impact of potential stresses on financial institutions and to safeguard against systemic risks. Accordingly, the BRRD and SRM contain new powers for the competent authorities to intervene early before an institution’s financial and economic situation has deteriorated to a point where resolution is the only viable alternative. The chapter starts with some theoretical reflections, focusing on the incentives of the actors involved. It then discusses the early intervention framework under BRRD and SRM and national transposition in the UK and Germany. It also covers the US prompt corrective action framework and early remediation under Dodd–Frank.
Bail-In
Authors: Schillig Michael
Published: March 2021

Bail-in—the recapitalization of a failing institution through a write down and conversion to equity of some of its liabilities—has emerged as many regulators’ and commentators’ favoured approach for resolving large and complex financial institutions. The chapter starts with a conceptual delineation of bail-in and contingent capital, before the bail-in tool under BRRD and SRM and its implementation in the UK and Germany are analysed. Having discussed all resolution tools available under the EU resolution framework, these are applied in a hypothetical case study of the resolution of the Belgian–Dutch Fortis group that failed in 2008. The EU framework may be contrasted with bail-in under the Dodd–Frank Act as envisaged by the FDIC.
General
Authors: Burrows Andrew
Published: March 2021

The concept of a remedy has rarely been subjected to rigorous analysis. Views may differ as to precisely what one is talking about. In this book, a remedy is used to denote the relief that a person can seek from a court. The focus is therefore entirely on judicial remedies; and not on what are sometimes termed ‘self-help’ remedies, which are available without coming to court, such as out of court settlements, termination of a contract, and the ejection of trespassers. Put another way, this book examines what a person can obtain from a court to counter an infringement (or threatened infringement) of his or her rights by a tort or breach of contract (or, in chapter 26, by an equitable wrong); but it is not concerned with any other legally permissible options open to a person to counter such an infringement.
Limitation periods
Authors: Burrows Andrew
Published: March 2021

Although, strictly speaking, the law of limitation is separate from the law of remedies, the two are closely connected. Moreover, it has been said to be ‘… trite law that the English Limitation Acts bar the remedy and not the right’. It has therefore been thought helpful to include here a very brief outline of limitation periods for claims for damages, albeit with the warning that this chapter does not attempt to deal with all the details of the law.
Looking Ahead
Authors: Ashdown Michael
Published: March 2021

The Supreme Court’s decision in Pitt v Holt and Futter v Futter is now the crucial landmark in the life of the Re Hastings-Bass doctrine. Lord Walker’s judgment, together with Lloyd LJ’s in the Court of Appeal, will continue to be the subject of debate and criticism, and there certainly remain detailed technical questions which will require close judicial attention in future. But it has achieved an enormous amount in reformulating the Re Hastings-Bass rule so as to accord with the essential principles of English trusts law: it has now been put beyond doubt that it is a duty- (rather than results-) oriented rule, which can be invoked only on proof of the trustees’ breach of duty, and the consequence of which is to render the impugned exercise of power or discretion voidable. The tangled case law of the 1990s and 2000s has been swept away by the Supreme Court, and as yet it has not been replaced by an extensive body of case law applying that decision and filling in the gaps—although that will doubtless follow. As such, this is an opportune moment at which to look at the Re Hastings-Bass rule more broadly, to examine the processes through which it has been, and will continue to be, moulded and refined, and to consider likely future developments. In this respect it is also useful to look beyond the English courts to see how the Re Hastings-Bass rule has fared offshore, and the extent to which it has taken on an independent life, divergent from the English experience.
Germany
Authors: Spahlinger Andreas , Kortz Helge
Published: March 2021

The material contained herein is intended as a general guide only and is not intended to be a memorandum of law study, nor to provide legal advice, and should not be treated as a substitute for legal advice concerning particular situations. Legal advice should always be sought before taking any action based on the information provided. The publishers, editors, and authors bear no responsibility for any errors or omissions contained therein.
Compromising Shareholder Claims Generally and in Listed Companies
Authors: Mallon Christopher , Waisman Shai Y , Schrock Ray C
Published: March 2021

In both UK and US bankruptcy proceedings, shareholders rank lowest in terms of recovery. In consensual restructurings, however, shareholders in both jurisdictions may be able to position themselves to retain some potential upside in exchange for their cooperation in the restructuring process. Likewise, in the context of non-consensual arrangements, shareholders in both the US and UK may also seek to leverage their position, especially in cases where they have an influence in the restructured business, whether this is by virtue of their involvement as management or key employees, or in providing further funds to the distressed business. As a matter of UK law, various restructuring techniques exist which facilitate the compromise of shareholder rights, or allow them in certain circumstances to be left out of the restructuring entirely; we consider these techniques in this chapter. In summary however, both in the US and as a matter of UK law, a consensual solution is often the preferred route so shareholder cooperation is often sought, and to this extent the shareholders may continue to influence the restructuring process.
General Introduction European Contract Laws
Authors: Jansen Nils , Reinhard Zimmermann
Published: March 2021

