New regularization method for EXAFS analysis: Application to uranium and plutonium sorption onto kaolinite

Die Röntgenabsorptionsspektroskopie (Extended X-ray absorption fine structure (EXAFS) spectroscopy) ist eine wichtige Methode zur Speziation von Schwermetallen in einem weiten Bereich von umweltrelevanten Systemen. Um Strukturparameter wie Koordinationszahl, Atomabstand und Debye-Waller Faktoren für die nächsten Nachbarn eines absorbierenden Atoms zu bestimmen, ist es für experimentelle EXAFS-Spektren üblich, unter Verwendung von Modellstrukturen einen „Least-Squares-Fit“ durchzuführen. Oft können verschiedene Modellstrukturen mit völlig unterschiedlicher chemischer Bedeutung die experimentellen EXAFS-Daten gleich gut beschreiben. Als gute Alternative zum konventionellen Kurven-Fit bietet sich das modifizierte Tikhonov-Regularisationsverfahren an. Ergänzend zur Tikhonov-Standardvariationsmethode enthält der in dieser Arbeit vorgestellte Algorithmus zwei weitere Schritte, nämlich die Anwendung des „Method of Separating Functionals“ und ein Iterationsverfahren mit Filtration im realen Raum. Um das modifizierte Tikhonov-Regularisationsverfahren zu testen und zu bestätigen wurden sowohl simulierte als auch experimentell gemessene EXAFS-Spektren einer kristallinen U(VI)-Verbindung mit bekannter Struktur, nämlich Soddyit (UO2)2SiO4 x 2H2O, untersucht. Die Leistungsfähigkeit dieser neuen Methode zur Auswertung von EXAFS-Spektren wird durch ihre Anwendung auf die Analyse von Proben mit unbekannter Struktur gezeigt, wie sie bei der Sorption von U(VI) bzw. von Pu(III)/Pu(IV) an Kaolinit auftreten. Ziel der Dissertation war es, die immer noch nicht voll ausgeschöpften Möglichkeiten des modifizierten Tikhonov-Regularisationsverfahrens für die Auswertung von EXAFS-Spektren aufzuzeigen. Die Ergebnisse lassen sich in zwei Kategorien einteilen. Die erste beinhaltet die Entwicklung des Tikhonov-Regularisationsverfahrens für die Analyse von EXAFS-Spektren von Mehrkomponentensystemen, insbesondere die Wahl bestimmter Regularisationsparameter und den Einfluss von Mehrfachstreuung, experimentell bedingtem Rauschen, etc. auf die Strukturparameter. Der zweite Teil beinhaltet die Speziation von sorbiertem U(VI) und Pu(III)/Pu(IV) an Kaolinit, basierend auf experimentellen EXAFS-Spektren, die mit Hilfe des modifizierten Tikhonov-Regularisationsverfahren ausgewertet und mit Hilfe konventioneller EXAFS-Analyse durch „Least-Squares-Fit“ bestätigt wurden.

Störungstheoretische Behandlung relativistischer Korrekturen zu Gleichgewichtsstrukturen im Rahmen der Coupled-Cluster-Theorie