In the autumn of 2010 the editors of this volume ran a seminar within a summer school organized by the Studienstiftung des deutschen Volkes in the French Maritime Alps. The aim of that seminar was a comparative assessment of the various ‘restatements’, ‘model laws’, ‘reference texts’, or ‘non-legislative codifications’ on European contract law that had by then been published. That assessment turned out to be much more interesting than we had originally envisaged, for we discovered that those texts were genetically related in unexpectedly complex ways. We had known before, of course, that some rules and formulations in later texts had been taken over or adapted from older texts and that a number of the restatements were also connected to the European Union’s acquis communautaire. But we had not been aware of the extent to which the texts were interrelated; nor had we appreciated the changes of wording and systematic context that had occurred. The mixture of complex genetic relationships, of correspondence and differences in formulation, and of shifts in approach and policy thus became more interesting, but also more difficult to understand.
Composition of the panels of the Court of First Instance
Authors: Büttner Tilmann
Published: March 2021

The panels’ composition is important for the proceedings as well as for the acceptance of the decisions rendered by a multinational court. Even though all judges have an equal vote, no matter whether legally or technically qualified and regardless of their nationality (Art 78 UPCA), it contributes to the Court’s authority that it reaches decisions through the use of multinational panels with which parties from different CMSs may more easily identify. This is the idea behind the principle of a multinational composition: all panels of the Court of First Instance and of the Court of Appeal are to have a multinational composition, ie they are composed of nationals from at least two CMSs. In addition, the participation of one (in appeal proceedings, two) technically qualified judge is provided for in cases where the Court is deciding on patentability.
Pool of Judges
Authors: Büttner Tilmann
Published: March 2021

A uniform quality of decisions by multinational judges within the UPC cannot be achieved by allocating a fixed number of local judges to every division of the Court. The Court is organized over all the territories of the CMSs and located in divisions geographically remote from one another. Therefore, the establishment of a pool of judges is necessary for distributing and exchanging knowledge and experience within the Court and also to provide a multinational composition of judges in every division of first instance.
Financing of the Court
Authors: Tilmann Winfried
Published: March 2021

The first subpara provides that the operating costs of the Court are covered by the budget of the Court, in accordance with the Statute. The reference to the Statute is to Arts 26–32 UPC Statute. The Financial Regulations referred to in Art 26(1) UPC Statute are set out in Art 33 UPC Statute.
The general powers of the Court
Authors: Tilmann Winfried
Published: March 2021

The Court may impose such measures, procedures and remedies as are laid down in this Agreement and may make its orders subject to conditions, in accordance with the Rules of Procedure.
Article 58 Protection of confidential information
Authors: Tilmann Winfried
Published: March 2021

To protect the trade secrets, personal data or other confidential information of a party to the proceedings or of a third party, or to prevent an abuse of evidence, the Court may order that the collection and use of evidence in proceedings before it be restricted or prohibited or that access to such evidence be restricted to specific persons.
Order to preserve evidence and to inspect premises
Authors: Tilmann Winfried
Published: March 2021

At the request of the applicant which has presented reasonably available evidence to support the claim that the patent has been infringed or is about to be infringed the Court may, even before the commencement of proceedings on the merits of the case, order prompt and effective provisional measures to preserve relevant evidence in respect of the alleged infringement, subject to the protection of confidential information.
Court fees
Authors: Tilmann Winfried , Dold Dennis
Published: March 2021

Court fees shall be paid in advance, unless the Rules of Procedure provide otherwise. Any party which has not paid a prescribed court fee may be excluded from further participation in the proceedings.
Remuneration
Authors: Tochtermann Peter
Published: March 2021

The Administrative Committee shall set the remuneration of the President of the Court of Appeal, the President of the Court of First Instance, the judges, the Registrar, the Deputy-Registrar and the staff.
Judicial vacations
Authors: Tochtermann Peter
Published: March 2021