Quantenchemische Untersuchungen von Atomen und Molekülen haben in den letzten Jahren durch die systematische Erweiterung der Methoden und Computerresourcen zunehmend für die Interpretation und Vorhersage experimenteller Ergebnisse an Bedeutung gewonnen. Relativistische Effekte in der Chemie werden zum Beispiel für die gelbe Farbe von Gold und den flüssigen Aggregatzustand von Quecksilber verantwortlich gemacht und müssen daher in quantenchemischen Rechnungen berücksichtigt werden. Relativistische Effekte sind bei leichten Elementen oft so klein, daß sie in vielen quantenchemischen Betrachtungen vernachlässigt werden. Dennoch sind es gerade diese Beiträge, die verbleibende Abweichungen von noch so genauen nichtrelativistischen Rechnungen von ebenso genauen experimentellen Ergebnissen ausmachen können. Relativistische Effekte können auf viele Arten in quantenchemischen Rechnungen berücksichtigt werden. Eine Möglichkeit ist die Störungstheorie. Ein derartiger Ansatz ist die Mass-velocity-Darwin-Näherung, ein anderer die Direkte Störungstheorie. Hier entspricht die relativistische Energiekorrektur erster Ordnung der ersten Ableitung der Energie nach einem relativistischen Störparameter. Für eine Bestimmung der Gleichgewichtsstruktur eines Moleküls müssen die Kräfte auf die Atomkerne bestimmt werden. Diese entsprechen einer ersten Ableitung der Gesamtenergie nach den Kernkoordinaten. Eine Einbeziehung der relativistischen Effekte auf diese Kräfte erfordert daher die gemischte zweite Ableitung der Energie nach dem relativistischen Störparameter und den Kernkoordinaten. Diese relativistischen Korrekturen wurden in dem quantenchemischen Programmpaket ACES2 implementiert. Ein Resultat dieser Arbeit ist, daß nun erstmalig eine Implementierung analytischer Gradienten für die Berechnung relativistischer Korrekturen zu Strukturparametern mit Hilfe der relativistischen Störungstheorie für den Coupled-Cluster-Ansatz bereit steht. Die Coupled-Cluster-Theorie eignet sich besonders gut für die hochgenaue Vorhersage von molekularen Eigenschaften, wie der Gleichgewichtsstruktur. Im Rahmen dieser Arbeit wurde die Basissatzabhängigkeit der relativistischen Beiträge zu Energien, Strukturparametern und harmonischen Schwingungsfrequenzen im Detail untersucht. Für die hier untersuchten Moleküle sind die relativistischen Effekte und Effekte aufgrund der Elektronenkorrelation nicht additiv, so verkürzt die Berücksichtigung relativistischer Effekte bei Hartree-Fock-Rechnungen die Bindung in den Hydrogenhalogeniden, während die Einbeziehung der Elektronenkorrelation durch CCSD(T)-Rechnungen zu einer verlängerten Bindung im Fluorwasserstoff und weniger stark ausgeprägten Korrekturen im Chlor- und Bromwasserstoff führt. Für die anderen hier untersuchten mehratomigen Moleküle findet sich kein einheitlicher Trend; dies unterstreicht die Notwendigkeit expliziter Rechnungen. Damit steht ein leistungsfähiges und vielseitiges Werkzeug für die Berechnung relativistischer Korrekturen auf verschiedenste molekulare Eigenschaften zur Verfügung, das mit modernen, systematisch verbesserbaren quantenchemischen Methoden verknüpft ist. Hiermit ist es möglich, hochgenaue Rechnungen zur Vorhersage und Interpretation von Experimenten durchzuführen.

Synthese von Münzmetallsilylen in flüssigem Ammoniak

Im Rahmen der vorliegenden Promotionsarbeit wird das wasserähnliche Lösungsmittel flüssiger Ammoniak verwendet, um die kinetisch instabilen Münzmetallsilyle in hohen Ausbeuten darzustellen. Als Ausgangsverbindungen dienten verschiedene basenfreie Kaliumsilanide, die sich in flüssigem Ammoniak gut lösen ohne nennenswert protolysiert zu werden. Gegenüber konventionellen Synthesen, die in organischen Lösungsmitteln durchgeführt werden, können statt Alkoholate die leicht zugänglichen Münzmetallhalogenide eingesetzt werden. Bei einer Stöchiometrie von 1:1 werden in Abhängigkeit der sterischen Anspruchs des Silylrestes, die cyclischen oder die Ammoniakate der dimeren Kupfer– bzw. Silbersilyle erhalten, während zwei Äquivalente basenfreien Kaliumsilanid und ein Äquivalent Münzmetallhalogenid zu den homologen Homocuprate, -argentate und -aurate führen. Zusätzlich wird die Auswirkung des unterschiedlich sterischen Anspruches der Silylliganden und des gebundenen Münzmetalls auf die Strukturparameter untersucht. Im zweiten Teil dieser Arbeit wird das dargestellte Aurat KAuHyp2 (Hyp = Si(SiMe3)3) mit Trimethylchlorsilan in verschiedenen organischen Lösungsmitteln umgesetzt. In Anhängigkeit von der Stöchiometrie, der Reaktionsdauer, der Temperatur und des verwendeten Lösungsmittels werden erstmalig eine Vielzahl neuer anionischer Goldsilylkomplexe erhalten, genannt sei die Verbindung [K2(Toluol)2][Au4Hyp4], welsches ein Au4-Tetraederskelett mit vier terminalen Hypersilylliganden besitzt. Vom besonderen Interesse ist die Reduktion des Golds. Bemerkenswert sind die zu beobachtenden Silizium-Silizium-Bindungsspaltungen bzw. -Bindungsmetathese bei Raumtemperatur, beispielsweise erkennbar an der Verbindung [K][Au5(Si(SiMe3)2)6]. Auf die Thematik dieser neuartigen strukturell interessanten anionischen Goldsilyle wird in dieser Arbeit näher eingegangen.

Pore structure and column efficiency of silica monoliths in high performance liquid chromatography (HPLC)

Five different methods were critically examined to characterize the pore structure of the silica monoliths. The mesopore characterization was performed using: a) the classical BJH method of nitrogen sorption data, which showed overestimated values in the mesopore distribution and was improved by using the NLDFT method, b) the ISEC method implementing the PPM and PNM models, which were especially developed for monolithic silicas, that contrary to the particulate supports, demonstrate the two inflection points in the ISEC curve, enabling the calculation of pore connectivity, a measure for the mass transfer kinetics in the mesopore network, c) the mercury porosimetry using a new recommended mercury contact angle values. rnThe results of the characterization of mesopores of monolithic silica columns by the three methods indicated that all methods were useful with respect to the pore size distribution by volume, but only the ISEC method with implemented PPM and PNM models gave the average pore size and distribution based on the number average and the pore connectivity values.rnThe characterization of the flow-through pore was performed by two different methods: a) the mercury porosimetry, which was used not only for average flow-through pore value estimation, but also the assessment of entrapment. It was found that the mass transfer from the flow-through pores to mesopores was not hindered in case of small sized flow-through pores with a narrow distribution, b) the liquid penetration where the average flow-through pore values were obtained via existing equations and improved by the additional methods developed according to Hagen-Poiseuille rules. The result was that not the flow-through pore size influences the column bock pressure, but the surface area to volume ratio of silica skeleton is most decisive. Thus the monolith with lowest ratio values will be the most permeable. rnThe flow-through pore characterization results obtained by mercury porosimetry and liquid permeability were compared with the ones from imaging and image analysis. All named methods enable a reliable characterization of the flow-through pore diameters for the monolithic silica columns, but special care should be taken about the chosen theoretical model.rnThe measured pore characterization parameters were then linked with the mass transfer properties of monolithic silica columns. As indicated by the ISEC results, no restrictions in mass transfer resistance were noticed in mesopores due to their high connectivity. The mercury porosimetry results also gave evidence that no restrictions occur for mass transfer from flow-through pores to mesopores in the small scaled silica monoliths with narrow distribution. rnThe prediction of the optimum regimes of the pore structural parameters for the given target parameters in HPLC separations was performed. It was found that a low mass transfer resistance in the mesopore volume is achieved when the nominal diameter of the number average size distribution of the mesopores is appr. an order of magnitude larger that the molecular radius of the analyte. The effective diffusion coefficient of an analyte molecule in the mesopore volume is strongly dependent on the value of the nominal pore diameter of the number averaged pore size distribution. The mesopore size has to be adapted to the molecular size of the analyte, in particular for peptides and proteins. rnThe study on flow-through pores of silica monoliths demonstrated that the surface to volume of the skeletons ratio and external porosity are decisive for the column efficiency. The latter is independent from the flow-through pore diameter. The flow-through pore characteristics by direct and indirect approaches were assessed and theoretical column efficiency curves were derived. The study showed that next to the surface to volume ratio, the total porosity and its distribution of the flow-through pores and mesopores have a substantial effect on the column plate number, especially as the extent of adsorption increases. The column efficiency is increasing with decreasing flow through pore diameter, decreasing with external porosity, and increasing with total porosity. Though this tendency has a limit due to heterogeneity of the studied monolithic samples. We found that the maximum efficiency of the studied monolithic research columns could be reached at a skeleton diameter of ~ 0.5 µm. Furthermore when the intention is to maximize the column efficiency, more homogeneous monoliths should be prepared.rn