Judicial vacations at the UPC will be fixed by the President of the Court of Appeal after consultation with the Presidium, which will make suggestions (Rule 342 UPCARoP). Official holidays will be those relevant in the CMS where the respective local or regional division or section of the central division or the Court of Appeal has its seat (see Rule 300 lit f UPCARoP). In cases of urgency, the President of the Court of Appeal can convene the judges.
Financial Regulations
Authors: Tochtermann Peter
Published: March 2021

The Administrative Committee adopts Financial Regulations governing the details of the financial administration of the Court. The Draft Financial Regulations contain 82 Articles and two Annexes setting out the particularities listed in para 2. The Draft Financial Regulations are structured in nine chapters.
Lodging of an Application to opt out and withdrawal of an opt-out
Authors: Tilmann Winfried
Published: March 2021

On the effective date of the opt-out notification, a European patent without unitary effect (here: patent) is excluded from the competence of the UPC in respect of all its claims and for all countries of protection (on the latter point, → Rule 5.1(b) UPCARoP). For the actions listed in Art 32(1) UPCA, only those national courts that would be competent if the UPC did not exist are competent. That said, the patent is not excluded from the UPCA. Its harmonizing provisions are also to be applied by the national courts competent after the opt-out. For details, refer to the commentary on Art 83 UPCA. The expression ‘exclusive competence’ in para 1 of Rule 5 UPCARoP has given rise to misunderstandings. What is meant is that the competence of the UPC referred to as exclusive in Art 32(1) UPCA is lifted and replaced by the exclusive competence of the national courts.
Use of languages under Article 49(1) and (2) of the Agreement
Authors: Tilmann Max , Steininger Steffen
Published: March 2021

Pursuant to the first alternative of Art 49(1) UPCA, a local division offers as the language of proceedings an official language of the CMS hosting such division (ie in which that division has its seat—language of seat, seat of the Court, not to be confused with the language of the defendant’s place of residence). The parties to the proceedings must avail themselves of this language, ie in the written pleadings (in respect of the documents, a reduced standard of mandatory translation applies pursuant to Rules 13.1(q) and 13.3 UPCARoP), in taking evidence, and at the oral hearing (subject to the possibility of using simultaneous interpreting in accordance with Art 51(2) UPCA and Rule 109 UPCARoP) and in correspondence with the Court (para 1(a)). This language is also to be used by the Court in the proceedings (subject to para 2c). That does not exclude the possibility of another language being used by the Court internally. Pursuant to Art 51(1) UPCA, the Court may request or dispense with translations.
Counterclaim for revocation
Authors: Plassmann Clemens , Steininger Steffen
Published: March 2021

Para 1 sets out detailed requirements for what a Counterclaim for revocation needs to contain. The defendant’s right to lodge a Counterclaim for revocation of the patent in the infringement proceedings follows from the first sentence of Art 33(3) UPCA in conjunction with Art 32(1)(e). The option of a Counterclaim for revocation is a significant change compared with the legal situation currently existing in Germany since the competent division may itself decide on the legal validity of the patent in accordance with the single-track system. The strict principle of separation applicable in German patent infringement proceedings (for details, → Rule 12 UPCARoP) does not apply to the UPC. The UPC, pursuant to the second sentence of Art 33(3) may choose whether to apply in the specific case the single-track or the separation proceedings.
Request by the judge-rapporteur for allocating a technically qualified judge
Authors: Plassmann Clemens , Steininger Steffen
Published: March 2021

The purpose of Rule 34 UPCARoP is to ensure that the Court—irrespective of any party applications—can draw on technically necessary expertise as required. Pursuant to the second sentence of Art 8(5) UPCA, any panel of a local or regional division has the possibility of requesting the allocation of a technically qualified judge at any stage of the proceedings (for details, → Art 8 UPCA). Rule 34 specifically authorizes the judge rapporteur to request the allocation in the written procedure. This authority arises from the case management role played by the judge rapporteur in accordance with Rule 331.1 for the written procedure (for details, → Rule 18 UPCARoP).
Rule 56: Lodging of the Defence to the Counterclaim for infringement
Authors: Faehndrich Martin , Klicznik Alexander , Tilmann Max
Published: March 2021

The possibility of an extension to the time period is provided for in Rule 9.3 which does not stipulate the specific cases in which the UPC will grant an extension to the time period and nor does it specify any conditions that have to be met for an extension. This means that the possibility of an extension to the time period is entirely at the discretion of the UPC. Given the desire to keep the duration of the proceedings as short as possible, it will grant an extension to the time period for lodging the Rejoinder only in rare cases.
Rule 75: Revocation action and subsequent infringement action in a local or regional division (Article 33(5) of the Agreement)
Authors: von Falck Andreas , Dorn Stephan
Published: March 2021