Hypersonic phonon propagation in mesoscopic systems by Brillouin spectroscopy

Phononic crystals, capable to block or direct the propagation of elastic/acoustic waves, have attracted increasing interdisciplinary interest across condensed matter physics and materials science. As of today, no generalized full description of elastic wave propagation in phononic structures is available, mainly due to the large number of variables determining the band diagram. Therefore, this thesis aims for a deeper understanding of the fundamental concepts governing wave propagation in mesoscopic structures by investigation of appropriate model systems. The phononic dispersion relation at hypersonic frequencies is directly investigated by the non-destructive technique of high-resolution spontaneous Brillouin light scattering (BLS) combined with computational methods. Due to the vector nature of the elastic wave propagation, we first studied the hypersonic band structure of hybrid superlattices. These 1D phononic crystals composed of alternating layers of hard and soft materials feature large Bragg gaps. BLS spectra are sensitive probes of the moduli, photo-elastic constants and structural parameters of the constituent components. Engineering of the band structure can be realized by introduction of defects. Here, cavity layers are employed to launch additional modes that modify the dispersion of the undisturbed superlattice, with extraordinary implications to the band gap region. Density of states calculations in conjunction with the associated deformation allow for unambiguous identication of surface and cavity modes, as well as their interaction with adjacent defects. Next, the role of local resonances in phononic systems is explored in 3D structures based on colloidal particles. In turbid media BLS records the particle vibration spectrum comprising resonant modes due to the spatial confinement of elastic energy. Here, the frequency and lineshapes of the particle eigenmodes are discussed as function of increased interaction and departure from spherical symmetry. The latter is realized by uniaxial stretching of polystyrene spheres, that can be aligned in an alternating electric field. The resulting spheroidal crystals clearly exhibit anisotropic phononic properties. Establishing reliable predictions of acoustic wave propagation, necessary to advance, e.g., optomechanics and phononic devices is the ultimate aim of this thesis.

Prediction of new crystal structures under extreme conditions

One of the most important challenges in chemistry and material science is the connection between the contents of a compound and its chemical and physical properties. In solids, these are greatly influenced by the crystal structure.rnrnThe prediction of hitherto unknown crystal structures with regard to external conditions like pressure and temperature is therefore one of the most important goals to achieve in theoretical chemistry. The stable structure of a compound is the global minimum of the potential energy surface, which is the high dimensional representation of the enthalpy of the investigated system with respect to its structural parameters. The fact that the complexity of the problem grows exponentially with the system size is the reason why it can only be solved via heuristic strategies.rnrnImprovements to the artificial bee colony method, where the local exploration of the potential energy surface is done by a high number of independent walkers, are developed and implemented. This results in an improved communication scheme between these walkers. This directs the search towards the most promising areas of the potential energy surface.rnrnThe minima hopping method uses short molecular dynamics simulations at elevated temperatures to direct the structure search from one local minimum of the potential energy surface to the next. A modification, where the local information around each minimum is extracted and used in an optimization of the search direction, is developed and implemented. Our method uses this local information to increase the probability of finding new, lower local minima. This leads to an enhanced performance in the global optimization algorithm.rnrnHydrogen is a highly relevant system, due to the possibility of finding a metallic phase and even superconductor with a high critical temperature. An application of a structure prediction method on SiH12 finds stable crystal structures in this material. Additionally, it becomes metallic at relatively low pressures.

Sodium/hydrogen exchanger NHA2 in osteoclasts: subcellular localization and role in vitro and in vivo

NHA2 was recently identified as a novel sodium/hydrogen exchanger which is strongly upregulated during RANKL-induced osteoclast differentiation. Previous in vitro studies suggested that NHA2 is a mitochondrial transporter required for osteoclast differentiation and bone resorption. Due to the lack of suitable antibodies, NHA2 was studied only on RNA level thus far. To define the protein's role in osteoclasts in vitro and in vivo, we generated NHA2-deficient mice and raised several specific NHA2 antibodies. By confocal microscopy and subcellular fractionation studies, NHA2 was found to co-localize with the late endosomal and lysosomal marker LAMP1 and the V-ATPase a3 subunit, but not with mitochondrial markers. Immunofluorescence studies and surface biotinylation experiments further revealed that NHA2 was highly enriched in the plasma membrane of osteoclasts, localizing to the basolateral membrane of polarized osteoclasts. Despite strong upregulation of NHA2 during RANKL-induced osteoclast differentiation, however, structural parameters of bone, quantified by high-resolution microcomputed tomography, were not different in NHA2-deficient mice compared to wild-type littermates. In addition, in vitro RANKL stimulation of bone marrow cells isolated from wild-type and NHA2-deficient mice yielded no differences in osteoclast development and activity. Taken together, we show that NHA2 is a RANKL-induced plasmalemmal sodium/hydrogen exchanger in osteoclasts. However, our data from NHA2-deficient mice suggest that NHA2 is dispensable for osteoclast differentiation and bone resorption both in vitro and in vivo.

Noninvasive Doppler-derived myocardial performance index in rats with myocardial infarction: validation and correlation by conductance catheter

The rodent model of myocardial infarction (MI) is extensively used in heart failure studies. However, long-term follow-up of echocardiographic left ventricular (LV) function parameters such as the myocardial performance index (MPI) and its ratio with the fractional shortening (LVFS/MPI) has not been validated in conjunction with invasive indexes, such as those derived from the conductance catheter (CC). Sprague-Dawley rats with left anterior descending coronary artery ligation (MI group, n = 9) were compared with a sham-operated control group (n = 10) without MI. Transthoracic echocardiography (TTE) was performed every 2 wk over an 8-wk period, after which classic TTE parameters, especially MPI and LVFS/MPI, were compared with invasive indexes obtained by using a CC. Serial TTE data showed significant alterations in the majority of the noninvasive functional and structural parameters (classic and novel) studied in the presence of MI. Both MPI and LVFS/MPI significantly (P < 0.05 for all reported values) correlated with body weight (r = -0.58 and 0.76 for MPI and LVFS/MPI, respectively), preload recruitable stroke work (r = -0.61 and 0.63), LV end-diastolic pressure (LVEDP) (r = 0.82 and -0.80), end-diastolic volume (r = 0.61 and -0.58), and end-systolic volume (r = 0.46 and -0.48). Forward stepwise linear regression analysis revealed that, of all variables tested, LVEDP was the only independent determinant of MPI (r = 0.84) and LVFS/MPI (r = 0.83). We conclude that MPI and LVFS/MPI correlate strongly and better than the classic noninvasive TTE parameters with established, invasively assessed indexes of contractility, preload, and volumetry. These findings support the use of these two new noninvasive indexes for long-term analysis of the post-MI LV remodeling.