If the intention of the opponent of the patent proprietor is only to defend himself against an infringement action, he will wait until the patent proprietor asserts that patent against him. Even if the patent proprietor asserts the patent, it may not be sufficient reason for him to lodge an isolated revocation action. The costs of an isolated attack on the patent will appear to be too high, compared with the value of the legal security gained by revocation of the patent, if the patent proprietor decides not to lodge an infringement action against him. The alleged patent infringer does not lose any opportunity if he does not lodge a revocation claim at the time the patent proprietor asserts the patent against him. He can raise a Counterclaim for revocation if the patent proprietor decides to lodge an infringement action. Therefore, the alleged patent infringer can stop and wait until the patent proprietor lodges an infringement action.
Rule 93: Examination of the Application to annul or alter a decision of the Office
Authors: Kuczera Markus
Published: March 2021

When setting the date, however, the judge rapporteur should also keep in mind Rule 94. If the President of the EPO has already indicated his interest in commenting or if such comments are expected, it must be taken into account for the purposes of scheduling that the claimant is entitled to submit its observations on the comments pursuant to Rule 94.3 prior to the interim conference.
Rule 95: Lex specialis for the interim procedure (ex parte procedure)
Authors: Kuczera Markus
Published: March 2021

During the interim procedure, the judge-rapporteur shall invite the claimant to indicate whether he wishes that an oral hearing be convened. The judge-rapporteur may convene an oral hearing at his own instance.
Rule 97: Application to annul a decision of the Office to refuse a request for unitary effect
Authors: Kuczera Markus
Published: March 2021

Rule 97 UPCAROP is a special rule governing the entire process for bringing an action against a very specific administrative decision of the EPO: the denial of the unitary effect of an EP. In practice, actions contesting such an EPO decision are likely to be of particular importance compared to actions brought against the EPO’s other administrative decisions pursuant to Art 9(1) EPUE Reg. Nevertheless, according to the classification set out in the Rules of Procedure, actions pursuant to Rules 85 ff are treated as the normal scenario to which Rule 97 refers in some cases.
Rule 108 Summons to the oral hearing
Authors: Tochtermann Peter
Published: March 2021

The judge-rapporteur shall summon the parties to the oral hearing which shall take place before the panel on the date(s) set under Rules 28 and/or 41(c) and 104(h). If no date(s) have been set the judge-rapporteur shall set a date for the oral hearing. At least two months’ notice shall be given, unless the parties agree to a shorter time period.
Order on the Application for preserving evidence
Authors: Ahrens Hans-Jürgen
Published: March 2021

The Court may order the applicant to provide adequate security for the legal costs and other expenses and compensation for any injury incurred or likely to be incurred by the defendant which the applicant may be liable to bear. The Court shall do so where the order to preserve evidence was made without the defendant having been heard, unless there are special circumstances not to do so. The Court shall decide whether it is appropriate to order the security by deposit or bank guarantee.
Rule 211 Order on the Application for provisional measures
Authors: von Falck Andreas , Dorn Stephan
Published: March 2021

The provisional measures listed in Rule 211 are not the only provisional measures the Court can order. This follows from the words ‘in particular’. The Court has discretion not only on whether it orders a provisional measure but also on which measure it orders.
Rule 224 Time periods for lodging the Statement of appeal and the Statement of grounds of appeal
Authors: Büttner Tilmann
Published: March 2021

An appellant must follow a series of time periods for lodging and reasoning his appeal, otherwise he runs the risk of failing the appeal for reasons of formality. An appeal against merely procedural decisions is subject to a considerably strict regime of time limits with the time period for both lodging the appeal and setting out the grounds for appeal being only 15 days beginning with service of either the decision to be appealed or granting of leave to appeal.
Rule 240 Conduct of the oral hearing
Authors: Büttner Tilmann
Published: March 2021

The conduct of the oral hearing on the appeal action is designed in a very similar way to the oral hearing before the Court of First Instance.
Obligation to raise objections
Authors: Dorn Stephan
Published: March 2021

Procedural defects may be a ground for a rehearing only if an objection in respect of that defect was raised during the proceedings before the Court of First Instance or before the Court of Appeal and has been dismissed by the Court. This is an obligation on the parties. If a party does not act according to that obligation, it makes an application for rehearing, based on that defect, inadmissible.
Definition of criminal offence
Authors: Dorn Stephan
Published: March 2021

A criminal offence shall only be considered to have occurred if it is finally held to be such an offence by a competent court or authority. A conviction is not necessary.