Cartilage histomorphometry

In rheumatology and joint research, as in other fields, a purely descriptional appqoach to morphology cannot satisfy the exactions of modern clinical medicine. Investigators now appreciate the need to gauge pathological changes and their response to treatment by quantifying susceptible structural parameters. But the desired information respecting three-dimensional structures must be gleaned from either actual or virtual two-dimensional sections through the tissue. This information can be obtained only if the laws governing stereology are respected. In this chapter, the stereological principles that must be applied, and the practical methods that have been devised, to yield unbiased estimates of the most commonly determined structural parameters, namely, volume, surface area and number, are summarized.

Metal-ion-dependent biological properties of a chelator-derived somatostatin analogue for tumour targeting

Somatostatin-based radioligands have been shown to have sensitive imaging properties for neuroendocrine tumours and their metastases. The potential of [(55)Co(dotatoc)] (dotatoc =4,7,10-tricarboxymethyl-1,4,7,10-tetraazacyclododecane-1-ylacetyl-D-Phe-(Cys-Tyr-D-Trp-Lys-Thr-Cys)-threoninol (disulfide bond)) as a new radiopharmaceutical agent for PET has been evaluated. (57)Co was used as a surrogate of the positron emitter (55)Co and the pharmacokinetics of [(57)Co(dotatoc)] were investigated by using two nude mouse models. The somatostatin receptor subtype (sst1-sst5) affinity profile of [(nat)Co(dotatoc)] on membranes transfected with human somatostatin receptor subtypes was assessed by using autoradiographic methods. These studies revealed that [(57)Co(dotatoc)] is an sst2-specific radiopeptide which presents the highest affinity ever found for the sst2 receptor subtype. The rate of internalisation into the AR4-2J cell line also was the highest found for any somatostatin-based radiopeptide. Biodistribution studies, performed in nude mice bearing an AR4-2J tumour or a transfected HEK-sst2 cell-based tumour, showed high and specific uptake in the tumour and in other sst-receptor-expressing tissues, which reflects the high receptor binding affinity and the high rate of internalisation. The pharmacologic differences between [(57)Co(dotatoc)] and [(67)Ga(dotatoc)] are discussed in terms of the structural parameters found for the chelate models [Co(II)(dota)](2-) and [Ga(III)(dota)](-) whose X-ray structures have been determined. Both chelates show six-fold coordination in pseudo-octahedral arrangements.

Proceedings of the Eighth Annual Biochemical Engineering Symposium

Contents"Effects of Swell-Shear Treatment on the Digestibility of Cellulosics", Dou-Houng Hwang, UMC "Application of Material and Energy Balance Regularities to Biomass Production from Cellulosic Substrates", Y.H. Lee, KSU "Immobilization of Aspergillus niger beta-Xylosidase", Gbekeloluwa B. Oguntimein, ISU "The Effect of the Major Structural Parameters of Cellulose on Enzymatic Hydrolysis", David H. Beardmore, Y.H. Lee, and L.T. Fan, KSU "Purification of a High Molecular Weight Hemicellulase", Ricardo A. Fournier, ISU "Aerobic Fermentation of Banana Pulp by Aspergillus Fumigatus", Stephen Lorbert, UMC "Purification and Properties of Two Very Small Xylanases", Chih-hen Kiang, ISU "Testing Theoretical Models for Cellulose Enzymatic Hydrolysis", Lin-Chang Chiang, UMC "Utilization of Material and Energy Balances in Hydrocarbon Fermentation", Alexis Ferrer, KSU "Purification of a Series of Closely Related Xylanases", Mary M. Frederick, ISU

Luminescence and Energy Transfer of [Ru(bpy) 3 ] 2+ , [Cr(ox) 3 ] 3- , and [Os(bpy) 3 ] 2+ in Three-Dimensional Oxalato-Networks

Luminescence and energy transfer in [Zn1-xRux(bpy)3][NaAl1-yCry(ox)3] (x ≈ 0.01, y = 0.006 − 0.22; bpy = 2,2‘-bipyridine, ox = C2O42-) and [Zn1-x-yRuxOsy(bpy)3][NaAl(ox)3] (x ≈ 0.01, y = 0.012) are presented and discussed. Surprisingly, the luminescence of the isolated luminophores [Ru(bpy)3]2+ and [Os(bpy)3]2+ in [Zn(bpy)3][NaAl(ox)3] is hardly quenched at room temperature. Steady-state luminescence spectra and decay curves show that energy transfer occurs between [Ru(bpy)3]2+ and [Cr(ox)3]3- and between [Ru(bpy)3]2+ and [Os(bpy)3]2+ in [Zn1-xRux(bpy)3][NaAl1-yCry(ox)3] and [Zn1-x-yRuxOsy(bpy)3] [NaAl(ox)3], respectively. For a quantitative investigation of the energy transfer, a shell type model is developed, using a Monte Carlo procedure and the structural parameters of the systems. A good description of the experimental data is obtained assuming electric dipole−electric dipole interaction between donors and acceptors, with a critical distance Rc for [Ru(bpy)3]2+ to [Cr(ox)3]3- energy transfer of 15 Å and for [Ru(bpy)3]2+ to [Os(bpy)3]2+ energy transfer of 33 Å. These values are in good agreement with those derived using the Förster−Dexter theory.

Photosynthetic activity buffers ocean acidification in seagrass meadows

Macrophytes growing in shallow coastal zones characterised by intense metabolic activity have the capacity to modify pH within their canopy and beyond. We observed diel pH changes in shallow (5-12 m) seagrass (Posidonia oceanica) meadows spanning 0.06 pH units in September to 0.24 units in June. The carbonate system (pH, DIC, and aragonite saturation state (omega Ar)) and O2 within the meadows displayed strong diel variability driven by primary productivity, and changes in chemistry were related to structural parameters of the meadow, in particular, the leaf surface area available for photosynthesis (LAI). LAI was positively correlated to mean, max and range pHNBS and max and range omega Ar. In June, vertical mixing (as Turbulent Kinetic Energy) influenced max and min omega Ar, while in September there was no effect of hydrodynamics on the carbonate system within the canopy. Max and range omega Ar within the meadow showed a positive trend with the calcium carbonate load of the leaves, pointing to a possible link between structural parameters, omega Ar and carbonate deposition.

Simulating heterogeneous multinational firms

This paper develops a micro-simulation framework for multinational entry and sales activities across countries. The model is based on Eaton, Kortum, and Kramarz's (2010) quantitative trade model adapted towards multinational production. Using micro data on Japanese manufacturing firms, we first stylize the empirical regularities of multinational entry and sales activity and estimate the model's structural parameters with simulated method of moments. We then demonstrate that our adapted model is able to replicate important dimensions of the in-sample moments conditioned in our estimation strategy. Importantly, it is able to replicate activity under an economic period with a far different level of FDI barriers than was conditioned upon in our estimation sample. Overall, our research highlights the richness of the simulation framework for performing counterfactual analysis of various FDI policies.

Heterogeneous multinational firms and productivity gains from falling FDI barriers

During the past decade of declining FDI barriers, small domestic firms disproportionately contracted while large multinational firms experienced a substantial growth in Japan’s manufacturing sector. This paper quantitatively assesses the impact of FDI globalization on intra-industry reallocations and aggregate productivity. We calibrate the firm-heterogeneity model of Eaton, Kortum, and Kramarz (2011) to micro-level data on Japanese multinational firms. Estimating the structural parameters of the model, we demonstrate that the model can strongly replicate the entry and sales patterns of Japanese multinationals. Counterfactual simulations show that declining FDI barriers lead to a disproportionate expansion of foreign production by more efficient firms relative to less efficient firms. A hypothetical 20% reduction in FDI barriers is found to generate a 30.7% improvement in aggregate productivity through market-share reallocation.